ProofComplete

Open Mapping and Closed Graph Theorems - Key Proof

We present a complete proof of the Open Mapping Theorem, one of the three fundamental pillars of functional analysis.

TheoremOpen Mapping Theorem

Let XX and YY be Banach spaces and T:X→YT : X \to Y a surjective bounded linear operator. Then TT is an open mapping.

Proof

Step 1: Baire Category Argument

Let BX(r)={x∈X:âˆĨxâˆĨ<r}B_X(r) = \{x \in X : \|x\| < r\} denote the open ball of radius rr in XX. Since TT is surjective, we have Y=T(X)=T(⋃n=1∞BX(n))=⋃n=1∞T(BX(n))Y = T(X) = T\left(\bigcup_{n=1}^\infty B_X(n)\right) = \bigcup_{n=1}^\infty T(B_X(n))

Since YY is a complete metric space, the Baire Category Theorem implies that at least one T(BX(n0))T(B_X(n_0)) has non-empty interior. Therefore T(BX(1))T(B_X(1)) also has non-empty interior (by linearity).

Let UU be an open set in YY contained in T(BX(1))T(B_X(1)). Then 0∈U−U⊂T(BX(1))−T(BX(1))=T(BX(2))0 \in U - U \subset T(B_X(1)) - T(B_X(1)) = T(B_X(2)).

Thus there exists Îī>0\delta > 0 such that BY(Îī)⊂T(BX(2))â€ūB_Y(\delta) \subset \overline{T(B_X(2))}.

Step 2: Key Estimate

We claim: BY(Îī)⊂T(BX(4))B_Y(\delta) \subset T(B_X(4)).

Let y∈BY(Îī)y \in B_Y(\delta). Since y∈T(BX(2))â€ūy \in \overline{T(B_X(2))}, there exists x1∈BX(2)x_1 \in B_X(2) such that âˆĨy−Tx1âˆĨ<Îī/2\|y - Tx_1\| < \delta/2.

Now y−Tx1∈BY(Îī/2)⊂T(BX(1))â€ūy - Tx_1 \in B_Y(\delta/2) \subset \overline{T(B_X(1))}, so there exists x2∈BX(1)x_2 \in B_X(1) with âˆĨ(y−Tx1)−Tx2âˆĨ<Îī/4\|(y - Tx_1) - Tx_2\| < \delta/4.

Continuing inductively, we find xn∈BX(21−n)x_n \in B_X(2^{1-n}) such that âˆĨy−T(∑k=1nxk)âˆĨ<Îī2−n\left\|y - T\left(\sum_{k=1}^n x_k\right)\right\| < \delta 2^{-n}

The series ∑k=1∞xk\sum_{k=1}^\infty x_k converges in XX (by completeness) since ∑k=1∞âˆĨxkâˆĨ<2+1+1/2+â‹Ŋ=4\sum_{k=1}^\infty \|x_k\| < 2 + 1 + 1/2 + \cdots = 4

Let x=∑k=1∞xkx = \sum_{k=1}^\infty x_k. Then âˆĨxâˆĨ<4\|x\| < 4 and by continuity of TT: Tx=T(lim⁥n→∞∑k=1nxk)=lim⁥n→∞T(∑k=1nxk)=yTx = T\left(\lim_{n \to \infty} \sum_{k=1}^n x_k\right) = \lim_{n \to \infty} T\left(\sum_{k=1}^n x_k\right) = y

Therefore y∈T(BX(4))y \in T(B_X(4)).

Step 3: Conclusion

For any open set U⊂XU \subset X, we show T(U)T(U) is open. Let y0=T(x0)∈T(U)y_0 = T(x_0) \in T(U) where x0∈Ux_0 \in U. Choose r>0r > 0 such that BX(x0,r)⊂UB_X(x_0, r) \subset U.

From Step 2, BY(Îīr/4)⊂T(BX(r))=T(BX(x0,r)−x0)B_Y(\delta r/4) \subset T(B_X(r)) = T(B_X(x_0, r) - x_0). Therefore: y0+BY(Îīr/4)=T(x0)+T(BX(r))⊂T(U)y_0 + B_Y(\delta r/4) = T(x_0) + T(B_X(r)) \subset T(U)

Thus BY(y0,Îīr/4)⊂T(U)B_Y(y_0, \delta r/4) \subset T(U), showing that T(U)T(U) is open.

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Remark

This proof beautifully combines three key techniques: the Baire Category Theorem (ensuring some image has interior), completeness of XX (ensuring convergence of the series), and continuity of TT (passing the limit through). All three are essential—the theorem fails if any hypothesis is dropped.

The Open Mapping Theorem is fundamental to proving automatic continuity results throughout functional analysis.