Vdoc - Pub Fixed Point Theory

Springer Monographs in Mathematics
Springer Science+Business Media, LLC

Andrzej Granas James Dugundji
Fixed Point Theory
With 14 Illustrations
, Springer
Andrzej Granas James Dugundji
Departement de Mathematiques et (/920-1985)
Statistique
Universite de :Y1ontreal
CP 6128
Montreal, QC H3C 317
Canada
[email protected]
and
Department of Mathematics and
Computer Science
University of Warmia and Mazury
Olsztyn
Poland
Mathematics Subject Classification (2000): 37C25, 47HIO, 54H25, 58C30
Library of Congress Cataloging-in-Publication Data

Dugundji, James.
Fixed point theory/ James Dugundji, Andrzej Granas.
p. cm. - (Springer monographs in mathematics)
Includes bibliographical references and indexes.
1. Fixed point theory. l. Granas, Andrzej. II. Title. III. Series.

QA329.9 .DS33 2003
5 I 5'.7248--dc2 I 2002042736
ISBN 978-1-4419-1805-5 ISBN 978-0-387-21593-8 (eBook)

DOI 10.1007/978-0-387-21593-8
© 2003 Springer Science+Business Media New York

Originally published by Springer-Verlag New York. Inc in 2003
Softcover reprint of the hardcover I st edition 2003
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www.springer-ny.com
FOR
Monique,
Stanislaw, Janusz, Jean-Jacques, Andrzej
&
To THE MEMORY OF
Jim Dugundji
Preface
The aim of this monograph is to give a unified account of the classical

topics in fixed point theory that lie on the border-line of topology and non-
linear functional analysis, emphasizing developments related to the Leray-
Schauder theory. Using for the most part geometric methods, our study cen-
ters around formulating those general principles of the theory that provide
the foundation for many of the modern results in diverse areas of mathe-
matics.
The main text is self-contained for readers with a modest knowledge
of topology and functional analysis; the necessary background material is
collected in an appendix, or developed as needed. Only the last chapter pre-
supposes some familiarity with more advanced parts of algebraic topology.
The "Miscellaneous Results and Examples", given in the form of exer-
cises, form an integral part of the book and describe further applications and
extensions of the theory. Most of these additional results can be established
by the methods developed in the book, and no proof in the main text relies
on any of them; more demanding problems are marked by an asterisk. The
"Notes and Comments" at the end of paragraphs contain references to the
literature and give some further information about the results in the text.
This monograph evolved from Fixed Point Theory , Vol. I, published in
the Monografie Matematyczne series in 1982. An outline of the entire treatise
was conceived by the authors in 1978; in spite of its appearance many years
later than expected, the content follows the original plan.
The following is a brief note about the life and work of my close friend
Jim Dugundji (1919- 1985). Jim Dugundji received his B.A. degree from New
York University in 1940 and, for the next two years, studied at the University
of North Carolina. After serving in the US Air Force from 1942 to 1946 he
enrolled at the Massachussetts Institute of Technology, where he earned his
Ph.D. in 1948 under Witold Hurewicz. Since 1948, Jim Dugundji taught
at the University of Southern California in Los Angeles, where he became a
viii Preface
full professor in 1958. For many years he served as one of the editors of the
Pacific Journal of Mathematics and of Topology and its Applications.
While Dugundji's mathematical work lay mainly in the field of topology,
he also contributed to dynamical systems and functional analysis, and to
problems in applied mathematics (electrical engineering, geology, and theo-
retical chemistry). Among his books are Topology (Allyn and Bacon, 1965)
and Perspectives in Theoretical Stereochemistry (Springer, 1984), the latter
written with I. Ugi, R. Kopp and D. Marquarding.
Jim Dugundji's mathematical publications are marked by their lucidity
and frequently by the decisiveness of his results. His work was, in fact, in
many ways an expression of his character. Although he was self-effacing and
lacking in any wish for self-advancement, he was totally independent and
would not tolerate anything which he considered second best. He spent his
life for science's sake, aware of the sacrifice and dedication this requires,
and what he asked from himself-which was quite a lot-he expected from
others. Man of high integrity and moral strength, he had a great sensitivity,
and all who were close to him could testify to his caring concern.
I wish to express my gratitude to our many friends and collaborators who
so generously assisted us during the long years of preparation of this book.
Most important, without the help and encouragement of Merope Dugundji
and my wife Monique, it would not have been possible for us to conceive this
project nor for me to bring it to its completion. First and foremost my thanks
go to Cezary Bowszyc, who read and commented upon the entire manuscript;
his detailed and constructive criticism has led to many improvements and
has been of a very great help. Alberto Abbondandolo, Robert Burckel, Halm
Bn§zis, Ed Fadell, Marlene Frigon, Kazimierz G~ba, Tadeusz Iwaniec, Marc
Lassonde, Isaac Namioka, and Gencho Skordev offered valuable suggestions
in various stages of the writing, all of which are sincerely appreciated. Special
thanks go to Jerzy Trzeciak for his excellent editorial job; to Anna Rudnik
for her considerable help with the typesetting; and to the staff of Springer-
Verlag for their most efficient handling of publication matters.
I thank also the Killam Foundation and the National Research Council
of Canada for providing support for my research projects on various topics,
which are now summarized in this book.
Finally, I would like to express my gratitude to Albrecht Dold, Ky Fan
and Louis Nirenberg for their encouragement and inspiration over the years.
Montreal and Olsztyn, September 2002 Andrzej Granas

Contents
Preface . . ............... ... ......................... ... .... .. ...... vii
§O. Introduction ............................ . . . . . . . . .. .. .... 1. . . . .

1. Fixed Point Spaces .......................................... 1
2. Forming New Fixed Point Spaces from Old ................. . 3
3. Topological Transversality ....... . .............. .... ....... . . 4
4. Factorization Technique ....................... ... ... . ..... .. 6
I. Elementary Fixed Point Theorems

§ 1. Results Based on Completeness ............................ 9
1. Banach Contraction Principle ................................ 9

2. Elementary Domain Invariance ......... ... ........... . ...... 11
3. Continuation Method for Contractive Maps ...... . ...... . .... 12
4. Nonlinear Alternative for Contractive Maps ... .. . . .. ...... ... 13
5. Extensions of the Banach Theorem ........... . .............. 15
6. Miscellaneous Results and Examples ... . ... ... ......... . . .... 17
7. Notes and Comments... ... .... . . .. . . .... .. . .. .... ... . .. . .. .. 23
§2. Order-Theoretic Results .... .. ..... . ................. . ...... 25
1. The Knaster- Tarski Theorem ................................ 25
2. Order and Completeness. Theorem of Bishop- Phelps ....... . . 26
3. Fixed Points for Set-Valued Contractive Maps ............... 28
4. Applications to Geometry of Banach Spaces ................. 29
5. Applications to the Theory of Critical Points ... . . ...... . .... 30
6. Miscellaneous Results and Examples. . . . . . . . . . . . . . . . . . 31
.... . ..
7. Notes and Comments .... . ... ..... ... .. ............... .. ..... 34
x Contents
§3. Results Based on Convexity 37

1. KKM-Maps and the Geometric KKM-Principle ..... . ........ 37
2. Theorem of von Neumann and Systems of Inequalities .. .. . . . 40
3. Fixed Points of Affine Maps. Markoff- Kakutani Theorem .... 42
4. Fixed Points for Families of Maps. Theorem of Kakutani ..... 44
5. Miscellaneous Results and Examples . .. . ........ . . .. ........ . 46
6. Notes and Comments.. . . . ....... . ......... .. ...... . .. . ...... 48
§4. Further Results and Applications .............. . .......... . 51
1. Nonexpansive Maps in Hilbert Space ........... . ............ 51
2. Applications of the Banach Principle to Integral and
Differential Equations. . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
. . . . . ..
3. Applications of the Elementary Domain Invariance . ....... . .. 57
4. Elementary KKM-Principle and its Applications ... . ......... 64
5. Theorems of Mazur- Orlicz and Hahn- Banach ...... " .... . . .. 70
6. Miscellaneous Results and Examples ................. . ....... 74
7. Notes and Comments..... . .................................. 81
II. Theorem of Borsuk and Topological Transversality

§5. Theorems of Brouwer and Borsuk ......................... 85
1. Preliminary Remarks. . . . . . . . . . . . . . . . . ... .... .. . . . . . . .... . . 85
2. Basic Triangulation of sn ................................... 86
3. A Combinatorial Lemma ............. . ...................... 88
4. The Lusternik- Schnirelmann- Borsuk Theorem ... . ' " .. . .... . 90
5. Equivalent Formulations. The Borsuk- Ulam Theorem ........ 92
6. Some Simple Consequences .............. . ..... . . . .... . ...... 94
7. Brouwer's Theorem ................ .. ..... . ... . ..... .. , . . . .,. 95
8. Topological KKM-Principle ............... . ........... . ...... 96
9. Miscellaneous Results and Examples. . . . . . . . . . . . . . . .... . 98 . . . . .
10. Notes and Comments ........... . .. . .................... .. ... 104
§6. Fixed Points for Compact Maps in Normed Linear Spaces 112
1. Compact and Completely Continuous Operators . . .... . ..... . 112
2. Schauder Projection and Approximation Theorem .... . .. . ... 116
3. Extension of the Brouwer and Borsuk Theorems ... '" ...... . 119
4. Topological Transversality. Existence of Essential Maps ..... . 120
5. Equation x = F(x). The Leray- Schauder Principle ... . ... , .. . 123
6. Equation x = AF(x). Birkhoff- Kellogg Theorem . .. . . . ..... . . 125
Contents xi
7. Compact Fields .. ...... ....... ... .... . .. .......... .... ...... 126
8. Equation y = x - F(x). Invariance of Domain ................ 128
9. Miscellaneous Results and Examples .... . .... . ............... 131
10. Notes and Comments . ................... . ...... . ......... ... 137
§7. Further Results and Applications .......................... 142
1. Applications of the Topological KKM-Principle .............. 142
2. Some Applications of the Antipodal Theorem ................ 151
3. The Schauder Theorem and Differential Equations . .. ........ 154
4. Topological Transversality and Differential Equations ..... ... 156
5. Application to the Galerkin Approximation Theory . . ........ 158
6. The Invariant Subspace Problem .... .. ...................... 160
7. Absolute Retracts and Generalized Schauder Theorem . ...... 162
8. Fixed Points for Set-Valued Kakutani Maps .................. 166
9. Theorem of Ryll-Nardzewski ..... . .......................... . 171
10. Miscellaneous Results and Examples ..... . . . .. ..... . . . ....... 175
11. Notes and Comments ........................................ 190
III. Homology and Fixed Points

§8. Simplicial Homology ... . . .......... .. . . .......... . .......... 197
1. Simplicial Complexes and Polyhedra .... ..................... 197
2. Subdivisions .................... ... .......... . ..... . ...... .. . 200
3. Simplicial Maps and Simplicial Approximations .. . . ... ... . . . . 201
4. Vertex Schemes, Realizations, and Nerves of Coverings .. . . . . . 203
5. Simplicial Homology ........ . . . .. ... ..... .. ... ... . ..... .. .. . . 205
6. Chain Transformations and Chain Homotopies ....... . .... . .. 208
7. Induced Homomorphism .. .. .... .... ........ . .. .... . ...... . . . 212
8. Triangulated Spaces and Polytopes . ..... .................... 214
9. Relative Homology .......................................... 215
10. Miscellaneous Results and Examples ......................... 219
11. Notes and Comments .............................. . ......... 221
§9. The Lefschetz-Hopf Theorem and Brouwer Degree ...... 223
1. Algebraic Preliminaries . .. ..... . ..... . ................ .. ..... 223
2. The Lefschetz- Hopf Fixed Point Theorem . ........ . ........ . 226
3. The Euler Number of a Map. Periodic Points . ..... . .... . . . . . 229
4. Applications ....................... . ..... ...... ..... . .... . .. 231
5. The Brouwer Degree of Maps sn
----+ sn ...... .. ......... ..... 234
xii Contents
6. Theorem of Borsuk- Hirsch ....... . ...... . ................... 236

7. Maps of Even- and of Odd-Dimensional Spheres .. . ..... .. .. . 237
8. Degree and Homotopy. Theorem of Hopf ..... . ... . . . .... . . . .. 239
9. Vector Fields on Spheres .. . .............. . ..... . .. . ......... 241
10. Miscellaneous Results and Examples . ........ .. ..... . ... .. . . . 243
11. Notes and Comments ................ . .. . ... . ......... . . ... .. 245
IV. Leray-Schauder Degree and Fixed Point Index

§10. Topological Degree in Rn 249
1. PL Maps of Polyhedra .. . . . . . . . . . . . . . . . . . . . . . . . . . 250
. .. . ....
2. Polyhedral Domains in Rn . Degree for Generic Maps ........ 251
3. Local Constancy and Homotopy Invariance ................ . . 254
4. Degree for Continuous Maps . . . . . ..... . . . ..... . .... . ...... . .. 258
5. Some Properties of Degree . ... .. ... . ......... .. .. .. . . ... . .... 260
6. Extension to Arbitrary Open Sets .. .. . . .... . . . ... . .. . ... . ... 262
7. Axiomatics . .... . .......... . ... . ..... . ... . ....... . .... .. . . ... 263
8. The Main Theorem on the Brouwer Degree in Rn . . . ......... 266
9. Extension of the Antipodal Theorem .. .... .. . ... .. . . . . . ..... 268
10. Miscellaneous Results and Examples ..... . ... .. ..... . ... . . .. . 270
11. Notes and Comments ..... . .... . , ... , . ,.. .... .. ..... , ... . .... 274
§1l. Absolute Neighborhood Retracts ................ . . .... . .. 279
1. General Properties . ..... . ...... . ................ . ......... . . 279
2. ARs and ANRs ........... . ..... . . . ............... . .. . ....... 280
3. Local Properties ..................................... . .... . .. 281
4. Pasting ANRs Together ............... . . . ......... .. ........ 283
5. Theorem of Hanner ......... . ................ . ............ '" 285
6. Homotopy Properties ...... . ... . .......... . . . ...... . ... . ..... 287
7. Generalized Leray- Schauder Principle in ANRs .............. 289
8. Miscellaneous Results and Examples . . . . . . . ................ .. 292
9. Notes and Comments ... . ..... . ...... .. .. . . . ... . .. . . . .... . ... 300
§12. Fixed Point Index in ANRs .. .. ....... . . . ... . .. . ...... . ... 305
1. Fixed Point Index in Rn ..... . ...... . ... . ..... . ..... ... .... . 305
2. Axioms for the Index ...... ' " .. , ... , ... . ... . . . . . ... , .. . , '"
. 308
3. The Leray- Schauder Index in Normed Linear Spaces ......... 309
4. Commutativity of the Index . .......... . ..... . ............... 312
5. Fixed Point Index for Compact Maps in ANRs . ..... . ........ 315
Contents xiii
6. The Leray- Schauder Continuation Principle in ANRs .. ...... 317

7. Simple Consequences and Index Calculations .. .. .. ...... .. .. 321
8. Local Index of an Isolated Fixed Point ........ .. ............. 326
10. Notes and Comments ....... , ................ , ............... 333
§13. Further Results and Applications ........................ 338
1. Bifurcation Results in ANRs .. .. . .. ....... .. ..... . ........... 338
2. Application of the Index to Nonlinear PDEs ................. 344
3. The Leray- Schauder Degree ................................. 348
4. Extensions of the Borsuk and Borsuk-Ulam Theorems ....... 352
5. The Leray- Schauder Index in Locally Convex Spaces ......... 354
6. Miscellaneous Results and Applications ...... . . .............. 357
7. Notes and Comments .... ... . ...... .................... ...... 364
V. The Lefschetz-Hopf Theory

§14. Singular Homology ......... . ... . .......................... 369
1. Singular Chain Complex and Homology Functors ........... . 369
2. Invariance of Homology under Barycentric Subdivision ....... 378
3. Excision ..................................................... 384
4. Axiomatization.............................................. 386
5. Comparison of Homologies. Kiinneth Theorem ........ , ...... 391
6. Homology and Topological Degree ...................... ..... 397
8. Notes and Comments ..................................... , .. 409
§15. Lefschetz Theory for Maps of ANRs ..................... 413
1. The Leray Trace .......................... ... .. . . ........... 413
2. Generalized Lefschetz Number ............................... 418
3. Lefschetz Maps and Lefschetz Spaces ........................ 420
4. Lefschetz Theorem for Compact Maps of ANRs . ............. 423
5. Asymptotic Fixed Point Theorems for ANRs . ............. .. . 425
6. Basic Classes of Locally Compact Maps ..... . .. .. ... . .. ...... 426
7. Asymptotic Lefschetz-Type Results in ANRs ................. 429
8. Periodicity Index of a Map. Periodic Points ...... . .. . .. . .. ... 431
9. Miscellaneous Results and Examples .................... ..... 434
10. Notes and Comments ........... .................... . ........ 437
xiv Contents
§16. The Hopf Index Theorem 441

1. Normal Fixed Points in Polyhedral Domains ................. 441
2. Homology of Polyhedra with Attached Cones ................ 444
3. The Hopf Index Theorem in Polyhedral Domains ............ 447
4. The Hopf Index Theorem in Arbitrary ANRs .. .............. 448
5. The Lefschetz- Hopf Fixed Point Index for ANRs ............. 450
6. Some Consequences of the Index ...... . .. . ... . .. ..... ........ 451
7. Miscellaneous Results and Examples ..... . ...... . ............ 456
8. Notes and Comments ... .. .................... ..... . ......... 458
§17. Further Results and Applications .. .. ...... .. ........ .. .. 463
1. Local Index Theory for ANRs ............................... 463
2. Fixed Points for Self-Maps of Arbitrary Compacta ... ... . .... 465
3. Forming New Lefschetz Spaces from Old by Domination ..... 467
4. Fixed Points in Linear Topological Spaces ................... 469
5. Fixed Points in NES(compact) Spaces ....................... 471
6. General Asymptotic Fixed Point Results ..................... 474
7*. Domination of ANRs by Polytopes .......................... 475
8. Miscellaneous Results and Examples ........... . ............. 483
g. Notes and Comments ............... ... .. ................ .... 488
VI. Selected Topics

§18. Finite-Codimensional Cech Cohomology 491
1. Preliminaries. ........ ......... .......... .................... 492
2. Continuous Functors ........................................ 500
3. The Cech Cohomology Groups Hoo-n(x) . ... ............... 506
4. The Functor Hoo-n : (£, rv) -7 Ab ............... . .. ......... 511
5. Cohomology Theory on £ ................................... 513
7. Notes and Comments . .... ..... ..... ... .. .... .... ......... ... 523
§19. Vietoris Fractions and Coincidence Theory ............. 531
1. Preliminary Remarks ........................................ 531
2. Category of Fractions .. . . ..... ......... ... .... .. ... . .. . ..... 532
3. Vietoris Maps and Fractions ................................. 534
4. Induced Homomorphisms and the Lefschetz Number ..... .. .. 536
5. Coincidence Spaces .. . ... . ..... . ..... .. ...................... 537
6. Some General Coincidence Theorems ... ................ ..... 539
Contents xv
7. Fixed Points for Compact and Acyclic Set-Valued Maps ...... 542
8. Miscellaneous Results and Examples ................ . ....... , 544
9. Notes and Comments ........................... . ............ 547
§20. Further Results and Supplements ... . .................... 551
1. Degree for Equivariant Maps in R n . . . . . . . . . . . . . . . . . . . . . . . . . . 551
2. The Infinite-Dimensional E+ -Cohomology ........ . .......... 558
3. Lefschetz Theorem for NB-Maps of Compacta ............... 565
4. Miscellaneous Results and Examples ................. . ....... 570
5. Notes and Comments ........................................ 573
Appendix: Preliminaries .......... . .............. , ........ " ., .. . 588
A. Generalities ................................................. 588
B. Topological Spaces ................................. . ........ 590
C. Linear Topological Spaces . . ................................. 599
D. Algebraic Preliminaries ............... . ............ . ......... 608
E. Categories and Functors ..................................... 616
Bibliography ...................................................... 620
I. General Reference Texts ........... . .. . ..................... . 620
II. Monographs, Lecture Notes, and Surveys ........... . ........ 621
III. Articles ..................................................... 625
IV. Additional References ....................................... 650
List of Standard Symbols ...... . ........... .. .. . ........ . ........ 668
Index of Names .................................................. 672
Index of Terms ................................................... 678
LEOPOLD KRONECKER, 1823- 1891
JULES HENRI POINCARE, 1854- 1912
PIERCE BOHL, 1865- 1921
JACQUES HADAMARD, 1865- 1963
LUITZEN EGBERTUS JAN BROUWER, 1881- 1966
GEORGE DAVID BIRKHOFF, 1884- 1944
SOLOMON LEFSCHETZ, 1884- 1972
JAMES WADDELL ALEXANDER, 1888- 1971
STEFAN MAZURKIEWICZ, 1888- 1945
JACOB NIELSEN , 1890-- 1959
STEFAN BANACH , 1892- 1945
HAROLD MARSTON MORSE, 1892- 1977
BRONISLAW KNASTER , 1893- 1980
HEINZ HOPF , 1894-1971
KAZIMIERZ KURATOWSKI, 1896- 1980
JULIUSZ PAWEL SCHAUDER, 1899- 1943
LAZAR LUSTERNIK , 1899- 1981
ALFRED TARSKI, 1901- 1983
JOHN VON NEUMANN, 1903- 1957
KAROL BORSUK , 1905- 1982
STANISLAW MAZUR, 1905- 1981
LEV SCHNIRELMANN, 1905- 1938
EMMANUEL SPERNER, 1905- 1980
JEAN LERAY, 1906- 1998
ANDREI TYCHONOFF, 1906- 1993
DEAN MONTGOMERY, 1909- 1992
STANISLAW ULAM, 1909- 1984
SAMUEL ElLENBERG, 1913- 1998
MARK KRASNOSEL' SKII, 1920- 1997
JURGEN MOSER, 1928- 1999
§O. Introduction
In this introduction we take a brief general look at the subject and discuss
some simple notions and techniques of fixed point theory. It is hoped that
this discussion will help the reader to grasp some of the ideas and results of
the theory, before entering the detailed and systematic study needed for a
deeper understanding.
Throughout the book, by space we understand a (Hausdorff) topological
space. Unless specifically stated otherwise, a map is a continuous transforma-
tion; however, we do occasionally add the word "continuous" for emphasis.
1. Fixed Point Spaces

We begin with a basic
(1.1) DEFINITION. Let X be any space and f a map of X, or of a subset
of X, into X. A point x E X is called a fixed point for f if x = f(x).
The set of all fixed points of f is denoted by Fix(f).
In this definition one recognizes the form typical of existence theorems in
analysis. For example, finding a solution of the equation P( z ) = 0, where
P is a complex polynomial, is equivalent to searching for a fixed point of
the self-map z 1---+ Z - P(z) of C. More generally, if D is any operator
acting on a subset of a linear space, then showing that the equation Du = 0
(respectively u - )'Du = 0) has a solution is equivalent to showing that the
map u 1---+ u-Du (respectively u 1---+ )..Du) has a fixed point . Thus, conditions
on an operator, or on its domain of definition, that guarantee the existence
of a fixed point can be reinterpreted as existence theorems in analysis and
therefore have considerable interest.
For a given space X and map f : X -+ X, the existence of a fixed point
for f may be due entirely to the nature of the space X itself, rather than to
2 §o. Introduction
any special feature that the map f has. This is formalized in

(1.2) DEFINITION. A space X is called a fixed point space provided every
map f :X --+ X has a fixed point.
EXAMPLES. (i) Any bounded closed interval J = [a, b] c R is a fixed point
space. Indeed, given f : J --+ J, we have a - f(a) :s
0 and b - f(b) ~ 0; the
intermediate value theorem ensures that the equation x - f (x) = 0 has a
solution in J, and therefore f has a fixed point.
(ii) The real line R is not a fixed point space, since the translation
x I--t x + 1 has no fixed point.
In general, it is difficult to decide whether or not a given space is a
fixed point space; such results usually have many interesting topological
consequences. An example is the Brouwer fixed point theorem, which asserts
that: Every compact convex set in Rn is a fixed point space.
The property of being a fixed point space is topologically invariant: for
if X is a fixed point space and h : X --+ Y a homeomorphism, then for
any 9 : Y --+ Y the map h- 1 0 go h : X --+ X has a fixed point xo, so
go h(xo) = h(xo) and h(xo) is a fixed point for g .
EXAMPLE. The graph of any continuous f : [a, b] --+ R , for example, the
graph of
f ( x) = { x sin ( 1/ x ) , 0 < x 1, :s
0, x = 0,
being homeomorphic to [a, b], is a fixed point space.
If X is not a fixed point space, it may still be true that every map having
some well-defined general property will have a fixed point. To formalize this
notion, we enlarge the scope of Definition (1.2):
(1.3) DEFINITION. Let X be a space and M a class of maps f : X --+ X.
If each f E M has a fixed point, then X is called a fixed point space
relative to M.
For example, the Banach contraction principle asserts that: Every complete
metric space is a fixed point space for contractive maps.
The notion introduced is particularly important when M is taken as the
class of compact maps, i.e., those maps f : X --+ X such that the closure
f(X) of f(X) is compact; maps of this type arise naturally in many problems
of nonlinear analysis.
EXAMPLES. (i) We have seen that R is not a fixed point space. However, R
is, in fact, a fixed point space relative to the class of compact maps. For let
f : R --+ R be compact; then f(R) is contained in some finite interval [a , b] ;
in particular, f maps [a, b] into itself, so has a fixed point.
§o. Introduction 3
(ii) The Schauder fixed point theorem, which has numerous applications
in analysis, asserts that: Every convex set in a normed linear space is a fixed
point space for compact maps.
Because the continuous image of a compact set is compact, the same
argument as before shows that being a fixed point space relative to the class
of compact maps is a topologically invariant property. Thus, for example,
any open (a, b) c R , as well as the graph of sin(l/x), 0 < x :S 1, is a fixed
point space for compact maps.
2. Forming New Fixed Point Spaces From Old

In general, a subspace of a fixed point space need not be a fixed point space:
for example, {a , b} C [a , b] does not have the fixed point property. However,
certain subs paces do, in fact, always inherit this property. To describe these
subspaces, we need
(2.1) DEFINITION. A subset A C X is called a retract of X if there is a
continuous r : X ---+ A such that r(a) = a for each a E A; the map r
is then called a retraction of X onto A.
We note that a retract of a Hausdorff space is necessarily closed, since A =
{x I r(x) = id(x)}.
For example, if E is a normed space and Kg = {x E E Illxll :S g} is the
closed ball in E with center 0 and radius (!, then r : E ---+ Kg given by
for Ily ll :S
~Y/IIYII
{! ,
r(y) = { for Ilyll > {!,
defines a retraction (called the standard retraction) of E onto Kg.

The importance of this concept in fixed point theory stems from
(2.2) THEOREM. If X is a fixed point space (respectively a fixed point space
for compact maps), so also is every retract of X.
PROOF. Let r : X ---+ A be the retraction, and i : A ---+ X be the inclusion; we
have r 0 i = idA. Consider any f : A ---+ A; then i 0 for: X ---+ X has a fixed
point, Xo. From Xo = i 0 f 0 r(xo) follows r(xo) = r 0 i 0 f 0 r(xo) = J[r(xo)]
and r(xo) is a fixed point for f. The proof of the second part of the theorem
is similar. 0
On the other hand, if X has a retract that is a fixed point space, it does
not follow that X itself is one, since anyone-point subspace {a} is a retract
of any space.
We further illustrate the retraction technique by deriving from the Schau-
der fixed point theorem two basic results that have many consequences and
applications.
4 §O. Introduction
(2.3) THEOREM (Nonlinear alternative). Let E be a normed linear space

and K{! the closed ball in E with center 0 and radius (). Then each
compact map F : K{! -+ E has at least one of the following two
properties:
(a) F has a fixed point,
(b) there exist x E aK{! and>' E (0,1) such that x = >.F(x).
PROOF. Let r : E -+ K{! be the standard retraction. By the Schauder
theorem the compact composite r 0 F : K {! -+ K (! has a fixed point x =
rF(x). If F(x) is in K{!, then x = rF(x) = F(x), so F has a fixed point; if
F(x) does not belong to Kg, then by (*), x = rF(x) = (}F(x)/IIF(x)ll, so
x E aKg , and taking>. = (}/IIF(x)11 < 1 completes the proof. 0
As an obvious immediate consequence of (2.3) we obtain:
(2.4) THEOREM (Leray- Schauder alternative). Let F : E -+ E be a com-
pletely continuous operator (i. e., a map that restricted to any bounded
set in E is compact). Let
£(F) = {x EEl x = >.F(x) for some 0 < >. < I}.
Then either the set £ (F) is unbounded, or F has at least one fixed
point. 0
To conclude we briefly mention one other way of forming new fixed point
spaces. For Cartesian products, the result depends on the number of factors.
The Cartesian product of two compact fixed point spaces need not be a fixed
point space; however, an infinite Cartesian product of compact fixed point
spaces will be a fixed point space if and only if every finite product of those
spaces is a fixed point space. Thus, by Brouwer's theorem, the Hilbert cube
[00, and in fact any Tychonoff cube ["N, are fixed point spaces.
3. Topological Transversality
Sometimes, a map f of Y, or of a subset X of Y, into Y will have a fixed point
because of its behavior on some particular subset. Indeed, many existence
theorems of analysis are of this type. For example, consider an open set U
in a normed linear space E and an operator D : U -+ E such that Du =I 0
on aU; does the equation Du = 0 have a solution in U? In terms of maps,
we are given a map f (u) = u - Du that is fixed point free on aU, and seek
to determine, from its behavior on aU, whether or not it has a fixed point
in U.
Putting this now in a more abstract setting, we shall confine our attention
to compact maps. Let Y be an arbitrary space; by a pair (X, A) in Y is
meant a closed subset X of Y and an A c X closed in X. By XA(X, Y)
§o. Introduction 5
we denote the set of all compact maps f :X --+ Y such that the restriction
flA: A --+ Y is fixed point free.
(3.1) DEFINITION . Let (X , A) be a pair in Y. A map 9 E Je'A(X, Y) is

called essential if every g* E Je'A (X, Y) such that g* IA = glA has a
fixed point. A map that is not essential is called inessential.
In geometric terms, a compact map 9 : X --+ Y is essential if the graph

of glA does not meet the diagonal .L\ c X x Y, but the graph of every
compact g* : X --+ Y that coincides with 9 on A must cross (i.e. traverse)
the diagonal.
EXAMPLES. (i) Let X = [a, b] c R = Y and A = [a, b]. A map 9 : X --+ R

is essential if and only if [a - g(a)][b - g(b)] < O.
(ii) Let Y be a fixed point space for compact maps, U an open subset
of Y, and (U, aU) the pair consisting of the closure of U in Y and the
boundary of U in Y. Then for any Uo E U , the constant map 9 IU = Uo is
essential. Indeed, let g* : U --+ Y be a compact extension of the map glaU
over U. To show that g* has a fixed point, we extend g* to a compact map
g: Y --+ Y by setting gl(Y - U) = uo. By assumption, 9 must have a fixed
point; and since no point in Y - U is fixed, that point x = g(x) must be
in U, and hence x = g*(x).
The concept of an essential map is closely related to the notion of a

continuous deformation. To formulate this in a precise way, we need the
notion of homotopy.
Let (X, A) be a pair in Y. By a homotopy is meant a parametrized
family {h t : X --+ Y} of maps indexed by t E l = [0, 1] such that the
map h : X x I --+ Y given by h(x, t) = ht(x) is continuous. We say that a
homotopy h t : X --+ Y is compact if the map h : X x I --+ Y is compact;
a compact homotopy h t : X --+ Y is said to be admissible (for the pair
(X,A)) if it is fixed point free on A c X, i.e., if for each tEl, the map
ht IA : A --+ Y has no fixed point.
(3.2) DEFINITION. Two maps f, 9 E Je'A (X, Y) are called admissibly ho-
motopic, written f ~ 9 in Je'A(X , Y), if there is an admissible com-
pact homotopy h t : X --+ Y (0 ~ t ~ 1) such that ho = f and
hI = g. Clearly, the relation "~" of admissible homotopy divides the
set Je'A(X, Y) into disjoint equivalence classes.
(3.3) THEOREM. Let Y be a completely regular space, (X, A) a pair in Y,

and let f, g E Je'A (X , Y) be admissibly homotopic. If the map g is
essential, then Fix(f) 1= 0.
6 §O. Introduction
PROOF. Suppose Fix(f) = 0. Let h : X x I -----t Y be an admissible compact

homotopy such that h(x, 0) = f(x) and h(x, 1) = g(x) for all x E X.
Let B = {x E X I x = h(x, t) for some t E I}. There is no loss of
generality in assuming that B is nonempty; then B is a closed subset of the
compact set h(X x I), so it is compact in X. Clearly, An B = 0, because
h is admissible; consequently, because X is completely regular, there is an
Urysohn function A : X -----t I with AlA = 0 and AlB = 1.
Define g*(x) = h(x,l - A(X)) for x E X. Clearly, g*IA = glA and
g* is compact; since 9 is essential, g* has a fixed point; but if g*(x) =
h(x,l - A(X)) = x, then x E B so A(X) = 1 and x = h(x,O) = f(x), which
contradicts the assumption that Fix(f) = 0. 0
We can now formulate a general result of the Leray-Schauder type:
(3.4) THEOREM (Leray- Schauder principle). Let Y be a completely regular
fixed point space for compact maps, U open in Y, and (U, aU) the
pair consisting of the closure of U in Y and the boundary of U in Y.
Let {h t : U -----t Y} be an admissible compact homotopy such that
ho = f and hI = g, where 9 is the constant map sending U to a point
Uo E U. Then f has a fixed point in U.
PROOF. Because {hd is admissible, f has a fixed point by Theorem (3.3)
and Example (ii). 0
We remark that Theorem (2.3) follows at once from (3.4).
4. Factorization Technique
In this section we describe the factorization technique, which can be used
to establish that a given space is a fixed point space. First we indicate some
special properties of individual maps that will ensure the existence of fixed
points.
The following simple general result is of importance:
(4.1) LEMMA. Let Q : K -----t X and (3 : X -----t K be two maps. Then
f = (3Q : K -----t K has a fixed point if and only if F = Q(3 : X -----t X
has a fixed point. In other words, given the commutative diagrams
we have: Fix(f) -10 {:} Fix(F) -10.

PROOF. From Xo = (3Q(xo) it follows that Q(xo) = Q(3[Q(xo)]. o
§O. Introduction 7
For a subset A of a fixed point space K that is not a retract of that

space, this leads to the conclusion that a map f : A --t A will have a fixed
point simply if it is extendable to a map f* : K --t A. We recall that given
A eX, a map f : A --t Y is extendable over X if there is an f* : X --t Y
with f*IA = f·
(4.2) PROPOSITION. Let K be a fixed point space and A C K. If f : A --t A
is extendable to f* : K --t A, then f has a fixed point.
PROOF. Letting i : A <-+ X be the inclusion, we have f = f*i ; since if* = f*

has a fixed point, so also does f . 0
More generally, if K is not a fixed point space, the existence of a fixed

point for f : K --t K can sometimes be determined by factorization of the
map:
(4.3) LEMMA. Suppose that a map f : K --t K factors through a fixed

point space X , i. e., there are maps a and f3 making the diagram
commutative. Then f has a fixed point.
PROOF. This is an obvious consequence of (4.1). o

(4.4) THEOREM. Let (K , d) be a compact metric space. Assume that for
each n = 1,2, ... , there is a fixed point space Zn and maps an :
K --t Zn and f3n : Zn --t K such that d(x , f3nan(x)) :s: lin for all x.
Then K is a fixed point space.
PROOF . Let f : K --t K be given. For each n, there is a Zn E Zn with

a n ff3n(zn) = Zn; letting Xn = f3nzn we find that f3nanf(x) = Xn and, by our
hypothesis, d(f(xn), Xn) :s: lin. We can assume xn --t Xa; then fXn --t Xo;
but by continuity of f also fXn --t fxo, so that fxo = Xo and f has a fixed
point. 0
EXAMPLES. (i) Consider the space Z = {(x,y) I y = sin(llx), 0 < x :s: 1}

U {(O, y) I -1 :s: y :s: 1}. By projecting Z onto the portion of the sine curve
on the intervals 1In :s: x :s: 1, application of (4.4) shows that Z is a fixed
point space.
(ii) Consider the Hibert cube
T XJ = {x = (Xl, X2,"') Ilxil :s: 1/2i for all i}

8 §O. Introduction
and its subspaces [n, where

[n = {x = {Xi} E [00 I Xi = 0 for all i ::::: n + I}.
Projecting [00 onto the subspaces [n and using the Brouwer fixed point
theorem, one finds that [00 is a fixed point space. A similar technique can
be used for the proof of the Schauder fixed point theorem.
The factorization method is very effective whenever X has a sufficient
structure. To illustrate this, recall that X is an absolute retract, written X
is an AR, if X is metrizable and given any metric space Y and B = BeY,
any fa : B --7 X extends over Y to a map f : Y --7 X.
(4.5) THEOREM. Let K be a compact metric space, and let f : K --7 K be
a f3
a map. Assume that f can be factored as K ---+ X ---+ K, where X
is an AR. Then f has a fixed point.
PROOF . Consider the diagram
I:'
j ) ~
~~
'i;(b
X~K
in which [00 is the Hilbert cube and s : K --7 R is a homeomorphism of
K onto R c [00 with inverse S-l : R --7 K. Since X is an AR, there is an
extension <p : [00 --7 X of the map as - I: R --7 X over [00, i.e., <pj = as-I,
where j : R"--t [00 is the inclusion. Consider now the composite
K ~ [00 !!£... K.
We have (!3<p)(js) = !3[<pj]s = !3[as- 1]s =!3a = f. Thus, f factors through
the Hilbert cube [00 and consequently has a fixed point. 0
As an immediate consequence, we have
(4.6) THEOREM. Let X be an AR, and let f : X --7 X be a compact map.
Then f has a fixed point. 0
Because every convex set in a normed linear space is an AR, the last result
is a generalization of the Schauder fixed point theorem.
I.
Elementary Fixed
Point Theorems
In this chapter we provide an introduction to those topics of fixed point

theory that for the most part involve only the notions of completeness, order,
and convexity . In spite of their elementary character, the results given here
have a number of significant applications. Some of these are presented at
the end of the chapter.
§ 1. Results Based on Completeness
The fixed point theorems presented in this paragraph are all related to the
Banach contraction principle, which asserts that every complete metric space
is a fixed point space for the class of contractive mappings.
1. Banach Contraction Principle
The Banach contraction principle is the simplest and one of the most ver-
satile elementary results in fixed point theory. Being based on an iteration
process, it can be implemented on a computer to find the fixed point of a
contractive map: it produces approximations of any required accuracy, and
moreover, even the number of iterations needed to get a specified accuracy
can be determined.
A map F : (X, d) --t (Y, g) of metric spaces that satisfies g(F(x), F(z)) s:
Md(x, z) for some fixed constant M and all x, z E X is called Lipschitzian;
the smallest such M is called the Lipschitz constant L(F) of F. If L(F) < 1,
s:
the map F is called contractive with contraction constant L(P); if L(P) 1,
the map P is said to be nonexpansive . Note that a Lipschitzian map is
necessarily continuous.
Let Y be any set and F : Y --t Y a map of Y into itself. For any given
y E Y , define pn(y) inductively by pO(y) = Y and Fn+l(y) = F(pn(y)); we
10 1. Elementary Fixed Point Theorems
call Fn(y) the nth iterate of y under F, and the set {Fn(y) In = 0,1, ... }
is the orbit of y under F.
(1.1) THEOREM (Banach contraction principle). Let (Y, d) be a complete

metric space and F : Y -----t Y be contractive. Then F has a unique
fixed point u, and Fn (y) -----t u for each y E Y.
PROOF. Let a < 1 be the contraction constant for F. There is at most
one fixed point: for if F(xo) = Xo and F(yo) = Yo, then Xo i= Yo gives the
contradiction
d(xo, Yo) = d(F(xo), F(yo)) ::::; ad(xo, Yo) < d(xo, Yo).
To prove existence, we shall show that for any given y E Y, the se-
quence {Fny} of iterates converges to a fixed point. For this purpose, observe
first that d(Fy, F2y) ::::; ad(y, Fy) and, by induction, that d(Fny, Fn+ly) ::::;
and(y, Fy) . Thus, for any n and any p > 0, we have
n+p-l
d(Fny, Fn+Py)::::; L d(Fiy, Fi+ly)
i=n
an
::::; (an + ... + a n+p- 1 )d(y , Fy) ::::; -1-d(y, Fy);
-a
since a < 1, so that an -----t 0, this shows that {Fny} is a Cauchy sequence
and, because d is complete, that Fny -----t u for some u E Y. By continuity
of F, we must have F(Fny) -----t Fu; but {Fn+ly} is a subsequence of {Fny},
so Fu = u and u is a fixed point for F. We have therefore shown that for
each y E Y, the limit of the sequence {Fny} exists and is a fixed point; since
F has at most one fixed point, every sequence {Fny} converges to the same
point. 0
Observe that from
an
d(Fny, Fn+Py) ::::; 1 _ a d(y, Fy) for every p > 0,
we find
the error of the nth iteration when starting from a given y E Y is there-
fore completely determined by the contraction constant a and the initial
displacement d(y, Fy).
The Banach principle has a useful local version that involves an open
ball B in a complete metric space Y and a contractive map of B into Y
which does not displace the center of the ball too far:
§l. Results Based on Completeness 11
(1.2) COROLLARY. Let (Y, d) be complete and B = B(yo, r) = {y I d(y, Yo)

< r}. Let F : B --t Y be a contractive map with constant 0: < 1. If
d(F(yo), Yo) < (1 - o:)r, then F has a fixed point.
PROOF. Choose c < r so that d(Fyo, Yo) ::; (1 - o:)c < (1 - o:)r. We show
that F maps the closed ball K = {y I d(y, Yo) ::; c} into itself: for if y E K,
then
d(Fy, Yo) ::; d(Fy, Fyo) + d(Fyo, Yo) ::; o:d(y, Yo) + (1 - o:)c ::; c.
Since K is complete, the conclusion follows from Banach's principle. D
2. Elementary Domain Invariance

In most applications, the complete metric space Y will be a Banach space;
because of this richer structure, the Banach theorem leads to a result espe-
cially useful in applications.
Let X be a subset of a Banach space E. Given a map F : X --t E, the
map x f--+ x - F(x) of X into E is called the field associated with F, and is
denoted by the corresponding lowercase letter: f(x) = x - F(x). The field
f : X --t E determined by a contractive F : X --t E is called a contractive
field .
(2 .1) THEOREM (Invariance of domain for contractive fields). Let E be
a Banach space, U C E open , and F : U --t E contractive with
contraction constant 0: < 1. Let f : U --t E be the associated field,
f(x) = x - F(x). Then:
(a) f: U --t E is an open mapping; in particular, f(U) is open in E,
(b) f: U --t f(U) is a homeomorphism.
PROOF. To show that f is an open mapping, it is enough to establish that

for any u E U, if B(u,r) c U, then B[j(u), (1- o:)r] C j[B(u,r)]. For this
purpose, choose any Yo E B[j(u) , (1 - o:)r] and define G : B(u, r) --t E by
G(y) = Yo + F(y) ; then G is contractive with constant 0: = L(F) < 1 and
IIG(u) - ull = Ilyo + F(u) - ull = Ilyo - f(u)11 < (1 - o:)r,
so by (1.2), there is a Uo E B(u, r) with Uo = Yo+F(uo), that is, f(uo) = Yo.
Thus, B[f(u), (1- o:)r] C f[B(u, r)] so f : U --t E is an open mapping, and
in particular, f(U) is open in E. To prove (b) , we observe that if u , v E U,
then
Ilf(u) - f(v)11 2:: Ilu - vii -IIF(u) - F(v)11 2:: (1 - o:)llu - vii,
so that f is injective; since f : U --t f(U) is a continuous open bijection, it
is therefore a homeomorphism. D
(2.2) COROLLARY. Let E be a Banach space and F : E -+ E be contractive.

Then the corresponding field f = I - F is a homeomorphism of E
onto itself.
PROOF. By (2.1) we need to show only that f(E) = E. Given Yo E E,
define G :E -+ E by x f-> Yo + F(x); G is contractive, so it has a fixed point
Xo = Yo + F(xo), that is, Yo = f(xo). 0
3. Continuation Method for Contractive Maps

Let (Y, d) be a complete metric space, and X a closed subset in Y with
non empty interior U and boundary A = ax. By 'i&'(X, Y) we denote the set
of all contractive maps from X to Y.
For a contractive map F from X to Y, we are concerned with the ex-
istence of solutions of the equation x = F(x). One method of determining
whether or not such an equation has a solution starts by embedding F in
a parametrized family {Nd of maps "joining" F to a simpler map G and
then attempts to reduce the problem to that of the equation x = G(x). In
geometric terms, one "deforms" the graph of F to that of G and seeks to
conclude from the nature of the deformation that if the graph of G intersects
the diagonal Ll c X x Y c Y x Y, then the graph of F must also do so.
Our main result of this section gives conditions under which such a con-
clusion is valid. Let (A, Q) be a "parameter" space with a metric Q. In our
discussion, some special families {H>.. I A E A} of maps in '1&"( X, Y), depend-
ing on a parameter A E A, will be needed:
(3.1) DEFINITION. A family {H>.. I A E A} of maps in '1&"(X, Y) is called
a-contractive, where 0 :S a < 1, provided for some M > 0 and some
o < x :S 1, we have
(*) d[H>..(xd,H>..(X2)] :S ad(xl,x2) for all A E A and Xl , X2 EX,
(**) d[H>..(x),HJl(x)]:S M[Q(A,It)]'" for all x E X and A,1t EA.
Observe that:
(i) if {H>..} is a-contractive, then the map H : A x X -+ Y given by
(A, x) f-> H(A, x) = H>..(x) is continuous;
(ii) the map H determines the family {H>..} and vice versa;
(iii) for any parameter A E A, the fixed point set Fix(H>..) is either empty
or consists of exactly one fixed point denoted by x>..;
(iv) given x>.. = H>..(x>..) and xJl = HJ.L(xJl) , and using (*) and (**), we
get
d(x>.., xJl) :S d[H>.. (x>..) , HJl(x>..)] + d[HJl(x>..) , HJl(xJl)]
:S M[Q(A, It)]'" + ad(x>.., xJl)
and therefore
Let ~A(X, Y) be the set of all maps F in ~(X, Y) such that the restric-
tion FIA : A - Y is fixed point free on the boundary A of X. We are now
ready to formulate the main result:
(3.2) THEOREM (Elementary implicit function theorem). Let A be con-
nected, and let {HA I A E A} be an a-contractive family in ~A(X, Y).
Then:
(i) if the equation HA(x) = x has a solution for some A E A, then it
has a unique solution X A for each A E A,
(ii) if X A = HA(X A) for A E A, then the map A 1---+ X A from A to U is
Holder continuous.
PROOF. (i) Consider the nonempty (by assumption) set
Q = {A E A I XA = HA(X A) for some XA E U}
and observe that:
(a) Q is closed in A: Indeed, let {An} be a sequence in Q such that
An - AO; for XAn = HAn (XAJ and XAm = HAm(X Am ), using (***), we get
d(xAn,xAm)::; 1 ~ a[Q(An,Am)]X,
showing that {x An} is a Cauchy sequence. By completeness of d, x An - Xo
for some Xo in X, and hence, by continuity of H, XAn = HAn (X An ) -
HAO(xo); this gives Xo = HAo(xo), and thus we conclude that AO is in Q.
(b) Q is open in A: Letting AO be in Q with x AO = H AO (x AO)' we fix an
open ball B(xAO,r) = {x E X I d(x,x Ao ) < r} ~ U, and choose E > so
that EX::; (1- a)r/M, where the constants M and x come from (**). Now,
°
if A is any point of the open ball B(Ao,E) = {A E A I Q(AO,A) < C}, then
d[HA (x AO ), x AO ] = d[HA (x'\o), HAO (x.\Q)] ::; M[Q(A, AO)]X < (1 - a)r.
Because, by (1.2), any such HA has a fixed point, we infer that B(AO, E) C Q
and, consequently, AO E Int(Q).
Because Q is nonempty, the connectedness of the parameter space A, in
view of (a) and (b), implies that Q = A; thus the proof of (i) is complete.
As for (ii), it follows at once from (i) and (***). 0
4. Nonlinear Alternative for Contractive Maps

For applications, we now assume that our metric space Y is a closed convex
subset C of a Banach space E and our parameter space A is [0,1]. Because
of this richer structure we are now able to derive the desired result:
(4.1) THEOREM (Nonlinear alternative). Let U be a (relatively) open subset

of C with 0 E U. Then any bounded contractive map F : U -+ C has
at least one of the following properties:
(i) F has a unique fixed point,
(ii) there exist Yo E aU and>' E (0, 1) such that Yo = >'F (Yo) .
PROOF. For (>., x) E [0, 1] x U we let H>.(x) = >.F(x). It is easily seen that
{H>. I>' E [0, I]} is an a-contractive family in 'if(U, C) with x = 1. Assume
first that {H>.} is fixed point free on the boundary aU. In this case, since
Ho(O) = 0, we conclude, by Theorem (3.2), that HI = F also has a fixed
point in U. If {H>.} is not in 'ifau(U, C), then >'F must have a fixed point
on the boundary aU for some>. E [0,1]; clearly>. i- 0 (because 0 E U) and
therefore: either F has a fixed point on aU, or property (ii) holds. 0
Several fixed point theorems for contractive maps are obtained from (4.1)
by imposing conditions that prevent occurrence of the second possibility:
(4.2) COROLLARY. Let U be a (relatively) open subset of C with 0 E U,
and let I I be any norm in the Banach space E in which the convex
set C is contained. Assume F : U -+ C is a bounded contractive map
such that for all x E aU one of the following conditions is satisfied:
(i) IF(x)l::; Ixl,
(ii) IF(x)l::; Ix - F(x)l,
(iii) IF(x)1 2 ::; Ixl 2 + Ix - F(x)f,
(iv) (F(x), x) ::; (x , x), where ( , ) is a scalar product in E.
Then F has a unique fixed point.
PROOF. As an illustration, we prove the assertion under the hypothesis (iii).
If F had no fixed point, there would be a z E aU with z = >'F(z ) for some
0<>' < 1 ; in particular F(z) i- O. Because of (iii), we would have
IF(z)12 ::; I>'F(z)l2 + I>.F(z) - F(z)1 2
and therefore
1 ::; >.2 + (>. _ 1)2;
but this is a contradiction, because >.2 + (1 - >.)2 < >. + (1- >.) = 1 for every
0<'\<1. 0
The next result represents an elementary version of the antipodal theo-
rem of Borsuk.
(4.3) COROLLARY (Antipodal theorem). Let U be an open subset of a
Banach space (E, II II) , symmetric with respect to the origin and with
o E U, and let F : U -+ E be a contractive bounded map such that
F(x) = -F( -x) for all x E aU . Then F has a unique fixed point.
§1. Results Based on Completeness 15
PROOF. Because U is symmetric with respect to 0 and P is contractive and

odd on aU, it follows at once that IIP(x)11 ::; Ilxll for any x E aU. Thus our
assertion follows from (4.2)(i). 0
5. Extensions of the Banach Theorem

There are various generalizations of the Banach theorem in arbitrary com-
plete metric spaces where the contractive nature of the map is weakened.
Many such results rely on a general principle involving the images of balls
when their centers are not moved too much:
(5.1) THEOREM. Let (X, d) be a complete metric space and P : X -t X a
map, not necessarily continuous. Assume
(*) for each E > 0 there is a 6(E) > 0 such that if d(x, Px) < 6, then
P[B(x, E)] c B(X,E).
Then, if d(Fnu, pn+lu) - t 0 for some u E X, the sequence {pnu}
converges to a fixed point for F.
PROOF. Write pnu = un; we first show {un} is a Cauchy sequence. Given
E > 0, choose N so large that d(un,un+d < 6(E) for all n ?: N; since
d(UN , FuN) < 6, we have F[B(UN,E)] C B(UN,E) so FUN = UN+l E
B(UN,E) and, by induction, FkuN = UN+k E B(UN,E) for all k?: O. Thus,
d(Uk,U s ) < 2E for all s,k?: N and {un} is a Cauchy sequence, therefore it
converges to some z EX. To show z is a fixed point for F, we argue by con-
tradiction: if d(z, Fz) = a > 0, we could choose a Un E B(z, a/3) such that
d(un,un+d < 6(a/3); we would then have P[B(u n ,a/3)] C B(un ,a/3) by
hypothesis, so Fz E B( Un, a/3); but this is impossible because d(Pz, un) ?:
d(Fz,z) - d(un,z)?: 2a/3 so Fz rf- B(u n ,a/3). Thus, d(z,Pz) = O. 0
To illustrate some of the techniques used in applying (5.1), we derive
two generalizations of the Banach principle.
(5.2) THEOREM. Let (X, d) be complete, and let P : X -t X be a map
satisfying
d(Px, Py) ::; cp[d(x, y)],
where cp : R+ - t R+ is any nondecreasing (not necessarily continu-
ous) function such that cpn(t) - t 0 for each fixed t > O. Then P has
a unique fixed point u, and pnx - t U for each x EX.
PROOF. Observe that cp(t) < t for each t > 0; for if t ::; cp(t) for some t > 0,
then monotonicity gives cp(t) ::; cp[cp(t)] and, by induction, t ::; cpn(t) for all
n > O. With this observation, we begin the proof. The hypothesis shows
d(Fnx, Fn+lx) ::; cpn[d(x, Fx)], so d(Fnx, Fn+lx) - t 0 for each x EX. Now
16 I. Elementary Fixed Point Theorems
°
let c > be given, and choose 6"(c) = c - cp(c); if d(x, Fx) < 6"(c) , then for
any z E B(x, c) we have
d(Fz, x) ~ d(Fz, Fx) + d(Fx, x) < cp[d(z, x)] + 6" :S cp(c) + c - cp(c) =c
so Fz E B(x,c). Thus (5.1) ensures that F has a fixed point , and the
remainder of the proof is obvious. 0
Situations arise in approximation theory where a map is known to be
contractive, with contraction constant depending on the distance between
the points considered. This prompts the following weakened version of the
Banach theorem.
(5 .3) THEOREM. Let (X, d) be complete and F : X -> X be a map satisfy-
ing
d(Fx, Fy) :S a(x, y)d(x, y),
where a : X x X -> R+ has the property: for any closed interval
[a , b] C R+ - {O},
sup{a(x,y) I a:S d(x,y):S b} = '$a, b) < 1.
Then F has a unique fixed point u, and Fn x -> U for each x EX.
°
PROOF. The case '\(a, a) -> 1 as a ---4 in this version does not follow from
(5.2), so we give a direct proof of this theorem. For each x EX, the sequence
{d(Fnx , Fn+lx)} is nonincreasing, therefore convergent to some a ~ 0. We
must have a = 0: otherwise, d(Fnx, Fn+lx) E [a, a + 1] for all large n; we
could then choose such an n and use c = ,\( a, a + 1) to get, by induction,
a ~ d(Fn+kx, Fn+l+kx) :S ckd(Fnx , Fn+lx) :S ck(a + 1)
for all k > 0, which, because c < 1, is a contradiction.
Now, let c > 0, let ,\ = '\(c/2, c) and choose 6" = min[c/2, c(1 - '$]. Let
d(x,Fx) < 6" and z E B(x,c); then d(Fz,x):S d(Fz , Fx)+d(Fx,x) and we
consider two cases:
(a) d(z, x) < c/2: then
d(Fz, x) :S d(z , x) + d(Fx, x) < c/2 + c/2 = c;
(b) c/2 :S d(z, x) < c: then
d(Fz, x) :S a(z, x)d(z, x) + d(Fx, x) < '\c + (1 - '\)c = c.
Thus, F[B(x, c)] c B(x, c), and (5 .1) ensures that F has a fixed point. The
remainder of the proof is left for the reader. 0
There is another way of extending the Banach theorem that does not
rely on comparing d(Fx, Fy) with d(x, y), but concentrates instead on the
behavior of d(x, Fx) . Several such generalizations are based on the follow-
ing general principle involving minimizing sequences for suitable real-valued
functions:
(5.4) THEOREM. Let (X, d) be complete and 'P : X ---+ R+ an arbitrary

(not necessarily continuous) nonnegative function. Assume that
(**) inf{'P(x) + 'P(y) I d(x , y) 2:: a} = p,(a) >0 for all a> O.
Then each sequence {x n } in X for which 'P( x n ) ---+ 0 converges to one
and the same point u EX.
PROOF . Let An = {x I 'P(x) :S 'P(x n )}; these sets are nonempty, and any
finite family has a nonempty intersection. We show 5(An) ---+ 0: given any
c > 0, choose N so large that 'P(x n ) < ~p,(c) for all n 2:: N; then for
any n 2:: Nand X,y E An we have 'P(x) + 'P(y) < p,(c); therefore, (**) gives
d(x , y) < c, so 5(An) :S c. Thus, 5(An) ---+ 0; because 5(An) = 5(An) ---+ 0, we
conclude from Cantor's theorem that there is a unique U E nn
An and, since
Xn E An for each n, that Xn ---+ u. For any other sequence {Yn} satisfying
'P(Yn) ---+ 0 we get 'P(x n ) +'P(Yn) ---+ 0, so, from (**) as before, d(xn,Yn) ---+ 0
and therefore Yn ---+ U also. 0
The following fixed point theorem is an obvious consequence:
(5.5) THEOREM. Let (X, d) be complete and F : X ---+ X continuous.

Assume that the function 'P(x) = d(x,Fx) has the pmperty (**) and
infxEx d(x, Fx) = O. Then F has a unique fixed point.
Observe that the Banach theorem follows from (5.5) ; for if d(Fx , Fy) :S
ad( x, y) with constant a < 1, then the condition (**) is satisfied with 'P (x) =
d(x, Fx) because
(1 - a)d(x, y) :S d(x, y) - d(Fx , Fy) :S d(x, Fx) + d(y, Fy)
and infxEx d(x , Fx) = 0, since we have seen that
d(Fnx, Fn+lx) ---+ 0 for each x E X.
6. Miscellaneous Results and Examples
A. Fixed point theorems in complete metric spaces
(A. I) Let (X, d) be complete and F : X ~ X a map such that FN : X ~ X is contractive

for some N (easy examples show that F itself need not be continuous). Prove: F has a
unique fixed point u, and the sequence of iterates Fnx -; u for each x E X.
[Given any set X and F : X -; X, if FN has a unique fixed point, then so does F.]
(A.2) Let X be a complete metric space , and Fn : X ----> X a sequence of continuous

maps. Assume that each Fn has a fixed point Xn.
(a) Let Fn ----> F uniformly on X . Show: (i) If Xn ----> XO , or if F(xn) -+ Xo , then Xo is a
fixed point for F; (ii) if F is contractive then Xn converges to the unique fixed point of F.
(b) Let Fn -+ F pointwise, with each Fn Lipschitzian, L(Fn) :::; M < 00 for all n.
Prove: (i) F is Lipschitzian with L(F) :::; M ; (ii) if Xn -+ XO , then Xo is a fixed point for
F ; (iii) if M < 1, then {xn} converges to the unique fixed point of F.
(c) The condition L(Fn) :::; M < 1 in (b) (iii) cannot be relaxed to L(Fn) < 1 even if
L(F) < 1. Define Fn : Z2 ----> Z2 by
Fn(Xl, . .. , Xn , .. . ) = (0, . . . ,(1 - 1/ n)xn + lin, 0, . . ).
.
Then L(Fn) < 1 for each nand Ilxnll = 11(0, ... ,1,0, .. .)11 = 1, but Fn converges pointwise
to the function F == O.
(A .3) Let (X , d) be a locally compact complete metric space and F : X -+ X be contrac-
tive. Assume Fn : X -+ X is a sequence of contractive maps converging pointwise to F.
Let Xn (respectively x) be the fixed point of Fn (respectively of F). Show: Xn converges
x
to (Nadler [1968]) .
(A.4) (Parametrized version of the Banach theorem) Let (X , d) be complete, (A , g) be

metric and let {H).. I A E A} be a f amily of contractive maps of X into itself. Assume
H : X x A ----> X is continuous in the second variable and for each A E A , let x).. be the
unique fixed point of H).. . Prove:
(a) If all H).. are a-contractive with 0 < a < 1, then A f-> x).. is continuous.
(b) If X is locally compact , then A f-> X ).. is continuous.
[For (b) , use (A .3) .]
(A.5) Let (X , d) be complete and {an} a sequence of nonnegative numbers with ~~=l an
< 00. Let F : X -+ X be such that d(Fnx, Fny) :::; and(x , y) for all x, y E X . Prove: F
has a unique fixed point u and Fnx ----> u for each x E X (Weissinger [1952]) .
(A.6) Let (X , d) be complete and F : X -+ X be such that for any closed A C X with
b(A) =f. 0, we have b(F(A)) :::; ab(A) , where 0 :::; a < 1. Prove: F has a fixed point
(R. Amann) .
(A.7) Let (X,d) be complete and F: X -+ X be a map satisfying d(Fx, Fy) < d(x , y)
for x =f. y.
(a) Prove: If for some Xo E X, the sequence {Fnxo} has a convergent subsequence,
then F has a unique fixed point .
(b) Prove: If F(X) is compact (i.e., F is a compact map) , then F has a unique fixed
point u and Fnx -+ U for each x E X.
(c) Construct a map F : X ----> X satisfying the inequality above without fixed points
and such that for some XO , YO E X , the sequence d(Fnxo , Fnyo) does not converge to o.
[Consider the map x f-> In(1 + eX) of R into itself.]
(A.8) Let (Y, d) be complete. A map F : Y -+ Y is expanding if d(Fx, Fy) :2': !3d(x, y) for
some!3 > 1 and all x, y E Y . Let F : Y ----> Y be surjective and expanding. Prove:
(a) F is bijective.
(b) F has a unique fixed point u and F - ny ----> u for each y E Y .
(A.9) Let E be a Banach space and F : E -+ E a linear operator such that (I - F)-l
exists.
(a) Let G : E ---+ E be Lipschitzian with 11(1 - F) - IIlL(G) < 1. Show: The map
x Fx + Gx, x E E, has a unique fixed point.
I---->
(b) Let r, A be positive numbers with A < 1, and let K = K(O , r). Assume G :
K(O,r) ---+ E is a Lipschitzian map satisfying IIG(O)II ::; (1 - A)r/lI(1 - F)-III . Show: If
11(1 - F) - I IIL(G) < A, then the map x I----> Fx + Gx, x E K , has a unique fixed point.
(A. 10) Let (X, d) be complete metric and F : X ---+ X be a-contractive with Xo = Fxo.
Show: For each c > 0, there exists a (3 > 0 with a + (3 < 1 such that for any (a + (3)-
contractive map G : X ---+ X , the condition d(Fx , Gx) < (3 for all x E X implies YO =
Gxo E B(xo, c).
(A.l1) Let U be an open bounded set in a Banach space E with 0 E U and F , G :[J ---+ E
be two contractive maps such that FlaU = GlaU . Show: Fix(F) =10 <=} Fix(G) =10.
(A.12) Let U be an open bounded set in a Banach space E such that U = -U, and
V CUbe an open nbd of the origin with V C U. Let F : [J ---+ E be a contractive map
such that:
(i) Fx = -F(-x) for all x E aU ,
(ii) there exists Xo such that x =I Fx + AXO for all x E aV and A ;::: O.
Show: F has a unique fixed point u E [J - V.
(A .13) Let E = A EB B be a Banach space represented as a direct sum of two closed linear
subspaces A and B with linear projections PA : E ---+ A and PB : E ---+ B . Let F : A ---+ E
and G : B ---+ E be two Lipschitzian maps, and let f : A ---+ E and 9 : B ---+ E be given by
a I----> a - F(a) and b I----> b - G(b) respectively. Show: If
IIPAIIL(F) + IIPBIIL(G) < 1,

then the intersection f(A) n g(B) consists of exactly one point.
[Prove that if H : E ---+ E is contractive, then x I----> x + H(x) is a homeomorphism of
E onto itself.]
(A.14) (Discrete Banach theorem) Let Y be a set , and {Rn In = 0,1 , ... } C Y x Y a
sequenee of equivalence relations such that (a) Y x Y = Ro :::) RI :::) ... , (b) n~=o Rn =
the diagonal in Y x Y, and (c) if {Yn} is any sequence in Y such that (Yn,Yn+d ERn
for each n, then there is ayE Y such that (Yn , y) E Rn for each n. Let F: Y ---+ Y be a
map such that whenever (x, y) ERn, then (Fx, Fy) E Rn+l . Prove: F has a unique fixed
point u, and (Fny, u) E Rn for each n and each Y E Y (S. Eilenberg) .
B. Extensions of the Banach theorem
(B. 1) A metric space (X, d) is c-chainable if for each pair x, Y E X there are finitely many
:s:
points x = Xo, xl, . ·., xn, Xn+l = Y such that d(Xi, Xi+l) < c for all 0 ::; i n. Let (X , d)
be complete, and let F : X ---+ X be a map. Assume that there is an c > 0 and a 0 ::; k < 1
such that d(Fx , Fy) ::; kd(x, y) whenever d(x, y) < c. Prove: If (X , d) is c-chainable, then
F has a unique fixed point (M. Edelstein) .
(B .2) Let (X, d) be complete and F : X ---+ X a map satisfying d(Fx, Fy) ::; <p[d(x, y)] for
all x, y EX, where 0, (iii) 0.]
(B .3) Let (X , d) be complete and P: X ---> X continuous. Assume that

d(Px, Fy) ::; k max[d(x, y) , d(x , Fx), dey, Fy), d(x, Py), dey , Px)]
for some k E [0,1) and all x , y E X. Prove: F has a unique fixed point u and Fnx ....... u
for each x E X (L. B. Ciric).
[Use diam(orbitpnx)::; kdiam(orbitpn-1x).]
(B.4) Let (X, d) be complete and P : X ....... X continuous. Assume that for each 10 > 0
and each pair x, y EX, there is an n = n(x, y , E) such that d(Fnx, pny) < E. Prove: If
the function <p(x) = d(x, Px) has the property (**) of (5.4) , then F has a fixed point
(D . F. Bailey) .
(B.5) Let (X , d) be complete and P : X ....... X continuous. Assume that there exists an
integer nand 0 ::; k < 1 such that
d(Px, Fy) ::; k[d(x, pnz) + dey, pn z)]
for all x, y , z E X . Prove: P has a unique fixed point (F. Pittnauer) .
(B .6) Let (X, d) be an arbitrary metric space, and let A c X be compact . Let 0

for each a > O. Prove: Each sequence {Xn} in X for which <p(Xn) ....... 0 contains a subse-
quence converging to some point of A.
(B.7) Let (X, d) be an arbitrary metric space and P : X ....... X a map satisfying d(Px , Fy)
< d(x,y) whenever x i= y . Assume that for some z E X, the sequence {pnz} has a
subsequence converging to a point u . Prove: u is a fixed point for P.
[Use (B.6) with <p(x) = d(x , Px) - d(Px, p2x) + d(x, u) .]
(B .8) If (X, d) is a metric space and P : X ....... X is a map, we denote the diameter of the
orbit {pnx I n = 0, 1, .. . } of x E X by o(x) . The map P is said to have shrinking orbits
if for each x with o(x) > 0, there is an n with o(pnx) < o(x) .
Let (X , d) be a bounded metric space, and P : X ....... X a map satisfying d(Px, Py) ::;
d(x , y) for all X, y E X . Assume that for some z E X , the sequence {pnz} has a subse-
quence converging to a point u. Prove: If P has shrinking orbits, then u is a fixed point
for P.
[Show that x t--t o(x) is continuous on X , then apply (B.6) using <p(x) = o(x) -
o(PSx) + d(x,u) for each s;::: 1.]
(B .9) Let (X , d) be a metric space and P : X ....... X continuous. Assume that for
some z E X, the orbit {pnz} contains a convergent subsequence {pni z}. Prove: If
d(pn i z ,pl+ni z) ....... 0, then P has a fixed point .
[Use (B.6) with <p(x) = d(x , u) + d(Px, u), where u = lim pni (x) .]
(B.lO) Let (X, d) be a metric space and P : X ....... X continuous. Assume that there is a
continuous nonnegative real-valued function V : X x X ....... R+ with V - I (0) contained in
the graph of P , and such that inf{V(x,x) I x E X} = O. Show:
(a) If the function <p(x) = Vex , x) has the property in (B.6) relative to some compact
A eX , then P has a fixed point.
(b) If (X,d) is complete and <p(x) = V(x , x) has the property (**) in (5.4), then P
has a fixed point.
C. Some applications of the Banach theorem

(C.1) Let E = (BC 1 (Rn, Rn), 11111) be the Banach space of C 1-bounded functions from
R n into itself equipped with the C 1 norm. Let fEE have a fixed point Xo and assume
that D fxo E '!£(Rn, Rn) does not have eigenvalue one. Show: .For each E > 0 there exists
o > 0 such that every function gEE with Ilf - gill :::; 0 has a unique fixed point xo
satisfying Ilxo - XO II :::; E.
[Use the inverse function theorem in R n and the contraction principle.]
(C.2) (Square TOots in Banach algebras) (a) Let E be a Banach algebra, and let z E E
with Ilzll < 1. Show: There exists a unique x E E such that Ilxll < 1 and x 2 - 2x + z = O.
[Letting E(z) be the subalgebra of E generated by z, d any number satisfying Ilzll <
d < 1, and K = K(O, d) n E(z), prove that the map F : K -> K given by
Fx=~(x2+z), xEK,
is contractive and apply the Banach theorem; use the fact that E(z) is commutative.]
(b) Assume E has a unit e (i.e., ex = xe = x for all x E E). Show: If lie - zll < 1,
then z has a "square root", i.e., there exists a unique element y = e - x with x E E(z),
Ilxll < 1 and y2 = z.
(c) Let X be an arbitrary set and B(X) be an algebra of bounded real functions on X
equipped with the sup norm (the product being pointwise multiplication). Show: If B(X)
is complete and contains the unit function, then: (i) any nonnegative function f E B(X)
has a square root f1/2 E B(X), (ii) if f E B(X), then If I = (12)1/2 E B(X), (iii) if
f, 9 E B(X), then max(l, g) and min(j, g) also belong to B(X).
(d) A subset S of B(X) separates points of X if for every pair (x , y) of distinct points
of X there is a function f E S such that f(x) oJ fey). Show: If S is a subalgebra of B(X)
that separates points of X and contains the constant functions, then for any numbers
Q, (3 E R and any distinct x, y EX, there is agE S such that g(x) = Q and g(y) = (3.
(The above results are due to Bonsall- Stirling [1972] and J. Zemanek [1978].)
(C.3) (Weierstrass-Stone theorem) Let X be a compact space, C(X) be the Banach

algebra of all continuous real-valued functions on X, and E be any subalgebra of C(X)
containing the unit function and separating points of X. Show: E is dense in C(X).
[Fix f E C(X) and E > 0 and proceed (using (C.2)(c), (d) with S = E, B(X) = It) in
three steps:
1. For each x,y E X, find gx,y E It such that gx,y(x) = f(x) and gx,y(Y) = fey).
2. For each y E X choose a nbd U y ofy such that gx,y(z) < f(z)+E for all z E U y. Sup-
posing {Uyj I j = 1, ... , t} cover X, define hx E It as the minimum of the corresponding
{gx,Yj I j = 1, ... , t} and note that hx(x) = f(x) for all x E X and
hx(z) < fez) +E for all z E X.
3. For each x E X choose a nbd Vx of x on which hx(z) > fez) - E; letting {VXi Ii =
1, ... , s} cover X, define h E It as the maximum of the corresponding {h xi Ii = 1, ... , s}
and show II! - hll < E.]
(C.4) (Geometry of fractals) Let (X, d) be a metric space and (CS(X), D) the space of
nonempty closed bounded subsets of X with the Hausdorff metric
D(A, B) = max{ sup dCa, B), sup deb, A)}.

aEA bEB
We denote by K(X) the subspace of CS(X) consisting of the compact subsets of X.

By an iterated lunction system (or briefly an IF-system) we understand a system
((X , d); II,·· ·, fk)

consisting of a complete metric space (X, d) together with ai-contractions fi : X -> X,
i= 1, ... ,k. Given such a system we define F : K(X) -> K(X) by
k
F(A) = U li(A) for A E K(X).
i=l
Show:
(a) F is an a-contraction with a = max{ a1,· .. ,ad.
(b) There exists a unique B E K(X) (called the attractor for the IF-system (*)) such
that B = U7=1 fi(B).
(c) For each x E X , the iterates Fk(x) converge to B in the Hausdorff metric on
K(X).
[Use the fact that (K(X), D) is complete; cf. Kuratowski [1966].]
(The above results are due to Hutchinson [1981].)
(C.5) (Stability 01 attractors) Let (A, (2) be a metric space and
((X, d); 11,>. ,"" Ik ,>.)

be a family of IF-systems depending on a parameter A E A. Assume furthermore that for
any i = 1, ... , k we have:
(a) Ii,>. : X -> X is ai-contractive for all A E A,
(b) A r-> Ii ,>. (x) is continuous for each x EX.
Show: The attractor B>. of the IF-system (*>.) depends continuously on A (cf. Jachymski
[1996]).
(C.6) (Dynamic programming) Let X be an arbitrary set and B(X) the Banach space
of all bounded real-valued functions on X equipped with the sup norm and the natural
partial order relation I ~ g. Let E be a linear subspace of B(X) containing the constant
functions and F : E -> E be a map (not necessarily continuous) satisfying:
(a) I ~ g => F(f) ~ F(g) for all I, gEE ,
(b) there exists a positive constant a < 1 such that for any constant function x r-> C
on X we have
F(f + c) ~ F(f) + ac for all lEE.
Prove: F has a unique fixed point (Blackwell [1965]).
(C.7) (Shadowing property) Let (X, d) be a metric space and f : X -> X. A sequence
{xn}nEZ is called an orbit (respectively a b-orbit , with 15 > 0) for I provided I(xn) = X n +1
(respectively d(f(xn), X n +1) ~ b) for all n E Z . We say that I has the shadowing property
if for each € > 0 we can find a 15 > 0 such that given any b-orbit {Xn} , there exists an
orbit {Yn} such that d(xn , Yn) ~ € for all n E Z.
(a) Let (X, d) be complete and I : X -> X be a-contractive. Show: I has the shad-
owing property.
[Given € > 0, let {Xn} be a b-orbit for I with 15 = €(1 - a). Define (M , (2) by M =
{y = {Yn}nEZ I d(xn, Yn) ~ € for all n E Z}, (2(Y, z) = sup{d(Yn, Zn) I n E Z} and apply
the Banach principle to the map F: M -> M given by Y f-+ {f(Yn-1)}nEZ']
(b) Let E be a Banach space and L E GL(E) a linear isomorphism. We say that L is
hyperbolic provided E = E1 EB E2 and L = L1 EB L2, where Li E GL(Ei ), i = 1,2, with
IIL111 < 1 and IIL2111 < 1. Show: If L E GL(E) is hyperbolic, then L has the shadowing
property.
(The above results are due to Ombach [1993] .)
7. Notes and Comments
Contraction principle and elementary domain invariance

Theorem (1.1) is due to Banach [1922]; it is an abstraction of the classical
method of successive approximations, introduced by Liouville [1837] and
developed systematically for the first time by Picard [1890].
The arguments based on domain invariance and their applications to
analysis were introduced by Schauder. Under some additional (unnecessary)
assumptions Theorem (2.1) appeared in Schauder [1933], as a special case
of domain invariance for maps of the form f(x) = x - [F(x) + G(x)], where
F is a compact map and G is contractive.
Lw6w, 1929. Top row: K. Kuratowski, B. Knaster, S. Banach, W . Stozek, E. Zylinski ,

S. Ruziewicz. Bottom row: H. Steinhaus, E. Zermelo, S. Mazurkiewicz
Continuation method for contractive maps

The presentation of this method follows Granas [1994]. The elementary im-
plicit function theorem (3.2) appears here for the first time; its "continuous"
and "differentiable" versions can be found in (4.6.E.1). When the space A of

parameters is [0 , 1] and (X , d) is a Banach space, Theorem (3.2) yields the
nonlinear alternative and Leray- Schauder type results for contractive maps.
For some applications of these results to differential equations in Hilbert
and Banach spaces, see Frigon- Granas [1994] and Lee- O'Regan [1995] .
More general and related results

For (5.2) see Matkowski [1975]; for generalized contractions of (5.3) see the
book by Krasnosel'skil et al. [1969] and Dugundji- Granas [1978b] . Eilenberg
(see (A.9)) formulated a discrete analogue of the Banach theorem, which has
applications in automata theory. For various other extensions of the Banach
theorem see Edelstein [1961]' [1962]' Dugundji [1976], the survey by Brow-
der [1976], and "Miscellaneous Results and Examples" . Some noteworthy
extensions and applications of the Banach theorem are also given in Section
I(a) of "Additional References".
Concerning extensions of (2.1) , we remark that for the generalized con-
tractions in (5.2) and (5.3) (or, more generally, for a continuous map having:
(i) the property (*) of (5.1) and (ii) a unique fixed point u to which Fn x
converges for each x E X) the corresponding field in a Banach space will
have the domain invariance property; this can be seen directly, by examining
the proof of (2.1). Even more important, however, is that if a continuous
map F of a complete metric space (X, d) into itself satisfies (i) and (ii), then
X has an equivalent complete metric under which F becomes contractive;
this follows from the result of Meyers quoted below.
Concerning some extensions of the continuation method for contractive
maps, see Frigon-Granas [1994]' [1998] and Frigon [1996].
Converse of the Banach theorem

Bessaga [1959] obtained the following result: Let F : X -+ X be a map of
a unique fixed point. Let a be any number with °

an abstract set X into itself such that each iterate F n (n = 1,2, ... ) has
< a < 1. Then there
is a complete metric d for X such that F is contractive with contraction
constant a. In another direction goes the following theorem of Meyers [1967]:
Let X be a complete metric space and F : X -+ X be a map satisfying
(i) F(xo) = Xo for some Xo E X, (ii) lim n -+ oo Fn(x) = Xo for all x E X,
(iii) there is a nbd U of Xo such that for any nbd V of Xo there is nv such
that Fn(v) C U for all n 2: nv. Then for each a E (0,1) there is an
equivalent complete metric on X such that F is contractive with contraction
constant a. For more details on the converse of the Banach theorem the
reader is referred to the survey by Opol'tsev [1976] .
§2. Order-Theoretic Results 25
§2. Order-Theoretic Results
The Banach theorem and its generalizations are founded on the notion 9f
completeness. We now present some fixed point theorems based on the con-
siderations of order; these results have proved of importance in algebra,
the theory of automata, mathematical linguistics, linear functional analysis,
approximation theory and the theory of critical points.
1. The Knaster-Tarski Theorem
Let (P, ::S) be a partially ordered set and M cPa nonempty subset. Recall
that an upper (respectively lower) bound for M is an element pEP with
m ::S p (respectively m t p) for each m E M; the supremum of M, if it
exists, is an upper bound for M which is a lower bound for the set of all
upper bounds of M. Recall also that a linearly ordered subset in P is called
a chain. A map F : P - t P is isotone if F(x) ::S F(y) whenever x ::S y .
(1.1) THEOREM (Knaster- Tarski). Let (P,::s) be a partially ordered set
and F : P - t P isotone. Assume that there is abE P such that both
(1) b::s F(b) and
(2) every chain in {x E P I x t b} has a supremum.
Then the set of fixed points of F is not empty, and among them there
is a fixed point ,\ maximal in P (i.e. F('\) = ,\ and there is no fixed
point a with a >- '\) .
PROOF. Consider the partially ordered set
Q = {x I x ::S F(x)} n {x I x t b} ;
this is not empty, because bE Q. Every chain C in Q has an upper bound:
for if u = sup C , then c ::S u for each c E C , so by the isotone property,
c::s F(c) ::S F(u) for each c E C, showing that F(u) is an upper bound for C,
therefore that u ::S F(u) and thus u E Q. By the Kuratowski- Zorn lemma,
there is a maximal element ,\ in Q; since ,\ ::S F('\), we have F('\) ::S F[F('\)],
so F('\) E Q, and if ,\ :I F('\), this would contradict the maximality of '\.
Thus, ,\ is a fixed point, and it is clearly maximal in P. D
In a partially ordered set P, it has been fruitful to regard a countable
chain as being a "sequence" and the supremum of that chain, if it exists,
as being the limit of that "sequence". Guided by this, we define a map F :
P - t P to be continuous if for each countable chain {Ci} having a supremum,
F(SUp{Ci}) = sup[{F(Ci)}]. Observe that a continuous map F : P - t P is
necessarily isotone; for if x ::S y, then y = sup{ x, y}, so by continuity, we
must have F(y) = sup{F(x) , F(y)}, therefore F(x) ::S F(y). For continuous
maps P : P ~ P, the conditions on P in (1.1) can be relaxed, and a fixed

point can be found by the method of successive approximations. This is
given in
(1.2) THEOREM (Tarski- Kantorovitch). Let (P,:::;) be a partially ordered

set and P : P ~ P continuous. Assume that there is abE P such
that both
(1) b:::; P(b) and
(2) every countable chain in {x I x ~ b} has a supremum.
Then P has a fixed point f-l = sUPn pn(b), and f-l is the infimum of
the set of fixed points of P in {x I x ~ b}.
PROOF. Because b :::; P(b) and P is isotone, we find P(b) :::; P2(b) and,
inductively, that pn(b) :::; pn+l(b) for each n 2 1. Thus, {pn(b) In 2 I} is
a chain in {x I x ~ b} so f-l = suppn(b) exists. Since P is continuous,
P(f-l) = supp{pn(b)} = suppn+l(b) = f-l,
and f-l is a fixed point. To complete the proof, we must show that if ii is any
other fixed point in {x I x ~ b}, then f-l :::; Ii. To establish this, observe that
since b :::; ii, we have P(b) :::; P(ii) = ii and, by induction, that pn(b) :::; ii
for every n 2 1; thus ii is an upper bound for {pn(b) In 2 I}, so f-l :::; ii and
the proof is complete. D
The constructive character of the formula for the minimal fixed point f-l
in (1.2) is quite important for applications.
2. Order and Completeness. Theorem of Bishop-Phelps
The notion of order and the notion of completeness have each led to a fixed
point theorem. We now obtain some results based on an interplay of these
two notions.
Let c.p : X ~ R be any real-valued function on a metric space (X, d) and
,\ a positive number. Following Bishop- Phelps, define a relation :::;cp ,A on X
by
x :::;cp,A y if and only if '\d(x , y) ::; c.p(x) - c.p(y) .
It is easy to verify that :::;cp,A is a partial ordering in X; the transitivity of
:::;cp,A follows from the triangle inequality. The space X, together with this
partial ordering, is denoted by Xcp,A; we let Xcp = Xcp,l and write :::;cp or
simply:::; for :::;cp,l .
Observe that if x, y E Xcp,A are known to be related, then the condition
c.p(y) ::; c.p(x) alone ensures that '\d(x, y) ::; c.p(x) - c.p(y), i.e., x :::;cp ,A y.
Recall that a function R is called lower semicontinuous (l.s.c.)

whenever {x E X I <p( x) -:; a} is closed for each a E R, and upper semicon-
tinuous (u.s.c.) if - R
be a lower semicontinuous function with a finite lower bound. Then
for any Xo E X<p,>", there is a maximal element x* E X<p,>" with
Xo :::S<p,>.. x*. Precisely: for any Xo E X there is an x* E X such
that
<p(x*) + >'d(xo, x*) -:; <p(xo)
and
<p(x*) < <p(x) + >.d(x, x*) for any x =I x*.
PROOF. Clearly (for the proof) we may suppose that>. = 1 and consider
X<p = X<p ,l. For any z E X<p, denote the terminal tail {y I y t z} by T(z).
We observe that since T(z) = {y I <p(y) + d(z, y) -:; <p(z)} and the map
y f--t <p(y) + d(z, y) is lower semicontinuous, each T(z) is closed in X.
Now let Xo E X<p be given. We construct an ascending sequence Xo :::S
Xl :::S X2 :::S ... inductively, first choosing Xl E T(xo) so that <p(xd -:;
1 + inf[<pIT(xo)l and when Xo, ... , Xn-l have been selected, choosing Xn E
T(Xn-l) so that
<p(xn) -:; lin + inf[tpIT(xn-dl·
The sequence T(xo) ~ T(xd ~ ... of closed sets is clearly descending.
We estimate the diameter of each T(x n ) whenever n 2: 1: given ~ E T(x n ) C
T(Xn-I), we have <p(~) 2: inf[<pIT(xn-dl 2: <p(x n ) - lin, so since Xn :::S ~,
we find d(xn'~) -:; tp(x n ) - <p(~) -:; lin. This implies that diam T(x n ) -:; 2/n
for each n 2: 1, so by Cantor's theorem, there is a unique x* E n~=o T(x n ).
Since x* E T(xo), we have x* t Xo; moreover, x* is maximal in X<p: for if
z t x*, then z t x* t Xn for all n 2: 0, so z E n~=o T(x n ) and therefore
z = x*. 0
This leads immediately to
(2.2) THEOREM (Caristi). Let (X, d) be complete and R a lower
semicontinuous function with a finite lower bound. Let F : X -> X
be any (not necessarily continuous) function such that d(x, Fx) :::;
<p( x) - <p( Fx) for each x EX. Then F has a fixed point.
PROOF. Consider the partially ordered set X<p, and let Xo be a maximal
element. Since d(xo, Fxo) :::; <p(xo) - <p(Fxo), we have Xo j Fxo in X<p, and
since Xo is maximal, it follows that Xo = Fxo. 0
We remark that the existence of a fixed point for a contractive map F
in a complete metric space (X, d) is a consequence of (2.2); for if we have
d(Px , Py) ::; ad(x, y) with a < 1, then d(Px , p 2 x) ::; ad(x, Px) ; therefore
d(x, Px) - ad(x , Px) ::; d(x , Px) - d(Px, p2X) ,
so with the nonnegative function <p(x) = (1 - a)-ld(x , Px), the conditions
of (2.2) are satisfied.
3 . Fixed Points for Set-Valued Contractive Maps

Let (X , d) and (Y, Q) be metric spaces and (CB(Y), D) be the space of
nonempty closed bounded subsets of Y with the Hausdorff metric
D(A , B) = max{sup Q(a, B) , sup db, A)} .
aEA bEB
A set-valued map F : X -+ CB(Y) is called a-contractive, where 0 ::; a < 1,

if
D(Fx, Fy) ::; ad(x , y) for all x, y E X.
The following result extends the Banach principle to set-valued contrac-
tive maps.
(3.1) THEOREM (Nadler). Let (X , d) be a complete metric space and F :
X -+ CB(X) an a-contractive map. Then F has a fixed point.
PROOF. First , notice that for any x E X and any y E Fx , we have
d(y , Fy) ::; D(Fx , Fy) ::; ad(x , y) .
Now fix c > o. For any x E X there exists Ye(x) E Fx such that
d( x ,Ye(x))::; (1 + c)d(x , Fx).
From this we get
[(1 ~ c) - a] d(x , Ye(x)) ::; d(x , Fx) - ad(x , Ye(x))

::; d( x ,Fx) - d(Ye(x) , FYe( x )).
Let
<Pe(x) = [( 1 ~ c) - a] - 1 d( x , Fx).
If c is chosen such that (1 + c)-I> a , then <Pe is continuous and bounded

below. Furthermore, we have just shown that for any x E X ,
x :5'P, Ye(x) and Ye(x) E Fx .
Let x* be a maximal element for the partial order :5'P, in X'P , . From
x* :5'P, Ye (x*) we get x* = Ye (x*) , and therefore x* E F x* . 0
4. Applications to Geometry of Banach Spaces
Let K = K(z, r) be a closed ball in a Banach space. For any x (j. K, the
convex hull of x and K is called a drop and is denoted by V(x, K); it is clear
that if y E V(x, K), then V(y, K) c V(x, K), and if z = 0, that Ilyll ::; Ilxll·
(4.1) THEOREM (Danes). Let A be a closed subset of a Banach space E,

let z E E - A, and let K = K(z, r) be a closed ball of radius r <
d(z, A) = R. Let F : A ~ A be any map such that F(a) E AnV(a, K)
for each a E A. Then for each x E A, the map F has a fixed point in
An V(x, K).
PROOF. We can assume z = O. Let Ilxll = (J 2: R and let X = An V(x, K);

clearly, F maps X into itself; we shall estimate Ily - F(y) lion X.
Given y E X, there is abE K with F(y) = tb+ (1- t)y; since IIF(y)11 ::;
tllbll + (1 - t)llyll, we have
t(llyll-llbll) ::; IIYII-IIF(y)ll,

so because Ilyll - Ilbll 2: R - r, we find
t::; IIYII-IIFYII
R - r
Thus,
Ily - F(y)11 ::; tlly - bll ::; t(IIYII + Ilbl!) ::; t((J + r)
(J+r
::; R - r (Ilyll - IIF(y) II)·
Therefore, applying the theorem of Caristi with

(J+r
'P(x) = R _ r Ilxll
yields the result. o
As a consequence we obtain
(4.2) THEOREM (Supporting drops theorem). Let A be a closed set in a

Banach space E, and z E E - A a point with d(z, A) = R > O. Then
for any r < R < (J there is an Xo E 8A with
Ilz-xoll::; (J and AnV(xo,K(z,r)) = {xo}.
PROOF. Let A = An K(z, (J). It is a nonempty closed subset of E. Let
K = K(z, r). For each x E A choose F(x) E AnV(x, K) such that F(x) f- x
if An V( x, K) f- {x}. One can easily see that fixed points Xo of F can occur
only at points of 8A and that An V(xo, K) = An V(xo, K). 0
5. Applications to the Theory of Critical Points
Let 'fJ : X ----+ R be a real-valued function on a metric space X with finite

TJ = inf{'fJ(x) I x E X} . Recall that a minimizer (respectively a strict
minimizer) of 'fJ is an element Xo E X with 'fJ( xo) = TJ (respectively such
that the relation 'fJ( z ) S; 'fJ(xo) implies z = xo). Recall also that a sequence
{xn} in X for which 'fJ(xn) ----+ TJ is called a minimizing sequence for 'fJ.
(5.1) THEOREM (Ekeland). Let (X, d) be complete , and let 'fJ : X ----+ R be a
lower semicontinuous function with finite lower bound TJ. Let {xn} be
a minimizing sequencefor'fJ and An = ('fJ(Xn)-TJ)1 / 2 > O. Then there
exists a minimizing sequence {Yn} for 'fJ such that for any natural n
we have:
(i) 'fJ(Yn) S; 'fJ(xn) and d(xn , Yn) S; An,
(ii) Yn is a strict minimizer of the function 'fJn : X ----+ R given by
'fJn(z) = 'fJ(z) + And(Z , Yn) for z E X,
(iii) 'fJ(Yn) = 'fJn(Yn) S; 'fJ(z) + And(Z, Yn) for z E x.

PROOF. We first describe the construction of {Yn}. For a given natural n,
consider the space Xcp ,>' n ' where An = ('fJ(xn) - TJ )1 / 2. By the Bishop- Phelps
theorem applied in Xcp ,>'n ' for the point Xn there exists an element Yn in
Xcp,>'n such that (a) Xn ~cp,>'n Yn and (b) Yn is maximal in Xcp ,>'n. We
now show that Yn and the function 'fJn defined in (ii) have the properties
(i )- ( iii).
Indeed, the relation Xn ~cp,>'n Yn in Xcp,>'n translates into the estimate
and gives
1 1 2
d(xn, Yn) S; An ('fJ(xn) - 'fJ(Yn)) S; An (TJ + An - TJ) = An;
thus (i) is satisfied.

To establish (ii), suppose that 'fJn(z) S; 'fJn(Yn) for some z in X; then
which (by the definition of the order in Xcp ,>'n ) gives Yn ~cp , >'n z. Since Yn
is maximal in Xcp ,>'n' the last relation implies Yn = z, showing that Yn is a
strict minimizer of 'fJn, as asserted.
(iii) is an obvious consequence of (ii).
Thus we constructed a minimizing sequence {Yn} satisfying (i)- (iii). 0
(5.2) COROLLARY. Let E be a Banach space, rp : E ~ R be a differentiable

function on E with finite lower bound fl, and {xn} a minimizing se-
quence for rp. Then there exists a minimizing sequence {Yn} in E for
rp such that rp(Yn) ::; rp(xn) for each nand Drp(Yn) ~ 0 in E*.
PROOF. By (5.1), there exists a minimizing sequence {Yn} in E for rp such

that for all n, rp(Yn) ::; rp(xn), and with An = (rp(xn) - TJ)1/2,
for all z E E.
For a given n, letting z = Yn + v we obtain from (*) the estimate
rp(Yn) ::; rp(Yn + v) + An II (Yn + v) - Yn I
= rp(Yn + v) + An Ilv II for all vEE,
and consequently,
Thus, IIDrp(Yn) I E* ~ An for all n, and as An ~ 0, our assertion follows. 0
A. Fixed points in partially ordered sets
(A.l) Let X, Y be two sets and f : X ~ Y, 9 : Y ~ X two maps. Show that X and Y
can be written as disjoint unions, X = Xl U X2 and Y = YI U Y2, where f(X I ) = YI and
g(Y2) = X2. Derive the Bernstein-Schroeder theorem: If both f and 9 are injective, then
there exists a bijective F : X ~ Y.
[Consider the map 'P : 2x ~ 2 x given by A f-+ X - g[Y - f(A)] and use (1.1).]
(A.2) A partially ordered set is called a complete semilattice if every nonempty subset
has a supremum. In a complete semilattice L, show:
(a) Every nonempty set having a lower bound has an infimum.
(b) An isotone map f : L ~ L such that b ::5 f(b) for some bEL, has a maximal
fixed point and a minimal fixed point in {x I b ::5 x}.
[For (a), consider the sup of the set of lower bounds.]
(A.3) A partially ordered set is a Dedekind-complete semilattice if every nonempty subset

having an upper bound has a supremum. Show that (1.1) need not be true for Dedekind-
complete semilattices.
[Consider the map x f-+ x + 1 of R into itself.]
(A.4) Let f , g be isotone maps of a complete semilattice L into itself such that fg(x) =
gf(x) for each x E L. Prove: If gf has a fixed point, then f and 9 have a common fixed
point.
[By (1.1), gf has a maximal fixed point .]
(A.5) Let f, 9 be isotone maps of a complete semilattice into itself such that (a) if x ::S
f(x), then f(x) ::S g(x) , and (b) if f(x) ::S x, then g(x) ::S f(x). Show: If either f or 9 has
a fixed point, then f and 9 have a common fixed point.
(A.6) Let P be a partially ordered set and f : P ---> P be isotone. Assume f(u) ::S u for
some u E P and that every chain in {x I x ::S u} has an infimum. Show: f has a fixed
point minimal in {x I x ::S u}.
[Consider the set P with the partial order x <:: y if and only if y ::S x and use (1.1).]
(A.7) Let P be a partially ordered set and f : P ---> P a map such that f(inf C) = inf f(C)
for every countable chain . Assume f(u) ::S u for some u E P and that every countable
chain in {x I x ::S u} has an infimum. Show: f has a fixed point maximal in {x I x ::S u}.
(A.8) Let P be a partially ordered set and § a nonempty commutative family of isotone
maps (i.e. , fog = go f for every f , g E §). Assume that f(u) ::S u for some u E P and
all f E §, and that every chain in {x I x ::S u} has an infimum. Show: There is a minimal
common fixed point for § (i.e., f(a) = a for all f E § and no ao < a has this property)
(DeMarr [1964]).
(A .9) Let E be a topological space and C C E a nonempty compact subset. Let P =

{A eEl A n C is closed and nonempty} , partially ordered by inclusion. Let § be
any nonempty commutative family of isotone maps of P into itself. Show: There exists a
minimal nonempty ACE with f(A) = A for all f E §.
(A.lO) Let E be a connected compact space, and § a commutative family of continuous

maps f : E ---> E . Show: There is a nonempty connected closed AcE with f(A) = A for
all f E § and such that no nonempty connected closed BeE which is a proper subset
of A has this property.
[Partially order the nonempty connected closed sets by inclusion and use (A.8).]
B. Results related to the Bishop- Phelps theorem
(B .1) (Expanding maps) Let X = (X , ::s) be a partially ordered set; for every z E X ,
denote the terminal tail {y I z ::S y} by T(z).
(a) A map F : X ---> X is said to be expanding if x ::S F(x) for each x E X. Show: If
F: X ---> X is expanding, then: (i) every tail in X is invariant under F (i.e., F(T(z)) C
T(z)), (ii) each maximal element of X is a fixed point of F .
(b) A set-valued map F: X ---> 2X is expanding if it admits a single-valued expanding
selector F : X ---> X. Prove: If F : X ---> 2X is expanding then: (i) for every tail T(z)
in X , x f-t F(x) n T(z) defines a set-valued expanding map from T(z) to T( z ), (ii) each
maximal element Xo in X is a fixed point of F, i.e., Xo E F(xo).
(B.2) Let X = (X, d,::s) be a metric space with a partial order. We say that X admits
arbitrarily small tails if given any tail T(z), for each c > 0 there exists T(y) C T(z) with
diam T(y) ::; c. Assume that X is complete and admits arbitrarily small tails. Show:
(a) For any Xo E X there exists an ascending sequence Xo ::S Xl ::S ... in X such that
limxn = x E nT(Xn).
(b) If f : X ---> X is continuous and expanding, then there is an x E X such that
x = f(x) E T(xo) .
(B.3) (Cantor spaces) Let X = (X; d,::s) be a metric space in which a partial order ::S is
defined. We say that X is a partially ordered Cantor space or simply a Cantor space if:
(i) d is complete, (ii) each tail T(z) is closed in X, and (iii) X admits arbitrarily small
tails. Show: If X is a Cantor space, then:
(i) every tail T(z) in X is a Cantor space,
(ii) X has a maximal element x*,
(iii) every tail T(z) contains at least one maximal element z* E T(z),
(iv) if F : X -+ 2x is expanding, then every tail T(z) in X contains at least one fixed
point of F.
[For (ii), use the Cantor theorem.)
(B.4) Show that the statement (ii) of (B.3) implies the Cantor theorem: If (X, d) is com-
plete and {An} a descending sequence of closed sets in X with 8(An) -+ 0, then nAn
contains exactly one point.
(B.5) Let (X, d) be a complete metric space, O.
Recall that X<.p,).. is the space appearing in (2.1).
(a) Assume <p has a finite lower bound. Show: X<.p,).. admits arbitrarily small tails.
(b) Assume <p is l.s.c. and has a finite lower bound. Prove: X<.p,).. is a Cantor space.
(B.6) Let (X, d) be complete and <p : X -+ R an arbitrary function with a finite lower
bound . Suppose F : X -+ X is a continuous function such that d(x, Fx) S <p(x) - <p(Fx)
for each x E X. Show: F has a fixed point (Br0ndsted [1974]).
(B.7) Let (X, d) be a complete metric space, O. Show: If F : X -+ X is any map (not necessarily continuous)
such that d( x, Fx) S <p( x) - <p( Fx) for all x EX, then for each z E X there exists a fixed
point z* of F such that d(z , z*) S <p(z) - <p(z*).
(B.8) Let (X, d) be a complete metric space and <p : X ...... R a l.s.c. function bounded
below. Let F: X ...... 2x be a set-valued map such that for each x E X there is ayE F(x)
satisfying d(x, y) S <p(x) - <p(y). Show: F has a fixed point (W. Takahashi).
[Consider the Cantor space X<.p and observe that F is expanding.]
(B.9) Let (X, d) be a metric space. We say that X is metrically convex if for any distinct
points x,y E X the metric interoal (x,y)x = {z E X I x i= z i= y, d(x , y) = d(x,z) +
d(z,y)} is non empty. Let (X,d) be complete and metrically convex and F: X -+ X be a
continuous map such that for each x i= F(x) there exists a point y E (x, Fx)x satisfying
d(Fx, Fy) S ad(x, y) for some 0 S a < 1. Show: F has a fixed point (F. Clarke).
[Consider the space X<.p with <p(x) = l~Oid(x,Fx) and show that the assumption
x* i= F(x*), where x* is a maximal element in X<.p, leads to a contradiction.]
(B.lO) Let X be a space with a partial order:; such that: (a) each tail T(x) = {y I y ~ x}
is closed, and (b) each nondecreasing sequence Xl :; X2 :; ... converges. Assume that for
each chain C, there is some map <Pc : C -+ R such that <pc(x) > <pc(y) whenever x -< y.
Prove: Given any Xo E X there is a maximal element x* E X such that Xo :; x* .
[Given any chain C, choose Cn E C so that <pc(cn) 1 inf <pc and show that S = {cn}
is cofinal in C; the limit of the sequence {Cn} is an upper bound for C; now use the
Kuratowski- Zorn lemma.]
C. Continuation method and fixed points fOT set-valued contractive maps
Let (X,d) and (Y,e) be metric spaces, and let (CB(Y),D) be the space of nonempty
closed bounded subsets of Y with the Hausdorff metric. A family {Ht : X -+ CB(Y)} of
set-valued maps, depending on t E [0,1]' is called a-contractive provided:
(i) D(Ht (xd , Ht (X2)) ::; ad(xI , x2) for all t E [O, IJ and XI , X2 EX ,
(ii) there is a continuous and strictly increasing function r.p : [0, IJ -> R such that
D(Htl (x), H t2 (x)) ::; Ir.p(td - r.p(t2) I for all x E X and tl , t2 E [O,IJ .
(C . 1) Let (X , d) be complete, Xo E X and r > 0. Let T : K(xo, r) -> CB(X) be an
a-contractive map (0 ::; a < 1) such that d(Txo, xo) < (1 - a)r. Prove: T has a fixed
point.
[Define by induction a sequence {Yn} in K(xo , r) such that Yn +l E T(Yn) and
d(Yn+I' Yn) ::; a n (1 - a)r. Then, using the estimate
d(Yn+p , Yn) ::; [1 + a + a 2 + ... + a P- I Ja n (1- a)r,
show that {Yn} is a Cauchy sequence and hence converges to a c ertain Yo E K(xo,r) .
From D(Tyo, TYn) ::; ad(yo, Yn) conclude that YO E Tyo .J
(C.2) Let (X, d) be complete, U C X open , and {Ht : U -> CB(X)} an a-contractive
family of maps which are fixed point free on the boundary au.
(a) Suppose Q = {(t, x) E [O,IJ x U I x E Ht(x)} is nonempty and partially ordered
by
(t' , x'):::s (tl , X") ¢:} t' ::; til and d(X',X")::; 2(r.p(l~)_-ar.p(t')).
Establish the existence of a maximal element (to, xo) in Q .
[Let P be a chain in Q and t* = sup{t E [O,IJ I (t , x) E P}; take a sequence {(tn, Xt n )}
in P with (tn,Xtn):::S (tn+I,Xtn+l) and tn -> to. Show that Xtn -> x* E U and (t* , x*) is
an upper bound for P. Apply the Kuratowski- Zorn lemma.J.
(b) Show: If Ho has a fixed point , then so does HI (Frigon- Granas [1994]).
[Letting (to , xo) be maximal in Q, suppose to the contrary that to < 1 and choose
t E (to, IJ with
r = 2(r.p(t) - r.p(to)) ::; ~d(xo , aU) .
I-a 2
Then , using (C.1) , find a fixed point x E Ht(x) in K(xo , r), so that (to , xo) -< (t,x) , a
contradiction. J
(C .3) (Nonlinear alternative) Let E be a Banach space, U a domain in E containing

and T : U -> CB(E) an a-contractive map with T(U) bounded . Prove: Either (i) T has a
°
fixed point, or (ii) there exist Yo E au and A E (0,1) such that Yo E ATyo .
Order-theoretic fixed point results

The first fixed point result based on considerations of order was established
by Knaster and Tarski in 1927 (Knaster [1927]). Some refinements of the
initial result were established by Tarski in 1939; see Tarski [1955], where fur-
ther bibliographical comments can be found, and also Kantorovitch [1939] .
The following theorem is due to Tarski [1955]: Let (L,:5) be a complete
lattice. (i) The fixed point set of every isotone map <p : L --+ L is nonempty
and forms a complete lattice under the inherited order. (ii) If L is in addition
a Boolean algebra, then given two isotone maps cp, 'lj; : L --+ L and a, bEL
there are c, dEL with cp( a - c) = d and 'lj; (b - d) = c. Several theorems
on equality of cardinalities (for example, the Cantor-Bernstein theorem)
reduce directly to (ii); (i) and (ii) are applicable to topological functions
(closure, derivative); for example (i) gives a familiar result: every closed
set has a largest perfect subset. Tarski's theorem can also be applied to
partial differential equations (Simon et al. [1992]' Simon [2000]), and to
variational inequalities (Jerome [1984]). For applications of the Knaster-
Tarski theorem to differential equations, see Volkmann [1995] in "Additional
References" IVb.
In Amann's survey [1976], the following strengthening of the Knaster-
Tarski theorem is proved: The fixed point set Fix( F IQ), where Q = {x I x j
F(x)} n {x I x ~ b}, contains a fixed point minimal in the set Fix(FIQ);
Amann found a number of applications of this extended version to fixed
point problems of functional analysis.
We mention two other results: (i) Fuchssteiner [1977] obtained a theorem that contains
Tarski's theorem as a special case and implies several fixed point results of functional-
analytic type. (ii) Baclawski and Bjorner [1979] established a (discrete) Hopf-Lefschetz
theorem for isotone maps on finite partially ordered sets. Acyclic sets (i.e., those that are
like a point homologically) are shown to have the fixed point property for isotone maps;
various sufficient conditions for acyclicity are developed .
Order-theoretic fixed point theorems also have applications in automata

theory (Scott [1971], [1975]). For a number of order-theoretic fixed point
results in functional analysis, see the surveys by E. Bohl [1974]' Amann
[1976] and books by Krasnosel'ski'l [1964a] and Zeidler [1986].
Bishop-Phelps theorem and its applications

The formulation and proof of (2.1) are taken from Dugundji-Granas [1982].
The original formulation appeared as a remark (in a somewhat different but
equivalent form) in a survey, written in 1971, by Phelps [1974]. Examining
the proof of (2.1) leads to the "Cantor order-theoretic theorem", which
provides a unified approach to a long list of results related to the Bishop-
Phelps theorem (see Granas- Horvath [1999] and "Miscellaneous Results and
Examples"). For some extensions of (2.1) (outside the scope of complete
metric spaces) the reader is referred to Br0ndsted [1974]' Brezis-Browder
[1976], and Altman [1982]' among others.
In Sections 2 through 5, we give only a few applications of the Bishop-
Phelps technique. For (2.2) see Caristi [1976], for (4.1), (4.2) see Danes
[1972]' and for (5.1), (5.2) see Ekeland [1972]. The proof of (3.1) (Nadler
[1969]) follows that given by Takahashi [1990].
For certain interrelations of these results the reader is referred to Danes
[1985] and Penot [1986]. Further applications ofthe Bishop-Phelps technique
can be found in Ekeland [1979] (variational problems) and the lecture notes
by Phelps [1993] (convex analysis).
The Bishop- Phelps technique presented in Sections 2 through 5 originated in and
evolved from the work of the above authors in the theory of support functionals in Banach
spaces. Let E be a Banach space and X c E. A point Xo E X is a support point of X if
for some f E E*, called a support functional of X , we have f(xo) = sup{j(x) I x EX}.
The following theorem was established by Bishop- Phelps [1963J: Let C be a closed convex
subset of E . Then (a) the support points of C are dense in the boundary OC of C, and
(b) the support functionals of C are norm dense in the set {j E E* I SUPe f < oo} .
In connection with this result, we make the following comments:
(i) If Int(C) -# 0 then every x E C is a support point of C; this follows at once from
the Mazur separation theorem.
(ii) If C is the closed unit ball in E , then the set {j E E* I f(x) = IIfll for some
x E oC} is norm dense in E* ; this is a special case of the Bishop- Phelps theorem.
(iii) If C is the closed unit ball in E , then [each f E E* is a support functional of CJ
<=} [the space E is reflexiveJ (theorem of James [1972]).
(iv) Let <.p : E ---; R be convex and lower semicontinuous. We define the subdifferential
of <.p at x E E by
o<.p(x) = {j E E* I f(y - x) :::: 'P(y) - 'P(x) for all y E E}.
Because the elements of o'P(x) can be identified with support functionals of the closed
convex epigraph epi('P) C Ex R of <.p at (x, <.p(x)), the Bishop- Phelps theorem leads to
the following result: The set {x EEl o'P(x) -# 0} is dense in E. This frequently used
result (and, in fact , its "extended" version valid for functions <.p possibly equal to 00) is
due to Brondsted- Rockafellar [1965J .
Fixed points for set-valued contractive maps

An extension of the Banach theorem to set-valued contractive maps is due
to Nadler [1969]. The continuation method for such maps can also be es-
tablished (see Frigon- Granas [1994] and "Miscellaneous Results and Ex-
amples").
In the following remarks, X and Yare Banach spaces, W C X an open set , and
f: W ---; Y a continuous map. Let M be a subset of X and Xo E M . A vector x E X is
tangent to M at Xo ifthere is r : (-f, f) ---; X with Xo + tx + r(t) E M for t E (-f , f) and
Ilr(t)ll/t ---; 0 as t ---; o. We let TxoM be the set of all tangent vectors to M at Xo. We say
that f : W ---; Y is strictly differentiable at Xo E W if it has a derivative L = D f (xo) E
.st'(X, Y) at Xo with the property: for each f > 0 there is a nbd V C W of Xo such that
IIf(x) - f(x') - L(x - x')11 :::: fllx - x' il for all x , x' E V .
The following result (which is of importance in optimal control theory) was established
by Lusternik [1934J : Let f : W ---; Y be strictly differentiable at Xo E W with Df(xo)
surjective. Let M = {x E X I f(x) = f(xo)} . Then (A) there exists a nbd U C W
of Xo and a map {} : U ---; X such that, for all x E U, we have x + {}(x) E M and
1I{}(x)1I :::: Kllf(x) - f(xo)ll, where K > 0, and (B) TxoM = Ker D f(xo) . For a proof of the
above theorem that uses the fixed point theorem for (generalized) set-valued contractive
maps in conjunction with the open mapping principle, see Ioffe- Tikhomirov [1978J.
§3. Results Based on Convexity

In this paragraph we present an introduction to the geometric theory of
KKM-maps. We first establish a geometric analogue of the Knaster-Kura-
towski-Mazurkiewicz theorem and then derive from it, among other results,
the theorems of von Neumann and Markoff-Kakutani. Topological aspects
of the theory, based on the Brouwer theorem, will be given in the next
chapter. The paragraph ends with the Kakutani theorem in normed linear
spaces.
1. KKM-Maps and the Geometric KKM-Principle

The general principles of the theory of KKM-maps use simple notions related
to set-valued maps. For the convenience of the reader, and to establish the
terminology, we recall the relevant definitions.
Let X and Y be two sets. The set of all subsets of X is denoted by 2x.
A map S : X --) 2Y is called a set-valued map; the sets Sx are the values of
S and the sets
Gs={(x,y)EXxYlyESx} and S(X) = U Sx
xEX
are the graph and image of 8, respectively.

The inverse 8- 1 : Y --) 2x and the dual 8* : Y --) 2x of 8 are the maps
y f---7 8- 1 y = {x E X lyE 8x} and y f---7 8*y = X - S-ly. The values of
8- 1 (respectively of S*) are called the fibers (respectively cofibers) of S.
Note that S is surjective (i.e., S(X) = Y) if and only if its fibers S - ly
are all nonempty. By a fixed point of a set-valued map S : X --) 2x is meant
a point Xo E X for which Xo E Sxo. Clearly, if 8 has a fixed point, then so
does 8- 1.
It will also be convenient to have the following notation at our disposal.
Given a vector space E (always over R) and AcE, we shall frequently
denote by [AJ the convex hull, conv A, of A. For any integer n E N we shall
write
[n] = {i E N 11 ::; i ::; n}.
We are now in a position to introduce the basic class of set-valued maps
that will enter our discussion, as follows:
(1.1) DEFINITION. Let E be a vector space and X c E an arbitrary subset.
A map G : X --) 2E is called a Knaster- Kuratowski- Mazurkiewicz
map (or simply a KKM-map) provided
s
[AJ = conv{x1, ... ,x s } C G(A) = UGXi

i=l
for each finite subset A = {Xl, ... , xs} of X. We say that G is a

strongly KKM-map if (i) X E Gx for each X E X, and (ii) the cofibers
G*y of G are convex.
We first record two simple properties of KKM-maps for future reference.
(1.2) LEMMA. Let E be a vector space, C C E convex, and G : C --+ 2E
strongly KKM. Then G is a KKM-map.
PROOF. Let A = {XI, ... ,X s } C X, and let Yo E [A]. We have to show that
Yo E U:=l GXi. Since Yo E GyO, we have Yo f/. G*yO , and therefore [A] is not
contained in G*yo. Since the set G*yO is convex, at least one point Xi of A
does not belong to G*yo, which means that Yo E GXi. 0
(1.3) LEMMA. Let E be a vector space and C C E a nonempty convex set.
Let G : C --+ 2c be a set-valued map such that G* : C --+ 2c is not a
KKM-map. Then:
(i) there exists a point wEe with w E conv(Gw),
(ii) if G has convex values, then G has a fixed point.
PROOF. Because (i)=>(ii), we need only establish (i). As, by assumption, G*
is not a KKM-map, there is w E conv{xl , ... , xn} for some Xl, ... , Xn E C
such that
n n n
i=l i=l i=l

Consequently, Xi E Gw for each i E [n], and so w E conv(Gw). o
Before we give a few examples of KKM-maps, we recall some definitions.
Let E be a vector space and C C E a convex subset. A function rp :
C --+ R is said to be convex if rp(tx + (1 - t)y) :S trp(x) + (1 - t)rp(y) for all
t E [0,1] and x, y E C. The sum and the maximum of two convex functions
are convex. A function 'lj; : C --+ R is concave if -'lj; is convex.
A function rp : C --+ R is quasi-convex if {y Eel rp(y) < A} is convex for
each A E R. A function 'lj; : C --+ R is quasi-concave if -'lj; is quasi-convex.
Clearly, every convex function is quasi-convex.
EXAMPLES. In the following two examples of KKM-maps the domain of a
map is convex, so it is enough to show that the map is strongly KKM. An
example of a KKM-map that is not strongly KKM will appear in (4.4.9).
(i) Let X, Y be convex subsets of vector spaces Ex and E y , and let
f : X x Y --+ R be a concave-convex function (i.e., X f--t f(x, y) is concave
for each y E Y and y f--t f(x, y) is convex for each X E X). Then the map
G : X x Y --+ 2xxY defined by
G(x,y) = {(x',y') E Ex x E y I f(x,y') - f(x',y):s O}
is strongly KKM. Indeed, (x, y) E G(x, y) for each (x, y) E X x Y, and

because (x,y) f-+ f(x,y') - f(x' , y) is concave, the cofibers
G*(x',y') = {(x,y) E X x Y I f(x , y') - f(x',y) > O}
of G are convex.
(ii) Let C be a convex subset of a vector space E and 9 : ex C -+ R be
a function such that:
(a) g(x, x) :s: 0 for each x E C ,
(b) x f-+ g( x, y) is quasi-concave on C for each y E C.
Then the map G : C -+ 2c given by x f-+ Gx = {y Eel g(x, y) :s: O} is
strongly KKM. Indeed, it follows from (a) that x E Gx for each x E C , and
(b) implies that the cofibers G*y = {x Eel g(x , y) > O} of G are convex.
Let E be a vector space. A subset AcE is called finitely closed if
its intersection with each finite-dimensional flat LeE is closed in the
Euclidean topology of L.
Recall that a family {AA I A E A} of subsets of some set is said to have
the finite intersection property if the intersection of each finite subfamily is
nonempty.
The basic geometric property of KKM-maps is given in
(1.4) THEOREM. Let X C E, and let G : X ---+ 2E be a KKM-map with
finitely closed convex values. Th en the family {Gx }XEX has the finite
intersection property.
PROOF. Let A = {Xl, ... ,xn } be a finite subset of X. We are going to show
that
n
n
(1) [A] n GXi =f. 0.
i=l
The proof is by induction. For A consisting of a single element x of X our

statement holds, because x E Gx for any x E X . Assume the statement
is true for any set containing n - 1 elements. For each i E [n], choose an
n
element Yi in the set
GXj n [A \ {xdJ,
#i
which is nonempty by the inductive hypothesis, and consider the compact
convex set
Y = [YI, ... ,Yn] C [A].
To establish (1) it is clearly enough to show that n~=l GXi n Y =f. 0. Suppose
that, on the contrary,
n
nGxinY = 0.
i=l
Working in the finite-dimensional space L spanned by A , let d be the Eu-

clidean metric in L; note that because GXi n L is closed in L, we have
d(x, GXi n Y) = 0 if and only if x E GXi n Y.
For each j E [n], define rpj : Y --+ R by rpj(Y) = d(y, GXj n Y); note that
because each rpj is convex and continuous, so also is the function rp : Y --+ R
given by rp(y) = max{ rpl (y), ... , rpn(Y)} for y E Y. Let fj E Y be a point at
n
which rp attains its minimum. Since by assumption GXi n Y = 0, we must
have rp(fj) > O. Because G is a KKM-map, we have Y c [AJ C U~=I GXi,
and hence the point fj belongs to one of the sets GXi, say Gx n .
To get a contradiction, we shall evaluate the functions rpi at points Zt =
tfj + (1 - t )Yn of the interval [fj, YnJ C Y. First, for i = n, because rpn (fj) = 0,
we have
This implies rpn(Zt) --+ 0 as t --+ 1, and hence, for some to sufficiently close
to 1, we get
(2)
Furthermore, for any i E [n - 1], because rpi(Yn) = 0, we have
rpi(Zto) :s; tOrpi(fj) + (1 - to)rpi(Yn) < rp(fj).
This, in view of (2), implies that rp(Zto) = max{rpi(Zto) liE [n]} < rp(fj),
and, with this contradiction, the proof is complete. 0
Theorem (1.4) implies at once the main result of this section:
(1.5) THEOREM (Geometric KKM-principle). Let E be an arbitrary linear
topological space , X c E, and G : X --+ 2E a KKM-map with closed
convex values such that Gxo is compact for some Xo EX. Then the
intersection n{ Gx I x E X} is not empty. 0
In the next two sections we illustrate the technique of KKM-maps by
deriving from Theorem (1.5) some further results, including the theorems of
von Neumann and Markoff- Kakutani.
2. Theorem of von Neumann and Systems of Inequalities

We give an immediate application of the geometric KKM-principle by de-
riving a classical result in game theory.
(2.1) THEOREM (von Neumann). Let X and Y be two nonempty compact
convex subsets of two linear topological spaces Ex and E y . Let f :
X x Y --+ R be a real-valued function satisfying:
(i) x I---t f(x, y) is concave and u.s.c. for each y E Y,
(ii) Y I---t f(x,y) is convex and l.s.c. for each x E X.
Then:
(A) there is a point (xo, YO) E X x Y (called a saddle point for J)
such that
f(x, Yo) :s f(xo, y) for all (x, y) E X x Y,
(B) maxminf(x,y) = f(xo,yo) = minmaxf(x,y).

xEX yEY yEY xEX
PROOF. Because (B) follows at once from (A), we need only establish (A).
To this end, define a map G : X x Y --7 2XxY by putting
G(x,y) = {(x',y') E Ex x E y I f(x,y') - f(x',y) :S a}.
By Example (i), because f is concave-convex, G is a KKM-map. Further-
more, because for each (x,y) the function (x',y') f-t f(x,y') - f(x',y) is
convex and l.s .c., the sets G(x, y) are convex and closed. Consequently,
by Theorem (1.5), there exists (xo, Yo) such that (xo , YO) E G(x, y) for all
(x, y) E X x Y; this means exactly that (xo, Yo) is a saddle point for f. 0
From the above theorem we now obtain two important results in the
theory of infinite systems of inequalities.
Let X c E be compact convex in a linear topological space E, and let
p = {ip} be a nonempty family of real-valued functions ip : X --7 R that are
convex and lower semicontinuous. To fo~mulate a general result we let [p]
be the convex hull of P in the vector space RX; we are concerned with the
following two problems:
(PI) There exists Xo E X such that ip(xo) :S 0 for all ip E P.

(P2 ) For each 1./J E [p] there exists x E X such that 1./J(x) :S O.
(2.2) THEOREM. The problems (Pd and (P2) are equivalent. In other
words, either
(a) there is Xo E X satisfying ip(xo) :S 0 for all ip E P, or
(b) there is 1./J E [p] such that 1./J(x) > 0 for all x E X.
PROOF. Clearly, it is enough to show that (P2)*(Pd. Assume (P2) holds

and let S (ip) = {x E X I ip( x) :S O}. To establish our claim, we have to show
that n<pE<P S (ip) is not empty. Since the sets S (ip) are convex, closed and
nonempty (by (P2)), this reduces to showing that the family {S(ip) lip E p}
has the finite intersection property. To this end, let ipl , ... ,ipn E P. Set
n
A = {(AI,' .. , An) E R n I Ai ~ 0 for all i and 2:= Ai = 1}
i= l
and on the product of two compact convex sets X and A, consider the
function f : X x A --t R given by

n
i=l
As is easily seen, f satisfies all the conditions of Theorem (2.1), and conse-
quently it has a saddle point. Thus, there exists (xo, >:) E X x A such that
f(xo, A) ::; f(x , >:) for all (x, A) E X x A. Said differently, there exist Xo EX
and'ljJ = L:~l >:i'Pi E [<p] such that 'Pi(XO) ::; 'ljJ(x) for all i E [n] and x E X.
Now, by (P2), there exists x E X such that 'ljJ(x) ::; 0, so 'Pi(XO) ::; 0 for all
i E [n]; that gives Xo E n~=l S('Pi) , and the proof is complete. 0
Let X be a set and <P = {'P} a nonempty family of real-valued functions
'P : X --t R. We say that <P is concave in the sense of Fan (or simply F-
concave) provided for any convex combination L:~=l Ai'Pi of 'Pl, ... , 'Pn E <P
there is 'P E <P such that 'P(x) 2: L:~=l Ai'Pi(X) for each x E X.
(2.3) COROLLARY. Let X be a nonempty compact convex subset of a linear
topological space E and <P = {'P} an F-concave family of convex l.s. c.
real-valued functions 'P : X --t R. Then the following conditions are
equivalent:
(A) there exists Xo E X such that 'P(xo) ::; 0 for all 'P E <P,
(B) for each 'P E <P there exists x E X such that 'P(x) ::; O.
PROOF. Clearly, it is enough to show that (B)=}(A). To the contrary, sup-
pose that (A) does not hold. Then by Theorem (2.2) there is a convex
combination L:~=l Ai'Pi E [<p] such that
L Ai'Pi(X) > 0
n
for all x E X ,
i=l
and hence, by definition of the F-concave family, we have, for some 'P E <P,
n
i=l
This contradicts (B), and the proof is complete. o
3. Fixed Points of Affine Maps. Markoff-Kakutani Theorem
In this section we first obtain an elementary fixed point theorem for contin-
uous affine maps and then establish the Markoff- Kakutani theorem.
Given a linear topological space E, we denote by E* its conjugate space,
i.e., the space of all continuous linear functionals on E. We say that E has
sufficiently many linear functionals if the elements of E* separate points
of E , i.e., for every nonzero x E E there is an I E E* such that l(x) i- O.
(3.1) THEOREM. Let E be a linear topological space with sufficiently many

linear functionals, C C E a nonempty compact convex set, and F :
C --t E a continuous affine map. Suppose that for each y E C with
y 1= Fy the line segment [y, Fyl contains at least two points of C.
Then Fix(F) 1= 0.
PROOF. Let l be a given element of E*. We first treat the problem of solving
in C the inequality
l(Fy - y) ::; O.
To this end, consider the continuous function l[ C : C --t R; let Yo E C be a

point at which it assumes a maximum in C. If Fyo 1= Yo, then by assumption
there exists a >. > 0 such that the point >.Fyo + (1 - >')YO is in C. Then
l[>.Fyo + (1 - >')yol ::; l(yo),
and thus >'l(Fyo - Yo) ::; 0, i.e., the point Yo solves the inequality (*).
Consider now on C the family <P = {<p} of continuous convex functions
<p : C --t R of the form <p(y) = l(Fy - y), y E C, where l E E*. To show
that Fix(F) 1= 0, it is clearly enough to find Yo E C that solves the system
of inequalities
l(Fyo - yo) ::; 0 for alll E E*.
By Theorem (2.2), and because the family <P is convex, this problem reduces
to solving (*) for a given l E E*; but since this was already established, the
proof is complete. 0
As an immediate corollary we obtain at once one of the basic results in

linear functional analysis:
(3.2) THEOREM (Markoff-Kakutani). Let C be a nonempty compact con-
vex set in a linear topological space with sufficiently many linear func-
tionals, and let § be a commuting family of continuous affine maps
of C into itself. Then § has a common fixed point.
PROOF. By (3.1), Fix(F) 1= 0 for each F E §; moreover, Fix(F) is com-

pact, being closed in the compact set C, and Fix(F) is convex because
F is affine. We must prove that n{Fix(F) [ F E §} 1= 0; because each
set Fix(F) is compact, it is sufficient to show that each finite intersection
Fix(Fl , ... , Fn) == nZ:l Fix(Fd is nonempty.
We proceed by induction on n, the result being true for n = 1. Assume
that Fix(Fl , ... , Fi ) 1= 0 whenever i < n, and consider any n members
F l , . .. , Fn of §. Because § is commuting, we find that
for if x E Fix(F1 , ... , Fn- 1 ), then FdFn(x)] = Fn[Fi(X)] = Fn(x) for each
i < n, so Fn(x) E Fix(F1 , ... , Fn-d. Since Fix(F1 , ... , Fn- 1 ) is a nonempty
compact convex set, we conclude from (3.1) that Fix(Fl"" ,Fn) i= 0. This
completes the induction. 0
The Markoff- Kakutani theorem has numerous applications, including a
refined Hahn- Banach theorem the proof of which will be given in the next
paragraph.
4. Fixed Points for Families of Maps. Theorem of Kakutani

If 9 is any family of maps of a space X into itself, by a fixed point for 9 is
meant a point Xo E X such that g(xo) = Xo for every g E g. Our aim in
this section is to prove the theorem of Kakutani on fixed points for certain
families of self-maps in normed linear spaces. The proof does not depend
on the previous material of this paragraph; it is given to indicate another
technique that is also based on the notion of convexity. The approach given
here is due to W. Hurewicz; it relies on some simple properties of metric
spaces and affine maps.
We begin with terminology and notation. Let 9 be a family of maps of
a space X into itself. For each x E X we let g(x) = {g(x) I g E g} be the
orbit of x under g; a subset A c X is called g-invariant if g(A) c A for all
g E g. If (X, d) is a bounded metric space, 9 is said to be equicontinuous
provided given any E > 0, there is an TJ > 0 such that d(x, xo) ::; TJ implies
d(g(x) , g(xo)) ::; E for all g E g.
(4.1) LEMMA. Let (X, d) be a bounded metric space and 9 an equicontinu-
ous family of maps g : X ~ X. For each x E X, let D(x) = 6(Q(x))
be the diameter of9(x). Then the function D : X ~ R is continuous.
PROOF. Given Xo E X and E > 0, there is an TJ > 0 such that d(g(x),g(xo))
for all x E B(xo , TJ) and all g E g. This says that for any g, g' E 9 and
::; E
any x E B(xo, TJ) , since
d[g(x),g'(x)]::; d[g(x),g(xo)] + d[g(xo),g'(xo)] + d[g'(xo) , g'(x)J,
we get D(x) ::; E + D(xo) + E and, in the usual way, ID(x) - D(xo)1 ::; 2E.D
The crucial result in Hurewicz's approach is
(4.2) LEMMA. Let E be a normed linear space, C a compact convex subset
of E, containing more than one point, and let 9 be an equicontinuous
group of affine transformations on C. Then there exists a nonempty
g-invariant subset A c C with 6(A) < 6(C) (strict inequality!) .
PROOF. By compactness and equicontinuity, there is an TJ > 0 such that
Ilx - yll ::; TJ implies
Ilg(x) - g(y)11 ::; ~6(C) for all g E g.
Let Cl, ... ,Cn be an 7]-dense set in C and note that given any C E C and
9 E 9, there is at least one Ci such that
(i)
For consider the inverse 9 -1 E 9; since the {cd are 7]-dense, there is at least
one Ci with llei - g-l(c)11 ::; 7], so (i) follows from the equicontinuity.
Now let
Cl + ... + Cn
y=
n
Then, for any C E C and any 9 E 9 we have
lie - g(y)11 = Ilc - g( ~ L Cj) /I ::; ~L lie - g(cj)11

J J
::; ~ [(n - 1)8(C) + ~8(C)]

because of (i), so Ilc - g(y)11 ::; (1 - 1j(2n))8(C).
Finally, choose A = 9(y) to be the orbit of y under 9 and note that since
9 is a group, the set A is 9-invariant. Moreover, for any g, g' E 9, taking
9' (y) = C in the above formula shows
IIg(y) - g'(y)11 ::; (1 - 1j(2n))8(C),
so that 8(A) < 8(C), and the proof is complete. o
We are now in a position to prove the basic result.
(4.3) THEOREM (Kakutani). Let C be a nonempty compact convex subset
of a normed linear space E, and let 9 be a group of affine transfor-
mations of C into itself. If 9 is equicontinuous on C, then 9 has a
fixed point.
PROOF. For each c E C, let D(c) = 8(9(c)). By Lemma (4.1), D is con-
tinuous on the compact set C, so it attains its minimum at some Co E C.
Assume D(co) > O. Since 9(co) is 9-invariant, and each 9 is affine, we infer
that so is the set Conv9(co); moreover, we have 8(Conv9(co)) = 8(9(co)).
The hypotheses of Lemma (4.2) being satisfied, there exists a 9-invariant
subset A of Conv9(co) with 8(A) < 8(Conv9(co)). Choosing any Yo E A,
we therefore have 9(yo) c A so
D(yo) ::; 8(A) < 8(Conv 9(co)) = 8(9(co)) = D(co),
contradicting the assumption that D(co) = min. Thus D(co) = 0, complet-
ing the proof. 0
An extension of the Kakutani theorem to locally convex linear topological
spaces will be given in Chapter II.
A. Geometric KKM-theory
In this subsection a set will be called compact convex if it is a non empty compact convex
subset of a linear topological space.
(A. 1) Let X be a set. Using the notation of Section 1, let A(X), B(X) be two classes of
set-valued maps X -+ 2x defined as follows:
S E A(X) {=} either n{Sx I x E X} i- 0 or x E Sx for each x E X,

T E SeX) {=} either T has a fixed point or Txo = 0 for some Xo E X.
Let S, T : X -+ 2 x be two maps. Show:

(a) If T* E A(X), then T E SeX).
(b) If S* E SeX), then S E A(X).
(A.2) Let C be compact convex, and let S : C -+ 2C have convex values, open fibers and
convex cofibers. Prove: Either S has a fixed point or Sxo = 0 for some Xo E C.
(A.3) (Maximal elements of binary relations) Let X be a set. We establish a one-to-one
correspondence T <-t -<T between maps T : X -+ 2x and binary relations -< on X
by the assignments: -< f-t T, where Tx = {y E X I x -< y}, and T f-t -<T, where
x -<T Y {=} Y E Tx; clearly, a point Xo E X is maximal in (X, -<T) (i.e., for no y E X with
y i- Xo do we have Xo -<T y) if Txo = 0.
Let C be compact convex and T : C -+ 2 C be such that:
(i) T has open fibers and convex cofibers,
(ii) x if. conv Tx for each x E C.
Show: There exists a maximal element in (C, -<T).
(A.4) Let X be compact convex, and let S, T : X -+ 2 x satisfy:
(i) Sx C Tx for all x E X,
(ii) S has convex cofibers,
(iii) T has closed and convex values.
Show: If x E Sx for each x E X, then the intersection n{Tx I x E X} is not empty.
(A.5) Let X be compact convex, and let j, 9 : X x X -+ R satisfy:
(i) g(x,y) ~ f(x,y) for all X,y E X,
(ii) x f-t f(x,y) is quasi-concave on X for each y E X,
(iii) y f-t g(x, y) is l.s.c. and quasi-convex on X for each x E X.
Prove:
(a) For any A E R, either (i) there exists a Yo E X such that g(x, yo) ~ A for all
x E X, or (ii) there exists awE X such that f(w,w) > A.
(b) The following minimax inequality holds:
inf sup g(x,y) ~ sup f(x,x).
xEX yEX xEX
[For (a): define S, T : X -+ 2x by Sx = {y E X I f(x,y) ~ A} and Tx {y E X I

g(x,y) ~ A}, and apply (A.4).]
(A.6) Let X be compact convex, and let f : X x X -+ R satisfy:
(i) x f-t f(x, y) is quasi-concave on X for each y E X,
(ii) y f-t f(x, y) is l.s.c. and convex on X for each x E Y.
Show:
inf sup f(x,y) ::; sup f(x,x).
yEY xEX xEX
(A.7) Let Y be compact convex, and let <P = tip} be an F-concave family of convex l.s.c.
real-valued functions ip : Y ---+ R. Show:
Q = inf sup ip(Y) = sup inf ip(Y) = (3.

yEY <pE A > (3, and let t{/ be the family of functions '1f; : X ---+ R of the form '1f; = ip - A, where
ip E <P. Applying (2.3) to t{/, get a contradiction.]
(A.8) (Kneser- Fan theorem) Let X and Y be two nonempty convex subsets of some linear
topological spaces and assume that Y is compact. Let f : X x Y ---+ R satisfy
(i) x>-> f(x, y) is concave for each y E Y ,
(ii) y>-> f(x, y) is l.s.c. and convex for each x E X.
Show:
inf sup f(x, y) = sup inf f(x, y)
yEY xEX xEX yEY
(cf. Kneser [1952] and Fan [1957]).

[Apply (A .7) to the F-concave family <P = {ipx Ix E X} of convex l.s.c. functions
ipx : Y ---+ R, where ipx(Y) = f(x,y) for y E Y.]
B. Invariant functionals, means , and measures
(B. 1) Let X be a nonempty set and B(X) the Banach space of bounded real-valued
functions on X with Ilfll = sUPxEX If(x)l. By E we denote a closed subspace of B(X)
containing the function e = {e(x)} = {I} , and we let E* be the dual of E. A mean M on
°
E is a linear functional M E E* such that
(i) M(f) ?:: for f ?:: 0,
(ii) M(e) = l.
A mean M E E* is invariant under a transformation T : X ---+ X provided M(f) =
M (f 0 T) for all fEE.
Let f7 = {T} be a family of transformations T : X ---+ X such that SoT = To S
for all S , T E f7. Show: There is a mean M E E* that is invariant under all T E f7
(Mazur- Orlicz [1953]).
[Equip E* with the weak* topology and consider the convex set K = {M E E* I
° °
M(f) ?:: for f ?:: and M(e) = I}; for each T define an affine map Fr : K ---+ K by
M>-> MT, where Mr(f) = M(f 0 T) for all fEE; apply the Markoff- Kakutani theorem
to the family {Fr hEg.]
(B .2) (Genemlized limits) Show that there exists a method of assigning a "generalized
limit" Limn-->oo to every bounded real-valued sequence {Xn} in such a way that
(i) Limn-->oo Xn = Limn-->oo Xn+l,
(ii) Limn-->oo(QXn + (3Yn) = Q Limn-->oo Xn + (3 Limn-->oo Yn,
°
(iii) Limn-->oo Xn ?:: if Xn ?:: 0,
(iv) lim infn--> 00 Xn ::; Limn-->oo Xn ::; limsuPn-->oo Xn,
(v) if {Xn} is a convergent sequence, then Limn-->oo Xn = limn-->oo Xn
(Mazur [1927]).
(B.3) Let X be a compact topological space, G an abelian group, and let {Sa}aEG be
a family of homeomorphisms of X onto X such that Sa 0 Sb = Sa+b for all a, bEG. A
Borel measure p, on X is invariant under {Sa}aEG if p,(A) = P,(SaA) for all a E G and
all p,-measurable sets A C X. Show: There exists on X an invariant measure p, such that
p,(X) = 1 (Kryloff- Bogoliouboff [1937]).
[First observe that using the Riesz representation theorem, it is enough to prove
the existence of a positive linear functional on the space C(X) that is invariant under
{Sa}aEG; then use (B.1).]
(B.4) Let S be a semigroup and f : S -> R any function. For a fixed a E S we let
Laf(x) = f(ax) for each xES ; Laf is the left translate of f by a. Let E be a linear
subspace of B(S) such that xES and fEE imply Lxf E E. A left-invariant mean M
on E is a mean such that M(Lxf) = M(f) for all xES and fEE . A semigroup S is
left-amenable if there is a left-invariant mean on B(S) . Show: Every abelian semigroup is
left-amenable (Day [1961]).
(B.5) Let G be a locally compact topological group and CB(G) the Banach space of all
continuous bounded functions on G with the sup norm. We say that a function f E CB( G)
is almost periodic (written f E AP(G)) provided its orbit under left translations tY(f) =
{Lx! I x E G} is relatively compact in CB(G). Prove: If f E AP(G), then K = Conv tY(f)
contains a constant function.
[For each a E G define an affine map Ta : K -> K by Ta! = La!, and apply the
Kakutani theorem to the family {Ta}aEG.]
Geometric KKM-theory
The topological KKM-property was discovered by Knaster- Kuratowski-
Mazurkiewicz [1929]. Really, though, the KKM-theory in the infinite-dimen-
sional setting began with the articles of Fan [1961]' [1964], [1966], in which
the significance of the topological KKM-property was brought to light and
diverse applications were given. Several of those results were simplified
and codified by Browder [1968], who introduced to the theory the tech-
nique of selection of set-valued maps. The term "KKM-map" (introduced
in Dugundji-Granas [1978]) was employed for the first time in a systematic
way in Lassonde [1983]. In §3, we are concerned with the "geometric" part
of the theory of KKM-maps; the "topological" part is treated in Chapter
II. The presentation of results in §3, including the formulation of the "ge-
ometric KKM-principle" (1.5), follows Granas- Lassonde [1991]. We remark
that (1.5) (which appeared in a different form in Asakawa [1986]) can be
shown to be in fact equivalent to the following theorem of Klee [1951] (see
also Berge's monograph [1959]): If C 1 , ... , C n + 1 are closed convex subsets
of a Euclidean space R S , any n of which have nonempty intersection, and
U~~11 Ci is convex, then n~~11 Ci =f. 0.
The following are some applications of the geometric KKM-principle
discussed in §§3 and 4:
1° theory of games (theorem of von Neumann (2.1));

2° systems of convex inequalities;
3° linear functional analysis (theorems of Markoff- Kaku tani and Mazur-
Orlicz);
4° variational inequalities (theorem of Stampacchia for bilinear forms,
theorem of Hartman- Stampacchia);
5° maximal monotone operators.
Among aplications that can be obtained in the context of the geometric
KKM-theory we mention the proof (due to Fan) of the following theorem of
Hardy- Littlewood- P6Iya: If the real numbers ai, bi (1 ::; i ::; n) satisfy:
(i) a1 2:: ... 2:: an 2:: 0, b1 2:: ... 2:: bn 2:: 0,
(ii) 2:;=1 ai ::; 2:;=1 bi (1 ::; k ::; n),
then there exists a doubly stochastic matrix P = (Pij)~j=l (i.e., Pij > 0,
2:7=1 Pij = 1 for each i and 2:~1 Pij = 1 for each j) such that
n
ai = LPijbj (1 ::; i ::; n).

j=l
In the special case where X c Rn, Y c Rm are simplices and the map f
is bilinear, Theorem (2.1) was discovered by von Neumann [1928]; Theorems
(2.2) and (2.3) are due to Fan [1957]; for earlier versions see Kneser [1952]
and Nikaid6 [1954].
Fixed points for families of maps
Theorem (3.2) was proved by Markoff [1936] with the aid of the Schauder-
Tychonoff fixed point theorem. Kakutani [1938] found a direct elementary
proof of (3.2) (valid in any linear topological space, not necessarily locally
convex), and demonstrated the importance of the result by giving a number
of applications; he also showed that (3.2) (together with the fact that a Ty-
chonoff cube is compact) permits one to prove the Hahn- Banach principle.
The following extension of the Markoff- Kakutani theorem is due to Day
[1961]: Let K be a compact convex set in a locally convex space, and let S
be a left-amenable (see (B.4)) semigroup of continuous affine maps acting
on K. Then there is a common fixed point under S. Because every abelian
semigroup is left-amenable and since in the formulation of (3.2) a "commut-
ing family" can clearly be replaced by an "abelian semigroup", the result of
Day contains the Markoff- Kakutani theorem as a special case.
The proof of Kakutani's theorem (4.3) is presented for normed linear
spaces using the approach given in Hurewicz's lectures. An extension of the
above theorem to locally convex spaces as well as other fixed point results
for families of affine maps are given at the end of Chapter II.
Bruhat- Tits [1972] introduced a class of complete metric spaces satisfy-

ing the semi-parallelogram law and established in such spaces the existence
of a common fixed point for a group of isometries having a bounded orbit. In
spite of its elementary character, the Bruhat- Tits theorem turns out to be of
importance in numerous problems of differential geometry (see Lang [1998]).
Invariant functionals, means and measures

Because of their numerous applications, fixed point theorems for families of
affine maps provide a powerful tool in a variety of mathematical areas such
as linear functional analysis, abstract harmonic analysis, and ergodic theory.
Let X be a set, G a semigroup acting on X , and E a linear topological
space of real-valued functions on X and invariant under translations. An
invariant mean is a positive linear functional on E that is invariant under
the action of G. Invariant means were brought to use by Mazur [1927]' who
(before the discovery of the Hahn- Banach theorem) established the existence
of an invariant mean on the additive semigroup N of natural numbers; this
invariant mean (presently called a "generalized limit" or "Banach- Mazur
limit") is a positive functional on the space l= of bounded sequences that
extends the ordinary limit functional from the space cover l= (cf. (5.B.2)).
The most important case in which invariant means occur is that of X a
topological group and G the group of left, right, or two-sided translations
on X. The corresponding means are called left , right, or two-sided. A group
G is amenable if there is a left-invariant mean on CB(G) (the continuous
bounded functions). For locally compact groups amenability is equivalent to
the existence of a fixed point for an arbitrary affine action of the group on
a compact convex set in a locally convex space (see Day [1961] and also the
monograph of Greenleaf [1969]).
The consideration of an invariant mean on the space Co (G) (= continu-
ous functions vanishing at infinity) leads to the important concept of Haar
measure; when G is compact , we have Co(G) = C(G), and by the Riesz rep-
resentation theorem such a mean must be of the form M (1) = JG f (x) dJ-L( x ),
where J-L is a certain Borel measure. The existence of a Haar measure on an
arbitrary compact group G can be established with the aid of the Kakutani
theorem; when G is abelian, a much simpler proof can be given using the
Markoff- Kakutani theorem. For applications in another area, we remark
that the Markoff- Kakutani theorem has uses in ergodic theory: it yields,
for example, a simple proof of the theorem of Kryloff- Bogoliouboff [1937]
concerning the existence of an invariant measure of a dynamical system.
For more details about invariant means see "Miscellaneous Results and
Examples", Dixmier [1950] and also the monographs by Greenleaf [1969]
and Hewitt- Ross [1963], where further references can be found.
§4. Further Results and Applications 51
§4. Further Results and Applications

This paragraph is devoted primarily to applications of the main theorems
in the text. We begin with two direct and simple applications of the Banach
principle, first to establish some fixed point theorems for nonexpansive maps
in Hilbert space and second to integral and differential equations. In Sec-
tion 3, we give numerous applications of the elementary invariance of domain
theorem. The last two sections are devoted to some further applications of
the geometric KKM-principle.
1. Nonexpansive Maps in Hilbert Space

The Banach principle involves a contractive map in an arbitrary complete
metric space. By giving the space a sufficiently rich structure, the con-
tractiveness hypothesis on the map can be relaxed to nonexpansiveness; of
course, uniqueness of the fixed point cannot be preserved, as the reflection
of R2 in a line shows.
In this section we deal with (real) Hilbert space; the following proposition
will playa basic role.
(1.1) PROPOSITION. Let H be a Hilbert space, and let u , v be two elements
of H. If there is an x E H such that Ilx - ull :S R , Ilx - vii :S Rand
Ilx - (u + v)/211 ;:: r , then Ilu - vii :S 2J R2 - r2.
PROOF. By the parallelogram law,
Ilu - vl1 2 = II(x - v) - (x - u)112
= 211x - vl1 2+ 211x - ul1 2- Ilx - v + x - ul1 2
= 211x - vl1 2+ 211x _ ul1 2 _ 411x _ u; V 11
2
,
and the conclusion follows. o

We apply this proposition to study nonexpansive maps on bounded sets:
(1.2) LEMMA. Let C c H be a bounded set , and let F : C ---) C be
nonexpansive. Assume that x, y and a = (x + y)/2 belong to C. If
Ilx - F(x)11 :S c and Ily - F(y)11 :S c, then
Iia - F(a)11 :S 2v/25(C)y'c,
where 5(C) = diameter of C.
PROOF. Because
at least one of the terms on the right, say the first, must satisfy
!Ix - a + ;(a) II ~ ~llx - YII·
But also Ilx - all = ~ Ilx - yll and

1
Ilx - F(a)11 'S Ilx - F(x)11 + IIF(x) - F(a)11 'S E + Ilx - all = E + 211x - yll·
By (1.1), we conclude that
Iia - F(a)11 'S 2V(E + ~llx - yll)2 - (~lIx - yll)2 = 2..foJE + Ilx - yll,
and since both E and Ilx - yll do not exceed c5(C), the proof is complete. D
This leads to the desired modification of the Banach theorem.
(1.3) THEOREM (Browder-Gohde- Kirk). Let C be a nonempty closed

bounded convex set in a Hilbert space. Then each nonexpansive map
F : C ~ C has at least one fixed point.
PROOF. There is no loss in generality to assume that 0 E C. For each integer
n = 2,3, ... let Fn = (1- ~)F; because C is convex and contains the origin,
each Fn maps C into itself. Moreover, each Fn : C ~ C is contractive, so
by Banach's theorem, each Fn has a fixed point x n , and
For each n ~ 2, let Qn = {x E C I Ilx - F(x)11 'S ~c5(C)}; then Q2 ::::>

Q3 ::::> ••• is a descending sequence of closed sets, and by what we have just
shown, no Qn is empty. We observe that if x, y E QSn2 and a = (x + y)/2,
then according to the lemma
Iia - F(a)11 'S 2J2c5(C)jc58~)' so that x+y Q

-2- E n·
Let dn = inf{llxlll x E Qn}; because the Qn are descending, we see that

d2 'S d3 'S ... is a nondecreasing sequence of reals, which, being bounded
by c5 (C), converges to some d. Finally, let
An = QSn2 nB (0, d+ ~) .
Then An is a descending sequence of nonempty closed sets. We calculate
the diameter of An: if x, yEAn, then 110 - xii'S d + lin, 110 - yll 'S d + lin,
and by our observation above, 110 - (x + y)/211 ~ dn ; therefore, by (1.1)
we find
Ilx - yll ,; 2)( d+ ~)' - d;, ~ 2,i2dn- ' + n- 2 + (d 2 - <F,,).

The term on the right is therefore an upper bound for <5(An) , and shows
that <5(An) -+ 0 as n -+ 00 .
By Cantor's theorem, there is an Xo E nn
An; since Xo E QSn2, we nn
find
Ilxo - F(xo) II :s; <5(C) j (8n2) for all n;
therefore, Ilxo - F(xo) I = 0, and Xo is a fixed point. o
Let C be a closed ball in a Hilbert space H; we will now consider the
nonexpansive maps defined on C with values in H. For this purpose, we
need the nonexpansiveness of the standard retraction of H on C:
(1.4) LEMMA . Let H be a Hilbert space and C the closed ball {x E H I
Ilxll :s; c} . Definea map r : H -+ C by
X Ilxll :s; c,
r(x) =
{
~ Ilxll >_ c.
cllxll'
Then r : H -+ C is nonexpansive.
PROOF . We first observe that if u , v i- 0, then
(u - r(u), r(v) - r(u)) :s; 0.
!
This is certainly true for Ilull :s; c since r(u) = u ; and if Ilull 2: c, we have
(1- II:II)[(U,V) - cllull], Ilvll:S; c,

(u-r(u) , r(v)-r(u))= ( c)[ (u,v) ]
1- M cM - cllull, Ilvll 2: c,
so that because l(u,v)1 :s; Ilullllvll, our observation is established. To prove
the lemma, write
x - y = r(x) - r(y) +x - r(x) + r(y) - y == r(x) - r(y) + a;
then
Ilx - Yl12 = Ilr(x) - r(y)11 2+ IIal1 2+ 2(a, r(x) - r(y));
because of our observation,
(a,r(x) - r(y)) = -(x - r(x),r(y) - r(x)) - (y - r(y),r(x) - r(y)) 2: 0,
so Ilx - Yl12 2: Ilr(x) - r(y)112, and the proof is complete. o
This leads to the desired result:

(1.5) THEOREM (Nonlinear alternative for nonexpansive maps). Let H
be a Hilbert space and e the closed ball {x E H I Ilxll : : : c}. Then
each nonexpansive F : e ---t H has at least one of the following two
properties:
(b) there exist x E 8e and A E (0, 1) such that x = AF(x).
PROOF. By (1.4), the map r : H ---t e
is nonexpansive, therefore so also is
roF : C ---t e, and by (1.3), we have rF(x) = x for some x E C. Now we re-
peat the reasoning of (0.2.3): If F(x) E e, then x = rF(x) = F(x) , so F has
a fixed point; if F(x) does not belong to e, then x = r F(x) = cF(x)/IIF(x)ll,
so x E 8e, and taking A = c/IIF(x)11 < 1 completes the proof. 0
Several fixed point theorems are obtained from (1.5) by imposing condi-
tions that prevent occurrence of the second possibility:
(1.6) COROLLARY. Let C = {x E H Illxll ::: r}, and let F: C ---t H
be nonexpansive. Assume that for all x E 8e, one of the following
conditions holds:
(a) IIF(x)11 : : : Ilxll,
(b) IIF(x)11 ::; Ilx - F(x)ll,
(c) IIF(x)112 : : : IIxl1 2+ Ilx - F(x) 112,
(d) (x, F(x)) ::::: Ilx11 2,
(e) F(x) = -F( -x).
Then F has a fixed point.
The proof is strictly analogous to the proof of (1.4.2) and (1.4.3), and is left
to the reader.
As a further application, we have
(1.7) COROLLARY. Let H be a Hilbert space and F : H ---t H be non-
expansive. Assume (x,x - F(x)) 2: p,(llxll)llxll, where p,(llxll) ---t 00
as Ilxll ---t 00. Then the nonexpansive field x ~ f(x) = x - F(x) is
surjective.
PROOF. Given a point Yo E H let g(x) = x - [F(x) + Yo] for x E H. From
(x, g(x)) = (x, f(x)) _ (x, Yo) > (II II) _ II II

Ilxll Ilxll Ilxll - p, x Yo
it follows that for a sufficiently large r > 0,
(x,g(x)) 2: ° for all x E H with Ilxll = r.
By (1.6)(d), because G(x) = F(x) + Yo is nonexpansive, we get g(xo) =
for some Xo; hence Yo = Xo - F(xo) = f(xo), and our assertion follows. 0
°
2. Applications of the Banach Principle to

Integral and Differential Equations
Use of the Banach principle requires that a given F : Y --t Y be contractive
relative to some complete metric d in Y. If the given F is not contractive
with respect to one metric, it may be possible to find another complete
metric with respect to which F is contractive. For example, the (linear)
map (x, y) f--7 110 (8x + 8y, x + y) of R2 into itself is not contractive with
respect to the usual metric
d[(x, y), (z, w)] = J(x - z)2 + (y - W)2;
but it is contractive, with contraction constant 190' relative to the (equiva-
lent, and complete) metric
d[(x, y), (z, w)] = Ix - zl + Iy - wi·

Thus, each complete metric d in Y determines a class §(d) of maps F :
Y --t Y that are contractive with r~pect to d, and in general, §(d) -=f. §(d)
even for equivalent metrics d and d.
If E is a Banach space, recall that two norms Ixl and Ilxll are equivalent
if there are constants m, M > a with mllxll : : : Ixl : : : Mllxll, so that a map
Lipschitzian in one norm is Lipschitzian in any equivalent norm. Thus, in
Banach spaces, to study a Lipschitzian map F : E --t E, it is frequently
very fruitful to seek a norm under which F is contractive.
These considerations are illustrated in the following proof of the existence
of solutions for the Volterra integral equation of the second kind.
(2.1) THEOREM. Let K : [0, T] x [0, T] x R --t R be continuous and satisfy
a Lipschitz condition
IK(t, s, x) - K(t, s, y)1 ::::: Llx - yl
for all (s, t) E [0, T] x [0, T], and x, y E R. Then for any v E e[O, T]
the equation
u(t) = v(t) + it K(t, S, u(s)) ds (0::::: t ::::: T)
has a unique solution u E C[O, T]. Moreover, if we define a sequence

of functions {un} inductively by choosing any Uo E C[O, T] and setting
Un+1(t) = v(t) + it K(t,s,un(s))ds,
then the sequence {Un} converges uniformly on [0, T] to the unique

solution u.
PROOF. Let E be the Banach space of all continuous real-valued functions

on [0, T] equipped with the norm
Igl = O'.5.t'.5.T
max e-Ltlg(t)l·
This norm is in fact equivalent to the sup norm Ilxll, since
and moreover, it is also complete.

Define F : E --+ E by
F(g)(t) = v(t) + !at K(t, s, g(s)) ds;

to prove that the integral equation has a solution, it is enough to show that
F : E --+ E has a fixed point. We prove that, in fact, F is contractive: for
IF(g) - F(h)l:s max e- Lt

O'.5.t'.5.T Jot IK(t, s, g(s)) - K(t, s, h(s))1 ds
:S L max e- Lt rt Ig(s) - h(s)1 ds

O'.5.t'.5.T Jo
= L max e- Lt
O'.5.t'.5.T
t
Jo .
eLse-Lslg(s) - h(s)1 ds
:S Lig - hi max e- Lt
O'.5.t'.5.T Jot e Ls ds
eLt - 1
= Lig - hi max e- Lt _ __
O'.5.t'.5.T L
:S (1 - e-LT)lg - hi.
Because 1- e- LT < 1, the map F : E --+ E is contractive; Banach's principle
therefore guarantees first a unique fixed point U E E, and then that the
sequence {un} determined by the iterations described in the statement of
the theorem converges uniformly in the norm Ixl, therefore also in the sup
norm Ilxll, to that fixed point. 0
Observe that if we had used the sup norm Ilxll rather than Ixl, then F
would be contractive when regarded as a map C[O, A] --+ C[O, A], where A <
min{T, 1/ L}. Thus, if T > 1/ L, then the Banach principle with the usual
sup norm would have guaranteed a unique solution only on a subinterval of
[0, T], whereas by modifying the norm we have shown that in fact there is a
unique solution on the entire interval [0, T].
(2.2) THEOREM. Let f : [0, T] x R ~ R satisfy the Lipschitz condition

If(s,x) - f(s,y)1 ::; Llx - yl
for s E [0, T], x, Y E R. Then the initial value problem
du
ds = f(s, u), u(O) = 0,
has exactly one solution u defined on the entire interval [0, T].
PROOF.
becomes
If K(t, s, u) = f(s, u) and v(t) = ° in (2.1), the Volterra equation
u(t) = lot f(s,u(s))ds,

and the solution of this integral equation is precisely the solution of the
present initial value problem. D
3. Applications of the Elementary Domain Invariance

We now give applications of the elementary domain invariance theorem in
various fields such as linear functional analysis and the geometry of Banach
spaces.
a. Domain invariance and invertibility of linear operators

We begin with two simple propositions:
(3.1) PROPOSITION. Let T : E ~ E be a linear operator in a Banach
space. If III - Til < 1, then T is invertible , and
1
liT-III ::; 1 - III - Til
PROOF. The map I - T : E ~ E is contractive, since

11(1 - T)(x - y)11 ::; III - Tlllix - yll ,
so by (1.2.2), the map I - (1 - T) = T is a homeomorphism, therefore
invertible. The bound for the norm follows from
(3.2) PROPOSITION. Let T : E ~ E be an invertible linear operator in a

Banach space. Then each linear operator S with liT - SII < l/IIT- I II
is invertible, and
PROOF. Because T is invertible, it is enough to show that J = So T- 1 is

invertible, for then S = JoT has T- 1 J- 1 as inverse. From
III - JII = III - ST- 1 = I (T - S) 0 T- 11 ~ liT - SIIIIT- 111 < 1
11
and (3.1) we find that J is in fact invertible; and since S-l = T- 1 J-1, the
norm estimate follows from (3.1). 0
These results lead to
(3.3) THEOREM. Let E be a Banach space and J21 C 2(E, E) the set of all
invertible linear operators. Let Inv : J21 ---+ J21 be the map T I-t T- 1 .
Then J21 is open in 2(E, E) and Inv is a homeomorphism of J21 onto
itself.
PROOF. By (3.2), for each T E J21, the ball B(T, 1/(21IT-111)) is also con-
tained in J21; therefore J21 is open in 2(E, E). To prove that Inv is continuous
at any given T E J21, it is enough to note that if S E B(T, 1/(21IT- 111)), so
that 111- ST- 1 11 < ~, then by (3.2) we have S E J21 and
IIS- 1- T- 111 = IIT- 1(T - S)S - lll
< IIT- 111 2 liT _ SII < 211T- 1 11 2 11T - SII·
1-III - ST-11I - ,
and since Inv 0 Inv = id, it follows that Inv is a homeomorphism. 0
Let E, F be Banach spaces and S : E ---+ F a linear operator. If there is
some m > 0 such that IISxll F : : : mllxll E for all x E E, then it is immediate
that S is injective; if such an S is also surjective, then it is invertible because
IIS-1yIIE ~ (l/m)llyIIF for all y E F shows that the inverse is continuous.
The following result extends this observation to suitable perturbations of
such operators, and is of importance in work with "a priori" estimates for
linear differential operators.
(3.4) THEOREM (Schauder invertibility theorem). Let E, F be Banach
spaces and S, T : E ---+ F two linear operators, with S invertible.
Assume that there is an m > 0 such that for each 0 ~ t ~ 1, the
operator L t = (1 - t)S + tT satisfies IILtxll F : : : mllxll E for all x E E.
Then L t is invertible for all 0 :::; t :::; 1, and in particular , T is
invertible.
PROOF. We begin by showing that if an operator Ls is invertible, then for
each t in the open interval J s = {t I It - sl < m/IIT - SII}, the operator
L t is invertible or, what is equivalent, that L-;l L t : E ---+ E is invertible for
each t E J s . For this purpose, note that
Lt = S + s(T - S) + (t - s)(T - S) = Ls + (t - s)(T - S),
so that
L;l L t = 1+ (t - s)L;l(T - S).
Because IILsxll F 2: mllxll E , we have IIL;lll ::; 11m, so for t E J s, we find
II(t - S)L;l(T - S)II ::; It - sl~IIT

m
- SII,
and by (3.1), the operator L;l L t is therefore invertible.

To prove the theorem, let , / = {t E [0,1]1 L t is invertible}. By what we
have just shown, ,/ is an open set. If t tf. ,/, then again by what we have
just shown, no operator Ls with s E J t can be invertible, so that [0,1]- ,/
is also an open set. Because [0, 1] is connected and , / is nonempty, we
conclude that , / = [0, 1]. 0
b. The inverse function theorem
As another application we obtain a standard theorem in analysis:

(3.5) THEOREM (Inverse function theorem). Let E be a Banach space,
U c E open, and f : U --+ E a C 1 map. Assume that at some
Xo E U , the derivative D f(xo) : E --+ E is an isomorphism. Then
there exists a neighborhood V of Xo and a neighborhood W of f(xo)
such that:
(1) Df(x) : E --+ E is invertible for each x E V,
(2) flV: V --+ W is a homeomorphism of V onto W,
(3) the inverse g : W --+ V of flV is differentiable at each w E W
and Dg(w) = [Df(gw)r\
(4) the map w f-t Dg(w) of W into '!£(E, E) is continuous.
PROOF. We first consider the special case where Xo = 0, f(O) = 0, and
D f(O) = I. Because the set of invertible operators is open in '!£(E, E) and
x f-t Df(x) is continuous with Df(O) invertible, we can find a ball B with
o E Be U on which Df(x) is invertible.
Define F : B --+ E by F(x) = x - f(x). Then F is a C 1 map, DF(O) =
1- D f(O) = 0, and because F is continuously differentiable , there is a ball
V with 0 EVe B such that M = sup{IIDF(x)11 I x E V} < ~. The map
F : V --+ E is contractive: for, by the mean value theorem,
IIF(xd - F(X2) II ::; Mllx1 - x211 :s; ~ IIx1 - x211 for all Xl, x2 E V
Thus, by (1.2.1), the map f : V --+ E is a homeomorphism onto the open
set W = f(V) containing f(O) = 0, and the proof of both (1) and (2) is
complete. We observe, for later reference, that if x, a E V, then
Ilx - all-Ilf(x) - f(a)11 ::; IIF(x) - F(a)11 ::; ~llx - all,

so that
Ilx - all:=; 21If(x) - f(a)ll·
We now prove (3). Let 9 : W ----> V be the inverse of flV. Given y, bE W,
let g(b) = a, g(y) = x, and write Df(a) = T. By the differentiability of f at
a, we have
f(x) - f(a) = T(x - a) + tp(x, a),
where tp(x, a)/llx - all ----> 0 as Ilx - all ----> O. Applying T- 1 to this expression
and noting that f(x) = y, f(a) = b, we find
T-1(y - b) = g(y) - g(b) + T - 1tp[g(y),g(b)]
so it suffices to show that
R = IIT-1tp[g(y),g(b)]11 ----> 0 as Ily - bll ----> O.
Ily - bll
Because glW : W ----> V is bijective, we have
R < IIT-1111Itp[g(y), g(b)]llllg(y) - g(b)11
- Ilg(y) - g(b)11 Ily - bll
< 21IT- 1 11 Iltp [g(y),g(b)lll = 21IT- 1 11 1Itp (x,a)11
- Ilg(y)-g(b)11 IIx-all'
where we have used the observation above that Ilx - all:=; 21If(x) - f(a)11
on V, i.e. , Ilg(y)-g(b)11 :=; 211y-bll on W. Thus, as Ily-bil ----> 0, the continuity
of 9 shows that Ilx - all ----> 0, and therefore R ----> O. This completes the proof
of (3).
To prove (4) , we note that W I----t Dg( w) is the composition Inv oD fog
of three continuous maps, so it is continuous on W.
This completes the proof of the theorem in the special case where f (0) = 0
and D f(O) = I. To prove the theorem as it is stated, apply this special case
to the function
h(x) = [Df(xo)r1(f(x + xo) - f(xo)). o
c. Stability of open embeddings and monotone operators
We now apply elementary domain invariance to stability of open embeddings

into Banach spaces.
(3.6) THEOREM. Let X be any space, E a Banach space, and F : X ----> E
an embedding of X onto an open U c E. Let G : X ----> E be a map
such that Go F- 1 : U ----> E is contractive. Then x I----t Fx + Gx is also
an open embedding of X into E.
PROOF. Consider h = (P + G) 0 F- 1 = 1 + GP- 1 : U ----t E. By domain

invariance this h maps U homeomorphically onto an open h(U) c E. Since
F + G = h 0 F, the proof is complete. 0
As an evident consequence we obtain the stability property of Lip-
schitzian open embeddings into Banach spaces.
(3.7) THEOREM. Let X be a metric space and E a Banach space, and let
F : X ----t E be an open embedding such that F- 1 is Lipschitzian. Let
G : X ----t E be a Lipschitzian map such that L( G)L(p-l) < 1. Then
x f-+ Fx + Gx is also an open embedding of X into E.
PROOF. It is enough to observe that L(G 0 F- 1 ) ::; L(G)L(P-l) and to
apply (3.6). 0
We next derive some simple facts about monotone operators in Hilbert
spaces.
Let H be a Hilbert space and U c H. A map f : U ----t H (not necessarily
continuous) is said to be monotone if
(i) (Jx - fy, x - y) 2: 0 for all x, y E U;
f is called strongly monotone if for some C > 0,
(ii) (Jx - fy, x - y) 2: Cllx - yl12 for all x, y E U.
Clearly, every strongly monotone map is injective.
(3.8) THEOREM. Let U c H be open , and let f : U ----t H be Lipschitzian
and strongly monotone, i.e.,
Ilfx - fyll ::; Mllx - yll for all x, y E U and some M > 0
and
(Jx - fy , x - y) 2: Cllx - Yl12 for all x, y E U.
Then f is an open map, in particular f (U) is open in H, and f is a
homeomorphism of U onto f(U).
PROOF. It is clearly enough to show that for a sufficiently small A, the map
Af is a contractive field. Given A > 0, we have for x, y E U,
11(1 - Af)X - (I - Af)Yl12
= Ilx - Yl12 + A211fx - fYl12 - 2A(JX - fy, x - y)
::; Ilx - Yl12 + M2 A211x _ Yl12 _ 2AClix _ Yl12
::; (1 + M2 A2 - 2AC)llx _ Y112.
Fix A < 2C / M2; then 1 + M2 A2 - 2AC < I, and therefore 1 - Af is a
contraction; our assertion now follows from (1.2.1) . 0
As a corollary we have
(3.9) THEOREM. Let f : H --t H be a Lipschitzian and strongly monotone
map. Then f is a homeomorphism of H onto itself.
PROOF. By (3.8) it is enough to show that f(H) is closed in H. Let fXn --t y;
from (ii) and the Cauchy inequality we get
Ilfxn - fXml1 2: Cllxn - xmll for all n , m 2: 1,
and hence {xn} is a Cauchy sequence. Let Xn --t X; then fXn --t fx, and
hence y = fx. 0
d. Application to negligible sets

A subset B of a space Y is called negligible whenever Y - B is homeomorphic
to Y; a homeomorphism h : Y - B ;:::; Y is called a deleting homeomorphism.
We now show that any complete subset of a noncomplete normed linear
space is negligible.
(3.10) THEOREM. Let E be a noncomplete normed linear space and C a
complete subset of E. Then there is a homeomorphism h : E - C ;:::; E
with h(x) = x whenever d(x, C) 2: 1.
PROOF. Let E be the completion of E; taken with the natural extension of
the given norm, E is a Banach space. Let {xn} be a Cauchy sequence in E
converging to some point in E - E , with IIXIII + L~=l Ilxn - xn+lll < 00;
since no scalar multiple of a point in E - E can belong to E, replacing all the
Xn by a suitable scalar multiple, we can assume that {xn} C E converges
to Yo E E - E and IlxI11 + L~=l Ilxn - xn+lll = ~.
Let Xo = 0, and let LeE be the jagged line in E consisting of the
segments [xo, Xl] U [Xl, X2] U ... ; we construct a piecewise linear map cp of
the unit interval [0,1] onto L U {Yo} as follows: let So = 0 and for n 2: 1,
let Sn be the nth partial sum of the series with sum ~; for each n 2: 0,
map the interval [2s n ,2s n+l ] linearly onto the segment [xn , Xn+l] and set
cp(1) = Yo. It is clear that Icp(t) - cp(t')1 = ~It - t'l whenever t, t' belong
to a common interval [2s n ,2s n + l ], so by the triangle inequality, we have
Icp(t) - cp(t') I ::; ~It - t'l for all t , t' E I. Extend cp to a map of (-00,1] into
E by cp(t) = 0 for t < O.
Now let H : E --t E be the map X f---+ cp[1 - d(x, C)]. This map is
contractive, because
Ilcp[1 - d(x, C)]- cp[1 - d(z, C)]II ::; ~lld(z, C) - d(x, C)II ::; ~llx - zll;
therefore, by (1.2.1), the map h(x) = X - H(x) is a homeomorphism of E
onto itself.
It is clear that h(E - C) C E; for if x E E - C , then d(x , C) > 0, so

H(x) E E, and therefore h(x) = x - H(x) also belongs to E. To establish
the converse inclusion, assume x rj. E - C, so that x E (E - E) U C; if
x E E - E , then d(x, C) > 0, so H(x) E E , while if x E C, then x E E and
H(x) = Yo rj. E; in both cases, exactly one of x , H(x) belongs to E, so we
conclude that h(x) = x - H(x) rj. E. Thus h(E - C) ::::::: E. 0
The class of linear spaces for which such deleting homeomorphisms exist
is very broad because of
(3.11) LEMMA. Every infinite-dimensional Banach space (E, 11·11) admits a
noncomplete norm 1·1 with Ixl : : :; Ilxll for all x E E.
PROOF. Assume first that E is separable. Choose a countable separat-
ing family {fn I n = 1,2, . .. } of continuous linear functionals such that
Ifn(x)1 :::::; (l/n)llxll for each n, and define T : E --- l2 by T(x) = Un(x)} .
This is a continuous linear operator, and T : E --- T(E) is bijective be-
cause the family Un} is separating. If the linear subspace T(E) C l2 were
complete, then because a bijective continuous linear map of Banach spaces
is a homeomorphism, the inverse T- 1 : T(E) --- E would be continuous;
but this is impossible because T{x Illxll :::::; I} is easily seen to be compact ,
and E is infinite-dimensional. Thus, the l2 norm on T(E) is not complete,
and defining Ilxllo = IIT(x)11 gives an incomplete norm on E. We note that
IIxllo :::::; J2:(1/n2) Ilxll, so that II . 110 is continuous.
Now let E be arbitrary. Pick a separable infinite-dimensional closed linear
subspace LeE and an incomplete norm II . 110 on L. Let A = {x ELI
Ilxllo < I} ; because 11·110 is continuous, there is an E > 0 such that L n {x I
Ilxll < c} c A. Let C = conv[A U {x I Ilxll < E}l; since C is a symmetric
convex body with no rays, the Minkowski functional 'Pc gives a norm, and
because 'Pc(x) = Ilxllo for x E L, that norm is not complete. Finally, the
continuity of 'Pc implies that
b = sup{'Pc(x) Illxll :::::; I}
is finite, so Ixl = b-1'Pc(x) is an incomplete norm with Ixl : : :; Ilxll. 0
Combining this with (3.10) gives
(3.12) THEOREM (Klee). Let E be an arbitrary infinite-dimensional normed
linear space , and C c E compact. Then there is a homeomorphism
h: E- C::::::: E .
PROOF. We can assume that E is a Banach space , else the result follows
directly from (3.10). By (3.11) , there is an incomplete norm Ixl : : :; Ilxll ;
denote (E , I .I) by E; the identity map j : E --- E is therefore con-
tinuous, so C = j(C) is compact, therefore complete, in E. By (3.10),

there is a deleting homeomorphism h : E - C ~ E given by h(x) =
x - <?[1 - d(x, C)], where d is the norm-induced metric and <? is a piecewise
linear map <? : (-00, 1) --t E.
Because <? is piecewise linear, it is continuous with any linear topology
in the range space, so regarding it as a map <p : (-00,1) --t E we have <p
continuous and j 0 <p = <? Now define h : E - C --t E by
h(x) = x - <p[1 - d(j(x), C)];
this map is clearly continuous and makes the diagram
E-C~E
j 1 1j
E- C ---;:---*
h
E
commutative. Finally, define 9 : E --t E - C by
g(x) = x + <p[1 - d(h-1j(x), C)];
this map is also continuous. We have
g[h(x)] = h(x) + <p[1 - d(h- 1jh(x), C)]
= {x - <p[1 - d(j(x), C)]} + <p[1 - d(h-1hj(x), C)]
=x,
and similarly hog = id. Thus, h : E - C --t E is a homeomorphism having
9 as its inverse. 0
4. Elementary KKM-Principle and Its Applications

In this section we present a version of the geometric KKM-principle that
permits us to establish in an elementary manner a large number of important
results in Hilbert space theory. The approach, in which neither the weak
topology nor compactness are used, is based on some simple intersection
property of convex sets in Hilbert spaces.
a. Basic intersection property of convex sets in Hilbert spaces
Let (H, II . II) be a Hilbert space. From the parallelogram equality it follows
immediately that the norm II· II in H is uniformly convex, i.e., if {x n } and
{Yn} are sequences in H such that the numerical sequences IIxnll, llYn II , and
~lIxn + Ynll converge to 1, then the sequence {lIx n - Ynll} tends to O.
The following preliminary result will be of importance.
(4.1) LEMMA. Let (H, II· II) be a Hilbert space and {Cn} be a decreasing
sequence of nonempty closed convex subsets of H. Suppose that d =
sUPn d(O, Cn) is finite. Then there exists a unique point x E n C n
such that II xii = d.
PROOF. Letting Pn = Cn n K(O, d + lin) for each n = 1,2, ... , we obtain

a decreasing sequence {Pn } of nonempty closed and convex sets and we
show that <5(Pn ) -+ 0, where <5(Pn ) is the diameter of Pn . Indeed, for any n,
let x n , Yn E Pn be such that <5(Pn ) ::; Ilx n - Ynll + lin; since the point
~(Xn +Yn) also belongs to Pn, the values Ilxnll, IIYnll, and ~llxn +Ynillie
between d(O, Cn) and d + lin, and therefore the three sequences converge
to d. By the uniform convexity of the norm, we infer that Ilx n - Ynll -+ 0,
and consequently <5(Pn ) -+ 0. Applying now the Cantor theorem, we get a
unique point x E n Pn ; for this point we have d(O, Cn) ::; Ilxll ::; d + lin for
each n, implying that Ilxll = d. 0
We are now in a position to prove the desired result:
(4.2) THEOREM (Intersection property). Let {Ci liE I} be a family of

closed convex sets in a Hilbert space H with the finite intersection
property. If Cia is bounded for some io E I, then the intersection
n{ C i liE I} is not empty.
PROOF. Let (1) be the set of all finite subsets of I containing io. For
any J E (1), let C J = n{ Cj I j E J} and note that since each C J is a
nonempty closed convex subset of Cia' the supremum d = SUPJE(I) d(O, C J )
is finite.
Let {In } be an increasing sequence of sets in (1) with d(O, CJJ "2:': d-lln.
Then {CI n } is a decreasing sequence of nonempty closed convex sets in H
such that d = sUPn d(O, CJJ. Applying Lemma (4.1), we get a unique point
x E nn C Jn with Ilxll = d.
Next, let J E (1) be arbitrary, and set C n = C J n C Jn . Again, {Cn }
is a decreasing sequence of nonempty closed convex sets in H such that
d = sUPn d(O, Cn), so by Lemma (4.1), there is a unique point x' E nn C n =
C J n nn C Jn with Ilx/ll = d. By the uniqueness it is evident that x = x'
belongs to C J .
Finally, we observe that the point x belongs to C J for all J E (1), which
proves that the set n{ C i liE I} ~ n{ C J I J E (I)} is not empty. 0
Using (4.2) and the basic geometric property (3.1.4) of KKM-maps, we

obtain the desired version of the geometric KKM-principle:
(4.3) THEOREM (Elementary KKM-principle). Let H be a Hilbert space,

X a nonempty subset of H, and G : X --> 2H a KKM-map with
closed convex values such that Gxo is bounded for some Xo EX.
Then the intersection n{ Gx I x E X} is not empty. 0
In the remaining part of this section we give a number of applications of
Theorem (4.3).
b. Theorem of Stampacchia
A function R on a subset of a normed linear space is said to
be coercive if {x E X I <p( x) ~ r} is bounded for each r E R. If H is a
Hilbert space, a bilinear form a : H x H --> R is coercive if the function
x r--+ a(x , x)/llxll is coercive on H - {O}.
(4.4) THEOREM (Stampacchia). Let C be a nonempty closed convex subset
of a Hilbert space H, a : H x H --> R a continuous coercive bilinear
form, and 1 : H --> R a continuous linear form. Then there exists a
unique point Yo E C such that a(yo , Yo - x) ~ l(yo - x) for all x E C .
PROOF. It follows from the coercivity of a that a(x , x) > 0 for all x i=- 0, so
there can be at most one solution. Consider the map G : C --> 2c given by
Gx = {y E C I a(y, y - x) ~ l(y - x)}.
It is easy to check that the values of G are closed, convex (since x r--+ a (x, x)
is continuous and convex) and bounded (because a is coercive); furthermore,
since x E Gx, and the cofibers of G are convex, it follows from (3.1.2) that
G is a KKM-map. Therefore, by (4.3), there is a Yo E nXEC Gx, which was
to be proved. 0
We note that the special case C = H of (4.4) yields
(4.5) THEOREM (Lax- Milgram- Vishik). Let a: H x H --> R be a contin-
uous coercive bilinear form. Then for any continuous linear form I :
H --> R there exists a unique point Yo E H such that a(yO , x) = l(x)
for all x E H.
PROOF. By the Stampacchia theorem, because C = H, there exists a unique
Yo E H such that a(yO, z) ~ l(z) for all z E H; replacing in this inequality z
by -z we obtain a(yo, z) 2: l(z) for all z E H , and the conclusion follows. 0
c. Variational inequalities. Theorem of Hartman - Stampacchia

We now extend the above results to a certain class of nonlinear operators
that we describe below. Let H be a Hilbert space and C be any subset
of H. We recall that an operator f : C --> H is said to be monotone on C
if (f(y) - f(x),y - x) ~ 0 for all x,y E C. We say that f : C ...-., H

is hemicontinuous if the function [0,1] :3 t t---t (f(y + t(x - V)), x - y) is
continuous at 0 for all x, y E C, and coercive if for some Xo E C the function
x t---t (f(x), x - xo)/llx - xoll is coercive on C - {xo}.
(4.6) THEOREM (Hartman- Stampacchia). Let C be a nonempty closed
convex subset of H, f : C ...-., H monotone coercive hemicontinuous,
and l : H ...-., R a continuous linear form. Then there exists a point
Yo E C such that (f(yo), Yo - x) ::; l(yo - x) for all x E C.
PROOF. We consider only the case of a bounded C; an easy proof of the
general case is left to the reader. Define G, F : C ...-., 2c by
Gx = {y E C I (f(y), y - x) ::; l(y - x)},
Fx = {y E C I (f(x), y - x) ::; l(y - x)}.
Because f is monotone, we have
(f(y) , y - x) ~ (f(x), y - x) for all x, y E C ,
and therefore Gx c Fx for each x E C. Observe that x E Gx and that the
cofibers of G are convex; thus, by (3.1.2), G is a KKM-map; consequently,
so is the map F. Since by definition the values of F are convex and closed,
we infer by (4.3) that for some Yo E C we have Yo E nxEc Fx , and thus
(f(z), Yo - z) ::; l(yo - z) for all z E C.
Choose any x E C and let Zt = Yo + t(x - Yo) for t E [0,1]. We have
(f(yo + t(x - Yo)), Yo - x) ::; l(yo - x) for t > O.
Now let t ...-., 0; the hemicontinuity of f gives (f(yo), Yo - x) ::; l(yo - x).
Since x was arbitrary, the conclusion follows. 0
As an immediate consequence we obtain
(4.7) THEOREM (Minty- Browder). Let f : H ...-., H be a monotone coercive
hemicontinuous operator. Then for any continuous linear form l :
H ...-., R there exists a point Yo E H such that (f (Yo), x) = l (x) for
all x E H. 0
As another consequence of Theorem (4.6), we get a version of the fixed
point theorem of Browder- Gohde- Kirk:
(4.8) THEOREM. Let C be a nonempty closed convex bounded subset of H,
and let F : C ...-., H be non expansive (i.e., IIF(x) - F(y)11 ::; Ilx - yll
for all x, y E C). Suppose that for each x E C with x i F (x) the
line segment [x, F(x)] contains at least two points of C. Then F has
a fixed point.
PROOF. Since F is nonexpansive, the operator f(x) = x-F(x) from C to H

is monotone continuous. Applying Theorem (4.6) we get a point Yo E C such
that (Yo - F(yo), Yo - x) ::; 0 for all x E C. Since for some t > 0 the point
Yo +t(F(yo) -yo) lies in C, we can insert that value into the above inequality
to get (YO - F(yo), F(yo) - Yo) 20, showing that Yo is a fixed point for F. 0
d. Maximal monotone operators

We conclude this section by deriving some basic facts in the theory of
maximal monotone operators in a Hilbert space H. A set-valued operator
T : H --> 2H is said to be monotone if (y* - x* , y - x) 2 0 whenever x* E Tx
and y* E Ty, and maximal monotone if it is monotone and maximal in the
set of all monotone operators from H into 2H ordered by S ::; T if Sx c Tx
for all x E H. In what follows, we denote by D(T) the domain of T, i.e.,
D(T) = {y E H I Ty i f/J}.
It is clear from the definitions that:
(1) if T is monotone, then
sup (x*, y - x) < 00 for all x E D(T) and y E Conv D(T),
x*ETx
(2) if T is maximal monotone, then y* E Ty whenever

(x* - y*,x - y) 20 for all x E D(T) and x* E Tx.
For the proof of our main result, we need
(4.9) LEMMA. Let E be a vector space, C c E convex, and D an arbitrary
subset of C. Let 9 : D x C --> R be a function such that:
(a) g(x, y) + g(y, x) ::; 0 for all (x, y) E D x D,
(b) y f-+ g(x,y) is convex on C for each xED.
Then the map 9 : D --> 2c given by 9x = {y E C I g(x, y) ::; O} is a
KKM-map.
PROOF. Let A = {Xl, ... ,Xn} C D, and let Yo = 2:~=1 .Ai Xi be a convex
combination of the Xi'S; we are going to show that yo E 9(A).
In view of (a), we have
g(Xi,Xj) + g(Xj, Xi) ::; 0 for all i,j E [n].
So, multiplying by .Ai and summing over i, we find
n n
i=l i=l
and therefore, because y f-+ g(x, y) is convex, we get

n
L .Aig(Xi, Xj) + g(Xj, YO) ::; 0 for every j E [n].
i=l
By multiplying each of the above inequalities by >"j, then summing over all
j, and using the convexity of y f-t g(x, y), we finally get
n n
L >"ig(Xi, YO) + L >"jg(Xj, YO) :::; o.
i=l j=l
This implies that g(Xi' Yo) :::; 0 for at least one point Xi, i.e., Yo E U~l YXi,
as asserted. 0
We are now able to prove the desired result:
(4.10) THEOREM. Let T : H -+ 2H be a monotone set-valued operator
and u : H -+ H be a single-valued, linear, monotone, and bounded
operator. Set D = D(T) and C = Conv D(T). Assume that for some
Xo ED the set
{yECI sup (u(y)+x*,y-xo) :::;O}
x' ETxo
is bounded. Then there is a point Yo E C such that

sup (u(yo)+x*,yo-x):::;O for all xED.
x'ETx
PROOF. We show that the map G: D -+ 2c defined by

Gx={yECI sup (u(y)+x*,y-x):::;O} forxED
x'ETx
satisfies all the conditions of the elementary KKM-principle (4.3).

First, we show that G is a KKM-map. To this end consider the function
f : C x D x C -+ R given by
f(t;., x, y) = sup (u(t;.) + x*, Y - x).
x'ETx
Because T is monotone, f is well defined and satisfies the following condi-

tions:
(a) f(t;., x, y) + f(t;., y, x) :::; 0 for all (x, y) E D x D and all t;. E C,
(b) y f-t f(t;.,x,y) is convex on C for each xED and each t;. E C.
Now, observe that using f, we can equivalently describe G : D -+ 2 c as
Gx = {y E C I f(y, x, y) :::; o}.
To show that G is KKM, let A = {Xl, ... , Xn} C D and let Yo E [A].
Define 9 : A x [A] -+ R by g(x, y) = f(yo, x, y). It follows from (a) and
(b) that g satisfies the conditions of (4.9), so the map y : A -+ 2[A] given
by YX = {y E [A] I g(x, y) :::; O} is KKM. This implies in particular that
Yo E YXi for some Xi E A, which means that f(yo, Xi, Yo) = g(Xi' YO) :::; 0,
that is, Yo E GXi. The proof that Gis KKM is complete.
On the other hand, the values of G are closed and convex (because the
function y f--+ (u(y) , y) is continuous and convex on C), and the value Gxo
is bounded by assumption. By the elementary KKM-principle (4.3), we get
n{GxlxED}1=0. 0
(4.11) COROLLARY (Minty). Let T : H --> 2H be a maximal monotone
operator. Then:
(a) J + T is surjective (I denotes the identity operator on H) ,
(b) if D(T) is bounded, then T is surjective.
PROOF. (a) It is clearly enough to show that 0 E (J +T)(H). By (4.10) with
u = J, there is Yo E C = Conv D(T) such that
(x* - (-Yo) , x - Yo) 2: 0 for all x E D(T) and x* E Tx.
Because T is maximal monotone, we derive that -Yo E Tyo , or equivalently,
that 0 E Yo + Tyo.
(b) As in (a), it is sufficient to show that 0 E T(H). Since T is maxi-
mal, D(T) is not empty, and therefore C is closed, convex, bounded, and
nonempty. By (4.10) with u = 0, we find Yo E C such that
(x*, x - Yo) 2: 0 for all x E D(T) and x* E Tx.
Since T is maximal monotone, this implies that 0 E Tyo. o
5. Theorems of Mazur-Orlicz and Hahn-Banach
In this section, using the Markoff- Kakutani theorem, Theorem (3.2.2) and
the fact that a Tychonoff cube is compact, we derive some basic facts of
linear functional analysis.
Let E be a vector space and E' the algebraic dual of E. We recall that
a functional p : E --> R is said to be sublinear if
(i) p(x + y) :s: p(x) + p(y) for all x, y E E,
(ii) p(o:x) = o:p(x) for all 0: 2: 0 and x E E.
Note that if p is sublinear, then 0 = p(O) = p(x + (-x)) :s: p(x) + p(-x),
and therefore
(iii) -p( -x) :s: p(x) for each x E E.
(5.1) LEMMA (Banach). Let p : E --> R be a sublinear functional. Then

there exists an fEE' such that f (x) :s: p( x) for all x E E.
PROOF. Let X = RE be the linear topological space of maps E --> R

equipped with the product topology; clearly, X has sufficiently many linear
functionals (the evaluation maps f ~ f(x) are in fact linear and continuous
from RE to R). Consider now the sets
Xo = II [-p( -x),p(x)],
xEE
Xl ={g E Xo I -p( -x) :S g(x + y) - g(y) :S p(x) for all x, y E E};
clearly, both Xo and Xl are nonempty (because from -p(y-x) :S p(x) -p(y)
:S p(x - y) it follows that p E Xl). They are both convex and compact (by
the Tychonoff theorem).
We define a family {Ty lyE E} of maps Ty : Xl ---+ Xl by
(Tyg)(x) = g(x + y) - g(y) for x E E.
Clearly, the family {Ty} consists of continuous affine maps and is commuting.
By the Markoff-Kakutani fixed point theorem, there exists an f E Xl such
that
Ty f = f for all y E E,
i.e., f(x + y) = f(x) + f(y) for all X,y E E.

Note that the additivity of f gives f(rx) = rf(x) for each r E Q. Let A
be any real number, and {rn} be a sequence of rational numbers such that
r n ---+ A and r n < A. Because f is in Xl, we have
-(A - rn)P(-x) :S f(AX) - f(rnx) :S (A - rn)P(x),
and therefore f(AX) = limf(rnx) = limrnf(x) = Af(x). Thus, f E E' and
f(x) :S p(x) for all x E E. 0
(5.2) LEMMA. Let p : E ---+ R be a sublinear functional and Xo E E. Then

there exists an f E E' such that f(xo) = p(xo) and f(x) :S p(x) for
all x E E.
PROOF. Define p* : E ---+ R by
p*(x) = inf{p(x + AXo) - Ap(XO) I A 20}, x E E.

Clearly, because -p( -x) :S p* (x) :S p( x) for all x E E, p* is well defined
and p* :S p. Since for each a > 0,
p*(ax) = inf{p(ax + AXo) - Ap(XO) I A 2 O}
= inf{a[p(x + (A/a)xo) - (A/a)p(xo)ll A 2 O}
= ainf{p(x + A/XO) - A/p(XO) I A/ = Aa- l 2 O} = ap*(x),
p* is positively homogeneous. Now, for Xl, X2 E E and fixed c > 0 take
Al, A2 2 0 so that P*(Xi) 2 p(Xi + AiXO) - AiP(XO) - c for i = 1,2. Letting
f.L = )'1 + A2, and adding the above inequalities, we obtain

P*(Xl) + P*(X2) 2: P(Xl + A1XO) + P(X2 + A2 XO) - f.Lp(xo) - 2c
2: P(Xl + X2 + f.LXo) - f.Lp(xo) - 2c
2: P*(Xl + X2) - 2c,
and this (because c was arbitrary) implies that p* is sublinear. By Lemma
(5.1), there is a linear functional fEE' such that
f(x) :s: p*(x) :s: p(x) for all x E E.
Then
- f(xo) = f( -xo) :s: p* (-xo) :s: p( -Xo + AXo) - Ap(XO)
for all A 2: 0, which implies by putting A = 1 that - f(xo) :s: -p(xo), and
hence f(xo) = p(xo). 0
We are now in a position to prove the following fundamental result:
(5.3) THEOREM (Mazur- Orlicz). Let p : E -----) R be a sublinear functional.
Assume that we are given a family {Xt I t E T} of points in E and a
family {,Bt I t E T} of real numbers, both indexed by the same abstract
set T . Then the following two conditions are equivalent:
(A) there exists a linear functional fEE' such that f (x) :s: p( x) for
all x E E and ,Bt :s: f(xt) for all t E T,
(B) for every convex combination L~=l AiXti of points Xtj, ... ,Xt n
in E,
n n
L Ai,Bti :s: p( L AiXti )'

i=l i=l
PROOF. Clearly, (A)=>(B); we are going to show that (B) implies (A). Con-
sider the convex sets
Xo = II [-p( -x),p(x)],
xEE
Y = {f E E' I-p(-x) :s: f(x):S: p(x) for all x E E}.
By Lemma (5 .1), Y is nonempty, and because Y is closed in X o, it is also
compact.
Consider now the family tP = {'Pt I t E T} of continuous affine functions
'Pt : Y -----) R defined by 'Pt (f) = ,Bt - f (Xt) for fEY, and examine the
following two conditions:
(C) there exists an fEY such that
'Pt(f) = ,Bt - f(xt) :s: ° for all 'Pt E tP,
(D) for every convex combination 'Ij; = I: )..i'Pti E [<P] = conv<P of ele-
ments of <P, there is an fEY such that
'Ij; (f) = L )..dfJti - f(xtJ] :S 0.

We observe that (C) is clearly equivalent to (A) , and by (3.2.2) , also (C)
and (D) are equivalent.
It follows that it is enough to show that (B) implies (D). So assume
that (B) is true, and let 'Ij; = I: )..i'Pti E conv <P. By assumption we have
I: )..ifJti :S p(I: )"iXtJ. Let Xo = I: )..iXti; by Lemma (5.2), there is an fEY
such that f(xo) = p(xo) , so we have
L )..ifJti :S f ( L )..iXti ) ,
and thus 'Ij; (f) = I: )..i[fJti - f(xd] :S 0; hence (D) is true, and the proof is
complete. 0
As an immediate consequence we obtain a refined version of the Hahn-
Banach theorem:
(5.4) THEOREM . Let p : E -----t R be a sublinear functional, C a convex
subset of E and 9 : C -----t R a concave function such that g(y) :S p(y)
for all y E C. Then there is a linear functional fEE' such that
g(y) :S f(y) for all y E C and f(x) :S p(x) for all x E E.
PROOF. Take T = C, fJt = g(t), and Xt = t for t E C; then condition (B) of
(5 .3) is satisfied. Consequently, by the Mazur- Orlicz theorem, there exists a
linear functional fEE' such that f(x) :S p(x) for all x E E and g(t) :S f(t)
for all t E C . 0
Another consequence is concerned with an extended version of the clas-
sical moments problem:
(5.5) THEOREM. Let E b e anormed linear space, {Xm}~=l a given se-
quence in E , and {cm}~= l a sequence of real numbers. Then the
following two conditions are equivalent:
(A) there exists a linear functional f E E* such that f(x m ) 2': Cm for
all m = 1,2, ... and Ilfll :S M , where M > 0,
(B) for every convex combination I:~= l )..iXi of the points Xl,' .. , Xn
we have
t)..iCi:S
i=l
Mil t)..iXill·
i= l
PROOF . Clearly, it is enough to show that (B)=>(A). To this end, letting

p(x) = Mlixil for x E E, we apply (5.3) to the set T = N and the sequences
{xm} and fJm = em . 0
A. Applications oj the Banach theorem and oj related results to analysis
(A. 1) (Systems oj linear equations) Consider the infinite system of linear equations
00
Xi = LaijXj +bi, i=I,2, ... , bi,aijER,

j=1
and assume that one of the following conditions is satisfied:

(a) for some constants 0 ~ a < 1 and (3 > 0 we have
00
L laijl ~ a, Ibil ~ (3 for each i = 1,2, ... ,

j=1
(b) for some p > 1 we have
L00 laijIP/(P-l) )P-l <

00
L00 (
1, L Ibil P < 00,
i=1 j=1 i=1
(c) letting Ci = SUp{laijll j = 1, 2, ... }, we have
00
L Ibil < 00.

i=1
Prove: The system (*) has a unique solution in the space, respectively: m (the space of
bounded sequences with the sup norm) , lP and 11.
(A.2) (Integral equations) Let K : [a , bJ x [a, bJ -+ R be a measurable and square integrable
r/
function. Assume that for a real parameter >.,
1>'1 (J K(s, t)2 ds dt

2
< 1.
Show: The integral equation u(s) = J(s) + >. I K(s , t)u(t) dt (a ~ s ~ b), where J E
£2[a , bJ, has a unique solution u E £2[a,bJ.
(A .3) (Application oj the nonlinear alternative for contractive maps) We seek the solutions
to the initial value problem
X' (t) = J(t, x(t)), t E [0, TJ,

(P) {
x(O) = 0,
where J : [0, TJ x R ---t R is continuous. Suppose
(a) for each r > 0 there is an lr E R such that
IJ(t , x) - J(t , y)1 ~ lrlx - yl for all t E [0, TJ and x, y E [-r, rJ,
(b) there is a continuous function r.p : [0,(0) -+ (0,00) such that
IJ(t, x)1 ~ r.p(lxl) for all t E [0, TJ and x E R .
Prove: If T < 10
00
ds/r.p(s), then the initial value problem (P) has a unique solution
x E C 1 ([0, TJ).
[Consider the family of problems
(P A ) { xl(t) = )..f(t,x(t)), t E [O,Tj,

x(O) = 0,
depending on a parameter).. E [0,1]. Fix an M so that T < JoM ds/<.p(s) and show that
if x is a solution of the problem (P A ) for some ).., then Ix(t)1 < M for all t E [0, T]. Let
L = 1M be the constant given in (a), and define the norm II IlL in C([O, T]) by
IlxllL = sup{e-tLlx(t)11 t E [O,T]}.

Set U = {x E C([O, T]) Ilx(t)1 < M for all t E [0, T]} and prove that G :V --> C([O, T])
given by G(x)(t) = J~ f(s, x(s)) ds is contractive in the norm II IlL; conclude the argument
by showing that )"G has no fixed points on the boundary of U.]
B. Nonexpansive maps and monotone operators in Hilbert space

(B.1) Let f : A --> H be a map (not necessarily continuous) on a subset A C H.
° °
(a) f is monotone ¢} (fx - fy,x - y) 2 for all X,y E A.
(b) f is strictly monotone ¢} (fx - fy , x - y) > for all x , yEA, x =I- y.
(c) f is strongly monotone ¢} (fx - fy, x - y) 2 Cllx - Yl12 for all x, yEA and some
C > 0.
Show:
(i) Every contractive field is strictly monotone.
(ii) Every nonexpansive field is monotone.
(iii) Every strongly monotone map is injective.
(iv) f is strongly monotone with constant C if and only if 1:: f - I is monotone.
(v) If f is strongly monotone, then Ilfx - fyll 2 Cllx - yll·
(vi) If f : H --> H is differentiable, then f is strongly monotone if and only if
°
(Df(x)h, h) 2 CIIhl12 for some C > and all hE H.
(B .2) (Minimizing convex functionals) Let C C H be a closed convex set .
(a) Let <.p : C --> R be a quasi-convex l.s.c. coercive function. Prove: <.p attains its
minimum at some YO E C.
[For each x E C, let rx = {y Eel <.p(y) :::; <.p(x)} and apply (4.2) .]
(b) Let a : H x H --> R be a coercive continuous bilinear form, and let I : H --> R be a
continuous linear form. Show: There is a unique YO E C such that the following equivalent
properties hold:
(i) ~ [a(yo, yo - x) + a(yo - x, yo)] :::; l(yo - x) for all x E C,
(ii) the quadratic form x f-> <.p(x) = ~a(x,x) -l(x) on C attains its minimum at yo .
[Verify first that (i)¢}(ii); to prove (ii), apply (a) to the coercive convex function <.p.]
(B.3) (Nikodym theorem) Let C C H be closed convex. Show: There exists a retraction
r : H --> C with the following properties:
(i) If Xo E H , then r(xo) is the unique point in C with Ilxo -r(xo)11 = inf{llxo -xII I
x E C} = d(xo, C) .
(ii) For each Xo E H, the point r(xo) is a solution of the variational inequality
°
(r(xo) - xo, r(xo) - x) :::; for all x E C .
(iii) The retraction r is nonexpansive.
°
(iv) If C = Ho is a linear subspace of H, then r : H --> Ho is the orthogonal projection
(i.e., for each x E H, (x - r(x), y) = for all y E Ho).
(Parts (i) and (iv) are due to Nikodym [1931].)
(B.4) Let C be a closed convex set in R n and f : C -+ R be a C 1 function that attains

its minimum at Yo E C. Let F(x) = gradf(x). Show: (F(yo) , YO - x) SO for all x E C .
(B.5) (Complementarity problem) Let R+ = {x = (Xl, . .. ,xn) ERn I x i ~ for all i},
and let F : R n -+ Rn. The complementarity problem is to find yO E R+ such that
°
F(yo) E R+ and (F(yo) , YO) = 0.
(a) Show: The following statements are equivalent: (i) Yo E R+ is a solution of the
complementarity problem, (ii) (F(yo) , Yo - x) SO for all x E R+ .
[For (ii)=>(i) , note that if yO E R+ solves (ii) , then letting ei E R n be the standard
unit basis, we have x = Yo + ei E R+ for each i E [n], and therefore F(yo) E R+ by (ii) ;
°
deduce that (F(yo), YO) S and finally that (F(yo), YO) = 0.]
(b) Let F : R n -+ R n be strongly monotone and continuous on the cone R+. Show:
The complementarity problem for F has a unique solution.
(The above results are due to Karamardian [1972].)
°
(B.6) Let C = {x E H I IIxll S r} and f : C -+ H be monotone and hemicontinuous.
Prove: if f(y) I- >..y for all >.. < and lIyll = r , then there is Yo E C such that f(yo) = O.
[Apply (4.6) to get yO E C with (fyO , Yo - x) SO for all x E X, consider two cases:
lIyoll = rand Ilyoll < r .]
(B.7) Let f : H -+ H be monotone and hemicontinuous. Prove: If (jx , x)/llxll -+ 00
uniformly as IIxll -+ 00, then f is surjective (G . Minty).
[Given yO E H consider x >-> g(x) = f(x) - Yo and apply (B .6) to the map 9 : H -+ H
on a sufficiently large ball.]
(B.8) Let C C H be a closed convex set, and let r : H -+ C be the map sending each
x E H to its nearest point in C. Show: r: H -+ C is nonexpansive.
[Use the reasoning in the latter half of (1.4).]
(B .9) Show: The nonlinear alternative (1.5) for nonexpansive maps and its corollaries
°
(1.6)(a)- (d) remain valid if in (1.5) and (1.6) the closed ball in H is replaced by any
closed convex bounded subset C C H with E Int(C).
(B.lO) Let C be a bounded closed convex subset of a Hilbert space and § be a family of
commuting nonexpansive maps of C into C . Show: The maps in § have a common fixed
point (F . Browder) .
C. Nonexpansive maps in Banach spaces
(C.1) A Banach space is uniformly convex if there is a monotone increasing surjection

<p : [0,2] -+ [0, 1] continuous at 0, with <p(0) = 0, <p(2) = 1, such that Ilxll S 1, Ilyll S 1,
and Ilx - y ll ~ c: implies II(x + y) / 211 S 1 - <p(c:). Let r] : [0,1] -+ [0, 2] be the inverse of <po
(a) Let E be uniformly convex, and u , v two elements of E . Assume that there is an
x E E with Ilx - ull S R, Ilx - vII S R, IIx - (u + v)/211 ~ r > 0. Prove:
[Write r = (1 - (R - r)/ R)R.]

(b) Let E be a uniformly convex Banach space and C C E a closed bounded convex
set. Prove: Every nonexpansive F : C -+ C has a fixed point (Browder [1965], G6hde
[1965], Kirk [1965]).
(c) Let C be a closed convex set in a uniformly convex Banach space E. Show: For
each Xo E E, there is a unique u E C with Ilxo - ull = infCEC Ilxo - cli .
(C.2) Let K oo = {x = {xd E Co I lIxll = sUP1<i<oo IXi l ::; I} be the unit ball in co ·
Show that 'P: K oo --> K oo given by (Xl , X2 , . .. ) ~ (1 , Xl , X2, .. . ) is a nonexpansive map
without fixed points (Beals) .
(C .3) Let E be a Banach space. A set 8 c E is star-shaped if there is some p E 8 such
that tx + (1 - t)p E 8 for all x E 8 and 0 ::; t ::; 1. A set A c 8 is called an attractor for
a map F : 8 --> 8 provided
U Fn(x) n A =1= 0 for each x E 8.

n~l
(a) Let 8 be a compact star-shaped subset of a Banach space. Prove: Every nonex-
pansive F : 8 -+ 8 has a fixed point.
(b) Let 8 be a star-shaped subset of a Banach space and F : 8 --> 8 a nonexpansive
map with a compact attractor . Show: F has a fixed point (Gohde [1965]).
[Assuming, without loss of generality, that 0 E 8, establish that given J.. E (0 , 1) there
is a point x>. E 8 satisfying lix>. - FX>.II ::; d(l- J..), where d = 0(8); then find a point Y>.
in a compact attractor A of F such that Ily>. - Fn(>') (x>.) II ::; (1- J..) for a sufficiently large
integer n(J..). Establish the inequality liy>. - FY>.1i ::; (1 - J..)(d + 2) and use compactness
of A to conclude the proof.]
(C.4) Let E be a Banach space, and ACE any nonempty subset. Let
ratA) = inf{r I A c B(a,r)} (a E A),

r(A) = inf{ra(A) Ia E A} ,
C(A) = {a E A I ratA) = r(A)}.
(a) Let A be a bounded closed set. Show: O[C(A)] ::; r(A) .

(b) Let K be a bounded closed convex set and T : K --> K nonexpansive . Prove: If
ConvT(K) = T(K) , then T[C(K)] C C(K).
(c) A convex set K in a Banach space is said to have normal structure if r(D) < olD)
for each bounded closed convex D C K with OlD) > O.
Let E be a reflexive Banach space, and K a non empty bounded closed convex set
with normal structure. Prove: If O(K) > 0, then C(K) is a nonempty proper closed convex
subset of K (BrodskiY- Milman [1948]) .
[Observe K C B(u , r) <* u E n{B(x,r) I x E K}. Next note that for each € > 0, the
set C,,(K) = n{B(x,r(K) +c:) lx E K} =1= 0 and that C(K) = mC,,(K) I c: > O} . Now use
the Mazur- Smulian theorem.]
(d) The Hilbert space 12 renormed by Ilxli = sUPn V2:i g x;,
IXnl} is reflexive. Let
K = {x Il lx ll :S 1 and X i 2: 0 for all i}. Show: K is a closed bounded convex set that does
not have normal structure.
(e) Prove: If E is a uniformly convex Banach space, then every bounded closed convex
set has normal structure (Brodskil- Milman [1948]) .
(C.5) Let E be a reflexive Banach space , and K a nonempty bounded closed convex set
with normal structure. Prove: Every non expansive T : K --> K has a fixed point (Kirk
[1965]) .
[Use the Kuratowski- Zorn lemma to find a minimal nonempty closed convex Ko c K
with T(Ko) c Ko; show that ConvT(Ko) = Ko; then apply (C.4)(b) and (c).]
(C.6) The following example of Alspach [1981J shows that if C is a weakly compact convex
set in a Banach space, then a nonexpansive T : C --> C need not have a fixed point.
Let T : ]2 --> ]2 be the "baker's transformation"
T(x ) _ { (x/2, 2y), o::;y::;i,

,y - (x/2 + 1/2, 2y - 1), ~<y::;l,
which can be visualized as first squeezing]2 into the rectangle {(x,y) 10::; x::; ~, 0::;
y ::; 2}, then cutting off the top half and placing it next to the lower half. It is known that
T is measure-preserving, i.e. , J-t(T A) = J-t(A) for every measurable A C ]2 .
In L1(]) with the usual norm IIfll = II If I, consider the weakly compact subset
C = {j E L1(]) 10::; f::; 1, IIf = ~}.

For each f E C, let
Tf(x) = {min[2 f (2X), 1], o::;x::;~,
max[2f(2x - 1) - 1,0], ~<x::;l
(the graph of Tf is that obtained from the graph of f after the top half of the squeezed
rectangle is placed next to the lower half). Prove: (a) T is an isometry C --> C, (b) T has
no fixed point.
[(a) Observe that if AI is the ordinal set {(x,y) E ]2 I y ::; f(x)}, then Ilf - gil =
the measure of the symmetric difference A I 6Ag of the ordinal sets, and recall that T is
measure-preserving. (b) If T f = f, then either f = 0 or f = 1 a.e.; but then II f -1= ~ . J
(C.7) Let C be a compact convex set in a normed linear space and § be a family of
commuting nonexpansive maps of C into itself. Prove: There is a common fixed point for
the family § (DeMarr [1964]).
D. Geometric and elementary KKM-theory

(D.1) (Intersection property in superreflexive spaces) Let E be a Banach space. We call
E superreflexive if it admits an equivalent uniformly convex norm. Let {Ci liE I} be a
family of closed convex sets in a superreflexive Banach space with the finite intersection
property. Show: If Co is bounded for some io E I, then n{ C i liE I} -1= 0.
[First assume E to be uniformly convex; follow the proof of (4.1) and (4.2).J
(D.2) (Mazur- Schauder theorem) Let E be a reflexive Banach space and C a closed convex
subset of E. Let <.p : C --> R be a lower semicontinuous, quasi-convex, and coercive (i.e.,
<.p(x) --> 00 as Ilxll --> 00) functional on C . Show: The functional <.p attains its minimum at
some Xo E C (Mazur-Schauder [1936]).
[For E superreflexive, use (D.1); in the general case equip E with the weak topology.J
(D.3) (KKM-maps in superreflexive spaces) Let E be a superreflexive Banach space and
X C E . Let G : X --> 2E be a KKM-map with closed convex values such that one the sets
Gxo is bounded. Show: n{Gx I x E X} -1= 0.
[Use (3.1.4) and (D.1).J
(D.4) (Hartman-Stampacchia theorem in reflexive Banach spaces) Let E be a Banach
space, E* its dual space and for (~ , /I) E E* x E denote ~(/I) by (~ , 1/). A map f : C --> E*
defined on a subset C C E is called monotone if (j(x) - f(y),x - y) 2: 0 for all X,y E C;
f is hemicontinuous if for all X,y E C the mapping [O,lJ :3 t t--> (j(y + t(x - y)),x - y) is
continuous at O.
Let E be a reflexive Banach space, C a nonempty closed bounded convex subset of

E , and let f : C -> E* be monotone and hemicontinuous. Prove: There exists a Yo E C
such that (f(yo),yO -x)::; 0 for all x E C (Hartman-Stampacchia [1965]).
[Equip E with the weak topology and using the geometric KKM-principle follow the
proof of (4.6).]
(D.5) Let C be a nonempty bounded closed convex subset of a superreflexive Banach
space E, and let S, T : C -> 2 c be such that:
(i) Sx C Tx for all x E C,
(ii) S has convex cofibers,
(iii) T has closed and convex values.
Show: If x E Sx for each x E C, then n{Tx I x E C} =I 0.
(D.6) Let C be a nonempty bounded closed convex subset of a superreflexive Banach
space E , and let f, 9 : C X C -> R satisfy:
(i) g(x, y) ::; f(x, y) for all x, y E C,
(ii) x ....... f (x, y) is quasi-concave on C for each y E C,
(iii) y ....... g(x, y) is l.s.c. and quasi-convex on C for each x E C.
Prove:
(a) For any A E R, either (i) there exists a Yo E C such that g(x , Yo) < A for all
x E C, or (ii) there exists awE C such that f( w, w) > A.
(b) The following minimax inequality holds:
inf sup f(x,y)::; sup g(x,x).
yECxEC xEC
[For (a), define S , T : C -> 2 c by Sx = {y E C I f(x , y) ::; O} and Tx = {y E C I

g(x, y) ::; O} and apply (D.5).]
(D.7) (Maximal monotone operators in refiexive spaces) Let E be a reflexive Banach
space. A set-valued operator T : E -> 2 W is monotone if (y* - x*, y - x) 2: 0 whenever
x* E Tx and y* E Ty; T is called maximal monotone if it is monotone and maximal in
the set of all monotone operators from E into 2 E ' . Show: If T : E -> 2 E ' is maximal and
D(T) = {x EEl Tx =I 0} is bounded, then T is surjective (F. Browder).
[Follow the proof of (4.10), (4.11). If E is superreflexive, use (4.3); if not, equip E
with the weak topology and apply the geometric KKM-principle.]
E. Selected results
(E. 1) (Elementary implicit function theorem) Let (El, II II) and (E2, I I) be Banach spaces,
and let U C El be open and V C E2 be open connected. Assume H : V x V -> El is a
continuous map with the following properties:
(i) IIH(u, v) - H(u', v)11 ::; allu - u'll , where 0::; a < 1 and a is independent of v,
(ii) H(u , v) =I u for any (u , v) E aU x V,
(iii) for some vo E V the equation H(u,vo) = u has a unique solution u E U.
Show:
(a) For each v E V the equation H(u, v) = u has a unique solution uv.
(b) The assignment v ....... Uv is a continuous map from V to U.
(c) If the restriction HI(U x V) : U X V -> El is C 1, then the assignment v ....... Uv is
a C 1 map from V to U.
(E.2) (Miranda theorem) Let Ell E2 be Banach spaces and H : El X [0,1] -> E2 be a
continuous map with the following properties:
(i) (x, t) >--> H(x, t) admits a continuous partial derivative Hx : E1 x [O,lJ --->
2'(E1,E2) with respect to x E El,
(ii) the set {x E E1 I H(x, t) = 0 for some t E [0 , I]} is compact ,
(iii) if H(x, t) = 0 for some x and t, then the linear operator Hx(x, t) is invertible ,
(iv) for some to E [0, 1J the equation H(x , to) = 0 has a unique solution .
Show: The equation H(x, t) = 0 has a unique solution for each t E [0, 1J (Miranda [1971]).
(E.3) (Hartman theorem) Let (E , I I) be a Banach space and (,#(E, E), II II) the Banach
space of bounded uniformly continuous functions P : E -> E with the sup norm II II. Let
L E GL(E) be a given hyperbolic isomorphism: E = E1 EB E2, LIEi = Li E GL(Ei) ,
i = 1, 2, with II L111 < 1 and IIL;-lll < l. We assume that a = max(IILIII, IIL;-lll) < 1 and
that E is given the norm IX1 + x21 = max(lx11, IX21) for Xi E E i , i = 1, 2.
(a) For l/ > 0 let
2'1/(L) = {A = L + A I A E ,#(E,E) is bounded by l/ and

Lipschitz with constant :::; l/}.
Call 2'1/(L) admissible if its elements are Lipschitz isomorphisms of E onto itself. Show:
1° 2'1/(L) c ~(E,E) is a complete metric space. 2° 2'1/(L) is admissible for smalil/.
[For 2°, use elementary domain invariance. J
(b) Let 2'1/(L) be admissible and assume that A = L + A and A' = L + A' are two
elements of 2'1/ (L). Consider the equation
(i) hA = A'h for hE £,
where £ = {h = 1 +p I P E ,#(E,E)} with 1 = idE. Show: The equation (i) is equivalent

to the equation
(ii) P = L - 1[pA + A- A'(l + p)J for P E ,#(E,E).
(c) Show: The equation (ii) is equivalent to the system
(iii) { PI = [L I P1 + A~ (1 + p) - AdA - I,
P2 = L;-1[p2A + A2 - A~(l + p)J,
where Pi , Li , Ai , A~ (i = 1, 2) are the components of P, L, A, A', respectively, with respect
to the splitting E = E1 EB E2.
(d) Define a map H : ~(E, E) x 2'1/(L) x 2'1/(L) -> ~(E, E) by
H((P1 , P2), A , A') = ([L1P1 + A~ (1 + p) - A1JA -1 , L;-l [P2A + A2 - A~(l + p)]).

Show: If a + l/ < 1, then H is (a + l/ )-contractive with respect to (PI, P2) and continuous
with respect to (A , A') .
(e) Assume 2'1/(L) is admissible with a + l/ < l. Show: To each pair A, A' E 2'1/(L)
there corresponds a unique homeomorphism hAil' = h E £ such that hA = A' h; this
homeomorphism depends continuously on A , A' .
[Use (b) , (c), (d) and the parametrized version of the Banach theorem (l.6.A.2).J
(The above proof of a theorem of Hartman [1964J is due to Pugh [1969J.)
(E.4) (Bruhat-Tits theorem) Let (X, d) be a complete metric space that satisfies the
following semiparallelogram law : for any a, bE X there is a point z E X such that for all
x EX ,
dCa , b)2 + 4d(x , z)2 :::; 2d(x, a)2 + 2d(x, b)2.

(a) Prove: The point z in (*) is the midpoint between a and b, i.e. , d(a,z) +d(b, z) =
id(a, b) .
(b) Let A be a bounded subset of X. Show: There exists a unique closed ball K(a,r)
in X of minimal radius containing A (J.-P. Serre).
[For uniqueness, use (a) ; for existence, consider a sequence of closed balls K(an , rn) :J
A with rn ....... r. Prove that {an} is a Cauchy sequence and that K (a, r), where a = lim an ,
is the desired ball.]
(c) Let '§ be a group of isometries of X . Show: If '§ has a bounded orbit '§(x) , then
'§ has a common fixed point (Bruhat- Tits [1972]).
[Letting K(x ,r) be the unique closed ball of minimal radius containing '§(x) , prove
that x is a common fixed point of '§.]
Fixed points for nonexpansive maps
Nonexpansive maps appear for the first time in Kolmogoroff [1933], where
they were used in the axiomatic treatment of measure theory. Pontrjagin and
Schnirelmann [1932] used the notion in dimension theory and established the
following result: If X is a compact metric space with dim X ~ r, then there
exists a non expansive map !.p : X -+ R r such that dim !.p (X) = r.
In Section 1 we give only a few theorems that are related to the con-
traction principle. Theorem (1.3) is a special case of more general results
(see (C .1(b))) obtained independently by Browder [1965], Gohde [1965], and
Kirk [1965]. Earlier, a general fixed point result for isometries was obtained
by Brodskir- Milman [1948]. All the above authors used weak-topology ar-
guments in the proofs of their results; the elementary proof of (1.3) given in
the text is due to Goebel [1969]. We remark that in (1.3), the sequence of
*
iterates {Fn(x)} does not necessarily converge to a fixed point of F; it can
be proved, however, that for each x E C the sequence (x + Fx + ... + Fnx)
converges weakly to a fixed point of F (Baillon [1975]).
We also remark that the nonlinear alternative for nonexpansive maps (1.5) remains
valid for nonexpansive set-valued maps in uniformly convex spaces (Frigon [1995]). For
single-valued maps , (1.5) and its corollaries (1.6) can be easily deduced (as observed by
Z. Guennoun) from the following result given in Browder's survey [1976] : Let E be a uni-
formly convex Banach space , C c E be closed , convex, and bounded , and F : C ....... E be
nonexpansive. Then the nonexpansive field f (x) = x - Fx is demiclosed on C, i. e., if {Xn}
in C converges weakly to x and {f(Xn)} converges strongly to y, then x E C and f(x) = y.
For further results on nonexpansive maps (including some applications as

well as some iterative techniques for approximating fixed points) the reader
is referred to "Miscellaneous Results and Examples", the surveys of Opial
[1967], Petryshyn [1975], Browder [1976], and to the books by Goebel- Reich
[1984] and Goebel- Kirk [1991].
Applications of the Banach theorem
The fundamental idea of applying fixed point results to produce theorems

in analysis is due to Poincare [1884], [1912] and was developed further in the
works of Birkhoff [1913]' Birkhoff- Kellogg [1922] and then Schauder [1927a],
[1927b], [1930] . Systematic applications of the Banach principle to various
existence theorems in analysis were initiated by Caccioppoli [1930] . An ex-
pository account of many such applications may be found in the surveys by
Niemytzki [1936] and Miranda [1949] . For applications to differential and
integral equations the reader is referred to Pogorzelski's book [1966] and to
Griffel [1985]. The renorming technique used in Section 2 was introduced by
Bielecki [1956]. Numerous (and diverse) applications of the Banach theorem
are given in "Miscellaneous Results and Examples" .
Applications of the elementary domain invariance
Elementary domain invariance permits a simple and unified treatment of a

number of familiar results in various fields. Theorem (3.4), established by
Schauder [1934], is an abstraction (in the linear case) of Poincare's method
of continuation of solutions along a parameter and underlies the general
idea due to Bernstein that obtaining suitable a priori bounds for solutions
of a class of problems is frequently sufficient to establish their existence. For
many uses of Theorem (3.4) in partial differential equations the reader is
referred to the book of Gilbarg- Trudinger [1977].
The proof of the inverse function theorem presented in the text is an
adaptation of that given in H. Cartan's book [1967] .
Monotone operators were introduced independently by Kachurovskil'
[1960], Zarantonello [1960], and Minty [1962]. Kachurovskil' observed that
the gradient maps of convex functions are monotone and introduced the
term "monotonicity". Theorem (3.9), due to Zarantonello [1960], is one of
the simplest results of the theory that is related to the contraction principle.
More information on monotone operators and their applications to integral
and differential equations can be found in the surveys by Kachurovskil' [1968]
and Browder [1976] and also in Brezis's book [1973].
Theorem (3.12) is due to Klee [1956], who was the first to study the
negligibility of sets in Banach spaces. The method of proof presented in the
text is based on the noncomplete norm technique due to Bessaga. By refining
this technique, Bessaga [1966] proved that every infinite-dimensional Hilbert
space is diffeomorphic to its unit sphere, and as a consequence established
the following theorem: There exists a Coo retraction of the closed unit ball
in an infinite-dimensional Hilbert space onto its boundary. The last result
implies the existence of a fixed point free Coo self-map of the closed unit ball
in an infinite-dimensional Hilbert space. For more details on negligibility of

sets the reader is referred to the book of Bessaga- Pelczynski [1975].
Other invertibility results

We mention some global invertibility theorems that are not proved in the
text . In the differentiable case the following result is due to Hadamard [1906]:
If f : E -> F is a C 1 map between finite-dimensional Banach spaces and
if f is a local homeomorphism such that 11[J'(x)]-lll ::; M for some M > 0
and all x E E, then f is a diffeomorphism. For a proof of the Hadamard
theorem for arbitrary Banach spaces, the reader is referred to the lecture
notes by J.T. Schwartz [1969].
S. Mazur and S. Ulam, Lw6w, 1935
A general invertibility theorem is due to Banach-Mazur [1934]: Let X

and Y be metric spaces, where X is connected and Y is locally arcwise
connected and simply connected. Let f : X -> Y be a proper map. Then f is
invertible if and only if it is a local homeomorphism.
A special case of the Banach- Mazur theorem was established earlier
by Caccioppoli [1932]: Let f : E -> F be a C 1 proper map between Banach
spaces. Then f is a diffeomorphism if and only if it is a local diffeomorphism.
The proofs of the above two results can be found in Berger's book [1977].
For some other related results the reader is referred to Caratheodory-
Rademacher [1917] and Ambrosetti- Prodi [1972].
Applications of the elementary KKM-principle

The presentation in Section 4 follows Granas- Lassonde [1995]. Variational
inequalities (the systematic study of which began around 1965) are of im-
portance in many applied problems (see Kinderlehrer- Stampacchia [1980],
where an introductory account of the theory and further references can be
found). Theorem (4.6) is due to Hartman- Stampacchia [1966]; its proof is a
simplification of the one in Dugundji- Granas [1978]. Theorem (4.7) is due to
Minty [1962]. The significance of maximality of set-valued monotone opera-
tors was brought to light by Minty [1965], to whom the theory of maximal
monotone operators in a Hilbert space is due.
For more general or related results the reader is referred to Bn§zis's
book [1973], Browder's survey [1976] and also to "Miscellaneous Results
and Examples".
Mazur- Orlicz theorem

Kakutani [1938] proved the Hahn- Banach theorem using the Markoff- Kaku-
tani theorem and the compactness of the Tychonoff cube. The same idea is
used in §4 for the proof of Banach's lemma (5.1) on which the proof of the
Mazur- Orlicz theorem (5.3) is based. This proof follows Granas- Lassonde
[1991] and is due to F. C . Liu (unpublished). We remark that the formulation
of (5.3) (obtained from the original one by replacing "linear combinations"
with "convex combinations") permits getting at once a refined version of the
Hahn- Banach theorem (5.4). Theorem (5.5), due to Mazur- Orlicz [1953], is
a generalization of the classical "moments problem" theorem. The classi-
cal separation theorems of Mazur and Eidelheit (called by Bourbaki the
"geometric forms of the Hahn- Banach theorem") also follow at once from
Theorem (5.3).
S. Mazur observed that the Mazur-Orlicz and Hahn- Banach theorems
remain valid if in their formulation a sublinear functional p is replaced by
a convex functional; the corresponding proofs can be found in Alexiewicz
[1969]. For more recent applications of the Mazur- Orlicz theorem the reader
is referred to Liu [1993].
II.
Theorem of Borsuk and
Topological Transversality
In this chapter we provide an easily accessible and unified account of some

of the most fundamental results in fixed point theory. Among them, the
antipodal theorem of Borsuk and the theorem on topological transversality
occupy the central position; all the other results in this chapter are their
consequences. The chapter ends with diverse applications to various fields.
§5. Theorems of Brouwer and Borsuk

Our aim in this paragraph is to establish the theorem of Borsuk and its
immediate consequence, the Brouwer fixed point theorem. We obtain these
results by first establishing the Lusternik- Schnirelmann- Borsuk theorem
about the n-sphere. Our approach is elementary, in that it involves only some
simple simplicial decompositions of the sphere and a combinatorial lemma.
1. Preliminary Remarks
Let E be a normed linear space. We recall that a finite set of s + 1 points in

E is said to be affinely independent if it is not contained in any (s - I)-fiat
of E.
(1.1) DEFINITION. Let {PO,Pl, ... ,Ps} be an affinely independent set of
s + 1 points in E . Their convex hull
EEl x L AiPi; 0 S Ai S 1, L Ai
s s
{x = = 1}
i=O i=O
is called the (closed) s-simplex with vertices Po, ... ,Ps and is denoted
by [Po, ... ,PsJ· If the vertices do not have to be explicitly stated, a
simplex is denoted by (J or (Js, the upper index indicating its dimen-
sion.
86 II. Theorem of Borsuk and Topological Transversality
The k-simplex spanned by any k + 1 of the vertices Po , ... ,P5 is called a

k-face of (/5; the only 8-face of (/5 is (/5 itself. The boundary, 8(/5 (which
is not necessarily the topological boundary of (/5 in E) , is the union of all
faces of dimension:::; 8 - 1; the open 8-simplex is (/8 - 8(/8. The O-faces of
(/5 are its vertices, and the 1-faces [Pi,Pj] are called the edges of (/8; because
(/5 is convex, it is easy to see that the diameter 5((/5) of (/5 is the length of
its longest edge.
A simplex is obviously a compact metric space. Moreover, because the
°: :;
set of its vertices is affinely independent, each x E (/5 = [Po, .. . ,P5] can
be written uniquely as x = 2::=0 Ai(X)Pi, where 2::=0 Ai(X) = 1 and
Ai(X) :::; 1 for each x E (/8 and i = 0, ... , s; the (s+I)-tuple (AO(X), . . . ,A5(X))
of real numbers is called the barycentric coordinates of x E (/, and each
Ai : (/ ---t [0,1] is called the ith barycentric coordinate function of (/.
(1.2) PROPOSITION. Any two s-simplices are affinely homeomorphic. Fur-
thermore, for any simplex CT , each of its barycentric coordinate func-
tions Ai : (/ ---t [0, 1] is continuous.
PROOF. Let R 8 + 1 be the (8 + I)-dimensional Euclidean space and Ll8 C
R 5 +1 be the 8-simplex having the unit points eo = (1 , 0, ... ,0), ... , e 8 =
(0,0, .. . ,1) in R5+1 as vertices; Ll8 is called the standard s-simplex . Observe
that the barycentric coordinates of any x E Ll8 are precisely the Euclidean
coordinates of x, so that
8
.1 5 = {(AO, .. . ,A5) E R 5+1 10:::; Ai:::; 1, 2: Ai = I}.

i=O
We now show that any given (/5 = [Po, . .. ,P5] c E is affinely homeomorphic
to .1 8 • Let h : R8+1 ---t E be the map h(Ao, ... , A8) = 2::=0 AiPi; this
is clearly continuous, and g = hlLl5 maps Ll5 onto (/5; since g is also a
bijective map of the compact Ll8 onto (/8, we conclude that g is an affine
homeomorphism of Ll 8 onto (/5 . To prove that the barycentric coordinate
functions are continuous, let 7ri : R5+1 ---t R be the projection onto the ith
coordinate space; since Ai = 7ri 0 g-l, and both 7ri, g-l are continuous, the
2. Basic Triangulation of sn
Because we will be using simplices throughout, it is convenient to work with
an equivalent norm for Euclidean space under which the unit sphere can be
regarded as the union of geometric simplices.
Let E be the normed space of all those sequences x = {Xl, X2, .. . } of real
numbers having at most finitely many Xn =I=- 0, with the norm Ilxll = 2: IXil·
§5. Theorems of Brouwer and Borsuk 87
The subset {x EEl Xi = 0 for all i > n} is denoted by En; the (closed)
unit n-ball is
K n = {x E En Illxll ::; I}.
The unit n-sphere is sn = {x E En+l I Ilxll = I}; its upper hemisphere
is S+ = {x E sn I Xn+l 2: O}, and its lower hemisphere is S~ = {x E sn I
Xn+l ::::; O}; clearly, sn = S+ u s~. Observe that for any k < n, we have
Sk = {x E Sn I Xk+2 = ... = Xn+l = O}
and that sn-l = S+ n s~.
Given an n-dimensional normed linear space Ln it is easy to see that
there is a homeomorphism of Ln onto En sending points symmetric with
respect to the origin in Ln onto points symmetric with respect to the origin
in En and mapping the unit sphere in L n onto sn. Therefore, the results
that will be established in this paragraph in En remain valid for any finite-
dimensional normed linear space Ln.
By a triangulation of sn is meant a decomposition of sn into simplices
that are pasted together along common faces in an orderly manner. Pre-
cisely:
(2.1) DEFINITION. A finite family yn = {o'} of simplices in sn is called

a triangulation of sn provided:
(i) the intersection of any two simplices in yn is either empty or a
common face of each,
(ii) if (J E yn then every face of (J is in yn,
(iii) sn = U{(J I (J E yn}.
(iv) each (n - I)-simplex of yn is the common face of exactly two
n-simplices in yn.
We remark that (iv) can be deduced from properties (i)-(iii).

The following triangulation of sn is important for our purposes: For
each i = 1, ... ,n + 1, let ei = {6L 6~, ... } E E, where 6.1 is the Kronecker
delta; clearly, the unit ball K n + 1 is precisely the convex hull of the set
{el' ... , en+l, -el, ... , -en+l}. It is easy to see that the set of all n-simplices
[±el,"" ±en+l] and all their faces provides a triangulation of sn, called
the basic triangulation; this triangulation is denoted by En. Note that each
simplex of En has a unique representation (called its standard form) by a
symbol [±eio' ... , ±ei s], where io < ... < is.
Let a : sn ---7 sn be the antipodal map x 1---+ -x; two elements of any
sort (points, simplices, sets) corresponding under a will be called antipodal.
Note that for each k ::; n, the restriction alS k is the antipodal map of Sk.
It is clear that no simplex of En contains a pair of antipodal vertices, and
that for each simplex (Tk E En the set a( (Tk) is also a simplex of En. Since
we need to consider triangulations of sn other than En that have these two
properties, we make the formal
(2.2) DEFINITION. A triangulation yn of sn is called symmetric if:
(a) for each k :::; n, the k-sphere Sk is a union of k-simplices of yn,
(b) for each k :::; n, and each simplex (Tk E yn, the set a( (Tk) is also
a k-simplex of yn .
We have already observed that En is a symmetric triangulation; moreover,
symmetric triangulations of sn with arbitrarily small simplices clearly exist;
a formal inductive proof of this evident geometric fact could be based on the
observations that a symmetric small simplex triangulation of sn = as":.+!
can be extended to a small simplex simplicial decomposition of S":.+1, and
that
{(Tn+l, a( (Tn+l) I (Tn+1 E S":.+1}
is then a symmetric triangulation of sn+ 1 .
3. A Combinatorial Lemma
Let yk, respectively yn, be triangulations of Sk, respectively sn. A map
J of the vertices of yk to the vertices of yn is called a simplicial vertex
map if for each simplex [Po, ... ,PsJ of yk, the points J(po), ... ,J(ps) are
the vertices of a (possibly lower-dimensional) simplex of yn. Clearly, J
extends to a map Sk ----> sn (denoted also by J) sending simplices of yk
into simplices of yn.
(3.1) DEFINITION. Let yk be an arbitrary triangulation of Sk, and let
J : yk ----> En be a simplicial vertex map. An r-simplex [Po, ... ,PrJ
of yk is called positive if:
(i) the vertices J(po), ... , J(Pr) span an r-simplex (Tr E En,
(ii) the standard form of (TT is "alternating in sign" ,
with the first vertex positive.

An r-simplex of yk is negative if its J-image is an r-simplex of En
which, in standard form, is alternating in sign and has negative first
vertex.
An r-simplex of yk that is neither positive nor negative is called
neutral .
For any simplicial vertex map J : yk ----> En and any subset L c Sk, the
number of positive r-simplices in Lunder J is denoted by p(j, L, r).
The main result of this section relies on the following

(3.2) PROPOSITION. Let k :S n, and let f : yk -+ En be a simplicial vertex
map of a symmetric triangulation of Sk into En . If Ct 0 f = f 0 Ct,
then
p(j, sk, k) == p(j, Sk-l, k - 1) mod 2.
PROOF. Consider the upper hemisphere S,+ of Sk, and decompose the set
of k-simplices in S'+ into three disjoint classes:
d+ = {sk C S,+ I sk is positive},
d_ = {sk C S~ I sk is negative},
do = {sk C S~ I sk is neutral}.
Consider the sum
we will determine the parity of T.

First note that, because each p(j, sk, k - 1) is the number of positive
(k - I)-faces of sk, the sum T involves all the positive sk - l in S,+. Observe
next that each positive sk-l not in Sk-l will occur twice in the sum T, since
it is a face of exactly two sk; because each positive sk-l on Sk-l is the face
of only one sk E S'+, we conclude that T == p(j, Sk-l , k - 1) mod 2.
We now develop another expression for T. Consider any neutral sk. Since
sk can have no positive (k - I)-face (hence make no contribution to the
sum), unless dim f(sk) 2: k - 1, we can write f(sk) = [±eio ' ... , ±eikl with
io :S ... :S ik, in which there is either one repeated vertex, or all the vertices
are distinct but the signs do not alternate. In each case, a positive (k -1 )-face
can occur only if there is at most one pair of adjacent vertices with the same
sign; and if removal of one of these vertices gives a positive face, so also will
removal of the adjacent one. Thus, p(j, sk, k - 1) is even for each sk E do,
so that
T == L p(j,sk,k -1) + L p(j,sk,k -1) mod 2.
Noting now that each positive Sk has exactly one positive (k - I)-face, as
also does each negative sk, we find
L p(j, sk, k - 1) = cardd+, L p(j, sk, k - 1) = cardd_,

skEJd+ skEJd_
and therefore
T == (cardd+ + cardd_) mod 2.
Finally, as 0: 0 f = f 0 0:, it follows that an sk E S~ is negative if and only

if o:(sk) E S~ is positive, so that cardd_ = card{sk E S~ I sk is positive};
therefore card d+ + card d_ = p(f, Sk, k), and the proof is complete. 0
Proposition (3.2) leads to the main result of this section:
(3.3) THEOREM (Combinatorial lemma). Let f : yn ~ En be a simplicial
vertex map of a symmetric triangulation of sn. If 0: 0 f = f 0 0:, then
f maps an odd number of simplices of sn onto
0"0 = [el, -e2,· .. , (-1) n e n +l].
PROOF. According to the definition, an sn E yn is positive if and only if
its image, in standard form, is 0"0. According to the lemma,
p(f, sn, n) == p(f, sn-l, n - 1) == ... == p(f, So, 0) mod 2.
As Sa consists of exactly two vertices and flS o maps them onto a pair of
antipodal vertices, it is clear that p(f, So, 0) = 1, completing the proof. 0
4. The Lusternik-Schnirelmann-Borsuk Theorem

The combinatorial lemma will be applied to obtain the Lusternik- Schnirel-
mann-Borsuk theorem about the n-sphere, which is equivalent to the Borsuk
antipodal theorem.
(4.1) LEMMA (Lebesgue). Let {Ml , ... , Mn} be a family of closed non-
empty sets in a compact metric space X, with Ml n ... n Mn = 0.
Then there exists an c > 0 with the property: any subset A c X
meeting every Mi must have J(A) ~ c.
PROOF. Let Z be the compact metric space Ml x ... x Mn and consider the
continuous ), : Z ~ R defined by
(Xl, ... ,Xn) f----+ max{d(xi,xj) 11:S i:S j :s n}.
Because Ml n· .. nMn = 0, the map), is never zero; consequently, it assumes
a minimum, c > 0.1f A c X meets each M i , there is an Xi E AnMi for each
i = 1, ... ,n; since ),(Xl, ... ,xn ) ~ c, at least one d(xi, Xj) ~ c, so J(A) ~ c.
This completes the proof. 0
(4.2) THEOREM (Lebesgue). Let {Ml , ... , Mn} be a closed covering of
a compact metric space X. Then there exists a ), > 0 (a Lebesgue
number of the covering) with the property: if any set A of diameter
< ), meets Mil' ... ,Mir , then
o
With these preliminaries, we are ready to establish the fundamental

(4.3) LEMMA. Let M l , ... , Mn+l be n + 1 closed sets on sn, no one of
which contains a pair of antipodal points. If the family
{Ml , ... , M n+l , a(Ml ), ... , a(Mn+l )}
covers sn, then Ml n ... n Mn+l -# 0.
PROOF. Denote a(Mi) by M_ i ; since Mi does not contain any pair of an-
tipodal points, we have d(Mi, M-d = Ei > 0 for each i = 1, ... , n + 1.
Linearly order the covering by
Ml,M_l;M_2,M2;M3,M-3;M_4,M4;'" ,
and let ,X be a Lebesgue number for this closed covering.
Let yn be a symmetric triangulation of sn with the diameter of each
simplex < E = min('x, El,. ' ., En+d. We first construct a simplicial vertex
map f : yn ----> En as follows:
For each vertex p E yn, let M j be the first set of the ordered covering
containing p, and set
f(p) = (signj)(-1)J+l e1j l·
This is, in fact, a simplicial vertex map: since En can be described as the set
of all simplices [±eio'" . ,±eiJ with no two entries antipodal, it is enough
to show that no two vertices Pi,Pj of a simplex of yn can map to antipodal
vertices, and this follows from d(Pi, Pj) < E and the definition of E.
It is evident, from the definition of f, that a 0 f = f 0 a, so from (3.3),
there is some simplex [PI,.' . ,Pn+d such that
f[Pl, . . . ,Pn+lJ = [eI, -e2 , "" (_l)nen+lJ.
This means that each Pi E M i , so that [PI, ... , Pn+ lJ n Mi -# 0 for i =
1, ... , n + 1. Since J([Pl, ' . .,Pn+l]) < ,x, it follows that Ml n· .. n Mn+l -# 0,
and the proof is complete. 0
We now establish the main result of this section.
(4.4) THEOREM (Lusternik- Schnirelmann- Borsuk). In any closed covering
{Ml , ... , Mn+d of sn by n+ 1 sets, at least one set Mi must contain
a pair of antipodal points.
PROOF. We argue by contradiction. Assume that no Mi contains a pair of
antipodal points; then (4.3) applied to the covering {Ml , .. . ,M n + l , a(Ml ),
. . . ,a(Mn+l)} would show Ml n ... n Mn+l -# 0; since any Xo E Ml n ... n
Mn+l must also be in some set a(Mj) ofthe covering {a(Md,· .. , a(Mn+l)}
of sn , this means that M j would contain a pair of antipodal points, contra-
dicting our hypothesis and completing the proof. 0
5. Equivalent Formulations. The Borsuk-Ulam Theorem
Results equivalent to the Lusternik- Schnirelmann- Borsuk theorem use the

notions of extendability and homotopy in their formulation. For the conve-
nience of the reader, and to establish the terminology, we recall the relevant
definitions. By space we understand a Hausdorff space; unless specifically
stated otherwise, a map is a continuous transformation.
(a) Let X, Y be two spaces and A c X. A map f : A ----t Y is called
extendable over X if there is a map F : X ----t Y with FIA = f.
(b) Two maps f, 9 : X ----t Yare called homotopic if there is a map
H : X x I ----t Y with H(x,O) = f(x) and H(x , 1) = g(x) for each x E X.
The map H is called a homotopy (or continuous deformation) of f to g,
and written H : f c:::::: g . For each t, the map x I---t H(x, t) is denoted by
H t : X ----t Y; clearly the family {Ht : X ----t Y}o::;t9 determines H and vice
versa.
Recall that the relation of homotopy is an equivalence relation in the set
of all continuous maps of X into Y; for reflexivity, note H(x, t) == f(x) shows
f c:::::: f; for symmetry, observe that if H : f c:::::: 9 then (x, t) I---t H(x,l - t)
gives 9 c:::::: f; if H : f c:::::: 9 and G : 9 c:::::: h, then
D(x , t) = { H(x, 2t), O::;t::;~,

G(x, 2t - 1), ~::;t::;l,
is continuous and shows that f c:::::: h, establishing transitivity. Thus, the rela-
tion of homotopy decomposes the set of all maps of X into Y into pairwise
disjoint classes called homotopy classes. An f : X ----t Y homotopic to a
constant map is called nullhomotopic; in this case we write f c:::::: o. A space
X is called contractible if id x : X ----t X is nullhomotopic.
Observe that to establish a homotopy H : f c:::::: 9 is essentially an ex-
tendability problem: one has given a map h : (X x 0) U (X x 1) ----t Y and
seeks an extension over X x I. For the special case of maps of spheres into
arbitrary spaces, their nullhomotopy is equivalent to a simpler extendability
property, which is very frequently used:
(5.1) THEOREM. A map f : sn ----t Y is nullhomotopic if and only if f is
extendable to an F : Kn+l ----t Y.
PROOF. Assume f : sn ----t Y is extendable to F : Kn+l ----t Y. For x E sn

and 0 ::; t ::; 1, set H(x, t) = F(tx) to see that H : 0 c:::::: f. Conversely, if
H : sn x I ----t Y shows 0 c:::::: f, define an extension F : Kn+l ----t Y of f by
F ( ) _ { H (sn , 0) , 0::; Ilyll ::; ~,

y - H(y/llyll, 211YII- 1), ~ ::; Ilyll ::; 1.
This completes the proof. o
We say that f : sn -+ Sk is antipode-preserving if f ( - x) = - f (x) for all

x E sn. With this terminology we now prove Borsuk's antipodal theorem
and also show that it is equivalent to various geometric results about the
n-sphere. A fixed point version of the theorem will be derived in the next
section.
(5.2) THEOREM. The following statements are equivalent:
(1) The Lusternik- Schnirelmann- Borsuk theorem.
(2) There is no antipode-preserving map f : sn -+ sn- l.
(3) (Borsuk's antipodal theorem) An antipode-preserving map f :
sn- l -+ sn-l is not nullhomotopic.
(4) (Borsuk- Ulam) Every continuous f : sn -+ En sends at least
one pair of antipodal points to the same point.
PROOF. (1)::::}(2). Supose f : sn -+ sn-l is antipode-preserving. Decompose
sn-l into n + 1 closed sets AI , ... ,A n+l by projecting the boundary of an
n-simplex centered at 0 onto sn- l and letting Ai be the images of the
(n - I)-faces. Clearly, no Ai contains a pair of antipodal points.
Let Mi = f - I(A i ), i = 1, . . . n, + 1. The Mi are closed and cover sn, so
by (1), there is an x E Mi n aMi for some i. Because f is antipode-preserv-
ing, this means that f (x) and f a( x) = af (x) both belong to Ai , which is a
contradiction.
(2)::::} (3). Suppose some antipode-preserving g : sn- l -+ sn-l were
nullhomotopic. Then 9 would be extendable to a G : Kn -+ sn-l. Regarding
Kn as S"+ , we define <p : sn -+ sn-l by
(x ) = {G(X) , x E S"+ ,
<p -Ga(x) , XES".!:...
This is consistently defined on S"+ n s".!:.. , and is an antipode-preserving map
of sn to sn-l, contradicting (2).
(3)::::}(4) . Assume f : sn -+ En is such that f(x) i- f(-x) for every
x E sn. Define F : sn -+ sn-l by
f(x) - f( -x)
F(x) = Ilf(x) - f( -x)II'
Then Flsn-1 : sn- l -+ sn-l is antipode-preserving, and since FIS"+ is an
extension over Kn, Flsn- 1 would be nullhomotopic, contradicting (3).
(4)::::}(1) . Assume there were some closed covering M I , . . . ,Mn+l of sn
with no Mi containing a pair of antipodal points, i.e., Mi n a(Mi) = 0
for each i. Let gi : sn -+ I be an Urysohn function with gilMi = 0 and
gila(Mi) = 1 for each i = 1, ... , n, and define g : sn -+ En by
According to (4), there must be a z E sn with g(z) = ga(z), so that gi(Z) =

gi(a(z)) for i= 1, ... , n, and therefore z E sn - U7=1 Mi - U7=1 a(Mi).
Since both {Md~!11 and {a(Mi)}~!l cover sn, the point z must belong to
both Mn+1 and a(Mn+d, which is the desired contradiction. 0
6. Some Simple Consequences
We give two consequences of (5.2) that are particularly useful for our later
work. The first relaxes the condition - f(x) = f( -x) in (5.2)(3) to simply
f(x) -I f( -x);
(6.1) THEOREM. A map f : sn ----) sn with f(x) -I fa(x) for each x is not
nullhomotopic.
PROOF. Since f(x) -I fa(x), the map 9 : sn ----) sn given by
f(x) - f(-x)
X f-'-(x-'-)--"':""'f-'-(--x
f-t .,.,.:." ):""""11
is continuous and clearly antipode-preserving. Now, f, 9 : sn ----) sn are

never antipodal; for if g(z) = - f(z) for some z E sn, then
[1 + IIf(z) - f(-z)IIJf(z) = f(-z),
so since IIf(z)1I = IIf(-z)1I = 1, we would have 1 + IIf(z) - f(-z)1I 1,
which is impossible. Since f and 9 are never antipodal,
h (x) _ (1 - t)f(x) + tg(x)
t - 11(1 - t)f(x) + tg(x) II
is a well defined pont of sn for all (t,x) E [0,1] x sn and hence {ht}O<t<1
is a homotopy joining f and g. From this, since 9 is not nullhomotopic by
(5.2)(3), we infer that neither is f. This completes the proof. 0
The reader can easily show that in fact, (6.1) is equivalent to (5.2)(3).
The second consequence, which we shall use frequently, is Borsuk's fixed
point theorem:
(6.2) THEOREM (Borsuk). Let U be a bounded symmetric convex open
neighborhood of the origin in En, and let F : U ----) En be antipode-
preserving on au, i.e., -F(a) = F( -a) for each a E au. Then F
has a fixed point.
PROOF. Let p : En ----) R be the Minkowski functional for U, and let E be
the set En with the norm IIxlll = p(x). The identity map h : En ----) E is a
homeomorphism mapping U onto the unit ball Kf of E. Considering the
map 9 = h 0 F 0 h- I : Kf ----) E, which is antipode-preserving on aKf, we
§5. Theorems of Brouwer and Borsuk 9.5
first show that 9 has a fixed point; for if g( x ) i= x in Kr, then

fx _ g(x)-x
( ) - Ilg(x) - xiiI
would be a continuous map f : Kr ---+ 8Kr , so that fl8Kr : 8Kr ---+ 8Kr
would be nullhomotopic; but fl8Kr is easily seen to be antipode-preserving
and this is a contradiction. Therefore, hF h -1 (x) = x for some x E Kr , so
that Fh- 1 (x) = h- 1 (x) and F has a fixed point. 0
7. Brouwer's Theorem
The following special case of Borsuk's theorem (5.2) (3) is basic in fixed point
theory.
(7.1) THEOREM . The identity map id : sn ---+ sn is not homotopic to a
constant map.
PROOF. Since id : sn ---+ sn is antipode-preserving, (5.2)(3) applies. 0
This result has many equivalent formulations; it is in fact equivalent to
Brouwer's fixed point theorem:
(7.2) THEOREM. The following statements are equivalent :
(1) sn is not contractible in itself.
(2) (Bohl) Every continuous F : Kn+l ---+ E n+1 has at least one of
the following properties:
(b) there are x E 8Kn+l and>' E (0, 1) such that x = >.F(x).
(3) (Brouwer) Every continuous F : Kn+l ---+ Kn+l has at least one
fixed point.
(4) (Borsuk) There is no retraction r : K n+1 ---+ sn, i. e., there is no
continuous r : K n+ 1 ---+ sn that keeps each x E sn fixed.
PROOF. (1)::::}(2). Suppose F(x) i= x for all x E Kn+l , and y i= tF(y) for
all 0 < t < 1, y E 8K n+1 ; then y i= tF(y) also for t = 0, and by our first
hypothesis, for t = 1. Let r : En+l - {O} ---+ sn be the map x f-t x/llxll.
Then H : sn x I ---+ sn defined by
_ {r(y - 2tF(y)), 0 ::; t ::; ~,
H(y , t) - r[(2 _ 2t)y - F{(2 - 2t)y}], ~::; t ::; 1,
would show that id : sn ---+ sn is homotopic to a constant.
(2)::::}(3). The second possibility in (2) cannot occur, because F(sn) c
Kn+l .
(3)::::}(4). If there were a retraction, the map x f-t -r(x) would be a fixed
point free map of Kn+ 1 into itself.
(4)=;.(1). Assume h : 0 C::' id, where h(sn,O) = Xo E sn. Defining r :

Kn+ 1 ---t sn by
Ilxll :S ~,
r(x) = { ~(~/llxll, 211xll - 1), IIxl12 ~,
would give a retraction of Kn+l onto sn. o
The following example shows that Brouwer's theorem (7.2)(3) cannot be
extended to infinite-dimensional normed linear spaces.
EXAMPLE. Let E be a noncomplete normed linear space, and K its closed
unit ball. By (4.3.10) there is a deleting homeomorphism h : E ~ E - {O}
such that h(x) = x for all x E oK. Consider the map r : K ---t oK given by
x I----t h(x)/llh(x)ll, which is well defined because h(y) i- 0 for all y E E. If
x E oK, then h(x) = x, so rloK = id and r : K ---t oK is a retraction; the
map x I----t -r(x) is therefore a fixed point free map of K into itself.
This example shows that to obtain any generalization of the Brouwer
fixed point theorem valid in infinite-dimensional spaces, it is necessary to
restrict the type of map F : K ---t K that will be considered. We will show
in the next paragraph that every compact map F : K ---t K (i.e., a contin-
uous map such that F(K) is compact) of the unit ball K of any normed
linear space has a fixed point. Note that this statement, valid in all normed
linear spaces, is precisely the Brouwer theorem whenever the space E is
finite-dimensional, since in that case a continuous F : K ---t K is necessarily
compact. On this basis, it appears that for infinite-dimensional normed lin-
ear spaces, the natural analogue of a continuous map in finite-dimensional
normed spaces is that of a compact (rather than simply continuous) map;
maps of this type arise naturally in many problems of analysis.
8. Topological KKM-Principle
Among the results equivalent to Brouwer's fixed point theorem, the theorem
of Knaster- Kuratowski-Mazurkiewicz occupies a special place: it admits
an infinite-dimensional version which, as shown by Ky Fan, is particularly
suitable for applications.
Let E be a vector space and X c E an arbitrary subset. Recall that a
set-valued map G : X ---t 2E is called a KKM-map provided conv{xl, ... , x s }
C U:=l GXi for each finite subset {Xl, ... , x s } C X; G is called strongly
KKM provided x E Gx for each x E X and the cofibers of G (i.e., the sets
{x E X I y t/. Gx} for y E E) are all convex.
The basic topological property of KKM-maps is given in
(8.1) THEOREM. Let E be a linear topological space, X an arbitrary subset
of E, and G : X ---t 2E a KKM-map such that each Gx is finitely
closed. Then the family {Gx Ix E X} has the finite intersection

property.
PROOF. We argue by contradiction, so assume n~= l GXi = 0. Working in
the finite-dimensional flat L spanned by {Xl, ... , x n }, let d be the Euclidean
metric in Land C = conv{xl, ... ,xn } C L; note that because each LnGxi
is closed in L, we have d(x, L n GXi) = 0 if and only if X E L n GXi.
Since n~l L n GXi = 0 by assumption, the function A : C --t R given by
c f-+ L~=l d(c, L n GXi) is not zero for any c E C, and we can define a
continuous f : C --t C by setting
1
L d(c, L n GXi) . Xi·
n
f(c) = A(C)
~=l
By Brouwer's theorem, f would have a fixed point Co E C. Let

1= {i I d(co, L n GXi) # O}.
Then the fixed point Co cannot belong to U{G xi liE I}; however,
Co = f(co) E conv{xi liE I} C U{GXi liE I}'

and with this contradiction, the proof is complete. o
As an immediate consequence of (8.1), we obtain the following funda-
mental result:
(8.2) THEOREM (Topological KKM-principle). Let E be a linear topological
space, X C E an arbitrary subset, and G : X --t 2E a KKM-map. If
all the sets Gx are closed in E, and if one of them is compact, then
n{GxIXEX}#0. 0
Clearly, the topological KKM-principle contains as a special case the
geometric KKM-principle (3.1.5). We now give two simple applications that
do not follow from the geometric principle.
(8.3) THEOREM. Let C be a nonempty compact convex set in a Hilbert
space H with scalar product ( , ), and let f : C --t H be continuous.
Then there exists a Yo E C such that
(f(yo), Yo - x) :::; 0 for all x E C.
PROOF. Define G : C --t 2c by
Gx = {y E C I (f(y), y - x) :::; O}.
Clearly, G is strongly KKM, and hence, because C is convex, it is a KKM-
map (see (3.1.2)). Since f is continuous, the sets Gx are closed, therefore
compact. By the topological KKM-principle, we find a point Yo E C such
that Yo E Gx for all x E C, which is the required conclusion. 0

(8.4) THEOREM. Let C be a nonempty compact convex set in a Hilbert
space H . Let F : C ---+ H be continuous and such that for each x E C
with x i= F(x) the line segment [x , F(x)] contains at least two points
of C. Then F has a fixed point.
PROOF. Define f : C ---+ H by f(x) = x - F(x) for x E C. By (8.3) we find
a point Yo E C such that
(Yo - F(yo) , Yo - x ) ::; ° for all x E C.
We show that Yo is a fixed point of F . Indeed, if not, then the segment
[Yo , F(yo)] must contain a point of C other than Yo, say x = tyo+(l-t)F(yo)
for some 0< t < 1; then from (*) we get (l-t)(yo -F(yo),yO - F(yo)) ::; 0,
and since t < 1, we must have Yo = F(yo). 0
The theorem just proved implies that any continuous self-map of a com-
pact convex set in a Hilbert space has a fixed point, thus showing in partic-
ular that the Brouwer fixed point theorem is equivalent to the topological
KKM-principle.
Numerous applications of the topological KKM-principle will be given
in §7.
We conclude by observing that as a special case of (8.1) we obtain one
of the basic results in fixed point theory:
(8.5) THEOREM (Knaster- Kuratowski- Mazurkiewicz). Let X = {xo, ...
. n } be the set of vertices of a simplex an C Rn and G :X ---+ 2R n
. . ,x
a KKM-map assigning to each Xi E X a compact set GXi C an. Then
the intersection of the sets Gxo, ... , GX n is not empty. 0
We leave to the reader an easy proof that (8.1) and (8.5) are in fact
equivalent.
A . Homotopy, retraction , and extendability oj maps

(A. 1) Let J,g: X --> Sn be two maps. Show:
(a) If J(x) =f. -g(x) for all x E X , then J:::: g.
(b) If J(x) =f. g(x) for all x E X , then J:::: -g.
(c) If J(x)..l g(x) for all x E X , then J:::: g.
(A.2) Let J : Sn --> Sn be a map. Prove:
(a) If J(x) =f. -x for all x E Sn , then J:::: idSn.
(b) If J(x) =f. x for all x E Sn, then J:::: a , where a: Sn --> Sn is the antipodal map.
(A.3) Let J , g: X --> Sn be two maps such that J(x) =f. ±g(x) for x E X. Show: There is
h: X --> Sn such that g:::: hand J(x)..l h(x) for each x E X.
[Take
h x _ g(x) - (g(x),J(x»f(x)
( ) - Ilg(x) - (g(x),f(x»f(x)II']
(A.4) Let X be any space and A c X. Show: A is a retract of X if and only if for every
space Y, each f : A -+ Y is extendable over X.
(A.5) Let K n be the unit ball in R n with boundary Sn-I . Show: K n x {O}US n - 1 X [0 , 1]
is a retract of K n x [0, 1].
[Consider r : K n x [0,1] -+ K n x {O} U Sn-I X [0,1] given by
X 2-t) Ilxll ~ 1-
t
2'
r(x, t) =
{(
II~~' 2 - W '
(2-i'0) , Ilxll :S
t
1 - 2']
(A.6) Let Y be any space and fa, h : sn -+ Y be homotopic. Show: If fa has an extension
over K n + I, then so also does h.
[Use (A.4) and (A.5).]
B. Borsuk 's antipodal theorem
(B.l) Let MI, ... ,Mn+2 be a closed covering of Sn by n + 2 nonempty sets. Show: If no
°
Mi contains a pair of antipodal points, then MI n· .. n Mn+2 = and any (n + 1 )-element
subfamily has a nonempty intersection.
[If x E MI n ... n Mn +2 then x E a(Mj ) for some j , contradicting the assumption
on Mj. For the second part: To show, say, MI n· · · n Mn+1 f= 0, note that
{MI, ... , Mn+l' a(MI), ... , a(Mn+I)}

must be a covering of Sn , since an x not in the union must belong to both Mn+2 and
a(Mn+2) ; then apply (4.3).]
(B.2) Prove: In each decomposition of K n +1 into n + 1 closed sets, at least one of the
sets must have diameter equal to 2.
[Use (4.4).]
(B .3) Prove the "invariance of dimension number" theorem : R m is not homeomorphic to
R n whenever n f= m.
[Suppose n > m and h : R n -+ R m is a homeomorphism. Consider hlS n - 1 and apply
(5.2)(4).]
(B.4) Let h, ... ,fn be n continuous real-valued functions on Sn. Show: There exists at
least one p E Sn with fi(p) = fi(-p) for all i E [n].
[Consider the map x I---> (h(x), .. . ,fn( x » of STL into RTL.]
(B.5) Let h, ... , fn be n continuous real-valued functions on Sn such that - fi(p)

fi ( -p) for every p E STL. Show: The fi have a common zero on Sn.
[Consider the proof of (5.2)(3)=>(4).]
(B .6) Let h, ... , f n+2 be n + 2 continuous real-valued functions on STL and assume that
for each p E Sn there is at least one fi with fi (p) = 0 f= fi ( -p) . Show: The h, ... , f n+2
have no common zero, but any n + 1 of them do.
[Use (B.1) with Mi = fi- 1(0).]
(B.7) Let f : Sn -+ Sn be nullhomotopic. Show: f has a fixed point and sends some x to
its antipode, i.e. , f(xo) = -Xo for some Xo.
[If f has no fixed point , then f ~ - id. If no point maps to its antipode, then f ~ id,
which is not nullhomotopic .]
C. Theorem of Brouwer and related results
(C .1) Let X be a compact subset of R n with nonempty interior. Show: There is no

retraction of X onto its boundary (Borsuk [1931]).
(C.2) (Theorem on partitions) Let I n be the n-cube {(Xl , ... , Xn) IIXil :S 1 for i E in]} ;
the ith face {x E In I Xi = I} is denoted by Jt , and the opposite face {x E In I Xi = -I}
by Ji- . For each i E [n] let Ai be a closed set separating J i+ and J i- (i.e., In - Ai =
Ui+ UUi-, where the ut, Ui- are disjoint open sets with Jt C Ui+ and J i- C Ui-) . Prove:
n~l Ai =f:. 0 (Eilenberg- Otto [1938J; see also the book by Hurewicz- Wallman [1941]).
[For each i define
and show that the map X f-t X + (hI (x) , ... , hn(x)) maps In into itself.J
(C.3) (Miranda theorem) Let!I, ... , fn be continuous real-valued functions on In such
that for each i E [nJ,
j; (x) 2: 0 for x E J i+, j; (x) :S 0 for x E J i- .
Show: There exists x E In such that j;(x) = 0 for each i E [n] (Miranda [1940]).
(C.4) Let f : (Kn+l, Sn) -+ (Kn+I, Sn) be a continuous map such that one of the
following conditions holds: (a) Fix(fISn) = 0, (b) f(x) = -x for each x E Sn , (c) flS n :
Sn -+ Sn is not nullhomotopic. Show: f : K n + I -+ K n + I is surjective (Kuratowski-
Steinhaus).
(C.5) (Theorem of Frum-Ketkov and Nussbaum) Let E be a Banach space and D a closed
ball about the origin in E.
(a) Let f : D -+ E be continuous with f(EJD) C D. Show: If P : E -+ E is a
finite-dimensional linear projection with IIPII = 1, then Po f : D -+ E has a fixed point.
(b) Let K be a compact subset of E. By an approximating sequence for K is meant
a sequence {Pn } of finite-dimensional linear projections in E such that (i) IlPnll = 1 for
all n; (ii) Pnx -+ x for each x E K . Show: If {Pn } is an approximating sequence for K,
then for each E: > 0 there exists an integer nc such that Pn(K) C B c( K) for all n 2: nco
(c) Let f : D -+ E be continuous with f(EJD) C D and assume that there exists a
compact subset K of E that admits an approximating sequence {Pn } of projections and
satisfies d(f(x), K) :S o:d(x, K) for some 0: < 1 and all xED. Prove: f has a fixed point
(Frum-Ketkov [1967)' Nussbaum [1972a]).
[Establish successively the following assertions: for each n there is a fixed point Xn
of Pn 0 f ; given E: > 0, we have (1 - o:)d(xn, K) < E: for large n (use the definition of
0: and (b)), implying d(xn,K) -+ 0; there is a subsequence {XnJ converging to some
Xo E K. Then f(xo) = xo.]
D. Sperner's lemma and the Knaster- Kuratowski- Mazurkiewicz theorem

Let .1 n = (Po, ... , Pn] be an n-simplex. By a subdivision .9 of .1 n is meant a decompo-
sition of .1 n into finitely many nonoverlapping n-simplices 0"1 , ... ,O"k such that (1) the
intersection of any two simplices in Y is either empty, or a common face of each, and
(2) each (n - I)-simplex in Y that is not on 8LJ. n is the common face of exactly two
n-simplices of Y. The mesh of Y is max{diamai l iE [k]); the carrier of a vertex v E Y
is the lowest-dimensional face [Pia" .. ,Pi.] of LJ. n that contains v.
(D. 1) Prove: Subdivisions of LJ.n having arbitrarily small mesh exist.

[Use repeated barycentric subdivision (cf. III, 8.2) .]
(D .2) (Spemer's lemma) Let Y be a subdivision of LJ. n . A labeling of the vertices of Y

that assigns to each vertex v E Y one of the letters {Pia' ... ,pis} whenever [Pia" .. ,Pis]
is the carrier of v, is called a Spemer labeling of Y. Given a Sperner labeling of Y, an
n-simplex ai E Y is called complete if its vertices are labeled Po, ... ,pn. Prove: In any
Sperner labeling of Y, the number of complete simplices is odd (and therefore at least
one will exist) (Sperner [1928]) .
[The result being trivial for n = 0, proceed by induction, assuming that it is true
for every LJ. n-l. Given a Sperner labeling of a subdivision Y of LJ. n, consider the set of
(n - 1)-simplices labeled (po, ... ,Pn-l). These arise from the 0; n-simplices of Y labeled
(po, ... ,Pn-l,Pi), Pi i= Pn, and the f3 complete simplices. Each of the 0; simplices has
2 faces labeled (po, ... , Pn-l) and each complete n-simplex only 1, so counting the n-
simplices of Y, we get a total of 20; + f3 simplices labeled (po, .. . , Pn - l). This total is
precisely that of the "/ (n - 1)-simplices (po, ... ,Pn-l) in the interior of LJ. n, each counted
twice, and the 15 such simplices on 8LJ. n , so 20; + f3 = 2,,/ + 15. Now, the 15 simplices
necessarily belong to the face (po, . .. ,Pn-l) of LJ. n, and are the complete simplices in a
Sperner labeling of a subdivision of that face . By the induction hypothesis, 15 is therefore
odd, so f3 is odd. This completes the inductive step.]
(D.3) (Knaster-Kuratowski- Mazurkiewicz theorem) Let LJ.n = [Po, ... ,Pn] be an n-sim-
plex, and let Mo, . .. ,Mn be n + 1 closed sets such that [Pia' ... ,PiJ C Mia U· .. U Mis for
each subset {io, ... ,is} C {O, ... ,n}. Prove: nf=o Mi i= 0 (Knaster-Kuratowski-Mazur-
°
kiewicz [1929]).
[{ Mo, ... , Mn} is a closed covering of LJ. n and Pi E Mi for each i. Let ,\ > be a
Lebesgue number for {Md, so that if A c LJ.n is any set with t5(A) < A, then n{Mi I
Mi n A i= 0} i= 0. Let Y be a subdivision of LJ.n with mesh < A. If v is any vertex of Y,
choose the carrier [Pia"'" Pis] of v, and give v anyone of the labels {Pia" .. ,Pis} such
that v E MiT' Apply (D.2).]
(D.4) Let LJ. n = [Po, ... ,Pn] be an n-simplex, and let {Mi I i = 0, ... , n} be a closed cover-
ing of LJ.n such that [Po, ... ,Pi, ... ,Pn] nMi = 0 for each i = 0, ... ,n. Prove: nf=o Mi i= 0.
[Let X = {po, ... ,Pn} C R n and show that Pi f-> M; is a KKM-map.]
(D.5) Let LJ.n = [po, ... ,Pn] be an n-simplex, and let {Mi Ii = O, ... ,n} be a closed
covering such that [po, ... ,Pi,'" ,Pn] C Mi for each i = 0, ... , n. Prove: nf=o Mi i= 0
(Alexandroff-Pasynkoff [1957]).
[For each i = 0, ... ,n - 1, let MI = Mi+l and M~ = Mo. Apply (D.3) by showing
that Pi f-> MI is KKM.]
(D.6) Let LJ.n = [Po, ... ,Pn] be an n-simplex. Show that there exists a A > with the°
property: If £ is any finite closed covering of LJ.n and if each H E £ has diameter < A,
then there are at least n + 1 sets in £ that have a nonempty intersection (Lebesgue).
[Let LJ.i = [po, ... ,Pi,'" ,Pn]; since n~o LJ.i = 0, they have a Lebesgue number A > 0:
any set in LJ.n of diameter < A does not meet at least one LJ.i. Assume that the sets of
£ have diameter < A. Define cJ>o to be all the sets in £ that do not meet LJ.o, and
proceeding recursively, let Pk be the family of all sets in .Yt' - U7:l

Pi that do not meet
.::1 k , k = 0,1 , ... , n. Then U~=o Pi = .Yt', each H E .Yt' belongs to at least one Pi, and the
n + 1 closed sets Mi = U{H I H E pd satisfy the conditions in (D.4).]
(D.7) Prove: 8.::1 n is not a retract of .::1 n .
[If r : .::1 n --> 8.::1 n were a retraction, con;;ider the sets !vIi = r -1 [Po, . .. , Pi, ... , Pn]
and apply (D.5).]
(D.S) Let.::1 n = [Po , ... ,Pn] be an n-simplex, and let Uo , Ul, . . . , Un be n + 1 open sets
in.::1 n such that [Pi o , ... , Pi s ] C Uio U ··· U Uis for each subset {io, ... , is} C {O, ... , n}.
Prove: n~=o Ui =I 0 (Lassonde [1990]).
E. Universal maps
(E.l) Let X, Y be topological spaces. A map J : X --> Y is called universal if for any
9 : X --> Y there exists x E X such that J(x) = g(x). Recall that a space X is called a
fixed point space if every continuous J : X --> X has a fixed point. Show:
(a) If I : X --> Y is universal, then I(X) = Y.
(b) If I : X --> Y is universal, then Y is a fixed point space.
(c) X is a fixed point space if and only if idx i;; univer;;al.
(d) If gJ is universal then so is g.
(e) Let A C X and J : X --> Y. If JIA : A --> Y is universal then so is J .
(f) Any continuous map J : X --> [0,1] of a connected space onto [0,1] is universal.
(g) Let Y be a connected linearly ordered space with the interval topology, with
the minimal and maximal elements. Then any continuous map I : X --> Y of a
connected space X onto Y is universal.
(E.2) Let X, Y be metric spaces and E > O. A continuous J : X --> Y is called an E-map
if a(J-l(y») ::; E for all y E Y. Let X, Y be compact metric spaces and I : X --> Y be a
map. Assume that for each E > 0 there exist a space ZE: and an E-map IE: : Y --> ZE: such
that IE: 0 I : X --> ZE: is universal. Show: I is universal (Holsztynski [1969]).
(E.3) Let I : K n +1 --> K n + l be a map such that J(Sn) C Sn and JIS n : Sn --> Sn is
not homotopic to a constant . Show: J is universal (Holsztynski [1969]).
(E.4) Let I : X --> K n + l be a map of a normal space into the (n + I)-ball and A =
J-l(sn). Prove: I is universal if and only if the map IIA : A --> Sn is not extendable
over X (Lokutsievskil [1957], Holsztynski [1967]).
F. Fixed point spaces

Given subsets A, B in a metric space (X, d) and E > 0, an E-displacement of A into B is
any continuous map JE: : A --> B such that dCa, JE:(a» ::; E for all a E A.
(F. 1) Let (X, d) be a compact metric space and assume that for each E > 0, there is an
E-displacement PE: : X --> X such that PE:(X) is a fixed point space. Show: X is a fixed
point space (Borsuk [1932]) .
(F.2) Let X be a compact metric space and assume that for each E > 0 there is an E-map
I: X --> K n+ l onto some (n + I)-ball such that I IA : A --> Sn, where A = I-l(sn), is
not extendable over X. Prove: X is a fixed point space (Lokutsievskil [1957]).
(F.3) Show: The Hilbert cube 1= is a fixed point space.
[Use (F.l) and the Brouwer fixed point theorem.]
(F.4) Let (X, d) be a metric space and K(X) the set of all nonempty compact subsets
of X. For A E K(X) and c > 0 we denote by Ue;(A) the c-neighborhood of the set A in X.
We define the Borsuk metric DB in K(X) by letting, for A , BE K(X) ,
DB(A, B) = inf{there are c-displacements fe; : A -+ Uc(B) and ge; : B -+ Uc(A)}.

E
Prove: If {An} is a sequence of fixed point spaces in K(X) and DB(An, A) -+ 0, then A
is also a fixed point space.
(F.5) Prove: The unit ball
K OO
= {x = {xd E12111xl12 = f x¥ ::; I}
,=1
in the Hilbert space 12 is not a fixed point space (Kakutani [1943]).
1 '-'----,I"lx"""II'"'2,X1,X2, ... ) is a
[Show that <.p: K oo -+ K oo given by (X1,X2, .. . ) f-+ (ylc-
continuous map without fixed points.]
(F .6) Let X be a normal space and L a closed subset of X homeomorphic to the half-line
[1 ,00) . Show: X is not a fixed point space (Klee [1955]).
[Prove that L is a retract of X using the Tietze-Urysohn theorem.]
(F.7) Let E be an infinite-dimensional normed linear space and K its closed unit ball.
Prove: K is not a fixed point space (Dugundji [1955]).
[Define by induction a sequence {en} in oK such that dist( e n +1, span( e1, . .. , en» = 1.
Prove that L = [q, e2] U [e2 , e3 ] U · .. is closed in K and that L is homeomorphic to [1 ,00);
then apply (F.6) . The argument in this hint was suggested by V. Klee and independently
by C. Bowszyc.]
G. Vector fi elds
Let A c Rn+1, and let F : A -+ R n + 1 be a map; from F we obtain a vector field

f: A -+ R n + 1 by f(x) = x - F(x). A z ero of f is called also a singularity of f; clearly,
the singularities of f are precisely the fixed points of F.
(G.1) Let f,g : Sn -+ R n + 1 - {O} be two singularity free vector fields that are never
opposite. Show: f ~ g.
(G.2) Let f : (Kn+l , oK n + 1) -+ (Rn+l, R n +1 - {O}) be a vector field on K n + 1

without singular points on oKn+l. We say that f is essential if for any given 9 :
(Kn+l, oKn+l) -+ (Rn+l , Rn+ 1 - {O}) satisfying gloK n + 1 = floKn+1 there is a sin-
gular point for g; f is said to be inessential if flS n can be extended without singularities
over Kn+1 . Show: A vector field f : (Kn+l, oKn+l) -+ (Rn +l , R n + 1 - {O}) is essential
if and only if the map <.p: Sn -+ Sn defined by x f-+ f(x) / llf(x)11 is not nullhomotopic.
(G.3) Let f,g: (Kn+l,oKn +l) -+ (Rn+1 , R n +1 - {O}) be two homotopic vector fields .
Prove: If f is essential, then so is g.
(G.4) Let f : (Kn+l, oKn+l) -+ (Rn+l, R n + 1 - {O}) be an essential vector field. Show:
The vector field floK n +1 : Sn --> R n + 1 - {O} points in every direction.
(G.5) Let f : (Kn+l, oKn+1 ) -+ (Rn+l, R n + 1 - {O}) be a vector field such that the
vectors at antipodal points never have the same direction. Show: f is essential.
(G.6) Let f : K n + 1 --> R n + 1 - {O} be a nonsingular vector field on Kn+ l. Show: There is
a pair of antipodal points on Sn = 8K n + 1 at which the vectors have the same direction.
(G.7) Show: There is no singularity free vector field f : K n + 1 --> R n+ 1 - {O} on K n + 1

such that f is everywhere outward normal or everywhere inward normal on the boundary.
[If f : Sn --> Rn+l - {O} has no inward normal, then it can be deformed to a field
that has outward normal everywhere.J
H. Topological theory of KKM-maps
In this subsection, C stands for a nonempty convex set in R S and X for a subset of C;
by (X) we denote the set of finite subsets of X, and for A E (X) we let [AJ = conv A. We
recall that F : X --> 2 C is a KKM-map if [AJ c U{Fx I x E A} for each A E (X). We say
that a map T : X --> 2 C has the matching property if the condition
[AJ C U{Tx Ix E A} for some A E (X)
implies that
n{Tx n [BJ Ix E B} :f=. 0 for some B E (X).
(H.l) ("Closed" and "open" versions of the KKM-property) Prove: If F : X --> 2c is a

closed-valued (or an open-valued) KKM-map, then
n{Fx n [AJ I x E A} :f=. 0 for each A E (X).
(H.2) (Matching theorems) Prove: If T : X --> 2 c is an open-valued (or a closed-valued)

KKM-map, then T has the matching property.
[Use the map x,..... Fx = C - Tx and (H. 1) .]
(H.3) (Fixed point theorems) Let T : C --> 2 c be a convex-valued map with open fibers
(or with closed fibers) such that for some A E (C), we have Tx n A :f=. 0 for all x E [A].
Show: Fix(T) :f=. 0.
[Use (H.2) and the following observation: if T : C --> 2c is convex-valued and R =
T- , then, given any A E (C), the following properties are equivalent: (i) Tx n A :f=. 0 for
1
each x E [AJ, (ii) [A] C U{Rx I x E A}.]

(The above results , except the "closed" version of (H. 1) , are due to Lassonde [1990J.)
The antipodal theorem of Borsuk

This is one of the central results in fixed point theory. It was established by
Borsuk [1933a] together with (4.4); the Borsuk- Ulam theorem was conjec-
tured by Ulam and proved by Borsuk. Theorem (4.4) was discovered earlier
by Lusternik- Schnirelmann [1930] in their work on topological methods in
analysis.
The combinatorial proof of (5.2) presented in the text is an adaptation
of that in Granas's tract [1962]. The first proof of this type was given by
Tucker [1945] for n = 3; Fan [1952a] extended Tucker's result to arbitrary n
and established some generalizations of the Borsuk- Ulam and Lusternik-

Schnirelmann- Borsuk theorems. A combinatorial proof of the antipodal the-
orem was also found by Krasnosel'skil- Krein [1949]. The first proof of the
antipodal theorem using the analytical definition of the degree was given in
the lecture notes by J.T. Schwartz [1969]. For yet another analytical proof
see the lecture notes by Nirenberg [1973]. An elementary proof based on
degree theory may also be found in Dugundji's book [1965]. A notewor-
thy algebraic proof of the Borsuk- Ulam theorem is given by Arason- Pfister
[1982].
K. Borsuk and P . Alexandroff, Radach6wka, 1962
The Lustemik- Schnirelmann category

Let X be a topological space. A set A c X has Lustemik- Schnirelmann
category ::; n, written Cat A ::; n, if A is the union of n closed sets each
deformable to a point in X . It is easy to establish that:
(a) CatB::; Cat A if Be A.
(b) Cat(AUB)::; CatA+CatB.
(c) Cat A ::; dim A - l.
(d) If f : A -+ X is homotopic to the inclusion i A -+ X , then
Cat A::; Cat(f(A)).
The following theorem of Lusternik- Schnirelmann [1930] is equivalent

to Theorem (4.4) , and hence to Borsuk's antipodal theorem: If pn is the
n-dimensional real projective space, then Cat(pn) = n + 1.
This notion of category plays a basic role in the critical point theory
developed by Lusternik- Schnirelmann. Let f be a smooth real-valued func-
tion on a smooth manifold M. A point p E M is called a critical point of f
provided there is a local coordinate system (Xl, . . . ,xn ) in a nbd of p with
8f(p)/8xi = 0 for all i = 1, ... , n. The number of critical points is gov-
erned by the following fundamental result of Lusternik- Schnirelmann: If M
is compact, then f has at least Cat M critical points on M.
The following is a simple application. Let f(x) = f(XI,"" xn) be a
smooth function defined on a nbd of the unit sphere sn-l in Rn. The
critical points of f are determined by the equations
n n
d[f(x)-ALx;] =0,
i== I
(if f is a quadratic form, then the corresponding critical points coincide with
eigenvectors of f, and to Lagrange multipliers correspond eigenvalues of f).
Assume that the function f is even, i.e., f (x) = f ( -x) for all x E sn-l.
Since by identifying x with -x for all x E sn-l we obtain the projective
space pn-I, it follows from the above theorem of Lusternik- Schnirelmann
that f : pn-l ---+ R has at least Cat(pn-l) = n different critical points and
hence the equation (*) has at least n different pairs of solutions.
Results related to the Borsuk- Ulam theorem

The Borsuk- Ulam theorem suggested deriving more precise results for maps
f : sn ---+ R. In 1942 Kakutani (n = 2) and in 1950 Yamabe- Yujob6 (for
general n) showed that there exist n + 1 points {xd satisfying (Xi, X j) = 0
for i =1= j and such that f(xd = ... = f(xn+l)' This has a consequence that
any compact convex K c Rn+l has a circumscribing (n + I)-cube C (i.e.,
every face of C meets K): for each direction 0: E sn let f(o:) be the distance
between two parallel planes perpendicular to 0: that contain K between
them, each of the planes meeting K. In 1950 Dyson (n = 2) and in 1954
Yang (arbitrary n) showed that any f : sn ---+ R maps the 2n endpoints of
some n mutually orthogonal diameters to a single point. For more details
see Yang [1954J.
Theorem of Brouwer
This is one of the oldest and best known results in topology. It was proved for
n = 3 by Brouwer [1909]; for differentiable maps an equivalent result was
established earlier by Bohl [1904]. Hadamard [1910] (using the Kronecker
index) gave an analytic proof for arbitrary n; somewhat earlier, Brouwer

gave a proof using the simplicial approximation technique and the notion
of degree; that proof appeared in Brouwer [1912] (cf. comment on p. 277).
Other proofs depending on various definitions of degree were also given by
J.W. Alexander [1922] and Birkhoff~Kellogg [1922].
A simple combinatorial proof of the Brouwer theorem (based on Sper-
ner's lemma [1928]) was given by Knaster~Kuratowski~Mazurkiewicz [1929];
they noted also that for a map f : Kn --t Rn the condition f(8K n ) c K n
suffices for the existence of a fixed point. For a noteworthy analytical proof
of the Brouwer theorem see Lax [1999]; for another proof due to Milnor
[1978] see "Miscellaneous Results and Examples".
Equivalent formulations
The fact that the Brouwer fixed point theorem admits an equivalent for-
mulation in terms of homotopy and another one in terms of retraction was
observed by Borsuk [1931a], [1931b]; these simple but significant observa-
tions provided the justification for the study of nonextendability problems
and were the starting point of many further important developments. The
fact that there is no retraction r : K n+ 1 --t sn (besides being equiva-
lent to Brouwer's theorem) provides a key to a number of other results in
topology; it can be used, for example, to prove the domain invariance in
Rn and also the "tiling" covering theorem of Lebesgue (see the book of
Hurewicz~Wallman [1941]). Among the proofs of this nonretraction result
we mention an analytic proof by Milnor (cf. Milnor's book [1965]) based on
the approach of M. Hirsch [1963], the inductive proof by Sieklucki [1983],
and that of Alexandroff-Pasynkoff [1957] based on the Knaster~Kuratowski~
Mazurkiewicz theorem. For a discussion of the not entirely correct approach
of Hirsch [1963] in the simplicial context see Joshi [2000].
Computing fixed points

Brouwer's theorem ensures that each self-map f : 0' --t 0' of a simplex has
at least one fixed point. Until the late sixties computer methods to find a
fixed point of a given such map were severely limited: the techniques used
were all based on iterative procedures that required additional restrictions
on the map in order to guarantee convergence. Scarf [1967] developed a
finite algorithm (based essentially on Sperner's lemma) for approximating
a fixed point for any continuous f : 0' --t 0'; to improve accuracy, the early
programs included a Newton method subroutine, depending on the function
considered. Scarf's paper initiated considerable activity in computation of
fixed points. By using homotopy techniques, Eaves [1972] gave an algorithm
with improved accuracy over that of Scarf, and avoiding the Newton method:
108 II. Theorem of Borsuk a nd Topological Transversality
working on (j x I with the given function on (j x {a} , a known function with

a unique fixed point on (j x {I}, and a suitable homotopy joining them,
this approach relies on the fact that connected I-manifolds (the fibers of
the homotopy) are homeomorphic either to the circle or to the unit interval.
An introduction to this currently active research area and to some of its
immediate applications may be found in Scarf- Hansen [1973] and the book
of Allgower-Georg [1990].
Brouwer's theorem in the infinite-dimensional case

The fact that the Brouwer theorem does not hold for arbitrary continuous
maps of the unit ball in infinite-dimensional Banach spaces was observed by
several authors.
In 1935 (answering a question of Ulam) , Tychonoff showed that the unit
sphere in 12 is a retract of the unit ball. Leray [1935] observed that the unit
sphere in e[O, 1] is contractible. Kakutani [1943] gave an example of a fixed
point free homeomorphism of the unit ball in 12 into itself. Dugundji [1951]
proved the following theorem: A closed unit ball in a normed linear space is
a fixed point space if and only if it is compact. Klee [1955] generalized this
result to arbitrary convex sets in metrizable locally convex spaces.
In their study of fixed points of Lipschitz maps, Lin- Sternfeld [1985] established the
following result : A convex set in a Banach space, having the fixed point property for Lip-
schitz maps, must be compact. From this one can deduce the following earlier result of
Nowak [1979]: In every infinite-dimensional Banach space there exists a Lipschitz retrac-
tion of the unit ball on its boundary. For more details the reader is referred to Bessaga
[1994] and to the book of Goebel- Kirk [1991] .
Universal maps
A map f : X ----+ Y is called universal if for each g : X ----+ Y there is
x E X such that f(x) = g(x) (clearly X is a fixed point space if and only if
the identity map Ix is universal). This notion is due to Holsztynski [1964],
who obtained the following generalizations of the theorems of Hurewicz and
Brouwer:
(i) Let X be a normal space and J'k = {(Xl, . .. , X n ) E In I x IkI = sgn k}
for k = ±1, ±2, . .. , ±n, where J = [-1, +1]. Let f : X ----+ In be a
map and AI , ... , An be a sequence of closed sets in X such that Ak
partitions X between f-I(J~k) and f-I(J'k) for k = 1, ... , n. Then
f is universal if and only if n~=1 Ai i- 0.
(ii) If X is a normal space, then the covering dimension dimX 2: n if
and only if there is a universal map f : X ----+ I n .
Further results (and some applications to dimension theory) can be found
in Holsztynski [1967], [1969].
Fixed point spaces
A space X has the fixed point property (or is a fixed point space) if every
continuous f : X --"* X has a fixed point. Clearly, this property is topolog-
ically invariant. Borsuk [1931a] observed that if X is a fixed point space,
so also is every retract of X. For Cartesian products of fixed point spaces,
the result depends on the number of factors. The product of two compact
fixed point spaces need not be a fixed point space. We mention the following
examples:
(i) there is a finite polyhedron P that is a fixed point space while
P x [0,1] is not a fixed point space (see an example of Lopez [1967]
given below and Bredon [1971]);
(ii) there is a finite polyhedron P with the fixed point property such
that the suspension of P is not a fixed point space (Holsztynski
[1970]);
(iii) there are two manifolds X, Y that are fixed point spaces while XxY
is not a fixed point space (Husseini [1977]).
In contrast with finite products, an infinite product of compact nonempty
fixed point spaces is a fixed point space whenever every finite product of
those spaces is a fixed point space (Dyer [1956]). Thus by the Brouwer
theorem, the Hilbert cube [00 and in fact any Tychonoff cube are fixed
point spaces.
Several important results are summarized in the following list of fixed
point spaces:
(i) projective spaces of even dimension (J.W. Alexander [1922]),
(ii) compact convex sets in £2 and in en[O, 1] (Birkhoff-Kellogg [1922]),
(iii) compact convex sets in Banach spaces (Schauder [1927aJ, [1927bJ,
[1930]),
(iv) weakly compact convex sets in separable Banach spaces (with re-
spect to weakly continuous maps) (Schauder [1927a]),
(v) compact absolute retracts (Borsuk [1931a]),
(vi) compact convex sets in locally convex linear topological spaces (Ty-
chonoff [1935]).
Two compact metric spaces X and Yare quasi-homeomorphic if for each € > 0 there
is an €-map f : X --+ Y and an €-map 9 : Y --+ X. The question of whether the fixed
point property is invariant under quasi-homeomorphisms was treated by Borsuk [1938]:
it is not invariant for arbitrary continua but is invariant if X and Yare compact ANRs.
Some examples
We give some noteworthy examples of continua lacking the fixed point prop-
erty.
110 II . Theorem of Borsuk and Topological Transversality
(a) (Knill [1967]) Let S = {x E R2111xll = 1} be the unit circle and A

be a closed half-line spiraling to S. Let X = AU S and regard X as a subset
of R2 x {O} C R3 . Let Z = ex c R3 be the cone over X with vertex
p = (0, 0, -1) as shown in Figure 1. Clearly, Z is contractible (to p); Knill
showed that Z is not a fixed point space but is a cell-like continuum (i.e., it
is the intersection of a decreasing sequence of closed 3-cells in R3).
Figure 1 Figure 2
(b) (Kinoshita [1953]) Let X be the "can-with-a-roll-of-toilet-paper"

shown in Figure 2. Clearly, X is a contractible continuum; Kinoshita showed
that neither X nor the cone ex over X has the fixed point property. In
connection with the above two examples see Sieklucki [1985].
- ~
Figure 3
(c) (Borsuk [1935]) Let X be the continuum in R3 shown in Figure 3.

It consists of a solid cylinder with two tunnels carved out; the width of each
tunnel tends to zero as the tunnel approaches the limiting circle. Borsuk
showed that X is a cell-like continuum that admits a fixed point free hom-
eomorphism. Such a homeomorphism can be described as follows: the top
and the bottom of the cylinder rotate about the axis of the cylinder, and
each point lying between the top and the bottom is moved down below its
original position. Borsuk's example can be used to construct a fixed point
free flow with bounded orbits in R3 (Kuperberg- Reed [1981]). For related
results, the reader is referred to Kuperberg et al. [1993]. We remark that
there exists a 3-dimensional continuum in R4 that has the properties of the
Borsuk example and in addition is simply connected (Verchenko [1940]).
(d) Let X be a plane continuum not separating the plane. It can be
shown that X is the intersection of a decreasing sequence of closed 2-cells in
R2. Since the twenties, the following problem has remained unsolved: does X
have the fixed point property? The following related partial result was estab-
lished by Cartwright- Littlewood [1951]: Let h be an orientation-preserving
homeomorphism of R2 onto itself, and let X = h(X) be a continuum not
separating the plane. Then hlX has a fixed point.
(e) (Lopez [1967]) We now describe a polyhedron Z with the fixed point
property such that Z x [0, 1] lacks this property. Let pn(c) denote the
complex n-dimensional projective space (of real dimension 2n). It is obtained
°
from cn+l - {O} by identifying all the points on each complex line through
to any particular point. Specific embeddings pn (C) C pn+l (C) can be
obtained from the inclusions cn+l X {O} C cn+l X C. The space Pl(C) is
readily seen to be homeomorphic to the 2-sphere 8 2 .
Let (a, b) E 8 2 X 8 2 and form a quotient space Z of the disjoint union
p2 (C) + 8 2 X 8 2 + p4 (C) + E p8 (C) by identifying
8 2 = pl(C) C P2(C) with 8 2 x {b} in 8 2 x 8 2 ,
82 = pl(C) C P4(C) with {a} x 8 2 in 8 2 x 8 2 ,
and (a, b) with any point of E p8 (C), the suspension of p8 (C).
The space Z is triangulable; Lopez showed that Z has the fixed point
property but Z x [0, 1] does not. This is another example showing that the
fixed point property is not an invariant of homotopy type. Although not
so easily visualized as example (a), it has the advantage of having no local
pathology.
Further, more special examples of fixed point spaces and additional
references can be found in the surveys by Bing [1969], Fadell [1970], and
Brown [1974].
§6. Fixed Points for Compact Maps

in Normed Linear Spaces
In this paragraph we obtain the basic fixed point theorems for compact
operators in normed linear spaces. The approach is based on two general
techniques: (1) The approximation of compact maps by finite-dimensional
ones, which leads to the analogs of the Brouwer and Borsuk theorems for
compact maps; (2) Topological transversality, which, applied to compact
maps, leads to the Leray- Schauder principle, and when applied to compact
fields, gives domain invariance. One feature of this approach is that the
results are established for compact maps having ranges restricted to an
arbitrary preassigned convex set.
1. Compact and Completely Continuous Operators
(1.1) DEFINITION. Let X, Y be topological spaces.

(i) A map F : X ----) Y is called compact if F(X) is contained in a
compact subset of Y.
(ii) If X is a metric space, F : X ----) Y is called completely continuous
if the image of each bounded set in X is contained in a compact
subset of Y.
(iii) If Y is a linear space, a compact map F : X ----) Y is called
finite-dimensional if F(X) is contained in a finite-dimensional
linear subspace of Y.
(iv) If Y is a metric space, F : X ----) Y is called bounded if F(X) is
a bounded subset of Y.
The set of all compact maps from X to Y is denoted by X(X, Y). If (Y, Q) is
a metric space, X(X, Y) is contained in the metric space (&6'(X, Y), d) of all
bounded maps from X to Y with metric d(F, G) = sUPXEX Q(F(x), G(x)).
If (E, II II) is a normed linear space, X(X, E) is a linear subspace of the
normed linear space (&6'(X, E), I I) with norm IFI = SUPXEX IIF( x) II. For a
complete Y the space (&6'(X, Y), d) is also complete; if E is complete, then
&6'(X, E) is a Banach space.
Slightly less evident is
(1.2) PROPOSITION. If Y is complete, then so is the space X(X, Y). In
particular, if Y = E is a Banach space, then X(X, E) is also a
Banach space.
PROOF. Since (&6'(X, Y), d) is complete, it is sufficient to show that X(X, Y)
is closed in ~(X, Y). Let {Fn} be a sequence in X(X, Y) with d(Fn, F) ----) 0
for some F E &6'(X, Y); we show that FE X(X, Y).
According to Hausdorff's theorem (see Appendix) it is sufficient to estab-

lish that F(X) is totally bounded. Let c > 0 be given; by assumption there
is an integer k such that sUPxEX Q(F(x) , Fk(X)) :s; c/2. Let N = {Yl ," " Yn}
be an c/2-net for the totally bounded set Fk(X), Given a point x E X we
have, for some Yi EN,
Q(F(X) ,Yi) :s; Q(F(x) , Fk(X)) + Q(Fk(x) , yd:S; c,
which shows that N is an c-net for the set F(X). o
We now give some examples of compact and completely continuous op-
erators.
EXAMPLE 1. Let E be a Banach space, U c E open, and F : U -> E a
compact map that has a derivative G = F'(xo) at a point Xo E U. We prove
that G is a completely continuous linear map from E to E. For suppose not;
then for some c > 0 there is a sequence {h n } in E with Ilhnll :s; 1 such that
(i)
for all n , m = 1, 2, ... (n =I m). By assumption
(ii) F(xo + h) - F(xo) = G(h) + w(h)
in a neighborhood of Xo, where
(iii) lim Ilw(h)11 = O.

h-'>O Ilhll
By (iii) , there is a 8 > 0 such that Xo + 8h n E U for all n = 1,2, ... and
(iv) Ilhll < 8 => Ilw(h)11 :s; ~llhll.
By (i) , (ii), (iv), we have, for all n, m with n =I m,
IIF(xo + 8hn) - F(xo + 8hm )11
= II[F(xo + 8hn) - F(xo)]- [F(xo + 8h m ) - F(xo)]11
2: 811G(hn - h m )II-llw(8hn) - w(8hm )11
2: 8c - 8c/2 = 8c/2.
But this is a contradiction, because F is compact.
EXAMPLE 2 (Urysohn integral operators) . Let n be a bounded domain in
Rn, and let K : D x D x R - t R be continuous. Putting
(1) [Fu](x) = iK(x,y,U(Y))dY (XED)
for each U E C(D) we obtain a nonlinear map F : C(D) -> C(D) known as
the Urysohn integral operator. We prove that F is completely continuous:
by Arzela's theorem it suffices to show that given {un} with Ilunll :S r, the
sequence Vn = F(u n ) is bounded and equicontinuous.
(a) {v n } is bounded: for M = sup{IK(x , y, u)11 X,y E Q, u E [-r,r]}
< 00, we have
Ilvnll = sUElvn(x)l:S sUE

xED
r IK(x , y,un(y))ldy:s Mf.1,(Q).
XED}D
(b) {v n } is equicontinuous: let c > 0 be given; because K : Q x Q x

[-r, r] --+ R is uniformly continuous there is a 6 > 0 such that
[II Xl - X211 < 6] => IK(Xl , y,U) - K(X2,y,u)1 < c

for all y E Q, u E [-r , r], and consequently,
IVn(Xl) - vn(x2)1 :S lIK(Xl' y, un(y)) - K(X2' y, un(Y))1 dy < cf.1,(Q)
for all n, whenever Ilxl - x211 < 6. Thus {v n } is equicontinuous.

Important special cases are the Hammerstein operators of the form
(2) [Fu](x) = 1 K(x , y)f(y, u(y)) dy
for suitable f : Q x R --+ R. One general procedure for studying (2) is based
on the factorization
C(.o) F :> C(Q)
~~ C(Q)
where the nonlinear map 1: C(Q) --+ C(Q) (called the Niemytzki operator)
is given by
[iu](y) = f(y, u(y)), y E Q,
and K is a linear integral operator
[Ku](x) = 1 K(x, y)u(y) dy.
Many variations of these examples are possible by considering nonlinear

integral operators in spaces other than C(Q). For instance, to prove com-
plete continuity of the Hammerstein operator F : LP(Q) --+ LP(.o) one may
factorize F through Lq (l/p+ l/q = 1) and impose conditions that guaran-
tee the complete continuity of the linear operator K : Lq(Q) --+ LP(Q) and
boundedness on bounded sets of the Niemytzki operator 1:
LP(.o) --+ Lq(Q).
EXAMPLE 3 (Caratheodory operators). Denote by (Ck[a, b], II Ilk) the Ba-

nach space of C k functions v : [a, b] -t R with
Ilvllk = max{llvllo, Ilv'llo, ... , Ilv(k) Ilo}
U:
(II 110 is the sup norm in C[a , b]) and by (LP[a, b], II lip) the Banach space of
pth power integrable functions with Ilvll p = Iv(s)IP dS)l /p for p ~ l.
Given p ~ 1, we call f : [a, b] x Rk -t Ran LP-Caratheodory lunction if:
(i) Y f-t 1(s, y) is continuous for almost all s E [a, b],
(ii) s f-t I(s , y) is measurable for all y E Rk,
(iii) for each r > 0 there exists a nonnegative 'Pr E LP[a, b] such that
s
Ilyll r implies I/(s , y)1 S 'Pr(s) for almost all s E [a, b].
it
Putting
[Fv](t) = I(s , v(s) , ... , v(k-l)(S)) ds
for each v E Ck-l[a,b], we obtain a nonlinear map F Ck-1[a,b]-t

C[a, b] known as the LP -Caratheodory operator associated with the LP-
Caratheodory function I.
Leaving to the reader the verification that F is well defined and con-
tinuous, we show that F is completely continuous: by Arzela's theorem,
it suffices to prove that given {un} in C k - 1 [a , b] with Ilunllk - l S r, the
sequence Vn = FUn is bounded and equicontinuous in C[a, b].
(a) {v n } is bounded: since by assumption, max{llunllo, ... , Ilu~k-l)llo}
S r, there exists, in view of (iii), a function 'Pr E LP [a, b] such that
I/(s , un(s) , ... , u~k-l)(s))1 S 'Pr(s)
for almost all s E [a , b], and therefore
Ilvnllo = IIFuniio S ib 'Pr(s) ds .
(b) {v n } is equicontinuous: let c > 0 be given; by the absolute continuity

of the Lebesgue integral, there exists a 8 > 0 such that It 'Pr (s) ds < c
whenever It - t'l < 8; consequently,
Ivn(t) - vn(t')1 = IFun(t) - Fun(t')1 S 1 t'

'Pr(S) ds S c
for all n whenever It - t'l < 8. Thus {v n } is equicontinuous.

EXAMPLE 4 (Boundary value problems) . Let [l be a bounded domain in
n
Rn with a smooth boundary o[l. Let 1 : x R -t R be Holder continuous
and Ll = L~=l 0 2 lax; the Laplace operator. Consider the nonlinear elliptic
boundary value problem
(a) { -Llu = f(x , u) ,

ulan = O.
One seeks a classical solution u E C 2 (Q) n C(D) satisfying (a). The above
problem is a prototype of more general problems that arise in numerous
applications. One method of treating (a) is to apply the Green function G
for the operator -Ll subject to the Dirichlet boundary conditions, and so
to reduce it to the nonlinear integral equation of the Hammerstein type
(b) u(x) = in G(x, y)f(y, u(y)) dy , xED.
The equation (b) may then be considered in various spaces, e.g. in LP(Q)
(1 < P < 00), C(D), or Cl(Q). In each case, however, due to the regularity of
Green's function, it turns out to be equivalent to the problem (a). Moreover,
in each of the above cases the nonlinear Hammerstein operator
[Fu](x) = in G(x, y)f(y, u(y)) dy
is a completely continuous self-map of the corresponding function space, and

thus the boundary value problem (a) reduces to the fixed point problem for
the map F.
2. Schauder Projection and Approximation Theorem

The approximation of compact maps into normed linear spaces by finite-
dimensional maps will be based on a simple projection of any finite union
of c-balls into the convex hull of their centers:
(2.1) DEFINITION. Let N = {el, ... , cn} be a finite subset of a normed
linear space, and for any fixed c > 0, let
(N,c) = U{B(Ci'C) liE [n]}.
For i E [n]let /-Li : (N,c) ~ R be the map x f-t max[O,c -llx - cill].
The Schauder projection Pc: : (N , c) ~ conv N is given by
1 n
Pc:(x) = I:n
~=l /-L~
.(x) L /-Li(X)Ci.
i=l
Note that Pc: is well defined, because each x E (N, c) belongs to some B(Ci' c) ,
so that I:~=l /-Li (x) i- 0; moreover, Pc: [( N, c) 1 c conv N, since each Pc: (x) is a
convex combination of the points Cl, ... , Cn. The main properties we require
are summarized in:
(2.2) PROPOSITION . Let Cl, . . . ,Cn belong to some convex C C E and Pe

be the Schauder projection. Then :
(a) Pc: is a compact map oj (N , E) into conv N C C,
(b) Ilx - Pe(x)11 < E Jor all x E (N,E),
(c) if N c C is symmetric with respect to 0, i.e., iJ
then (N, E) = -(N, E) and Pe( -x) = -Pe(x) Jor all x E (N, E).
PROOF. (a) is immediate; (b): we have
Ilx - Pe(x)11 = II L~=l /-Li(X) x _ L~~l /-Li(X)Ci II

Li=l/-Li(X) Li=l/-Li(X)
1 n
= L~=l /-Li(X) II {; /-Li(X)[X - cilll

::; L~=l ~i(x)llx - cill < E.
Li=l /-Li (x)
(c) Write -Ci = C-i, and note that from the definition of the /-Li we get
and our assertion follows. o

This leads to the basic approximation result:
(2.3) THEOREM (Schauder approximation theorem). Let X be a topological
space, let C be a convex subset oj a normed linear space E , and let
F : X - t C be a compact map. Then Jor each E > 0, there is a finite
set N = {Cl, . . . ,cn} C F(X) c C and a finite-dimensional map
Fe : X - t C such that:
(a) IlFe(x) - F(x)11 < E Jor all x E X,
(b) Fc:(X) C conv N C C.
PROOF. Since F(X) is relatively compact , there exists a finite set N =
{Cl, ... , cn} C F(X) with F(X) c (N, E). Define Fe : X - t C by x t-+
PeF(x), where Pe : (N, E) - t conv N is the Schauder projection; according
to (2.2), the map Fc: has the required properties. 0
As an application, we will establish a general extension property for
compact maps.
(2.4) LEMMA . Let X be a compact metric space , and let A C X be closed.
Let E be a normed linear space. Then each continuous J : A - t E is
extendable to a continuous F : X - t E.
PROOF. For each E = 1/n2 , n = 1,2, ... , let fn : A ~ E be a Schauder

approximation to f with
Ilfn(a) - f(a)11 ::; 1/n 2
for a E A. Since each fn is a continuous map of A into a finite-dimensional
linear space Ekn (which is homeomorphic to Rkn), Tietze's theorem yields
an extension f~ : X ~ Ekn C E for n = 1,2, ... . Let 9n(X) = f~+l (x) -
f~(x); then
119n(a)11 ::; Ilfn+l(a) - f(a)11 + Ilf(a) - fn(a)11 ::; 2/n 2

for a E A. Now for each n = 1,2, ... , let
Un =9~lB(O,3/n2)n{x I d(x,A) < l/n},
which is an open set in X containing A; replacing each Un by U1 n· .. nUn,
we can assume that U1 :J U2 :J ... and n~=l Un = A. Finally, for each
n = 1,2, ... choose an Urysohn function An that is 1 on A and zero off
Un, and let hn(x) = An(X) . 9n(X); clearly, Ilhn(x)11 ::; 3/n 2. Consider now
the series L:~=l hn(x). This converges for each x: in fact, if x ~ A, then
because x belongs to at most finitely many Un, the series reduces to a
finite sum; and if a E A, then the nth partial sum is fn+l(a) - h(a),
which converges to f (a) - h (a). Since the convergence is uniform on X, the
function h(x) = L:~=l hn(x) is therefore continuous, and fi(x) +h(x) is the
required extension of j. 0
(2.5) THEOREM. Let X be normal, A C X closed, and Fo : A ~ E a
compact map into a normed linear space E. Then Fo is extendable to
a compact map F: X ~ E.
PROOF. Because Fo(A), as a compact subset of E, is a compact metric
space, it is embeddable as a closed subset Q of the Hilbert cube ]00. Letting
h : Q ~ E be the inverse of this embedding map, we have the commutative
diagram
Fa
A ------='---~
.. E
\/ Q
n
]00
where 9 is the map a 1--+ h- 1 Fo(a). Because X is normal, 9 is extendable to

a map G : X -+ ]00; and by (2.4), h is extendable to a map H : 1 00 ~ E.
The map HoG: X ~ E is clearly compact, and is the required extension
of Fo. 0
3. Extension of the Brouwer and Borsuk Theorems

Let A be a subset of a metric space (X, d) and F : A -- X. Given an E > 0,
any point a E A with d(a, F(a)) < E is called an E-fixed point for F. To
relate this concept to that of fixed point, we have
(3.1) PROPOSITION. Let A be a closed subset of a metric space (X, d), and
F : A -- X a compact map. Then F has a fixed point if and only if
it has an E-fixed point for each E > O.
PROOF. "Only if" being trivial, we prove "if". For each n = 1,2, ... , let an
be a lin-fixed point for F, so that d(a n , F(a n )) < lin. Since F is compact,
we may assume that F(a n ) -- x E F(A). It follows that an -- x, and since
A is closed, that x E A. By the continuity of F, we find F(a n ) -- F(x) ;
consequently, x = F(x), and F has a fixed point. 0
We can now formulate Brouwer's theorem in a manner valid for all
normed linear spaces.
(3.2) THEOREM (Schauder fixed point theorem). Let C be a convex (not
necessarily closed) subset of a normed linear space E. Then each
compact map F : C -- C has at least one fixed point.
PROOF. According to (3.1), it is enough to show that F has an E-fixed point
for each E > O. Fix E > 0; by the approximation theorem (2.3) , there is an
Fe : C -- C such that
IIFe(x) - F(x)11 < E, x E C,
Fe(C) c conv N c C for some finite set N c C.
Since Fe [conv N] C conv N, and conv N is homeomorphic to a finite-dimen-
sional ball, it follows from Brouwer's fixed point theorem that Fe has a fixed
point Xo; and because Ilxo - F(xo)11 = IlFe(xo) - F(xo)11 ::; E, this is the
required E-fixed point for F. 0
With the same approximation technique, we extend Borsuk's fixed point
theorem to all normed linear spaces.
(3.3) THEOREM (Borsuk) . Let U be a bounded convex open symmetric
neighborhood of the origin in a normed linear space E. Then each
compact map F : U -- E that is antipode-preserving on the boundary,
i.e., -F(a) = F( -a) on au, has at least one fixed point.
PROOF . Let E > 0 be given; it suffices to show that F has an E-fixed point.
First, choose a finite subset NeE symmetric with respect to the origin
and such that F(U) C (N,E). It follows, using (2.2)(c), that the finite-
dimensional E-approximation Pe 0 F is still antipode-preserving on au. Let
Ek be a finite-dimensional linear subspace of E with Pc 0 F(U) C Ek, and

set F* = pcoFI(UnEk). Now, Uk = unEk is an open bounded symmetric
neighborhood of 0 in Ek, and F* : Uk - t Ek is antipode-preserving on
8(U k ), so by Borsuk's theorem, F* has a fixed point Xo . Since
Ilxo - F(xo)11 = IIF*(xo) - F(xo)11 = IIPcF(xo) - F(xo)11 < E,
this is the required E-fixed point for F. o

4. Topological Transversality. Existence of Essential Maps
Let F : X - t E be a compact operator defined on some X C E and satisfying
a "boundary condition" on a closed A eX. One technique for determining
whether or not the equation x = F(x) has solutions starts by deforming
F, and possibly also the boundary values FIA, to a simpler operator G,
and attempts to reduce the problem to that for the equation x = G(x) .
In geometric terms, one deforms the graph of F to that of G and seeks to
conclude, from the nature of the deformation, that if the graph of G meets
the diagonal L1 C X x E c E x E, then the graph of F must also do so.
The topological transversality theorem gives conditions under which such a
conclusion is valid.
To formulate the theorem in broad generality, we work entirely within a
convex set C C E, a normed linear space. By a pair (X, A) in C is meant
an arbitrary subset X of C and an A C X closed in X. We call a homotopy
H : X x I - t Y compact if it is a compact map. If X c Y , the homotopy H is
called fixed point free on A C X iffor each tEl , the map HIA x {t} : A - t Y
has no fixed point .
We denote by XA(X , C) the set of all compact maps F : X - t C such
that the restriction FIA : A - t C is fixed point free.
(4.1) DEFINITION. Two maps F, G E XA(X, C) are called admissibly ho-
motopic, written F :::: G in XA(X, C) , provided there is a compact
homotopy H t : X - t C (0 ::; t ::; 1) that is fixed point free on A and
such that Ho = F and HI = G. Clearly, :::: is an equivalence relation
in XA(X, C).
(4.2) PROPOSITION. Let F, G E XA(X, C) be two maps and assume that
one of the following conditions holds:
(i) tG(a) + (1 - t)F(a) -=I a for each (a , t) E A x [0,1]'
(ii) sUPaEA IIF(a) - G(a)11 ::; infaEA Iia - F(a)ll·
Then F :::: G in XA(X, C).
PROOF. Condition (ii) implies that given a E A the line segment [F(a), G(a)]
joining F(a) to G(a) does not contain a, which is precisely condition (i).
Thus it is sufficient to show that (i) implies F :::: G in XA(X, C).
Write
Ht(x) = tG(x) + (1 - t)F(x) for (x, t) E X x [0,1]
and note that {Hdo~t9 is a compact homotopy that is fixed point free on
A and such that Ho = F and HI = G. 0
(4.3) DEFINITION. Let (X, A) be a pair in a convex C c E. A map F E
XA(X , C) is called essential provided every G E XA(X, C) such that
FIA = GIA has a fixed point . A map that is not essential is called
inessential.
In geometric terms , a compact map F : X -.c, C is essential if the graph of
FIA does not meet the diagonal..:1 C X x C, but the graph of every compact
G : X-.c, C that coincides with F on A must cross the diagonal ..:1.
(4.4) PROPOSITION. Let (X, A) be a pair in a normed linear space E, let
L be a closed linear subspace meeting A eX, and let AL = A n L
and XL = X n L. Let F E X A (X , E) be an essential map such that
F(X) C L . Then FIX L E X AL (XL, L) is also essential.
PROOF . We need to show that a compact extension Fo : XL -.c, L of FIAL
over XL has a fixed point. Consider the map G : A U XL -- L given by
G(x) = {Fo(x), x E XL,

F(x) , x E A.
This is continuous, since the two definitions agree on AnXL = A L ; moreover
..i
U XL is closed 2n X. By (2.5) , G can be extended to a compact map
G : X -- L, and G , being an extension of FIA , must have a fixed point x.
Since x = G(x) shows x E XL , and GIX L = F o , we find Fo(x) = x. 0
(4.5) PROPOSITION. LetBr = {x E E Illx- xoll<r} and FEXoBr(Er, E)
°
be an essential map such that Xo is the only fixed point for F. Then
for every < ro < r the restriction FIEro is an essential map in
XoBro (Ero, E) .
PROOF . Assume FlaB ro has a fixed point free extension Fo over Ero' Then
F(x) = {Fo(X), x E liro'

F(x), x E Br - B ro '
would be a fixed point free extension of FlaB r . o
We now characterize the inessential maps in terms of homotopy.
(4.6) LEMMA. Let (X, A) be a pair in a convex C C E . The following
conditions on F E X A (X, C) are equivalent:
(i) F is inessential,
(ii) there is a fixed point free G E XA(X, C) such that F ~ G in
XA(X, C),
(iii) F is homotopic in X A (X, C) to a fixed point free F* E XA (X, C)
by a homotopy keeping FIA pointwise fixed.
PROOF. (i)=}(ii). Let G E XA(X, C) be a fixed point free map such that
FIA = GIA. The compact homotopy (x, t) 1---* tG(X) + (1 - t)F(x) joins F
to G and is fixed point free on A.
(ii)=}(iii). Let H : X x 1---+ C be a compact homotopy from G to F such
that H IA x {t} is fixed point free for each tEl. Let
B = {x I x = H (x, t) for some t E I}.
There is no loss of generality in assuming that B is nonempty; then B is
a closed subset of the compact set H(X x I), so is compact, and therefore
closed in X. Since An B = (/) because H is fixed point free on A, there is an
Urysohn function>. : X ---+ I with >'IA = 1 and >'IB = O. Define
F*(x) = H(x, >.(x)).
Clearly, F* is compact; it is also fixed point free: for if F*(x) = H(x, >.(x))
= x then x E B so >.(x) = 0 and x = H(x, 0) = G(x), which contradicts the
assumption that G is fixed point free. To show F* homotopic to F keeping
FIA pointwise fixed, consider the compact homotopy
H*(x, t) = H(x, (1 - t) + t>.(x)).
Then H*(x,O) = H(x,l) = F(x) and H*(x,l) = H(x, >.(x)) = F*(x);
moreover >.(a) = 1 for all a E A; therefore, H*(a, t) = H(a, 1) = F(a) for
all tEl. For each t in I, H* (x, t) is clearly fixed point free on A.
(iii)=}(i) is obvious. 0
(4.7) THEOREM (Topological transversality). Let (X, A) be a pazr zn a
convex C c E, and let F, G be maps in XA(X, C) such that F ~ G
in X A (X, C). Then F is essential if and only if G is essential. 0
The concept of topological transversality, which is invariant under fixed
point free deformations on A, is also invariant under small modifications of
F on A:
(4.8) COROLLARY. Let (X, A) be a pair in the convex C c E, and let

F E XA(X, C) be essential. Then there exists an E > 0 with the
properties: (i) any compact G : X ---+ C satisfying IIG(a) - F(a)II < E
for all a E A is in XA (X, C), and (ii) G is essential.
PROOF. Because F is compact and fixed point free on A, there exists an

E > 0 such that Iia - F(a)11 ~ E for all a E A. If G : X --+ C satisfies
IIG(a) - F(a)11 < E for all a E A, it is fixed point free on A; by (4.2) we have
F ~ G in XA(X , C), so by (4.6), the desired conclusion follows. 0
To prepare for applications of (4.7), we will show that some simple maps
are essential.
(4.9) THEOREM. Let U be an open subset of a convex set C c E , and
let (U , aU) be the pair consisting of the closure of U in C and the
boundary of U in C. Then for any Uo E U, the constant map FlU =
Uo is essential in Xau (U , C) .
PROOF. We must show that any compact map G : U --+ C with GI8U = Uo
has a fixed point. For this purpose, extend G to a compact map G* : C --+ C
by setting G*IC - U = uo. By Schauder's theorem, G* must have a fixed
point; and since no point in C - U is fixed, the fixed point x must be in U.
Thus, x = G(x) . 0
As another basic example, we have
(4.10) THEOREM. Let U be a convex open bounded symmetric neighborhood
of zero in a normed linear space E. Then any compact map F E
Xau (U, E) that is antipode-preserving on aU is essential.
PROOF. This is an immediate consequence of (3.3) . o
5. Equation x = F(x). The Leray-Schauder Principle

In this section we apply the topological transversality theorem to the equa-
tion x = F(x) , where F is a compact or completely continuous operator;
first we establish the following fundamental result:
(5.1) THEOREM (Leray- Schauder principle). Let C c E be a convex set,
and let U be open in C. Let {Ht : U --+ C} be an admissible compact
homotopy such that H 0 = F and HI = G, where G is the constant
map sending U to a point Uo E U. Then F has a fixed point.
PROOF. By (4.9), G is an essential map; from (4.7) it follows that so is F,
and the conclusion follows. 0
As an immediate consequence we obtain an important result that yields
many of the standard fixed point theorems.
(5 .2) THEOREM (Nonlinear alternative). Let C c E be a convex set, and
let U be open in C and such that 0 E U. Then each compact map
F : U --+ C has at least one of the following two properties :

(b) there exist x E au and A E (0,1) such that x = AF(x).
PROOF. We can assume Flau is fixed point free, else we have property (a).
Let G : U - C be the constant map u f----'t 0, and consider the compact
homotopy Ht : U - C given by H(u, t) = tF(u) joining G to F; either this
homotopy is fixed point free on au or it is not. If it is fixed point free, then
by (5.1) we find that F must have a fixed point. If the homotopy is not fixed
point free on au, then there is an x E au with x = AF(x); since A =1= 0
because 0 rf. au, and A =1= 1 because Flau has been assumed to be fixed
point free, the property (b) is satisfied. 0
Many of the customary fixed point theorems can be derived from the
nonlinear alternative by imposing conditions that prevent occurrence of the
second property. As an illustration of such conditions, let p : E - R+ be
any (not necessarily continuous) function such that p-l(O) = 0 and p(AX) =
Ap(X) for all A > 0; any norm, not necessarily equivalent to the given one in
E, is an example of such a function. Then we have
(5.3) COROLLARY. Let C c E be convex, and U c C an open subset that
contains O. Let F : U - C be a compact map. If either
(1) (Rothe type condition)
p[F(x)] ::; p(x) for all x E au,
or
(2) (Altman type condition)
[PF(xW ::; [P(F(x) - x)]2 + [p(xW for all x E au,
then F has a fixed point.
PROOF. The routine calculation, to show that the second property in (5.2)
cannot occur, is left to the reader. 0
The nonlinear alternative, applied to completely continuous operators,
yields
(5.4) THEOREM (Leray- Schauder alternative). Let C be a convex subset
of E, and assume 0 E C. Let F : C - C be a completely continuous
operator, and let
£(F) = {x E C I x = AF(x) for some 0 < A < 1}.
Then either £ (F) is unbounded or F has a fixed point.
PROOF. Assume that £(F) is bounded, and let B(O, r) be an open ball
containing £(F). Then FIC n B(O, r) : C n B(O, r) - C is a compact map ,
and no x E arc
n B(O, r)] can satisfy the second property in (5.2). 0
§6. Fixed Points for Compact Maps in Normed Linear Spaces 12,5
As an immediate consequence of the topological transversality theorem

(4.7) and Borsuk's theorem, we obtain
(5.5) THEOREM. Let F : E x I ---t E be a completely continuous operator
such that for some (2 > 0, F(x,O) = -F( - x, 0) for all x E E with
Ilxll ~ (2. Let
£(F) = {x EEl x = F(x, t) for some t E (0, I)}.
Then either £(F) is unbounded or x f-+ F(x, 1) has a fixed point.
PROOF. Assume that £(F) is bounded, and let B = B(O, r) be an open ball
in E containing £(F) such that r ~ (2.
Consider the compact homotopy Ft(x) = F(x, t) for (x, t) E B x I ;
we may assume that {Ft} is fixed point free on 8B, so that Fo ~ Fl in
XaB(B, E). Then since Fo is antipode-preserving on 8B, Fo is essential by
(4.10), so by (4.7), the desired conclusion follows . 0
As another application, recall that an operator F : E ---t E is called
quasi-bounded whenever
IFI = lim IIF(x)11 = inf sup IIF(x)11 < 00'

Ilxll-+(X) Ilxll e>O IIx ll 2'e Ilxll '
for example, any bounded linear operator is quasi-bounded and satisfies
IFI = IIFII·
(5.6) THEOREM. Let F : E ---t E be a quasi-bounded completely continuous
operator. Then for each real IAI < 1/IFI (and for all real A whenever
IFI = 0) the operator AF has at least one fixed point. More generally:
for each y E E and IAI < 1/IFI the equation
y = x - AF(x)
has at least one solution.
PROOF. Given y E E, consider the completely continuous operator G(x) =
Y+AF(x); it is easy to see that IGI = JAI·IF!, so that if IAI < 1/IF!, we have
°
IGI < 1, and there exists an r > with IIG(x)II/llxll < 1 for allllxli ~ r. By
the nonlinear alternative for G on {x I Ilxll :S r} we find that G has a fixed
point x, so x = G(x) = y + AF(x). 0
6. Equation x = AF(x). Birkhoff-Kellogg Theorem

In this section we apply the topological transversality theorem to the equa-
tion x = AF(x), where A is a real parameter, i.e., to the problem of the
existence of an invariant direction for a compact map. We prove that under
certain conditions an invariant direction always exists.
(6.1)
°
THEOREM (Birkhoff-Kellogg). Let U be a bounded open neighborhood
°
of in an infinite-dimensional normed linear space, and F : aU ---7 E
a compact map satisfying IIF(x)11 2: a > for all x E aU. Then F
has an invariant direction, i.e., there is an x E aU and a J-l > Osuch
that x = J-lF(x) .
PROOF. By (2.5) we may assume that F is in fact defined on U. We first
show that there is a compact map G : U ---7 E , coinciding with F on aU,
such that °
tf- G(U). For the set F(U), being compact, cannot cover the
noncompact ball B(O, a/2), so there is some Vo E B(O, a/2) - F(U). Define
°
a homeomorphism h : (E, B(O, a/2)) ---7 (E, B(O, a/2)) that is the identity
on E - B(O, a/2) and maps Vo to as follows: each z E B(O , a/2) - {vo} is
uniquely expressible in the form
z = (1 - t)vo + ti, i E aB(0,a/2), °< t < 1.
Set
0, Z = vo,
h(z) = { h((l - t)vo + ti) = ti, Z E B(O, a/2) - {vo},
z, Z E E - B(O, a/2).
Then G = hoF is the required map, and GlaU = FlaU because IIF(x)11 2: a
for x E aU.
Now choose an integer N so large that U is contained in B(O, N), and
consider the compact map H : U ---7 E given by
G(x)
H(x) = N IIG(x)II'
This map cannot have a fixed point, because U is III B(O, N) whereas
H(U) c aB(O, N).
Applying the nonlinear alternative to H we get
AN
IIG(x) I G(x) = x for some x E aU and A E (0, 1),
and since GlaU = FlaU, the proof is complete. o
7. Compact Fields
Further applications of the topological transversality theorem (in particular
to the equation y = x - F( x)) will be expressed in terms of compact fields.
Let X be a subset of a normed linear space E, and F : X ---7 E a compact
map. Functions of the form f(x) = x - F(x) are called compact fields. In
an arbitrary normed space, the class of compact fields has various features
that the class of compact maps does not have: for example, the identity map
of an infinite-dimensional normed space is a compact field , but it is not a

compact map. In this section we obtain some of the more immediate general
properties of this class of functions .
(7.1) DEFINITION. Let (X, A) , (Y, B) be two pairs in the normed space E.
A map f : (X, A) -+ (Y, B) is called a compact field if x 1-+ x - f(x)
is a compact map of X into E.
Whenever the compact field is denoted by a lowercase letter, e.g., f : X -+ Y ,
the compact map x 1-+ x- f(x) will be denoted by the corresponding capital
letter, as in F(x) = x - f(x) ; we call F the (uniquely determined) compact
map associated with the given field. Compact fields are described by the
terminology used for the associated maps: thus, the field f is called finite-
dimensional if the associated compact map is finite-dimensional.
It is obvious that if A c X c E, where E is a normed space, then (a) the
inclusion map i : A -+ X is a compact field (in fact , finite-dimensional , since
the associated map is F(x) = 0) and (b) the restriction flA of a compact
field f : X -+ E is also a compact field. Moreover, (c) the composition of
compact fields is also a compact field: for if f : X -+ Y and g : Y -+ Z have
the associated compact maps F and G , respectively, then
g[J(x)] = f(x) - G[J(x)] = x - [F(x) + G(f(x))J,
and F + Go f is clearly a compact map. Slightly less evident is
(7.2) THEOREM. Let X C E be closed. Then:
(a) a compact field f: X -+ Y is a closed proper map (i.e., the image
of each closed set in X is closed in Y , and the preimage of each
compact subset of Y is compact) ,
(b) a bijective compact field f : X -+ Y is bicontinuous, and its
inverse is also a compact field.
PROOF . (a) We first show that f is proper. Let KeY be compact; then
f-I(K) = {x I x - F(x) E K} C {x I x E K + F(x)} C K + F(X).
Because f is continuous, the set f- l (K) is closed in the closed X , so it is
closed in E, and being contained in the compact K + F(X), it is therefore
compact. To show that f is a closed map, it is enough to prove (since Y
is a metric space) that K n f (A) is closed in K for each closed A C X
and compact KeY. To establish this, note that f-I(K) is compact by
what we have just shown, so that Anf-I(K) is also compact , and therefore
J[A n f-I(K)] = f(A) n K , being compact , is closed.
(b) The bicontinuity follows immediately from (a) . Since
y = J[f - l(y)] = f-l(y) - F[J-I(y)]
we find that f- 1 is associated with the compact map -(F 0 f- 1 ), so f- 1 is

a compact field. 0
We now introduce a suitable notion of homotopy for compact fields:
(7.3) DEFINITION. Let (X, A), (Y, B) be two pairs in E. Two compact
fields f, 9 : (X, A) -----t (Y, B) are homotopic if there is a continuous
map h : (X, A) x I -----t (Y, B) such that the map (x, t) f--t X - h(x, t) is
a compact map of X x I into E, h(x,O) = f(x) and h(x, 1) = g(x).
It is clear that the homotopy H(x, t) = x - h(x, t) associated with h is a
compact homotopy of the associated compact maps.
To describe the notion of topological transversality directly in terms of
compact fields, we consider maps into the fixed pair (E, E - {O}). Given
any pair (X, A), observe that by making each compact field correspond to
its associated compact map, the set of all compact fields f : (X, A) -----t
(E, E - {O}) is in one-to-one correspondence with the set fA (X, E) of all
compact maps F : X -----t E that are fixed point free on A ; and moreover, that
a homotopy f c::: 9 : (X, A) -----t (E, E - {O}) of compact fields corresponds
to a compact homotopy of the associated compact maps that is fixed point
free on A. To facilitate the discussion, we make
(7.4) DEFINITION. Let (X, A) be a pair in E, and f : (X, A) -----t (E , E-{O})
a compact field. The field f is called inessential on X if there is a
compact field 9 : X -----t E - {O} such that glA = fiA. A field is called
essential on X if it is not inessential on X.
It follows from the preceding discussion that a compact field f : (X, A) -----t
(E, E - {O}) is essential on X if and only if the associated map F is essential
in fA(X, E). In these terms, we can now restate a part of Theorem (4.7) as
(7.5) THEOREM. Let f, 9 : (X, A) -----t (E , E - {O}) be two homotopic com-
pact fields. Then f is essential if and only if 9 is essential. 0
We can express the result of (4.9) as
(7.6) THEOREM. Let U be an open subset of E, and let Xo E U. Then the
compact field f : (U , aU) -----t (E, E - {O}) given by x f--t X - Xo is
essential on U. 0
8. Equation y = x - F(x). Invariance of Domain

In this section we apply the topological transversality to the equation y =
x - F(x). Our results are expressed in terms of compact and completely
continuous fields.
To formulate the main results, we need the general
(8.1) DEFINITION. Let f : X - 7 Y be a map of metric spaces. If there are

c: > 0 and 6 2: 0 such that diamf-1(B(y,6)) < c: for all y E Y, we
say that f is a 6-based c-map (1). If 6 = 0 then f is called simply an
c-map and for 6 > 0 it is called an c-map in the narrow sense.
The main results will appear as consequences of
(8.2) LEMMA. Let B(xo,c:) be an open ball in the normed linear space E,
and let f : B(xo, c:) - 7 E be a compact field. If f is an c:-map, then
there is an 17 > 0 such that
f(B(xo, c)) ~ B(J(xo), 17),
and if f is a 6-based c-map with 6 > 0, then
f(B(xo, c)) ~ B(J(xo), 6).
PROOF. Because f is a 6-based c-map, the associated compact map F has
the property that Ilx - yll < c whenever IIF(x) - F(y) - (x - y)11 < 6.
There is no loss of generality to assume Xo = 0, so that F(O) = - f(O).
We consider the compact map G(x) = F(x) - F(O) on the ball B = B(O,c)
and show first that if f is a 6-based c-map for some 6 2: 0, then G is essential
in Jt8B(B, E). For this purpose, define a homotopy H : B x 1-7 E by
H(x t) = F(_x ) -
, l+t
F(~).
l+t
This map is fixed point free on 8B: for if
F(l: t) - F(l-~Xt) = x = 1: t - (l-~Xt)

for some x E 8B and 0 ::; t ::; 1, this would imply that Ilxll < c because f
is a 6-based c:-map. Since H(x, 1) = F(x/2) - F( -x/2) is clearly antipode-
preserving on 8 B, we find from (4.10) and the topological transversality
theorem that H(x,O) = G(x) is essential.
Now consider the case where f is a O-based c-map. According to (4.8),
there is 17 > 0 such that any compact operator G 1 with IIG1(x) -G(x)11 < 17
on 8B is in Jt8B(B, E) and is also essential; in particular, the operator
G1(x) = G(x) +y satisfies this requirement for each Ilyll < 17 so the equation
x = G(x) +y has a solution in B. This says that x - F(x) = -F(O) +y, i.e. ,
f(x) = f(O) + y has a solution for each Ilyll < 17, so f(B(O, c)) ~ B(J(O), 17)·
To see that we can take 17 = 6 whenever f is a 6-based c-map with
6 > 0, note that for each Ilyll < 6 and 0 ::; t ::; 1 the compact homotopy
(x , t) f---t F(x) - F(O) +ty is fixed point free on 8B: for if F(x) - F(O) +ty = x
(1) If 8 = 0, then B(y,8) means {y}.

for some x E DB and 0 ::; t ::; 1, then

IIF(x) - F(O) - (x - 0)11 ::; tllyll < 8,
which would require that Ilxll < c. Thus, F(x) - F(O) + y is essential in
Jf{)B(B,E) for allilyll < <5, so as before, f(B(O,c))::) B(f(O),<5). 0
This has immediate corollaries:
(8.3) THEOREM. Let f : E - t E be a completely continuous field in a
normed space E.
(a) If f is an c-map , then f(E) is open in E.
(b) If f is an c -map in the narrow sense, then f is surjective, i. e. ,
f(E) = E.
PROOF. (a) is immediate from Lemma (8.2). For (b): according to the
lemma, the ball B(y,8) of fixed radius 8 > 0 is contained in J(E) for each
y E f(E), so f is surjective. 0
(8.4) THEOREM (Schauder domain invariance). Let U be open in the
normed space E, and let f : U - t E be an injective completely con-
tinuous field. Then (a) f is an open map, (b) J(U) is open in E , and
(c) f is a homeomorphism of U onto f (U).
PROOF. Since f is injective, it is an c-map for each c > 0; so the result
follows from (8.2). 0
(8.5) COROLLARY (Fredholm alternative). Let E be an arbitrary normed
space, and let F : E - t E be a completely continuous linear operator.
Then either
(a) the equation 0 = x - F(x) has a nontrivial solution, or
(b) the equation y = x - F( x) has a unique solution for each y E E.
PROOF. The completely continuous field f(x) = x - F(x) is either not
injective, or it is injective. In the first event, property (a) holds. In the
second event, the image of E under f is a linear subspace which, by domain
invariance, must therefore be the entire space E. Thus, the injective field
f : E - t E is also surjective , and therefore bijective. 0
For the nonlinear case, the following invertibility condition is useful.
(8.6) COROLLARY. Let f : E - t E be a completely continuous field in a
normed space E. If Ilf(x) - f(y)11 2:: Mllx - yll, then f is invertible.
PROOF . Given c > 0, the hypothesis on f shows that f is an c-map in
the narrow sense, so by (8.3) , f is surjective. Since f is also injective, it is
bijective, and so by (8.2) a homeomorphism, therefore invertible. 0
A . Compact maps and compact fields
(A.l) Let E = A + B be a direct sum decomposition of a normed linear space E, let

P A : E -; A and PB : E -; B be the corresponding linear projections , and let F : X -; E
be a compact map. Show: For each c > 0 there exists a compact map FE: : X -; E such
that:
(i) IIF(x) - Fo(x) II ::; c for all x E X,
(ii) PB o FE: = PB of,
(iii) P A 0 FE: is finite-dimensional.
[If GE: is the Schauder approximation for PA 0 F, define FE: = GE: + PB 0 F.]
(A.2) Let E be a normed linear space, U an open convex symmetric neighborhood of zero
in E, and C a nonempty closed convex symmetric (with respect to 0) subset of E. Let
F : Unc --; C be a compact map such that F(x) = -F(-x) for each x E aunC. Show:
F has a fixed point (Kaczynski [1987]).
[Use (2.5) and Borsuk's theorem (3.3).]
(A.3) Let (En, II II) be a normed space of dimension n, and U an open symmetric convex
nbd of 0 in En; let f : (U, aU) -; (En, En - {O}) be a compact field satisfying
f(x) f. tf(-x) for all t > 0 and x E au.
(a) Denote by p the Minkowski functional of U, and let V = {y E En Illyll < e} be

an open ball with F(U) c ~ V. Define G :17 -+ En by
G(x) = {F(X) forxE~n17,

p(x)F[x / p(x)J for x E V - U.
Show: G(x) f. x for each x E av u 17 - U.

(b) Let 9 : (V , aV) -+ (En,E n - {O}) be given by g(x) = x - G(x) . Prove: g(x) f.
tg(-x) for each t > 0 and x E avo
[Show that assuming g(xo) = tOg( -xo) for some to > 0 and Xo E av leads to a
contradiction; consider separately Xo E av n U and xo E av - U .J
(c) Show: 9 is essential and 9 ~ g* , where g* is antipode-preserving on avo
[Consider the homotopy ht(x) = [g(x) - tg(-x)] .]
(d) Prove: f is an essential compact field .
(A.4) Let U be an open convex symmetric neighborhood of 0 in (E , II 11) , and f :

(U, aU) --; (E , E - {O}) a compact field such that f(x) f. tf( -x) for each (x , t) E au x [.
Show: f is essential.
[First consider the special case f(x) = -f(-x) for all x E au and use (A.3); for the
general case consider the compact homotopy ht(x) = Itt
[J(x) - tf( -x)].]
(A.5) Let U be an open bounded neighborhood of 0 in (E , II 11), and let f : (U , aU) -+

(E,E-{O}) be a compact field. Given x E au let Lx = {y EEl y = AX, 0::; A < oo} be
the ray joining 0 to x. Show: If f is essential, then f(aU) n Lx f. 0 for each x E au.
(A.6) Let E oo - n be a subspace of E = E oo of codimension n, 8 oo - n = {x E E oo - n I
Ilxll = I}, and let f : 8 00 -+ E oo - 1 be a compact field. Show: There is a point x E 8 00
such that f(x) = f(-x) (Granas [1962]).
[Consider on 8 00 the compact field <p(x) = (f(x) - f( -x)) /2; use (A.4) and (A.5).]
(A.7) Prove: There is no bijective compact field J : Soo - k -t Soo - I for k i= I.

(A.S) Let U be an open set in a Banach space E, and J : U - t E a map of the form
J(x) = x - [F(x) + G(x) ], where F is completely continuous and G is contractive. Prove:
If J is injective then (i) J is open, in particular J(U) is open in E, and (ii) J : U - t J(U)
is a homeomorphism (Schauder [1932]).
(A.9) (Separation criterion) Let X c E be dosed; given Xl,X2 E E - X , we let Ji(x) =

x - Xi (i = 1,2). Show: X does not separate E between Xl and X2 if and only if the fields
fl,12 : X - t E - {O} are homotopic (Borsuk [1933], Granas [1962]).
(A.lO) Given X eYe E, a homotopy d t : X - t Y (0 :S t :S 1) is called a compact
deformation provided do(x) = x for all x E X and dt(x) = x - D(x, t) , where D : X x I - t
E is compact. Let X C E be dosed, Xl,X2 E E - X, and dt : X - t E - {xl} - {X2} a
compact deformation. Show: If X separates E between Xl and X2 then so does ddX).
[Assuming the contrary take an arc r.p : I - t E - dl (X) joining Xl and X2 and consider
on X compact homotopies into E - {O} given by (x, t) f-+ dl (x) - r.p(t), (x , t) f-+ dt (x) - Xl,
(x , t) f-+ dt(x) - X2. Obtain a contradiction using (A.9).]
(A.l1) (Sweeping theorem) Given a deformation d t : X - t E (0 :S t < 1) a point YO E

E - X is said to be swept by {dt} if YO = dt(x) for some (x , t) E X x I. Let X C E be
dosed, and dt : X - t E be a compact deformation. Show: If Xl , X2 E E - X belong to
different components of E - X and to the same component of E - dl (X) , then either Xl
or X2 must be swept by {dt} (Borsuk [1931]' G~ba-Granas-Jankowski [1959]).
B. Surjectivity oj maps. Quasi-bounded operators
Recall that a map T : E -t F between normed linear spaces is quasi-bounded if
ITI = limsup Ilxll-lIIT(x)11< 00;

I lx ll~ oo
ITI is called the quasi-norm of T. A map T : E - t F is asymptotically linear if there

exists a bounded linear operator S : E - t F such that
lim IIT(x) - S(x)1I - O.

IIx ll..... oo IIxll - ,
then S = T'(oo) is uniquely determined and called the asymptotic derivative of T.
(B. 1) Let E be a Banach space, F: E - t E an asymptotically linear completely continu-
ous operator, and J(x) = x-F(x) the corresponding field. Prove: (a) F'(oo) is completely
continuous; (b) if IIF'(oo)1I < 1 then J is surjective (Krasnosel'skil).
[Show that F is quasi-bounded and IFI :S IIF' (00) II; then apply (5 .5) .]
(B.2) Let J,g : E --? E be completely continuous fields such that (a) IIJ(x) - g(x)1I :S
o:lIxll + (3 for some 0: , {3 > 0 and all X EE, and (b) 9 is an invertible linear vector field
with IIg-lll < 1/0:. Show: J is surjective.
[Given Yo E E , apply (5.5) to get Yo = J(x) for some x E E .]
(B.3) (Intersection theorem) Let E = A + B be a normed linear
space represented as a
direct sum of two linear subspaces A and B with linear projections P A : E - t A and PB :
E - t B . Let f(a) = a - F(a), a E A, and g(b) = b-G(b), b E B , be completely continuous
vector fields such that F and G are quasi-bounded, and IIFA IIIFI + IIFB IIIGI < 1. Show:
J(A) n g(B) i= 0 (Granas [1962]).
[Set x = a - b and consider the completely continuous field h(x) = x - H(x) given by
h(x) = a-b-[G(b)-F(a)]; prove that H is quasi-bounded and IHI < 1, then apply (5.5) .]
C. Set contractions and condensing maps
Let E be a Banach space and !J8E the class of bounded subsets of E. The Kuratowski
measure of noncompactness a: !J8 E -> R is defined by a(X) = inf{c > I X = U~=l Xi °
with J(Xi ) < c for i = 1, ... , n}. Let X c E and F : X -> E be continuous. Then F is a
°
set contraction if for some constant s:: >. < 1, a[F(A)] s:: >.a(A) for all A C X; and F is
a condensing map if a[F(A)] < a(A) for all A C X with a(A) '" 0.
(C.l) Establish the following properties of a:
°
(i) a(X) = ¢} X is compact.
(ii) a(>'X) = 1>'la(X), a(X1 + X2) s:: a(X1) + a(X2) .
(iii) Xc Y => a(X) s:: a(Y) ; a(X U Y) = max{ a(X), a(Y)}.
(iv) a(conv X) = a(X) (Darbo [1955]).
(v) a(X) = a(X) .
[Hint for (iv): for convex C 1 , C2 show a[conv(C1 UC2)] s:: max{a(Cll,a(C2)}.]
(C.2) Let {Xn} be a decreasing sequence of closed subsets of E such that a(Xn) --> O.
Show: The intersection X = n~=l Xn is nonempty and compact (Kuratowski [1930]).
[Letting Xn E Xn for n = 1,2, . .. , show {Xn} has a subsequence converging to x E X;
observe that a(X) s:: a(Xk)']
(C.3) (Darbo theorem) Let C be a closed convex bounded subset of E and let F : C -> C
be a set contraction.
(a) Define a sequence {Cn} of convex sets by: Co = C and C n = Conv F(Cn -1) for
n :2: l. Show: Coo = nn
C n is a compact convex set.
(b) Prove: F: C -> C has a fixed point (Darbo [1955]).
(C.4) Let C C E be a closed convex bounded set and let H : C -> C be a continuous
map of the form H = F + G, where F : C -> E is compact and G : C -> E is contractive.
Show: H has a fixed point (Krasnosel'skil [1955]).
(C.5) Let X C E be closed , and let F : X --> E be a continuous map such that (i) for
°
each c > there is an c-fixed point for F; (ii) the field 1- F is proper. Show: F has a
fixed point.
(C .6) (Sadovski1: theorem) Let C be a closed convex bounded subset of E. Prove: Each
°
condensing map F : C -> C has a fixed point (Sadovskil [1967]).
[Assuming E C define Fn = *F for n = 1,2, ... ; show that a condensing field is
proper and apply (C.5) and (C.3).]
(C.7) (Nonlinear alternative) Let C C E be closed and convex, U an open subset of C
containing 0, and F : U -> C a condensing map. Prove: Either (i) F has a fixed point, or
(ii) there are x E au and>' E (0 , 1) with x = >.F(x).
[See the proof of (0.3.3).]
(C.8) Let C C E be closed and convex, U C C an open subset containing 0, and F : U -> C
a condensing map. Assume that for all x E au one of the following conditions holds :
(a) IIF(x)11 s:: Ilxll,
(b) IIF(x) 11 s:: IIx - F(x)lI ,
(c) IIF (x ) II s:: JC;;-IIx"""'112"'+"""'""I:fl.!.1x----::F::..,.-(x-'-')1=
12 .
Show: F has a fixed point .
(C .9) Let E be a Banach space, G : E -> E a linear condensing map, and F(x) = Gx+zo ,
where Zo is a fixed element of E. Prove: If F admits a bounded orbit {Fk(xO) IkE N},
then F has a fixed point (Chow- Hale [1974]).
D. Fixed point spaces
Let X be a space and K c X a subset ; by Cov X (K) we denote the set of all open coverings
of Kin X. Given two coverings a,/3 E Covx(K) , we write a ::; /3 provided /3 refines a
(i.e., each member of /3 is contained in some member of a) ; clearly, ::; is a preorder relation
converting Covx(K) into a directed set. We let Covx(X) = Cov(X) .
(D.l) Let Y be a space and a E Cov(Y); two maps f,g : X -> Yare a-close (written
f =a g) provided f(x) and g(x) belong to a common Ux E a for each x E X . Let
f : Y -> Y be a map and a E Cov(Y). A point y E Y is said to be an a-fixed point if y
and f(y) belong to a common U E a.
(a) Let f : Y -> Y be a map and K = f(Y) ; assume that there is a cofinal family
?} C Covy(K) such that f has an a-fixed point for every a E ?}. Show: f has a fixed
point.
(b) Let f : Y -> Y be a map and K = flY) ; assume that there is a cofinal family
?} C Covy(K) satisfying: for each a E ?} there is a map fa : Y -> Y such that (i) fa is
a-close to f and (ii) fa has a fixed point. Show: f has a fixed point.
(D.2) Let X be a space and a E Cov(X); we say that X is a-dominated by Y provided

there are maps s : X -> Y and r : Y -> X such that rs =a Ix . Given a class n of spaces,
we define a new class ?}(n) as follows: X E ?}(n) if and only if for each a E Cov(X) there
is a Ya E n that a-dominates X.
(a) Let n = {XdiEI be a family of compact spaces. Denote by J = {j} the family
of all finite subsets of I , and let Xj = DiEj Xi for each j E J and n* = {Xj}jEJ . Show:
The product X = DiE! Xi belongs to ?}(n*).
(b) Let n be a class of fixed point spaces. Prove: Every X E ?}(n) is a fixed point
space.
(c) Let {XdiEI be an infinite family of compact spaces. Show: X = DiEI Xi is a
fixed point space if and only if every finite product DiEj Xi (j E J) is a fixed point space
(Dyer [1956]) .
E. Fixed points in locally convex spaces

In the following results E stands for an arbitrary but fixed locally convex space.
(E.l) Let N = {C! , . .. , Cn} be a finite subset of E, let Pu be a semi norm corresponding
to a convex symmetric nbd U of the origin, and let Nu = U{ Ci + U I i = 1, ... ,n}. For
each i = 1, .. . ,n define J.ti : Nu -> R by x r-; max{O,l - pu(x - Cin. The Schauder
projection 7ru : Nu -> conv N is given by
Show:
(i) x -7ru(x) E U for all x E Nu.
(ii) If N = {Cl, ... ,Ck, -Cl , ... ,-cd is symmetric with respect to 0, then 7rU (x) =
-7ru(-x) for all x E Nu.
(E.2) (Approximation theorem) Let X be a topological space, C C E convex, and let

F : X -> C be a compact map. Show: For each nbd V of the origin there exists a
finite-dimensional map Fv : X -> C such that F(x) - Fv(x) E V for all x E X (Leray
[1950]).
(E.3) Let C be a convex subset of E, and F : C -> C a compact map. Show: F has a
fixed point (Mazur [1938], Hukuhara [1950]).
(E.4) (Antipodal theorem) Let U be a convex symmetric nbd of the origin in E, and let
F : D -> E be a compact map such that F( -x) = -F(x) for all x E au. Show: F is an
essential map (Altman [1958]).
[Use (E.2) and (A.3).]
(E.5) Let U be open in a convex C C E, and let F : D -> C be a constant map F(x) == p
with p E U. Show: F is essential.
(E.6) (Leray - Schauder principle) Let U be open in a convex set C C E, and let {Ht :
D -> C} be an admissible compact homotopy such that Ho = F and HI = G, where G is
the constant map sending D to a point Uo E U. Show: F has a fixed point.
[Follow the proof of (0 .3.3) and m;e the fact that if A and B are two closed disjoint
subsets of a completely regular space X such that at least one of them is compact, then
there is an Urysohn function A : X -> [0,1] with AlA = 0, AlB = l.]
(E. 7) (Topological transversality) Let U be open in a convex subset C C E, and let

F, G E Xau (D, C) be two compact operators such that F ::::; G. Show: If F is essential
then so is G (Granas [1976]).
(E.8) (Nonlinear alternative) Let C C E be convex, U an open subset of C containing

the origin 0 of E, and F : D -> C a compact map. Prove: Either
(i) F has a fixed point, or
(ii) there are x E au and A E (0,1) with x = AF(x) (Granas [1976]).
(E.9) Let p: E -> R+ be any (not necessarily continuous) function such that p-I(O) = 0
and p( AX) = Ap(X) for all A > O. Let C C E be convex, U C C an open subset containing 0,
and F : D -> C a compact map. Assume that for all x E au one of the following conditions
holds:
(a) p[F(x)] ::; p(x),
(b) p[F(x)] ::; p[F(x) - x],
(c) p[F(x)] ::; {[p(x)]k + [P(F(x) - x)]k}l/k for some k > l.
Show: F has a fixed point (Granas [1976]).
(E.lO) (Domain invariance) Let U C E be open and j : U -> E an injective compact

vector field. Show:
(a) j(U) is open in E,
(b) j is a homeomorphism of U onto j(U)
(Leray [1950], Altman [1958]).
(E.ll) (Fredholm alternative) Let E be a locally convex space and F : E -> E a com-
pletely continuous linear operator. Show: Either
(a) the equation y = x - F(x) has a unique solution for each y E E, or
(b) the equation x = F(x) has a nontrivial solution
(Leray [1950]).
F. Topological tmnsversality for coincidences
In this subsection X and Yare fixed Banach spaces. We let L E £(X, Y) be a Fredholm
operator of index zero, i.e. , 1m L is closed in Y and dim Ker L = codim 1m L < 00 .
We use the following notation :
(i) Y1 is a closed complement to Y2 = 1m L in Y , and Q E £(Y, Y 1) is a linear
projection of Y onto Y 1 along Y2;
(ii) X2 is a closed complement to Xl = Ker L in X, and P E £(X, Xd is a linear
projection of X onto Xl along X2.
We have topological direct sums X = Xl EEl X 2 and Y = Y 1 EEl Y2, and because L is of
index zero, dim Xl = dim Y 1; we let J : Xl -> Y1 be a linear isomorphism.
(F.1) Let N : X -> Y be a continuous (possibly nonlinear) operator. Show:

(a) The linear operator L + J P : X -> Y is invertible and its inverse is (L + J P) -1 =
L21(I - Q) + J- 1Q , where L2 E £(X2 , Y) is the restriction of L to X2.
(b) The coincidence problem Lx=Nx is equivalent to the fixed point problem Mx=x,
where M = (L + JP)-l(N + JP).
(F .2) Let U C X be open , and let £au CU, Y ; L) be the set of all maps f : Cu, aU) ->
(Y, Y - {O}) of the form f = L - F, where F: U -> Y is a compact operator. Two maps
f , 9 E Xau(V, Y; L) are called L-homotopic if there is a compact homotopy H t : V -> Y
such that ht = L - H t E £[)uCU, Y ; L) for each t E [0,1] and ho = f, h1 = g. Assume
f,9 E Xau(V, Y ; L) are two maps f = L - F, 9 = L - G such that F(V), G(V) C Y1.
Let U1 = UnX1 and F1 = FIU1 , G1 = GIV1. Show: If the maps F1 , G1: (U1 , aU1)->
(Y1 , Y1 - {O}) are homotopic , then f and g are L-homotopic .
(F .3) (Topological tmnsversality for coincidences) We say that a map f E £[)u (V , Y ;L)
is L-essential if any 9 E Xau(V , Y; L) with flau = glaU has a zero in U. Show: If
f,9 E £[)u(V, Y; L) are L-homotopic, then f is L-essential if and only if 9 is L-essential.
(F.4) (Antipodal theorem for coincidences) Let U be an open bounded convex subset of X
and c EX. Call U symmetric with respect to c if x E U ¢} 2c - u E U. Let U be such a set ,
and let k : V -> Y. We say that k is odd on V (respectively on aU) if k(2c - x) = -k(x)
for all x E V (respectively x E aU).
Let U as above be symmetric with respect to some c E Ker L . Let f = L - F E
£[)u(V , Y; L) be odd on au. Show: f is L-essential.
[Consider the compact map G : V - c -> Y given by G(x - c) = F(x) for x E V and
the compact map M = (L + Jp) - l(G + JP) : V - c -> X. Use (F.1) and Borsuk's fixed
point theorem.]
(F.5) Let U be as in (F.4), and let 9 = L - G E £[)u(V, Y ;L) be such that G(V) C Y1
and GiV1 : (V1, aU1) -> (Y1, Y1 - {O}) is homotopic to an odd map, where U1 = U n Xl.
Show: 9 is L-essential.
[Prove that 9 is L-homotopic to an odd map and use (F.4) and (F.3).]
(F .6) (Nonlinear alternative for coincidences) Let N : X -> Y be completely continuous.

Let U be as in (F.4). Assume furthermore that
( a) Q N x # 0 for all x E U1 = U n Xl ,
(b) the map QN: (V1,aUd -> (Y1, Y 1 - {O}) is homotopic to an odd map.
Show: Either (i) Lx = Nx for some x E U, or (ii) there are y E au and A E (0,1) such
that Ly = ANy.
(The results (F.l)- (F.6) are from Granas- Guenther- Lee [1991].)
Compact operators
Compact and completely continuous operators occur in many problems of
classical analysis. In the nonlinear case, the first comprehensive research on
compact operators with numerous applications to partial differential equa-
tions (both linear and nonlinear) was due to Schauder. In particular, the
approximation technique for compact operators in Banach spaces goes back
to Schauder; the proof of (2.3) given in the text is, with slight modifica-
tions, that of Leray- Schauder [1934]. Theorem (2.3) extends to locally con-
vex spaces (see the survey of Leray [1950] and Nagumo [1951]) and also to
some linear topological spaces that are not locally convex (Klee [1960]). The
proof of (2.4) was communicated to the authors by L. Waelbroeck; we remark
that (2.4) is valid in any linear metric space for which the Schauder approx-
imation theorem holds. Theorem (2.5) on the extension of compact map-
pings was first proved (for Banach spaces) in Krasnosel'ski'l's book [1964a];
the proof in the text is taken from an unpublished paper of Fournier and
Granas.
Extension of the theorems of Brouwer and Borsuk

Theorem (2.3), due to Schauder [1930], evolved from a number of special
results concerned with extensions 6f the Brouwer theorem to the case of
function spaces. The first important result in this direction was due to
Birkhoff-Kellogg [1922]' who generalized the Brouwer theorem to compact
convex subsets of L2(0, 1) and cn(o, 1). Schauder [1927a], [1927b] extended
first the above result to Banach spaces of type (S) with a basis and then
in [1930] to an arbitrary Banach space. (A Banach space E is called an
S -space provided each bounded sequence in E has a weakly convergent sub-
sequence. This type of spaces, introduced by Schauder [1927a], turned out to
be especially useful in applications; we remark that several years later Eber-
lein proved that Banach spaces of type (S) coincide with reflexive spaces.) In
[1930] Schauder also obtained the following theorem: If C is a convex weakly
compact subset of a separable Banach space, then every weakly continuous
map f : C ---+ C has a fixed point (in connection with this result see also
Arino- Gautier- Penot [1984]). Mazur [1930] proved that the convex closure
of a compact set in a Banach space is compact; this implies a more general
version of the Schauder theorem that is especially convenient in applica-
tions: If C is a convex closed subset of a Banach space, then every compact
map f : C ---+ C has a fixed point.
Theorem (3.3) was established (in a somewhat different form) with the
aid of the Leray- Schauder degree by Krasnosel'ski'l [1951].
Fixed points of discontinuous maps

Let X, Y be two spaces, let f : X ---+ Y be a function, and let G f stand
for the graph of f. The function f is called a connectivity function if for
each connected subset A c X the graph G flA is connected. Stallings [1959]
obtained a generalization of the Brouwer theorem by showing that the unit
ball in Rn is a fixed point space for connectivity functions. The following
extension of the Schauder theorem was established by Girolo [1981]: If C is
a closed convex subset of a Banach space and f : C ---+ C is a connectivity
function such that f(C) is compact, then f has a fixed point.
Topological tmnsversality
Homotopy arguments for compact operators were introduced by Leray and
Schauder in the context of their theory of the degree for compact fields in
Banach spaces. Using homotopy invariance of the degree, Leray- Schauder
[1934] developed an important theoretical principle that abstracts (in the
nonlinear context) the classical method of continuation of solutions along
a parameter. The approach presented in the text does not use the degree
theory and is based on the notion of the essential map and on the topological
transversality theorem (Granas [1976]); its essential feature is that it extends
to other classes of operators and gives results that cannot be obtained by
using directly the Leray-Schauder degree. An alternative but less general
method based on the homotopy extension theorem was developed earlier
for Banach spaces in Granas [1959a], [1962]; this method was suggested by
prior finite-dimensional results of Borsuk [1931b]' [1937]. We remark that (as
shown by Simon-Volkmann [1988]) the notions of topological transversality
theory also permit one to establish localization and multiplicity results for
nonlinear problems (see "Miscellaneous Results and Examples" in §7).
For an extension of topological transversality to the class of condens-
ing operators the reader is referred to Krawcewicz [1988]. For topologi-
cal transversality in the coincidence setting (for various classes of oper-
ators) see Volkmann [1984]' Granas- Guenther- Lee [1991]' G~ba-Granas
Kaczynski- Krawcewicz [1985]; for closely related results see Furi- Martelli-
Vignoli [1978], [1980], Precup [1995].
The Lemy- Schauder principle and nonlinear alternative

For open subsets in Banach spaces Theorem (5.1) was established by the
degree-theoretic method in Leray- Schauder [1934]; for arbitrary convex sets
see Granas [1976]. The nonlinear alternative, which follows at once from
(5.1), quickly yields a number of fixed point results. In connection with
(5.3) see Rothe [1938], Altman [1955], and Granas [1976]. Theorem (5.4)
o
-0
..<::
0...
v . Klee, NN, J . Leray, K. Fan, Baton Rouge, 1967
was proved first for Banach spaces in the context of degree theory by Leray-
Schauder [1934]; a direct elementary proof of (5.4) was given by Schaefer
[1955] (see also Potter [1972]' Reich [1976], [1979] and Granas [1993]).
Birkhoff- Kellogg theorem

Theorem (6.1) was established in Birkhoff and Kellogg [1922]; for another
proof of (6.1) (based on the sweeping theorem (A.l1)) see Gl2ba- Granas-
Jankowski [1959]. Topological transversality and (2.5) can be used to get the
following theorem (Krasnosel'skil- Ladyzhenskil [1954] and Granas [1962]):
Let C be a positive cone in a normed space E, U c C an open set containing
0, and let F : U c C be a compact map such that IIF(x)11 : : : ex > for all
°
x E aU. Then there are ,X > and x E aU such that x = ,XF(x).
°
Compact fields
This notion was introduced by Schauder and Leray (Schauder [1929]' Leray-
Schauder [1934], Leray [1935]); the terms "completely continuous field"
and "compact field" appeared in Rothe [1937a] and Granas's tract [1962].
J. Schauder and J. Leray discovered that many facts of finite-dimensional
topology can be carried over to infinite dimensions provided attention is
restricted to the class of compact fields. In particular, for compact fields a
generalization of Brouwer's degree theory was developed and with its aid
various applications were obtained. Among these the following generaliza-
tion of the Jordan-Alexandroff theorem was established by Leray [1935]: Let
X and Y be two closed bounded subsets of a Banach space E, and f : X ---> Y
a homeomorphism. If f is a compact field, then the complements E - X and
E - Y have the same number of components. For more details see Rothe
[1937], [1938], Granas's tract [1962]' and Krasnosel'skil's book [1964b].
Invariance of domain
The invariance of domain theorem in Rn is due to Brouwer [1912]. Schauder
[1929] extended the Brouwer theorem to compact fields in Banach spaces
with a basis and of type (8). A general result (for arbitrary Banach spaces)
was established (using the degree theory for compact fields) by Leray [1935].
The proof of (8.4) presented in the text (and based on Borsuk's theorem)
is found in Granas [1958]. Using invariance of domain as a tool, Schaudcr
[1929]' [1932] developed an important theoretical method for solving non-
linear equations, applicable to problems in which the uniqueness implies
the existence of a solution. Schauder [1932] also gave significant applica-
tions of the method to nonlinear elliptic equations. For more recent uses of
Schauder's method, see Chow-Lasota [1973], where some further references
can be found.
8urjectivity results
The first result of this type was established by Borsuk [1933c], who proved
that: if f : R n ---> Rn is an E-map in the narrow sense, then f is surjective;
Theorem (8.3)(b), extending the above result to normed linear spaces, and
also (8.6) are contained in Granas [1958]. For Theorem (5.5), see Granas
[1957]; a similar argument to that in the proof of (5.5) can be applied to
obtain the following theorem: Let E be a reflexive Banach space and let
F : E ---> E be a quasi-bounded map with IFI < 1. Assume that one of the
following conditions is satisfied:
(i) E has normal structure and F is nonexpansive,
(ii) F is weakly continuous.
Then x f--7 x - Fx is surjective.
Theorem (8.3)(b) combined with the Banach- Mazur theorem gives the
following result: Let E be a normed linear space with dim E 2 3. Let f :
E ---> E be a completely continuous field such that:
(i) f is locally invertible for all x E E with Ilxll > M, where M > 0 is
a constant,
(ii) I f (x) II ---> 00 as Ilx I ---> 00.
Then f is surjective.
Fixed points in locally convex spaces

The main results in the text extend to locally convex spaces. A number of
such results (Tychonoff and Schauder- Tychonoff theorems) are given in §7.
Borsuk's antipodal theorem was generalized to locally convex spaces by
Altman [1958a]. Leray [1950] extended the invariance of domain theorem to
locally convex spaces and applied it to establish the Fredholm alternative in
such spaces; another proof of the invariance of domain similar to that given
in the text and based on Borsuk's theorem can be found in Altman [1958b].
Fixed points in arbitrary linear topological spaces

Some results in the text extend also to spaces that are not locally convex.
Fan [1964], using his coincidence theorem (7.1.3) , proved that the Tychonoff
fixed point theorem (cf. Tychonoff [1935]) is valid in linear topological spaces
with sufficiently many linear functionals. A few other fixed point results of
this type are given in §7.
Following Klee [1960a], we call a linear topological space E admissible
if for any X C E every compact map t.p : X -+ E is approachable by
finite-dimensional maps (meaning that for any nbd V of the origin in E,
there is a finite-dimensional map t.pv : X -+ E with t.pv (x ) E t.p (X) + V
for x E X). It was shown by Klee [1960a], using arguments similar to those
given in the text, that the antipodal theorem (3.3) and the invariance of
domain (8.4) can be established in arbitrary admissible linear topological
spaces.
For more details about fixed point results in nonlocally convex spaces
the reader is referred to Klee [1960a], Granas [1976], S. Hahn [1978], to the
lecture notes by Riedrich [1975] and Granas [1980], and also to HadziC's
book [1984], where further references may be found.
Schauder- Tychonoff theorem in linear topological spaces

The study of fixed points in spaces that are not locally convex evolved from
the problem, posed by Schauder, whether a compact convex subset of an
arbitrary linear topological space has the fixed point property (problem 54
in the Scottish Book). This problem proved to be very difficult and for over
65 years defied the efforts of many mathematicians. An affirmative answer
was given only recently by Cauty [2001], who proved the following: Let E
be a linear topological space, and let C C E be convex. Then any compact
map F : C -+ C has a fixed point. This result together with Theorem (0.3.3)
implies that the Leray- Schauder principle (5.1) and the nonlinear alternative
(5.2) remain valid in arbitrary linear topological spaces.

This paragraph is primarily devoted to illustrating the use of the results es-
tablished in this chapter; among the applications given, we obtain a number
of significant results from various areas of mathematics. The first section
contains extensions and applications of the Brouwer theorem; the main fea-
ture is the systematic use of a very versatile technique introduced by Fan
based on the topological KKM-principle. In the following sections, we give
applications of the Borsuk and Schauder theorems, as well as of topological
transversality. The paragraph ends with a generalized Schauder theorem,
fixed point results for Kakutani maps and the Ryll-Nardzewski theorem.
1. Applications of the Topological KKM-Principle
a. Fixed points and coincidences Jar set-valued maps oj Fan

We first establish two geometric results for some classes of set-valued maps
that have proved of importance in convex analysis, game theory and math-
ematical economics.
For the convenience of the reader we recall some notation and terminol-
ogy. If S : X ----t 2Y is a set-valued map, its inverse S-1 : Y ----t 2 x and
its dual S* : Y ----t 2x are the maps y f-t S-1y = {x E X lyE Sx} and
y f-t S*y = X - S-1y. The values of S-1 (respectively of S*) are the fibers
(respectively the cofibers) of the map S. The sets Gs = {(x, y) E X x Y I
y E Sx} and S(X) = U{Sx I x E X} are the graph and image of S, respec-
tively. Note that S is surjective [i.e., S(X) = Y] if and only if all its fibers
S-1y are nonempty. By a fixed point of a set-valued map S : X ----t 2x is
meant a point Xo E X for which Xo E Sxo. Clearly, if S has a fixed point,
then so does S-1.
(1.1) DEFINITION. Let X and Y be two subsets of linear topological spaces
and T, S : X ----t 2 Y be two set-valued maps.
(i) If Y is convex, then T : X ----t 2Y is called a Fan map (or simply
an IF -map) provided T has nonempty convex values and open
fibers.
(ii) If X is convex, then S : X ----t 2 Y is called an IF* -map provided S
has open values and nonempty convex fibers.
The set of alllF-maps (respectively IF*-maps) from X to 2 Y is denoted by
IF(X, Y) (respectively IF*(X, Y)). We note that S E IF*(X, Y) if and only if
S-1 E IF(Y, X).
Throughout this section, unless explicitly stated otherwise, by a "com-
pact convex set" we mean a nonempty compact convex subset of some linear
topological space.
(1.2) THEOREM (Fan-Browder). Let X be a compact convex set, and let

T: X ~ 2x be such that either T E IF(X, X) or T E IF*(X, X). Then
T has a fixed point.
PROOF. It suffices to consider the case of an IF-map. Note first that the
values T*(y) = X _T-1(y) ofT* are compact. From the surjectivity ofT- 1
we get
n{T*(y) lyE X} = n{X - T-1(y) lyE X}
=X- U{T-1(y) lyE X} = 0,

and thus T* cannot be a KKM-map. Because the values of T are convex
and T* is not a KKM-map, we conclude, in view of (3.1.2), that T has a
fixed point. 0
Given two set-valued maps S, T : X ~ 2Y we say that Sand T have a

coincidence provided there exists (xo, YO) E X xY such that Yo E Sxo nTxo·
(1.3) THEOREM (Fan coincidence theorem). Let X and Y be compact
convex sets. Let S, T : X ~ 2Y be such that S E IF* (X, Y) and
T E IF(X, Y). Then Sand T have a coincidence.
PROOF. Let Z = X x Y and define H : Z ~ 2 z by z = (x, y) f---' T-1y X Sx.
Because the values of H are open and the fibers H- 1(x', V') = S-ly' X Tx'
of Hare nonempty and convex, it follows that H is an IF* -map. By (1.2),
we find a fixed point (xo, Yo) E T-1yo x Sxo· Thus Yo E Sxo n Txo. 0
We give an immediate application of the coincidence theorem to game
theory by establishing a general version of the von Neumann minimax prin-
ciple due to M. Sion.
Recall that a real-valued function f : X ~ R on a topological space is
lower [respectively upper] semicontinuous if {x E X I f(x) > r} [respectively
{x E X I f (x) < r}] is open for each r E R; if X is a convex set in a
linear space, then f is quasi-concave [respectively quasi-convex] if {x E X I
f(x) > r} [respectively {x E X I f(x) < r}] is convex for each r E R.
(1.4) THEOREM (von Neumann- Sion minimax principle). Let X and Y
be compact convex sets, and let f : X x Y ~ R satisfy:
(i) y f---' f(x,y) is l.s.c. and quasi-convex on Y for each x E X,
(ii) x f---' f(x, y) is u.s.c. and quasi-concave on X for fixed y E Y.
Then
max min f(x, y) = minmaxf(x, V).
x y y x
PROOF. Because of upper semicontinuity, max x f(x, y) exists for each y and
is a lower semicontinuous function of y, so miny max x f (x, y) exists; similarly,
max x miny f(x, y) exists. Since f(x , y) ::; max x f(x, V), we have
min f(x, y) ::; min max f(x, V);
y y x
therefore
max min f(x, y) ::; min max f(x, V).
x y y x
We shall show that strict inequality cannot hold. For assume it did; then
there would be some r with
max min f (x, y) < r < min max f (x, y).
x y y x
Define S, T: X -> 2 Y by
Sx = {y I f(x,y) > r} and Tx = {y I f(x,y) < r}.
These set-valued maps would then satisfy the conditions of Theorem (1.3):
Each Sx is open by the lower semicontinuity of y 1-+ f(x, V) , each Tx is
convex by the quasi-convexity of y 1-+ f(x, V) , and is nonempty because
max x miny f(x, y) < r. Since
S - ly = {x I f(x,y) > r} and T-1y = {x I f(x,y) < r},
we find in the same way that each S - ly is nonempty and convex, and each
T-1y is open. Thus, S E IF*(X, Y) and T E IF(X, Y); then by (1.3), there
would be some (xo, YO) with Yo E Sxo n Txo, which gives the contradiction
r < f(xo, YO) < r. 0
b. Analytic formulations of the geometric results and minimax inequalities
We now give analytic formulations of the geometric results (1.2) and (1.3).
(1.5) THEOREM. Let X be a compact convex set, and let f, g : X X X -> R
satisfy:
(i) y 1-+ f(x, y) is l.s.c. for each x E X,
(ii) x 1-+ f (x, y) is quasi-concave for each y EX.
Then, for any A. E R, one of the following properties holds:
(a) there exists a Yo E X such that f(x, Yo) ::; A. for all x EX,
(b) there exists awE X such that f(w , w) > A..
PROOF. Let A. E R and define S : X -> 2x by Sx = {y E X I f(x, y) > A.}.
According to (i) and (ii), S has open values and convex fibers. The map S is
either not surjective, or surjective. In the first event, we have S - lyo = 0 for
some Yo E X, i.e. , f(x , yo) ::; A. for all x E X , and thus property (a) holds.
In the second event, by the Fan-Browder theorem (1.2), S has a fixed point
wE Sw, and therefore f(w,w) > A.. 0
(1.6) THEOREM. Let X and Y be two compact convex sets, and let f, g :
X X Y --> R satisfy:
(i) f(x, y) ::; g(x, y) for all (x, y) E X x Y,
(ii) y t---t f(x, y) is l.s.c. on Y for each x E X,
(iii) x t---t f(x , y) is quasi-concave on X for each y E Y,
(iv) y t---t g(x, y) is quasi-convex on Y for each x E X,
(v) X t---t g(x, y) is u.s.c. on X for each y E Y.
Then, for any A E R , one of the following properties holds:
(a) there exists a Yo E Y such that f(x, Yo) ::; A for all x E X,
(b) there exists an Xo E X such that g(XO,Y) 2: A for all y E Y.
PROOF. Let A E R; we define S : X --> 2Y and T : Y --> 2x by
Sx = {y E Y I f(x, y) > A} and Ty = {x E X I g(x, y) < A}.
According to (ii)- (v), both Sand T have open values and convex (possibly
empty) fibers. Observe now that either
(*) one among Sand T is not surjective, or
(**) both Sand T are surjective.
Consider first the event (*): if S is not surjective, then for some Yo, we
have S-lyO = 0, i.e., f(x, Yo) ::; A for all x E X, and thus the property (a)
holds. Similarly, if T is not surjective, then (b) is satisfied. In the event (**),
both Sand T would be JF*-maps, and therefore, by Theorem (1.3), there
would be some (xo, Yo) with Yo E SxonT-1xo, which gives the contradiction
A < f(xo, YO) ::; g(xo, YO) < A. Thus, the case (**) is excluded , and the proof
is complete. 0
Theorems (1.5) and (1.6) imply at once two general principles in the
topological KKM theory.
(1.7) THEOREM (Fan minimax inequality). Let C be a compact convex
set, and let f : C x C --> R satisfy:
(i) y f(x, y) is l.s.c. for each x E C,
t---t
(ii) x t---t f(x, y) is quasi-concave for each y E C.

Then the following minimax inequality holds:
inf sup f(x, y) ::; sup f(x, x).
yECxEC xEC
PROOF. We may assume that A = sUPXEC f(x, x) < 00. By (1.5), there is a
Yo E C such that f(x, Yo) ::; A for all x E C. Then SUPxEC f(x, Yo) ::; A and
inf sup f(x, y) ::; sup f(x, Yo) ::; A. 0
yECxEC xEC
(1.8) THEOREM (F.C. Liu minimax inequality). Let X and Y be compact

convex sets , and let f, g : X X Y --> R satisfy:
(i) f(x, y) :S g(x, y) for all (x , y) E X x Y,

(ii) y f--+ f(x, y) is l.s.c. on Y for each x E X,
(iii) x f--+ f(x, y) is quasi-concave on X for each y E Y,
(iv) y f--+ g(x,y) is quasi-convex on Y for each x E X,
(v) X f--+ g(x, y) is u.s.c. on X faT each y E Y.
Then
a = inf sup f(x , y) :S sup inf g(x, y) = (3.
yEY xEX xEX yEY
PROOF. Suppose that the inequality does not hold. Then for some ..\ E R
we have (3 < ..\ < a. We now apply (1.6): assume there is a Yo E Y such
that f(x, Yo) :S ..\ for all x E X; then a = inf yEY SUPxEX f(x , y) :S ..\ < a, a
contradiction.
In a similar way, the assumption that for some Xo EX, g(xo, y) ::::: ..\ for
all y E Y leads to a contradiction. D
We observe that by taking f = 9 in (1.8), we obtain as a special case the
von Neumann-Sion theorem (1.4).
c. Applications to fixed point theory. Theorems of Tychonoff and Schauder-

Tychonoff
We now give the simplest applications of KKM-maps to fixed point theory.

First we extend Theorem (5.8.4) to normed spaces.
(1.9) THEOREM (Fan). Let C be a nonempty compact convex set in a
normed space E. Let f : C --. E be continuous and such that for each
x E C with x of. f (x) the line segment [x, f (x) 1 contains at least two
points of C. Then f has a fixed point.
PROOF. Define G : C --. 2c by

Gx = {y E C Illy - fyll :S Ilx - fyll}·
Because f is continuous, the sets Gx are closed, therefore compact. Clearly,
G is strongly KKM, and hence because C is convex, it is a KKM-map. By
the topological KKM-principle, we find a point Yo such that Yo E n{ Gx I
x E C}, and hence Ilyo- fYol1 :S Ilx- fYol1 for all x E C. We claim that Yo is a
fixed point: if not, the segment [Yo, fYol must contain a point of C other than
Yo, say x = tyo+(1-t)fyo for some 0 < t < 1; then Ilyo- fYol1 :S tllyo- fYoll,
and since t < 1, we must have Ilyo - fYol1 = O. D
The theorem just proved implies that any continuous self-map of a com-
pact convex set in a normed space has a fixed point. We extend this result
to arbitrary locally convex spaces.
(1.10) THEOREM (Tychonoff). Let C be a nonempty compact convex set

in a locally convex linear topological space E. Then every continuous
F : C ---- C has a fixed point.
PROOF . Let {PdiEI be the family of all continuous semi norms in E. For
each i E I set
Ai = {y E C I Pi(y - Fy) = O} .
A point Yo E C is a fixed point for F if and only if Yo E niEI Ai' By
compactness of C we need to show only that each finite intersection Ail n
... n Ai n is nonempty. Given (i l , ... , in) define G : C ---- 2E by
Eel
n n
Gx = {y LPij(y - Fy) :S LPij(X - Fy)}.
j=l j=l
It is easily seen that G is strongly KKM, and so KKM since C is convex.

By the topological KKM-principle there is a point Yo E C such that
n n
L Pij (yO - Fyo) :S L Pi j (x - Fyo) for all x E C.
j=l j=l
Therefore, Pij (yo - Fyo) = 0 (1 :S j :S n), and thus yo E Ai n ... n Ai n • 0

Using Theorem (1.5) we now extend the Schauder fixed point theorem
to locally convex spaces. We first establish two preliminary results.
(1.11) LEMMA. Let E be a locally convex linear topological space, X c E ,
and let f : X ---- X be a compact map. Letting 1/ be the system of all
open symmetric convex neighborhoods of zero in E, assume that for
each U E 1/, f has a U -fixed point (i. e., a point Xo E X such that
f(xo) - Xo E U). Then f has a fixed point.
PROOF. Suppose to the contrary that f has no fixed points. Then for each
x E X we can find Vx, Wx E 1/ such that:
(i) (x + Vx) n (J(x) + Wx) = 0,
(ii) f((x + Vx) n X) c f(x) + Wx.
Since f(X) is compact, there is a finite set {Xl, ... ,xd c f(X) c X such
that
k
f(X) C U(Xi + ~VXi)'
i=l
Define U = n {~VXi Ii = 1, ... , k} and let x be any point in X. For some i ,

we have f(x) E Xi + ~ VXi . We claim that x ¢ Xi + VXi : if not, we would have,
because of (ii), f(x) E f(xd + W Xi , and therefore, by (i), f(x) ¢ Xi + Vx "
which is a contradiction. Thus X ¢ Xi + VXi; since f(x) + ~VXi C Xi + Vx "
we infer that x !f f(x) + ~ VXi , and therefore x - f(x) !f U. This implies that
f has no U-fixed points; we have thus obtained a contradiction. 0
(1.12) LEMMA. Let C be a nonempty compact convex subset of a linear
topological space E, U an open symmetric convex neighborhood of 0,
and f : C -7 E a continuous map such that f (C) c C + U. Then f
has aU-fixed point.
PROOF. Define T : C -+ 2c by Tx = {y E C lyE f(x)+U} = Cn(f(x)+U)
for x E C and note that the values of Tare nonempty and convex and its
fibers T-1y = {x E C I f(x) E Y - U} are open (by the continuity of f);
thus T E F(C, C). Now (1.2) gives a point Xo E f(xo) + U. 0
(1.13) THEOREM (Schauder-Tychonoff). Let C be a nonempty convex sub-
set of a locally convex linear topological space E, and let F : C - 7 C
be a compact map. Then F has a fixed point.
PROOF. Let V be a convex symmetric neighborhood of zero. By Lemma
(1.11), because E is locally convex, it is enough to show that F has a V-
fixed point, i.e., a point Xo such that F(xo) E Xo + V. Let {Xi + V}7=1 be
a finite covering of the compact set F(C), and let K = conv{xl, ... , xd .
Since F(K) c K + V, there exists by Lemma (1.12) a point Xo EKe C
such that F(xo) E Xo + V. 0
d. Fixed points in spaces with sufficiently many linear functionals

We now establish some general fixed point results in linear topological spaces
with sufficiently many linear functionals. We recall that given such a space
E, its adjoint E* separates the elements of E. By the Hahn- Banach theorem,
every locally convex space has sufficiently many linear functionals.
In this subsection E stands for a linear topological space with sufficiently
many linear functionals.
We first give some extensions of Theorem (1.9).
(1.14) THEOREM. Let C be a nonempty compact convex subset of E. Let
f : C - 7 E be continuous such that for each y E C with y i- f(y)
there exists a A (real or complex depending on whether E is real or
complex) with IAI < 1 and AY + (1 - A)f(y) E C. Then f has a fixed
point.
PROOF. Assume f (y) i- y for all y E C and consider the compact set
K = {y - f(y) lyE C}; clearly, 0 !f K. For each x E K there is a
linear functional lx E E* with lx (x) i- 0; by continuity of lx there is a
neighborhood Ux of x such that lx(Y) i- 0 for all y E UX ' Let {UX1 " •• ,UXk }
be a finite sub covering of the covering {Ux}xEK of the compact set K and
put p(y) = 2:7=1 Ilxi (y)1 for each y E E. Then p is a continuous seminorm
on E such that p(y) > a for all y E K. For this seminorm we apply, as in
(1.10), the topological KKM-principle to get Yo E C such that
a < p(Yo - f(yo)) ~ p(x - f(yo)) for all x E C.
By the hypothesis applied to Yo, there exists a A with IAI < 1 such that
x = Ayo + (1 - A)f(yo) E C. Then from (*) we get
a < p(Yo - f(yo)) ~ IAlp(yo - f(yo)),
and since IAI < 1, this is a contradiction. o
As a special case of Theorem (1.14) we obtain
(1.15) THEOREM. Let C be a nonempty compact convex subset of E. Let
f : C --+ E be continuous and such that for each x E C with x =1= f(x),
the line segment [x, f(x)] contains at least two points of C. Then f
has a fixed point. 0
As our last result we derive a version of a fixed point theorem due to
F. Browder and B. Halpern.
Let C be a convex subset of a vector space E; for each x E C, let
Ic(x) = {y EEl y = x + A(yo - > a},
x) for some Yo E C and A
Oc(x) = {y EEl y = x - A(yo - x) for some Yo E C and A > a}.
A map f : C --+ E is said to be inward (respectively outward) if f(x) E Ic(x)
(respectively f(x) E Oc(x)) for each x E C.
(1.16) THEOREM. Let C be a nonempty convex compact subset of a linear
topological vector space E with sufficiently many linear functionals.
Then every continuous inward (or outward) map f : C --+ E has a
fixed point.
PROOF. The case of an inward map follows directly from (1.15); if f is

outward then g : C --+ E given by x r--t 2x - f (x) is inward with the same
set of fixed points as f, and the conclusion follows. 0
e. Fan intersection theorem and Nash equilibria
In this subsection we give another application to game theory by establishing

a general version of the Nash equilibrium theorem.
We begin by introducing some special notation and terminology that
will be used in our discussion. Let Xl, ... , Xn be topological spaces and
X = Il7=1 Xj' For each i E [n], we let Xi = Il#i Xj and denote by
Pi : X --+ Xi, pi : X --+ Xi the corresponding projections. Given x, y E X
and letting Pi(X) = Xi and pi(y) = yi we write

(Yi, xi) = (Xl, ... , Xi-I, Yi, Xi+l, ... , Xn) EX = Xi X Xi.
Observe that given any map S : Xi ----> 2 Xi , its graph G S is contained in X.
Assume for each i E [n] we are given a function gi : X ----> R. A point
X E X is said to be a Nash equilibrium for the system {gl,' . . ,gn} provided
for each i E [n] we have
gi(X) = max{gi(zi,?) I Zi E Xd·
The proof of the theorem of Nash relies on the following geometric result:
(1.17) THEOREM (Fan intersection theorem). Let Xl, .. . , Xn be compact
convex sets, let X = TI7=1
X j , and suppose we are given a set-valued
map Si E IF(Xi, Xi) for i E [n] (or equivalently Si- l E IF* (Xi, Xi) for
i E [n]). Then each of the following equivalent properties holds :
(a) the intersection n~=l G S i is nonempty,
(b) there is an X E X such that Xi E Si(Xi) for each i E [n].
PROOF. Define T : X ----> 2 x by
n
(i) Tx = {y E X I Yi E Si(xi) for each i E [n]} = II Si(X i ).
i=l
For Y E X we have
(ii) T-Iy = {x E X I Yi E Si(xi) for each i E [n]} = n

n
i=l
Xi x Si-I(Yi).
According to (i) and (ii), the values of T are convex and nonempty, and the
fibers of T are open. Thus T is an IF-map, and therefore by Theorem (1.2)
it has a fixed point X; this means that X E n~l Gs i . 0
We now give an analytic formulation of the intersection theorem.
(1.18) THEOREM. Let Xl,"" Xn be compact convex sets , let X = Xj , TI7=1
and let iI, ... , fn : X ----> R satisfy:
(i) Xi f--+ fi(Yi, xi) is l.s.c. on Xi for each Yi E Xi,
(ii) Yi f--+ fi(Yi , xi) is quasi-concave on Xi for each xi E Xi,
(iii) for each i E [n] and Xi E Xi there exists a Yi E Xi such that
fi(Yi, xi) > O.
Then there exists an X E X such that Ii (x) > 0 for each i E [n].
PROOF. For each i E [n] define Si : Xi ----> 2 Xi by Si(X i ) = {Yi E Xi
h(Yi, Xi) > O}. We note that Si is in fact an IF-map: each set Si(X i ) is
convex by the quasi-concavity of Yi f--+ li(Yi , xi) and is nonempty because
of (iii).
Since Si-l(Yi) = {xi E Xi I fi(Yi,X i ) > O}, each fiber of Si is open

by lower semicontinuity of Xi f---t fi (Yi, xi) on Xi. Thus Sl, . . . , Sn satisfy
the conditions of the intersection theorem (1.17), and hence we get a point
x E X such that Xi E Si(Xi) for each i E [nJ. By the definition of Si, this
means that Ji(x) = fi(Xi,X i ) > 0 for each i E [nJ. 0
We are now in a position to establish the fundamental result:
(1.19) THEOREM (Nash equilibrium theorem). Let Xl, ... , Xn be compact
convex sets, let X = n7=1X j , and let 91, ...
,9n : X --t R be con-
tinuous. Assume that for each Y E X and each i E [nJ the function
Xi f---t 9i(Xi,y i ) is quasi-concave on Xi. Then the system {9l, ... ,9n}
admits a Nash equilibrium point.
PROOF. For c > 0 and i E [n], we first define hi, fi : X --t R by
x f---t hi(x) = hi(xi, xi) = maX{9i(Zi, Xi) I Zi E Xi},
X f---t Ji(x) = 9i(X) - hi(x) + c,
and we let Qf: = {x E X I fi(X) 2: 0 for each i E [n]}; since for each i E [n],
the uniform continuity of 9i implies that hi is continuous, it follows that the
set Qf: is compact.
We claim that Qf: is not empty. To see this, observe that the conditions of
(1.18) are satisfied for the continuous functions II, ... , f n: indeed, for each
i E [nJ we have:
(a) Xi f---t fi(Xi, yi) = 9i(Xi, yi) - max{9i(zi, yi) I zi E Xd + c is quasi-
concave on Xi for each yi E Xi,
(b) for any yi E Xi there exists an Xi E Xi such that fi(Xi, yi) > O.
Applying (1.18), we get a point x E X such that fi(X) > 0 for all i E [n],
and thus Qf: is not empty.
Consider now the decreasing family {Qf: Ie> O} of nonempty compact
sets and take a point x = {xd in the intersection Q = n{Qf: Ie> O}. By
the definition of Q, for any i E [nJ we have
9i(X) 2: maX{9i(Zi, Xi) I Zi E Xi} - c for all c > 0,
and therefore 9i(X) = max{9i(zi, Xi) I Zi E Xi}. Thus x = {xd is a Nash
equilibrium for the system {91, ... , 9n} . 0
2. Some Applications of the Antipodal Theorem
a. Measure theory
Given a Lebesgue measurable set A eRn, we denote its measure by p,(A),
and for any x ERn, its translation {a + x I a E A} by AX.
(2.1)
°
THEOREM (Kuratowski-Steinhaus). Let.:1 = [Po, ... ,Pn] be an n-
simplex in Rn that contains the origin E Rn in its interior, and
all the rays joining °

for each i = 0, ... ,n, let Mi be the cone consisting of the union of
to the points of the (n - 1) -dimensional face
[Po, ... ,Pi -l ,Pi+l,·· · ,Pn ] of Ll. Then given any bounded Lebesgue
measurable set A with J..l(A) = 1 and any n + 1 nonnegative numbers
J..lo, ... ,J..ln with L J..li = 1, there exists at least one y E Rn with
J..l(AY n M i ) = J..li for each i = 0, ... ,no
PROOF. Let Kr = {x E Rn Illxll ::; r} and Sr = 8Kr . Choose r so large
that for each x E Sr, the set AX does not meet at least one M i , and for
each i = 0, ... ,n, either AX n Mi or A -x n Mi is empty. For y E Kr and
i = 0, ... ,n, let .Ai(Y) = J..l(AY n Mi); using the properties of the Lebesgue
measure, the functions .Ai can be shown to be continuous, and by the usual
additivity properties of measure, L~=o .Ai(Y) = 1 for each Y E K r . The rule
°
y f---+ L.Ai (Y)Pi therefore defines a continuous map f : Kr ---; Ll. By the
choice of r, for each x E Sr at least one .Ai(X) = so flSr : Sr ---; 8Ll; and
since at least one of .Ai(X), .Ai( -x) is zero, it follows that f(x) =I- f( -x), and
hence flSr is not nullhomotopic. Thus f : Kr ---; Ll is surjective, and any
Y E f-1(LJ..liPi) satisfies the required conditions. 0
As another application, we have
(2.2) THEOREM. Let M I , ... ,Mn be n bounded measurable subsets of Rn.
Then there exists an (n - 1) -dimensional fiat that simultaneously bi-
sects each one of M I , ... , Mn.
PROOF. Identify Rn with the subspace {Xl, ... , x n , o} c Rn+l; for each x E
sn c Rn+l, let Lx be the n-dimensional flat of Rn+1 that passes through
(0, ... ,0,1) and is perpendicular to the vector x. For each r = 1, ... ,n let
fr(x) = measure of the part of Mr that lies on the same side of Lx as
does x + (0, ... ,0, 1).
It can be verified that fr is a continuous real-valued function on sn, so
that x f---+ (h (x), ... , f n (x)) defines a continuous map f : sn ---; Rn. By
the Borsuk-Ulam theorem, there is at least one point x E sn with f(x) =
f( -x) so that fr(x) = fr( -x) for each r = 1, ... ,n. Since Lx = L-x and
x + (0, ... ,0,1), -x + (0, ... ,0, 1) are on opposite sides of L x, this means
that L x bisects each Mi. Thus, Lx n R n is an (n - 1)-dimensional flat in Rn
that bisects each of M I , ... , Mn. 0
b. Periodic transformations
(2.3) THEOREM. Let T: Rn ---; Rn be any homeomorphism. IfTT(a) =a
for all a E Rn , then T has a fixed point.
PROOF. Let a ERn; we can assume T(a) "I a. The sphere sn contains
in natural fashion the sequence SO C SI C ... C sn-l C sn, each sphere
being the equator of the next; we shall define, by induction, an f : sn ~ Rn
satisfying f(-x) = Tf(x) . For So, the map f(+l) = a, f(-l) = Ta clearly
satisfies the requirement. Assuming f defined on Sk, extend f in any way
over the northern hemisphere S~+1 C Sk+ 1, and then extend over S~+1 by
the formula f(-x) = Tf(x). This completes the induction. By the Borsuk-
Ulam theorem, the map f : sn ~ R n must have some Xo E sn with
f( -xo) = f(xo); therefore, f(xo) = T f(xo), and T has a fixed point . 0
c. Geometry of Banach spaces
The following result of Krein- Krasnosel'skil- Milman plays an important role

in perturbation theory for linear (unbounded) operators:
(2.4) THEOREM. Let M and N be linear subspaces of a finite-dimensional
Banach space (E, 1111). If dimM > dimN , then there is an Xo E M
such that
dist(xo, N) = Ilxoll > o.
PROOF . Suppose first that the norm 1111 in E is strictly convex: Ilx + yll <
Ilxll + IIYII whenever x, yare linearly independent. It is then easily seen that
each x E E has a unique nearest point y = f (x) in N and that x f--t f (x)
is continuous. Furthermore, the map f: E ~ N has the property f( -x) =
- f(x) for all x E E. Consequently, applying the Borsuk theorem (5.5.2) to
fl8 M : 8 M ~ N we obtain a point Xo E 8 M such that f(xo) = o. Clearly,
Xo is the required point.
In the general case, choose a basis tpl, tp2, ... ,tpn in E* and define
Ilxll m is a new and strictly convex norm in E. For each m = 1,2, ... there
is an Xm EM with distm(xm,N) = Ilxmll m = 1. Since Ilxmll S; Ilxmll m = 1,
the sequence {x m } contains a convergent subsequence relative to 1111; the
limit Xo of this subsequence satisfies the requirements of the theorem. 0
As an immediate consequence we get
(2.5) THEOREM. Let M and N be linear subspaces of a finite-dimensional
Banach space (E, 1111). Suppose
sup dist(x, N) < 1 and sup dist(y, M) < 1.
Ilxll::;!, xEM Ilyll::;!, yEN
Then dimM = dimN. o
3. The Schauder Theorem and Differential Equations

In this section we give two applications of the Schauder fixed point theorem
to differential equations. We first describe the simplest scheme that is used
for these applications.
Let U, B, E be normed spaces. In the following we shall be given a linear
operator L : U ........ B, a completely continuous embedding j : U ........ E and a
continuous operator G : E ........ B that is bounded on bounded sets; we seek to
place conditions on G to ensure that the nonlinear equation L( u) = G j (u)
will have a solution. The approach used here relies on the invertibility of
the linear operator L: for if L is invertible, the question is equivalent to the
fixed point problem u = L -1 Gj ( u) for the completely continuous nonlinear
operator L -1 G j : U ........ U; we can then place restrictions on G to ensure that
some fixed point principle (or topological transversality) can be applied.
Thus, showing the operator L to be invertible is crucial in this approach
to existence theorems, and in our applications we will encounter two methods
for doing this. In the first, L is bijective, and its invertibility follows from the
Banach inverse mapping theorem; in the second, the Schauder invertibility
theorem and appropriate a priori bounds are required.
Observe that with an invertible L, the problem of solving L(u) = Gj(u)
is in fact equivalent to the fixed point problem for anyone of the nonlinear
completely continuous operators L -lGj : U ........ U, jL -lG : E ........ E, GjL -1 :
B ........ B; because the expression for the norm may be especially simple in
one of the spaces U, B, E, it may be more convenient to verify that for a
given G, some one rather than another of these operators has a fixed point.
a. Initial value problem (Peano '8 theorem)

On the interval [0, T], consider the initial value problem
{
~~ = 9 (t, u) , 0 So t So T,
u(O) = O.
If we let
eJ = {u E e 1 [0, T]I u(O) = O},
then the linear operator d/ dt == L : CJ ........ C[O, T] is clearly bijective with
inverse
L-1(J)(t) = lot f(x) dx == u(t).
We verify that L -1 is continuous by an a priori estimate: Recall that the
norm in CJ is IIul11 = max{llull, Ilu'II}, where IIII denotes the supremum norm
on [0, T]; since Ilull So TllLul1 from the above formula, and Ilu'll = IILull, we
find Ilulll ::; (T+1)IILull. So, ifu = L- 1(f), we have IIL- 1 (f)lll ::; (T+1)llfll,
and L -1 : C[O , T] -+ CJ is therefore continuous. We now prove
(3.1) THEOREM (Peano). Let g : [0, T] x R -+ R be a bounded continu-
ous function. Then the initial value problem above has at least one
solution u E eJ.
PROOF. Let e = C[O, TJ, let G :e -+ e be the operator G(u)(t) = g(t, u(t)),
and let j : eJ -+ C be the natural embedding. The problem is to show
e
that L( u) = j (u) has a solution or equivalently, because L is invertible,
that the operator jL - Ie: e -+ e has a fixed point. Since j is completely
continuous and e is bounded (because g is), the operator jL -Ie is compact.
e
By Schauder's theorem jL- l has a fixed point. 0
b. Two-point boundary value problem
On the interval [0, T] , consider the two-point boundary value problem

d2u
{ dt 2 = g(t, u(t), u'(t)), 0::; t ::; T ,
u(O) = u(T) = O.
Letting
C6 = {u E e 2 I u(O) = u(T) = O}
and L = d 2 / dt 2 , we begin by studying the linear operator L : C5 -+ e[o, T].
This operator is in fact bijective: if
~ 1 nJrs nJrt
K(s, t) = 2T ~ Jr 2 n 2 sin ysin T
n=1
is the associated Green's function, then the inverse is given by
u(s) = L -1(f)(S) = -iT K(s, t)f(t) dt.
We verify (directly) the continuity of L -1: Recalling that the norm in

e 2 is IIul12 = sup{llull, Ilu'll, Ilu"ll} and observing from the formula for
the inverse that each of Ilull, Ilu'll, Ilu"ll is bounded by some multiple of
IILull , we find that IIul12 ::; KIILull, and therefore the "smoothing operator"
L -1 : e[o, T] -+ C5 is continuous.
We now establish
(3.2) THEOREM . Let g : [0, T] x R x R -+ R be a bounded continuous
function . Then the two-point boundary value problem above has at
least one solution u E C5.
PROOF. Defining G: C 1 [0,T] ---+ C[O,T] by G(u)(t) = g(t,u(t),u'(t)) and

letting j : C5 ---+ C 1 [0, T] be the embedding, we have the problem L( u) =
Gj(u). Since C[O, T] has the simplest expression for its norm, we reduce
this problem to the equivalent problem for GjL - 1 : C ---+ C. Since jL- 1
is completely continuous, because j is, and since G is a bounded operator
because 9 is bounded, we conclude that jL -IG is compact, and therefore, by
Schauder's theorem, it has a fixed point. This implies that Fix( GjL -1) i= 0,
and thus the desired conclusion follows. 0
4. Topological Transversality and Differential Equations

In this section we give an application of topological transversality to differ-
ential equations. The approach presented here was first introduced by Leray
and Schauder in the context of degree theory for compact fields, and has
proved to be a powerful tool in the treatment of various nonlinear problems.
We will treat in full detail a problem for ordinary differential equations,
by establishing a version of a classical result of S. Bernstein.
Consider the two-point boundary value problem
{ y" = f(t, y, y'),

(9) °
y(O) = = y(l),
where f = f(t,y,p) is defined and continuous in [0,1] x R2. We shall im-
pose conditions on f that are milder than those in the previous section and
indicate the "a priori bounds" technique that permits applying topological
transversality to obtain the existence of a C 2 -solution to the above problem.
(4.1) Assume that f : [0,1] x R2 ---+ R satisfies:
° °
LEMMA.
(i) there is a constant M o > such that yf(t, y, 0) > for Iyl 2: Mo,
°
(ii) there are constants A,B > such that for all (t,y,p) E [0,1] x
[-Mo, M o] x R,
If(t,y,p)1 S Ap2 + B.
Then there is a constant Ml such that if y is a solution to (9), then
ly(t)1 S M o and ly'(t)1 S Ml for all t E [0,1].
PROOF. We first show that (i) implies an a priori bound on a solution. Let
y E C 2 [0, 1] be a solution to (9); assume that y ¢. 0. Then the function
y f--t Iyl must attain a positive maximum at to E (0,1); supposing y(to) > 0,
we have
02: y"(t o) = f(to,y(to),O), y(to)f(to,y(to),O) SO,
and the last inequality holds also if y(to) < 0. By assumption (i) it follows
that ly(to)1 S Mo, and hence ly(t)1 S M o for all t E [0,1].
Now assuming that y is a solution to (&'), we establish an a priori
°°
bound on y'. Since y' vanishes at least once in [0, 1], each t E [0, 1] for which
y'(t) =/:: belongs to an interval [a, b] such that y' has a fixed sign on [a, b]
°
and y'(a) = and/or y'(b) = 0. Let us take such an interval [a, b] and to be
definite assume y'(a) = 0, y'(t) 2': for t E [a, b]. Then from (ii),
:t [log(Ay,2 + B)] = :y~;:'~ 'S 2Ay' on [a, b],
and integrating from a to t yields

I Ay'2(t) + B 4AM
og B 'S 0,
and hence
B
ly'(t)I'S { A (e 4AMo - 1)
}1/2 = MI on [a,b].
The other possibilities that might occur are treated similarly, and the
same bound ly'(t)1 'S MI is obtained on the entire interval [0,1]. 0
° °
(4.2) THEOREM. Assume that f = f(t,y,p) is continuous and satisfies:
(i) there is a constant Mo > such that yf(t, y, 0) > for Iyl 2': Mo,
(ii) If(t, y,p)1 'S A(t, y)p2+B(t, y), where A, B are functions bounded
on each compact subset of [0,1] x R.
Then there exists a solution y E C 2 [0, 1] to problem (&').
PROOF. Consider the family of problems
{ y"
= )..f(t, y, y'),
(&'A)
°
y(o) = = y(l),
depending on the parameter).. (0 'S ).. 'S 1), joining the problem (&') to the
corresponding problem y" = 0, y(o) = y(1) = 0, whose (unique) solution
is y == 0. We claim that there are constants Mo, M I , M2 such that for each
solution y to (&'A),
for t E [0, 1]. Clearly, the bounds for y and y' follow from (4.1); the bound
on y" follows from the continuity of f on [0,1] x [-Mo , Mol x [-Ml' Ml]'
Let C6 = {u E C 2 I u(o) = u(1) = O}. Consider the linear operator
L : C6 ---+ C given by U 1---+ d2 u/ dt 2 , the family of maps TA : C 1 ---+ C
(0 'S ).. 'S 1) defined by
(TAv)(t) = )..f(t, v(t), v'(t)),
and the completely continuous embedding j : C6 ---+ C 1 . Let
r = 1 +max{Mo,M1 ,M2 },
where M o,MI ,M2 are the constants in (*), and Kr = {u E C5111u112::; r}.
Since L : C5 -+ C is invertible, we can define a homotopy H).. : Kr -+ C5 by
H).. = L -IT)..j. It is easily seen that the fixed points of H).. are precisely the
solutions of (&\); therefore, by the choice of rand (*) the homotopy H).. is
fixed point free on the boundary of K r . Moreover (because of the complete
continuity of j), the homotopy H is compact. Since Ho is a constant map
(Ho(Kr) = {O}), it is essential. Because Ho '::::' HI, topological transversality
shows that HI is also essential; in particular, HI has a fixed point which is
a solution to problem (&). 0
(4.3) THEOREM (Bernstein). Assume f = f(t,y,p) has continuous partial

derivatives fy and fp and satisfies:
(i) fy 2: k > 0,
(ii) If(t, y , p) I ::; A(t, y)p2 + B(t, y),
where k is a constant and A, B are functions bounded on compact
subsets of [0, 1] x R. Then there exists a solution y E C 2 [0, 1] to
problem (&). 0
5. Application to the Galerkin Approximation Theory
Let E be a normed space, U c E open, and F : U -+ E a compact operator.

We seek numerical solutions (assumed to exist) of the equation x = F(x)
in U. One method for finding at least approximate solutions consists in "ap-
proximating" the given equation on U by an equation x = FE;(X) for which
an exact solution XE; can be found; it is hoped that the "approximating"
equation x = FE;(X) can be selected so that XE; will in fact be an approxi-
mate solution of the given equation x = F(x). This theory underlies various
specific methods for the numerical solution of operator, integral, differential,
etc., equations. One scheme for this program, called the perturbed Galerkin
method, is the following: Let Ln be a sequence of closed linear subspaces
of E, and let P n : E -+ Ln be projections. Choose a compact operator
Fn : un Ln -+ Ln (the "approximation" to F) and measure the degree of
approximation of Fn to F by the smallness of the operators
Sn = F - Pn 0 F : U -+ E.
The equation x = PnF(x) in Ln is called the associated Galerkin equation;
and Xn = Fn(xn) in Ln is called the perturbed Galerkin equation .
We give conditions under which the perturbed Galerkin method provides
approximate numerical solutions for the given equation. For a set X c E
we write Xn = X n Ln.
(5.1) THEOREM. Let F E Jf8u(U, E) be an essential compact operator.

Assume that subspaces Ln and compact operators Fn : Un ~ Ln are
chosen so that
sup IIF(x) - PnF(x)11 ~ 0
xEU
and
sup IlFn(x) - PnF(x)11 ~ O.
xEUn
Then there is an N such that for all n 2': N, the set En = {x E Un I

X = Fn(x)} of solutions of the perturbed Galerkin equation is not
empty; moreover, sUPxnEEn d(xn, Eo) ~ 0, where Eo is the set of
solutions ofx = F(x).
PROOF. Since F is fixed point free on au, we have
inf Ilx - F(x)11 = 0: > O.
aU
Choose Nl so large that
sup IIF(x) - PnF(x)11 < 0:/2 for all n 2': N 1 .
aU
Then, by the proof of (6.4.8), PnF E Jf8u(U, E) is also essential, and there-
fore, by (6.4.4), so is the restriction PnFIUn E Jf8u n (Un' Ln). Since
inf Ilx - PnF(x)11 2': inf Ilx - PnF(x)11
aUn au
2': inf Ilx - F(x)11 - sup IIF(x) - PnF(x)11
au aU
2': 0: - 0:/2 = 0:/2,
we choose N 2': Nl so that sUPaUn IlFn(x) - PnF(x)11 ::; 0:/4, and applying
(6.4.8) again, we conclude that Fn E Jf8u n (Un' Ln) is essential. Therefore,
the set En of solutions is nonempty for all n 2': N.
To prove the remaining part, we must know the sups on U and Un (not
just on au and aUn, as has been enough up to now). Choose any E > 0 and
draw a ball B(x, Ex) C U with Ex ::; E centered at each x E Eo; the union
of these open balls is denoted by E6. Since F is fixed point free on U - E6 ,
we have infu_Eg Ilx - F(x)11 = O:c: > O.
Now, if x E Ln n (U - E6), then
Ilx - Fn(x)11 2': O:c: -11F(x) - PnF(x)II-llPnF(x) - Fn(x)ll,
so that Ilx - Fn(x)11 > 0:c:/2 on Un Ln - EC: for all n larger than some nc:.
But x - Fn(x) = 0 for all x E En, so for all n > nc: the set En C Un is
disjoint from Un - E6; that is, En C Eo. Since E is arbitrary, the proof is
complete. 0
(5.2) COROLLARY. Let U = {x I Ilx - xoll < 6} and F E Jf8u(U, E) be

an essential operator with the unique solution Xo = F(xo). Let Fn
and Ln be the compact operators and closed subspaces satisfying the
requirements of the theorem. Then for all sufficiently large n the equa-
tion x = Fn(x) has at least one solution Xn in U, and any sequence
{x n } of these solutions converges in norm to Xo. 0
6. The Invariant Subspace Problem

Let E be a topological vector space. A closed linear subspace LeE is called
nontrivial if L i- {a} and L i- E; it is called an invariant subspace for a
linear operator T: E - t E if T(L) c L.
In Hilbert space, it is well known that every completely continuous self-
adjoint operator has a nontrivial closed invariant subspace; indeed, its spec-
tral representation is directly based on the existence of such subspaces.
Seeking to determine the structure of non-self-adjoint operators therefore
raises the question: what types of operators have nontrivial closed invariant
subspaces? The following result shows that the existence of such subspaces
for an operator does not require the existence of an inner product: in any
infinite-dimensional normed linear space, commutativity with some nontriv-
ial completely continuous operator suffices to ensure their existence.
(6.1) THEOREM (Lomonosov). Let T be a continuous linear operator on an
infinite-dimensional normed linear space E. If there is a completely
continuous linear operator K i- 0 such that To K = K 0 T, then T
has a nontrivial closed invariant subspace.
PROOF. Let Comm(T) be the set of all continuous linear operators that
commute with T; this set is not empty, since T E Comm(T). For each
y i- 0, let 2y = {Ay I A E Comm(T)}. Each 2y is a linear subspace: if
A, B commute with T, then so also does A + B; therefore, Ay + By E 2 y.
Moreover, A(2y) C 2y for every A E Comm(T) , since AB E Comm(T).
If some 2yo is not dense in E, then 0 i- 2 Yo i- E, so 2 Yo is a nontrivial
closed linear subspace; and since A(2yo) C A(2yo) c 2yO for every A E
Comm(T), and in particular for T, to complete the proof we need only
consider the case where every 2y is dense in E.
The subspace K-1(0) is a closed linear subspace, and since K is non-
trivial, it is not E. Choose Xo E E with K(xo) i- 0 and consider the
open ball B(K(xo), IIK(xo)II/2). It is clear that we can find a closed ball
rt
Q = B(xo,r) C K-l(B(K(xo), IIK(xo)II/2)) such that 0 K(Q); moreover,
K( Q) is compact, as K is a completely continuous operator. Because 2y is
dense in E for each y i- 0, for each c E K(Q) we can find a Dc E Comm(T)
such that Dc (c) lies in the interior of Q, so by continuity, each c E K (Q)
has a ball Qc(ec) = B(c,ec) such that Dc[Qc(ec)] C Q. Because K(Q) is

compact, finitely many such balls cover K( Q), say QCI (cd, ... ,Qcn (en); let
D CI " .• ,Dcn be the corresponding operators.
On K(Q) let
i = 1, ... ,n,
and consider the map F : Q ----) E given by

n
F(b) = L~dK(b)]Dci[K(b)].
i=l
This is clearly a compact map. Note that ~i[K(b)]1- 0 implies that K(b) E
QCi (ei), so that Dc;[K(b)] E Q; thus, each value F(b) is a convex combina-
tion of points in Q, so F maps into Q. By Schauder's fixed point theorem,
F therefore has a fixed point bo E Q, and in particular, bo I- O.
Consider now the completely continuous linear operator W : E ----) E
given by
n
W = L ~dK(bo)]Dci 0 K.
i=l
The set L = {y EEl W (y) = y} is a closed linear subspace; it is not {O}

because bo E L; and it is not E because W is completely continuous and E is
infinite-dimensional. Thus, L is a nontrivial closed linear subspace. Finally,
it is an invariant subspace for T: if y E L, then because T commutes with
W we have W(Ty) = T(Wy) = Ty, so Ty ELand T(L) C L. 0
As an immediate consequence, we obtain the following extension of a
result of Aronszajn- Smith:
(6.2) COROLLARY. Let E be an infinite-dimensional normed linear space,
and T : E ----) E a continuous linear operator. If some iterate Tn is
completely continuous and nonzero , then T has a nontrivial closed
invariant subspace.
PROOF. T commutes with Tn. o
Examining the proof of Lomonosov's theorem more carefully gives the
following extension for complex normed vector spaces.
(6.3) COROLLARY. Let E be an infinite-dimensional complex normed linear
space and T : E ----) E a continuous linear operator such that T I- ),,1
for all ).. E C. If there is a nonzero completely continuous linear
operator K : E ----) E such that To K = K 0 T, then all members of
Comm(T) have a common nontrivial closed invariant subspace.
PROOF. We have seen in the proof of the theorem that if some !£y is not
dense in E , then its closure !£ y is the desired subspace. We therefore need
only consider the case where every !£y is dense.
In that case, we have formed an invariant subspace for T to be the
eigenspace {y EEl W(y) = y} of a completely continuous operator
W : E -+ E. According to Riesz's theorem, every eigenspace of a completely
continuous operator is necessarily finite-dimensional, so the invariant sub-
space L produced in the second part of the proof is in fact finite-dimensional.
Since T is a linear transformation of L into itself and T i AI for all A, some
eigenspace M = {u EEl T( u) = ~u} is nontrivial. If now A E Comm(T) ,
then for each u E M we have
~A(u) = A(~u) = AT(u) = T(Au),
so that A(M) eM for each A E Comm(T) and M is the required invariant
subspace. D
7. Absolute Retracts and Generalized Schauder Theorem

In this section we establish a general fixed point theorem that is formulated
in purely topological terms and contains the Schauder theorem as a special
case. We begin with the relevant facts from the theory of retracts.
(7.1) DEFINITION. A space Y is called an absolute retract (or simply an
AR) whenever (i) Y is metrizable and (ii) for any metrizable X and
closed A c X each f : A -+ Y is extendable over X. The class of
absolute retracts is denoted by AR.
It is evident that if Y is an AR, then every space homeomorphic to Y is also
an AR.
(7.2) PROPOSITION. If Y is an AR and B is a retract of Y, then B is
also an AR.
PROOF. Let X be metrizable, A c X closed, and f : A -+ B a continuous
map. Let r : Y -+ B be a retraction. Since Y is an AR, the map f has an
extension F : X -+ Y over X; then r 0 F is the required extension for f. D
We shall now establish that every convex set in a normed linear space is
an AR. This will be a consequence of a general extension theorem.
(7.3) LEMMA. Let (X, d) be a metric space and {VA I A E A} a nbd-finite
open covering of X. Then there exists a partition of unity subordinate
to the covering {VA I A E A} , i.e., a family {xA I A E A} of continuous
functions X A : X -+ I satisfying:
(i) xA(x) ::: 0 for all x E X,
(ii) x,$x) i- 0 if and only if x E V,\,

(iii) for each x E X there is a nbd W of x such that only a finite
number of x,\ are not identically zero in W,
(iv) L'\EA x,\(x) = 1 for each x E X.
PROOF. For each), E A we let
d(x,X - V>J
x,\(x) = L'\ EA d(x , X _ V,$' x E X,
and examine properties of the functions x)... We first observe that the sum in
the denominator is always finite: for d(x, X - V,\) i- 0 if and only if x E V,\,
and since the covering is nbd-finite, x lies in at most a finite number of V,\.
Further, since {V,\ I ). E A} is a covering, we have L,\EA d(x, X - V,\) i- 0
for each x E X, and so x,$x) is well defined for each x E X. Now, each x,\
is continuous; in fact, for any x E X there is a nbd meeting only a finite
number of the sets of the covering; in this nbd x,\ is explicitly given as a
sum of a finite number of continuous functions, so x,\ is continuous at each
x EX. It follows easily that the family {x,\} has properties (i)- (iv). 0
(7.4) THEOREM (Dugundji extension theorem). Let X be any metrizable
space and A C X a closed subset. Let E be any locally convex linear
topological space. Then any f : A -> E has an extension F : X -> E
with F(X) C conv[f(A)].
PROOF. Let d be a metric for X. Cover X - A by the balls
{B(x,~d(x,A)) I XEX-A};
by Stone's theorem, this cover has a nbd-finite open refinement {V).. I ). E A}.
For each V,\ choose a B(v,\, ~d(v,\,A)) => V,\; then choose an a,\ E A such
that d(v,\,a,$ :S 2d(v,\, A). We calculate the position of V,\ relative to A in
terms of the points a,\ we have selected:
(i) d(v,\,A):S 2d(v,A) for each v E V,\; for
d(v,\, A) :S d(v,\ , v) + d(v , A) :S ~d(v,\, A) + d(v, A),
so the result follows.
(ii) d(a, a,\) :S 6d(a, v) for every a E A and v E V,\; for
d(a, a,\) :S d(a, v) + d(v, v,\) + d(v).., a,\)
:S d(a, v) + ~d(v,\, A) + 2d(v,\, A)
:S d(a, v) + d(v, A) + 4d(v, A).
Using the points a,\ we have selected and the functions x,\ of (7.3) we are
ready to define the extension. We let
if x E A,
if x E X-A.
This function is evidently continuous at each point of the open set X - A,

so only its continuity at the points of A needs to be proved.
Let a E A, and let W :3 f(a) be an open set . Since E is locally convex and
f continuous on A, there is a convex C and a 8> 0 such that f[AnB(a, 8)] c
C c W. We are going to show that
F[B(a, 8/6)] c C c W,
which will prove the continuity of F at a E A.
Let x be any point of B( a, 8/6) - A; it belongs to only finitely many sets
V>'p ... ,V>'n· Then d(x,a) < 8/6, so since x E V>' il we have d(a , a>'i) < 8
by (ii); therefore, all the a>'i are in An B(a, 8) ; consequently, all f(a>.J are
in C, and because F(x) = L::~l x>.,{x)f(a>.J is a convex combination of
points of C, we conclude that F(x) E C. Thus F[B(a, 8/6)] C W, and F is
continuous at a. As F(X) C conv[f(A) ] is evident, the proof is complete. 0
Since the values of the extension lie in the convex hull of f(A) we im-
mediately get
(7.5) THEOREM . Let C be any convex subset of a locally convex linear
topological space. Then for every metrizable space X and any closed
A C X each f : A ~ C has an extension F : X ~ C . In particular ,
if C is metrizable, then C is an AR. 0
We now give two characterizations of the ARs in terms of a retraction
property.
(7.6) THEOREM.
(i) A metrizable space is an AR if and only if it is a retract of every
metrizable space in which it is embedded as a closed set.
(ii) A metrizable space is an AR if and only if it is a retract of some
normed linear space.
PROOF. (i) Suppose Y is an AR, and that Y c Z is a closed subset. Consider
now the identity 1y : Y ~ Y; since Y C Z is closed and Y is an AR, the map
1y extends over Z to an r : Z ~ Y, and r is clearly a retraction. Conversely,
suppose Y has the property in (i). Using the Arens- Eells theorem, embed
Y as a closed subset of a normed linear space E. Then E is an AR by (7.5),
and Y is a retract of E by hypothesis; therefore, by (7.2) , Y is an AR.
(ii) follows from (i) by combining the Arens- Eells embedding with (7.2)
and (7.5). 0
(7.7) THEOREM. Let K be a closed ball in an infinite-dimensional normed
linear space E, and let {UihEl be a family of mutually disjoint open
balls that are contained in K. Then the set K - UiEI Ui is an AR. In
particular, the sphere oK is an AR.
~7. Further Results and Applications 165
PROOF. We first assume that K is the unit ball in E and show that uK is
a retract of K. Since by (4.3.12) , E ~ E - {O}, it follows from (7.5) that
E - {O} is an AR, and hence by (7.2) the unit sphere S = uK in E is an AR.
Consequently, there is a retraction r : K ~ uK. A similar argument shows
that there is a retraction r : K ~ K - UiEI Ui , and by (7.5) the assertion
follows. 0
The generalized Schauder theorem will now be established. Using the
factorization technique we first obtain the following preliminary result.
(7.8) THEOREM. Let K be a compact metric space and f : K ~ K be a
map. Assume that f can be factored as K ~ X .! K, where X is an
AR. Then f has a fixed point.
PROOF. Consider the diagram
1 00 (
I
in which 1 00 is the Hilbert cube and s : K ~ R is a homeomorphism of K

onto R c 1= with inverse S-l : R ~ K. Because X is an AR, there is an
extension tp : 1= ~ X of the map as-I: R ~ X over 1 00 , i.e., tpj = as-I,
where j : K '----+ [00 is the inclusion. Consider now the composite
K ~loo ~K.
We have
Thus, f factors through the Hilbert cube 1= and consequently has a fixed
point. 0
(7.9) THEOREM (Generalized Schauder theorem). Let X be an AR and
f : X ~ X a compact map. Then f has a fixed point.
PROOF. Because f factorizes as X ~ K .! X , where K is compact metric,

and by (7.8), Fix(a,B) =1= 0, we infer that f = j3a has a fixed point. 0
Because every convex set in a normed linear space is an AR, the last
result is a generalization of the Schauder fixed point theorem.
8. Fixed Points for Set-Valued Kakutani Maps
By a fixed point of a set-valued map 8 : X ----+ 2x is meant a point Xo E X

for which Xo E Sxo. In this section we will establish some fixed point the-
orems for certain classes of convex-valued maps 8 : C ----+ 2 c , where C is a
convex set in a normed space; maps of this type arise frequently in applied
areas such as control theory and mathematical economics. The statement of
these results will be seen to be formally similar to those for the single-valued
case.
We begin with the formal definitions. If X and Yare topological spaces,
a set-valued map S : X ----+ 2 Y is called compact if the image
S(X) = U{Sx I x E X}
is contained in a compact subset of Y; if Y is a linear topological space,
we say that S is finite-dimensional whenever 8 is compact and S(X) is
contained in a finite-dimensional linear subspace of Y. Recall that a map
S: X ----+ 2Y is called upper semicontinuous (written u.s.c.) if {x I 8x c W}
is open in X for each open W c Y.
(8.1) DEFINITION. Let X and Y be subsets of linear topological spaces

and 8 : X ----+ 2Y be a set-valued map. If Y is convex, then 8 is
called a Kakutani map (or simply a lK-map) provided 8 is U.S.c. with
nonempty compact convex values.
The set of all lK-maps from X to 2Y is denoted by lK(X, Y). If 8- 1 E

lK(Y, X), we write S E lK* (X, Y).
a. K akutani maps in normed linear spaces
We first establish a version of the Schauder theorem for compact Kakutani

maps. Then we will also consider an extension of the transversality concept
that is applicable in this more general context.
The proof of our first fixed point result is based on approximation con-
siderations analogous to those required for the Schauder theorem: we first
approximate the given compact 8 by a finite-dimensional set-valued func-
tion, and then this simpler set-valued function by a single-valued function.
Both of these approximations have other uses, so are of interest in them-
selves.
(8.2) LEMMA. Let X be a space, E a normed linear space, and 8: X ----+ 2E

a compact lK-map. Let p : S(X) ----+ L be a Schauder projection into
a finite-dimensional linear subspace L such that IIp(y) - Y II < E: for
each Y E S(X), and for each x E X, let Tx = Conv p(Sx). Then:
(a) Conv T(X) and each Tx are compact and convex,

(b) T : X -+ 2E is a finite-dimensional IK-map,
(c) Tx c B(Sx,e) for each x E X,
(d) if S(X) is contained in a convex C, then a T satisfying (a)-(c)
can be chosen such that ConvT(X) c C.
PROOF. (a) Because each p(Sx) c L is compact, its convex closure Tx is
compact and convex. For the same reason, the compactness of S(X) implies
that of ConvT(X).
(b) Clearly, only the fact that T is u.s.c. requires proof. For this purpose,
choose any x E X and let WeE be open with Tx c W; since Tx is
compact, there is a 6 > 0 such that B(Tx,6) c W, and in particular,
p(Sx) C B(Tx,6/2). Being the composition of two point-compact u.s.c.
set-functions, x f--+ p( Sx) is also point-compact and u.s.c., so there is a
neighborhood V = V(x) with p(Sy) c B(Tx,6/2) for all Y E V. Since
B(Tx, 6/2) is convex, we find
T(y) = Conv p(Sy) C B(Tx, 6) c W
for all y E V, so T(V) c W, and because x is arbitrary, T is U.S.c.
(c) We show that for each given z E Tx there is ayE Sx such that
z E B(y,e). We have z = 2::7=1 AiWi for suitable Wi E p(Sx) and real
o ~ Ai ~ 1 with 2::7=1 Ai = 1. For each i choose a Yi E Sx so that P(Yi) = Wi;
then Y = 2::7=1 AiYi E Sx, because Sx is convex, and
liz - tAiYil1 = II tAi(Wi - Yi)11 = II tAi[P(Yi) - Yilll < (2: Ai )e = e.

i=1 i=1 i=1
(d) We take the Schauder projection to be into the linear space spanned
by the centers of finitely many e-balls {B(Ci,e) I Ci E S(X), i = 1, ... ,n}
covering the compact S(X). D
The second approximation result is the general
(8.3) LEMMA. Let X be a metric space, E a normed linear space, and
S : X -+ 2E a IK-map. Then for each e > 0 there is a continuous map
'Pc: : X -+ conv S(X) with the property: for each x E X there is an
x E B(x, e) such that d( 'Pc:(x), Sx) < e.
PROOF. Fix e > 0 and for each x E X let
U(x) = {y E X I Sy c B(Sx, e)},
which is open because S is u.s.c. Consider now the open cover {U(x) n
B(x, e) I x E X} of X; choose a barycentric neighborhood-finite refinement
n
{Va} (i.e., if Vai i= 0, then UVai C some U(x) n B(x, e)), and let {xa}
be a partition of unity subordinate to the cover {Va}. For each 0:, choose a
za E S(Va) and define 'Pc; : X ----* conv S(X) by
'Pc;(x) = L xa(x)za.
Clearly, 'Pc; is continuous; we now verify that it has the required property.
Let x E X be given, and let Val'" . ,Van be all the sets Va containing x;
{Va} being a barycentric refinement, there is some U(x) n B(x, c) such that
n
x E U Vai C U(X) n B(x,e).
i=l
In particular, x E B(x, c) and U~l Vai C U(X) = {y I Sy c B(Sx, e)};

since each zai E S(VaJ C B(Sx, c) and B(Sx, c) is convex, we find that
'Pc;(x) E B(Sx, e). Thus, d('Pc;(x),Sx) < e and x E B(x,e), so the proof is
complete. 0
We can now establish a version of the Schauder theorem for compact
Kakutani maps.
(8.4) THEOREM. Let C be a convex (not necessarily closed) subset of a
normed linear space, and let S : C ----* 2c be a compact lK-map. Then
S has a fixed point.
PROOF. We first show that given any e > 0, there are 2 E C and E S2 z
such that 112 - zll < 4e.
By (8.2) there is a u.s.c. map T : C ----* 2c such that Conv T(X) C C and
each Tx is compact, convex, and nonempty, with Tx C B(Sx,e) for each
x E X. For this T and the given e > 0, choose a'P : C ----* ConvT(X) C C
satisfying the conditions of (8.3) . Because ConvT(X) is compact, 'P is a
compact map, so by the Schauder theorem, there is a fixed point 'P(c) = c.
According to (8.3), there is a 2E B(c,e) with d(c,T2) < e; choosing now
a iiJ E TC with d(c, iiJ) < 2e and then a z E S2 with d(iiJ, z) < e, we have
d(2, z) < 4e, which establishes our assertion.
Thus, for each n = 1,2, ... there are Cn E C and Zn E SCn with
d(c n , zn) < lin. Since the Zn belong to the compact S(C) C C, there is
a subsequence converging to some Co E C; the corresponding Cn therefore
also converge to Co; because S is u.s.c. , this implies Co E SCo, and the proof
is complete. 0
Let C be a convex set in a normed linear space and (X, A) a closed pair
in C. Denote by Jt"(X , 2C ) the set of compact Kakutani maps S : X ----* 2c ,
and let Jt"A(X, 2C ) c Jt"(X, 2C ) be those that are fixed point free on A. By
a homotopy between S, T E Jt"A(X, 2C ) is meant an H E Jt"AXI(X x I,2 C )
with H(x,O) = Sx and H(x, 1) = Tx for each x E X. The central lemma
(6.4.6) is valid with Je'A(X, 2C ) replacing Je'A(X, C) throughout . The proof,

which is a repetition of that given, is left to the reader; it utilizes the facts
that the composition of point-compact u.s.c. maps, as well as the sum x t-7
Sx + Tx and the intersection x t-7 Sx n Tx of two such maps are also
point-compact and u.s .c. Thus, the transversality theorem (6.4.7) holds also
for maps Je'A(X, 2C ), and as before, with the aid of (8.4) leads to the Leray-
Schauder principle for compact Kakutani maps and then to
(8.5) THEOREM (Nonlinear alternative). Let C be a convex set in a normed
linear space, and let U c C be open with 0 E U . Then each S E
Jf;8u(U,2 C ) has at least one of the following two properties:
(a) S has a fixed point,
(b) there exist x E aU and.\ E (0,1) such that x E .\Sx . 0
As in the single-valued case, many fixed point results for compact Kaku-
tani maps follow from (8.5) by imposing conditions that prevent occurrence
of the second property.
b. Kakutani maps in locally convex spaces

We illustrate another technique for dealing with Kakutani maps by estab-
lishing a version of the Tychonoff theorem in arbitrary locally convex spaces:
(8.6) THEOREM. Let C be a compact convex subset of a locally convex
space E, and let S : C ---+ 2c be a IK-map. Then S has a fixed point.
PROOF. Let {Va I a E d} be a base of closed convex symmetric neighbor-
hoods of 0 for E, and for each a E dIet Fixa S = {x E C I x E Va + S x}.
We first show that each Fixa S is closed in C: indeed, the set
is a closed neighborhood of the diagonal in C x C, the graph G s of S is

closed in C x C because S is u.s.c., and Fixa S, being the projection of the
compact set .d a n G s into C, is therefore closed in C .
We next show that each Fixa S is nonempty. Let {Xl, ... , xd be a finite
set such that U7=1 Xi + Va covers C, let K = Conv{xl,"" xd , and define
SK : K ---+ 2K by x t-7 (Sx + Va) n K. Each SK(X) is convex, because
Va is convex; and it is nonempty because Va is a symmetric neighborhood
of 0, so from Sx c C c K + Va we find Sx n (K + Va) -=I 0 and therefore
(Sx+ Va)nK -=I 0. Thus, Theorem (8.4) applies to give an x E (Sx+ Va)nK,
and therefore Fixa S -=I 0.
Since Fixa S c Fix,8 S whenever Va C V,8, the family {Fixa S I a E d}
of nonempty compact sets has the finite intersection property, and therefore
there is a point Xo E na
Fixa S. For this Xo we must have Xo = SXo:
otherwise, Xo would not belong to SXo + Va for an appropriate Va . This

completes the proof. 0
c. Coincidences in spaces with sufficiently many linear functionals

To illustrate still another technique for dealing with Kakutani maps we now
derive a coincidence theorem for inward and outward maps in the sense of
Fan in spaces with sufficiently many linear functionals.
We begin with the terminology. Let E be a linear topological space with
sufficiently many linear functionals . We recall that an open half-space in E
is a set of the form H = {x EEl <p( x) < t} for some nontrivial t}.
Let X c E. We say that a map A : X ---- 2E is inward (respectively
outward) in the sense of Fan if for any x E X and any <p E E* satisfying
<p( x) ::; <p(y) for all y E X there is a point u E Ax such that <p( u) 2': <p( x)
(respectively <p(u) ::; <p(x)).
(8.7) THEOREM. Let X be a nonempty compact convex subset of E and
A, B : X ---- 2E be two lK-maps . If A is inward and B is outward in the
sense of Fan, then for some (xo, Yo) E X x E we have Yo E AxonBxo·
PROOF. Suppose that the assertion of the theorem is false, i.e., Ax n Bx = (/)
for each x EX. Since E has sufficiently many linear functionals, the convex
compact sets Ax and Bx can be strictly separated by a closed hyperplane.
Precisely, for each x EX , we can find <Px E E* and a number tx E R such
that
Ax c {u EEl <Px(u) < t x },
Bx c {v EEl <Px(v) > tx}.
Since A, Bare u.s.c. on X, there is a neighborhood N x of x in X such that
{ Ay c {u EEl <Px(u) < t x } for y E N x ,

By C {v EEl <Px(v) > t x } for y E N x .
For each <p E E* we let
P(<p) = {y E X I <p(u) < <p(v) for all u E Ay and v E By}
and denote by Q(<p) the interior of P(<p) relative to X. From (*) it follows
that N x C P(<px) and therefore x E Q(<px). This implies that the family
{Q(<px) I x E X} of open sets covers X, and by the compactness of X we
get a finite set {<PX!" .. , <Px n } C E* such that
n
X = UQ(<PxJ.
i=l
Let {Adf=l be a partition of unity on X subordinate to this covering; letting

'Pi = 'PXi for i E [n], we define 7jJ : X -r E* by
n
7jJ(y) = L Ai (Y)'Pi for Y E X.
i=l
If Ai(Y) =I- 0, then Y E Q('Pi) c P('Pi), so we have
'Pi(U) < 'Pi(V) for all U E Ay and v E By.
Consequently, for each y E X we have
[7jJ(y)]U < [7jJ(y)]v for all U E Ay and v E By.
We now apply Theorem (1.5) for A =
given by
° to the function f : X x X -r R
n
f(x, y) = [7jJ(y)](y - x) = L Ai(Y)'Pi(Y - x), (x, y) E X x X;
i=l
clearly, f is continuous, and x ~ f(x, y) is quasi-concave on X for each
y E X. Since for no Xo E X could we have f(xo, xo) > 0, by (1.5) we get a
point Yo E X such that
f(x, Yo) = [7jJ(yo)](Yo - x) sO for all x E X.
Consequently, if we let I = 7jJ(yo), we have l(yo) = min{l(x) I x E X}; i.e.,
{x E E II (yo) = I (x)} is a supporting hyperplane of X at Yo. Because A is
inward and B is outward by hypothesis, there are Uo E Ayo and Vo E Byo
such that
which contradicts (**). The proof is complete. D

Theorem (8.7) can be specialized by taking the identity map on X as A
or B. This yields the following fixed point theorem for inward (or outward)
lK-maps.
(8.8) THEOREM. Let X be a nonempty compact convex subset of E, and
let A : X -r 2E be a lK-map that is inward (or outward) in the sense
of Fan. Then A has a fixed point. D
9. Theorem of Ryll-Nardzewski
If § is any family of maps of a space X into itself, by a fixed point for §
is meant a point Xo E X such that T(xo) = Xo for each T E §. Our aim
in this section is to prove the theorem of Ryll-Nardzewski on fixed points of
families of affine self-maps of convex sets, which has numerous consequences
and applications. The proof will be based entirely on functional analysis

and is independent of the previous material in this book; it is given here to
indicate the use of some different techniques in fixed point theory. Although
the Markoff- Kakutani theorem (3.3.2) and the Kakutani theorem (3.4.3) are
also concerned with fixed points for families of affine maps, they were treated
separately because their direct proof does not require the more sophisticated
background in functional analysis needed for the Ryll-Nardzewski theorem.
To formulate the theorem, we need the general
(9.1) DEFINITION. Let §" be a family of self-maps of a set X in some linear
topological space. The family §" is called noncontracting on X if for
any distinct points x, y of X, zero does not belong to the closure of
the set {Tx - Ty I T E §"}. The family §" is called distal on X if for
any distinct x, y in X, there is an open covering {Va I 0: E d} of X
such that T(y) rt U{Va I Tx E Va} for each T E §".
We will need the following
(9.2) LEMMA. Let §" be a family of self-maps of a compact set X in a
locally convex space E. The following conditions are equivalent:
(1) §" is distal on X,
(2) for each net {T,a E §" I f3 E @} and any pair x, y of distinct
points of X, if T,ax ----> u and T,ay ----> v, then u i v,
(3) §" is noncontracting on X.
PROOF. (1)::::}(2). Suppose u = v. In any cover of X, the set containing u
must contain almost all T,ax , T,ay, so that §" cannot be distal on X.
(2)::::}(3). Assurne that 0 belongs to the closure of {Tx - Ty I T E §"}.
We can then construct a net {T,a I f3 E @} with T,ax - T,ay ----> O. By the
compactness of X, we can assume that T,ax ----> u and T,ay ----> V; then u = V,
contradicting (2).
(3)::::} (1). If x, yare distinct points of X, then by (3) there is an open
(in E) nbd W of 0 that contains no Tx - Ty, T E §". Choose a nbd U of 0
with U - U C W; then {Xn (U +p) I p E X} is an open cover of X, and for
no T E §" do Tx and Ty belong to a common U + p: if {Tx, Ty} c U + p,
then Tx - Ty = (Tx - p) - (Ty - p) c U - U c W, which is impossible.D
If §" is a family of self-maps of X, a subset A C X is called §" -invariant
if T(A) c A for all T E §"; a closed nonempty A C X that is §"-invariant
and has no proper closed §"-invariant subset is called a minimal closed
§" -invariant subset. The proof of the following result relies on an extended
version of the Krein- Milman theorem in locally convex spaces: if the convex
closure Conv A of a set A is compact, then Conv A has extreme points, and
if A itself is also compact, then those extreme points belong to A.
(9.3) THEOREM. Let C be a nonempty compact convex set in a locally

convex space E, and let § be a semigroup of continuous affine maps
of C into itself. If § is distal on each minimal closed § -invariant
set, then § has a fixed point.
PROOF. Let X be the collection of all nonempty compact convex subsets

that are §-invariant; since C c X, this family is not empty. Partially order
X by inclusion; since each descending chain {Ka,} has the lower bound
nKa, the Kuratowski- Zorn lemma gives a minimal Co C C in X.
Now let Xo be the family of all nonempty compact subsets of Co that
are §-invariant; again by the Kuratowski-Zorn lemma there is a closed
minimal §-invariant X C Co. We are going to prove that X consists of a
single point.
Assume x "# Y were two distinct points in X. Because (x+y)/2 E Co and
Co is §-invariant, we have A = {T((x + y)/2) IT E §} c Co, so A c Co
is compact . Moreover, A is §-invariant, and because each T is affine, the
convex closure Conv A C Co is also §-invariant, so by the minimal property
of Co we have Conv A = Co. Now let z be an extreme point of Co; because
A is compact, the extended Krein-Milman theorem shows that z E A, so
there is a net T a ((x+y)/2) ---7 z. Since TaX and TaY belong to the compact
set X, we may assume that TaX ---7 U E X and TaY ---7 V E X, so that
= lim ~[Tax + TaY] = (u + v)/2,

z
and because z is an extreme point, u = v = z. This means that for each
open covering {Va} of X, any set Vao that contains u will contain almost
all the TaX, Tay , and consequently, § is not distal on the closed minimal
§-invariant set X. The assumption that X has more than one point has
led to a contradiction with our hypothesis. Thus, X must consist of a single
point xo, and since Xo is §-invariant, we have T(xo) = Xo for all T E §, so
it is a fixed point for §. This completes the proof. 0
As a first consequence, we obtain

(9.4) THEOREM (F. Hahn). Let C be a compact convex subset of a locally
convex space E, and let § be a semigroup of continuous affine self-
maps of c. If § is distal on C, then § has a fixed point.
PROOF. It is clear that a family § distal on C is distal on any §-invariant

subset, so this follows immediately from (9.3). 0
We use this result to extend Kakutani's theorem (3.4.3) to locally convex
spaces. Recall that if C is a subset of a linear topological space, and § a
°
family of self-maps of C, then § is equicontinuous on C if for each neighbor-
hood W of 0, there is a neighborhood V of such that whenever X - Y E V,
then Tx - Ty E W for all T E §. The members of an equicontinuous family

are, clearly, necessarily continuous.
(9.5) THEOREM (Kakutani). Let C be a compact convex subset of a locally
convex space , and let § be a group of affine transformations of C into
itself. If § is equicontinuous on C , then § has a fixed point.
PROOF. This will follow from (9.4) once we show that § is distal on C . In
what follows U, V, W denote open neighborhoods of the origin.
Assume § were not distal on C; then there must be a pair x , y of
distinct points in C with the property: for each neighborhood U there is a
Tu E § such that Tu(x) and Tu(y) belong to a common set of the open
cover {U + c ICE C} of C. Choose now a nbd W so that x tf- y + W; then
for each V there is a U with U - U C V , and we have Tux - TuY E V , yet
for the function Tu l E § we have
Tul(Tux) - Tul(Tuy) = x - y tf- W.
Thus, § cannot be equicontinuous on C. The equicontinuous family § is
therefore distal on C, and by (9.4) , the proof is complete. 0
The Ryll-Nardzewski theorem is a generalization of (9.4) that involves
an interplay between the given natural topology of a locally convex space
(which we will call the strong topology, for emphasis) and its weak topology;
it will be obtained as a consequence of Theorem (9.4). The main fact needed
for the proof is the Mazur theorem in locally convex spaces: A convex set
is weakly closed if and only if it is strongly closed; in particular, a strongly
closed convex subset of a weakly compact space is weakly compact.
(9.6) THEOREM (Ryll-Nardzewski). Let C be a nonempty weakly compact
convex set in a locally convex space E, and let § be a semigroup of
weakly continuous affine self-maps of C . If § is strongly noncon-
tracting on C , then § has a fixed point.
PROOF. We must show that n{Fix(T) I T E §} i= 0, and we begin by
reducing the problem. Noting that each set Fix(T) is weakly closed, therefore
weakly compact , it is enough to show that each finite intersection of the sets
Fix(T) is nonempty.
Let then T I , . . . , Tn be finitely many members of § , and let Y be the
subsemigroup generated by T I , ... , Tn; clearly, Y is countable, and it suffices
to show that Y has a fixed point.
We reduce the problem further. Pick any Co E C and consider the convex
closure Q = Conv{T(co) I T E Y}; because Y is countable, Q is strongly
separable. Moreover, because each T is affine, Q is Y-invariant, and be-
cause Q is a closed convex subset of C , it is weakly closed, therefore weakly
compact. Thus, replacing C by Q and § by Y, it is enough to prove the
theorem with the additional hypothesis that C is strongly separable. We

now begin the proof.
We work in the locally convex space E with the weak topology, and the
result will follow from (9.3) if we can show that g; is weakly distal on each
given weakly closed minimal g;-invariant set X C c.
Let then X be such a set , and let x :f y be two elements of X. Because
g; is strongly noncontracting, there exists a strongly open nbd V of 0 that
contains no element of {Tx - Ty I T E g;} . Choose a convex nbd W of 0
so that W - W c V. Then W is a strongly closed convex body; and since
C =:J X is strongly separable, a countable number of translates Wi == W +Xi ,
i EN, Xi EX, cover X. Since each Wi is strongly closed and convex, it is
also weakly closed. So {X n Wi liE N} is a countable weakly closed cover
of the weakly compact set X. By Baire's theorem, at least one of these sets
contains a weakly open set U, say U C X n (W + xo) .
We show that the family {T-l(U) IT E g;} of weakly open sets satisfies
the requirement of Definition (9.1) for the points x :f y. First, these sets must
cover X: otherwise, X - U{T-l(U) I T E g;} would be a weakly compact
g;-invariant proper subset of X, contradicting the minimality of X. Next,
for no S E g; do Sx and Sy belong to a common set T - l(U): otherwise,
TSx and TSy would belong to U c X n (W + xo) , so that TSx - TSy =
(TSx - xo) - (TSy - xo) E W - W c V , and since TS E g; and g; is
strongly noncontracting, this would contradict the choice of V.
Thus, the requirements of (9.1) are satisfied in the weak topology of X,
and since x , yare arbitrary, this shows g; is weakly distal on X. Thus, by
(9.3) (applied to E with the weak topology) , the family g; has a fixed point
on X , and as we have observed, this is enough to complete the proof. 0
A . Fixed points and coincidences for set-valued maps
In subsections A , B , and C set-valued transformations (called simply maps) are denoted

by capital letters; small letters stand for ordinary (i.e. , single-valued) functions. Unless
otherwise stated , we write "compact convex set" instead of "nonempty compact convex
subset of a linear topological space" .
Let Y be a class of maps. We let Y(X , Y) = {T : X -> 2Y I T E Y}, Y* = {T I
T- E Y} , Y c = {T =
1 no ... 0 Tl I Ti E Y for all i E [k] and some kEN} and
g;.9' = {X I Fix(T) #- 0 for all T E Y(X , X)} . Y* is called the dual class to Y ; clearly,
(Y*)* = Y .
(A .I) A class &l of maps between topological spaces is called regular if:
(i) maps in &l have nonempty values ,
(ii) if s : X -> Y is continuous and T E &leY, Z), then To s E &leX, Z),
(iii) if Sand T are in &l, then so is their Cartesian product S x T .
Let:Jf be a regular class of maps. Show: If X x Y E §f/i and S E :Jf(X, V), T E :Jf*(X, V),
then Sand T have a coincidence.
(A.2) (Maps of type lB) If X and Yare spaces, we say that S : X ----> 2Y is a Browder map
or simply a lB-map provided (i) Y is convex and nonempty, (ii) for each compact K c X
there exists a finite set {Yl, ... , Yn} C Y and a continuous selection s : K ----> Y of S (i.e.,
sx E Sx for each x E K) such that s(K) C C == Conv{Yl, ... , Yn}. The class of lB-maps is
denoted by lB. Show: Every IF-map is a lB-map, i.e. , IF C lB (Browder [1968]) .
(A.3) (Geometric results for maps of type lB) Show:
(a) lB is a regular class of maps and lBe = lB.
(b) If Y is a compact convex set and T E lB(Y, Y) or T E lB*(Y, V), then Fix(T) =1= 0.
(c) If X, Yare compact convex sets and S E lB(X, V), T E lB*(X, V), then their
graphs intersect: G s n GT =1= 0.
(A.4) (Intersection theorem for lB-maps) Let {Xi liE I} be an arbitrary family of
compact convex sets. We let Xi = Dj"oi X j . If X = DiE! Xi, then X = Xi X Xi for
each i E I, and every x E X can be written as x = (Xi, xi), where Xi E Xi and xi E Xi.
Given T; : Xi - t 2 Xi , its graph GTi is a subset of X. Show: If for each i E I we are given
n
Ti E lB(Xi, Xd, then iE ! GTi =1= 0.
[For each i E I choose, for an appropriate compact convex C i C Xi, a continuous
selection ti : Xi - t Ci of Ti; consider the map of DiE! Ci into itself given by x 1-+ {ti (xi)}
and use the Tychonoff fixed point theorem.]
(A.5) (Maps of type Cf» Let X, Y be nonempty subsets of linear topological spaces and
assume that Y is convex. We say that S : X - t 2 Y is a Cf>-map (written S E Cf>(X, V))
provided the values of S are convex and S admits a selection S : X - t 2 Y with nonempty
values and open fibers. Show:
(a) IF C Cf> c lB.
(b) If S E Cf>(X, Y) and X is paracompact, then S admits a continuous selection
s:X-tY.
(A.6) Let X be a nonempty convex subset of a linear topological space and S E IF(X,X).
Assume there exists a compact K C X and a compact convex C C X such that SxnC =1= 0
for each x E X - K. Show: Fix(S) =1= 0.
(The results (A.3)-(A.6) are due to Ben-El-Mechaiekh et al. [1982]' [1987].)
(A .7) Let X be a compact convex set , and let j, g : X x X ----> R satisfy:
(i) g(x ,y) ~ f(x,y) for all (x,y) E X x X,
(ii) x 1-+ f(x, y) is quasi-concave on X for each Y E X,
(iii) y 1-+ g(x,y) is l.s.c. on X for each x E X.
Show:
(A) Given any A E R , either (a) there is a YO E X such that g(x, YO) ~ A for all x E X ,
or (b) there is awE X such that f(w ,w ) > >..
(B) The following minimax inequality holds:
inf sup g(x,y) ~ sup f(x,x).
yEX xEX xEX
[Use the fixed point theorem for Cf>-maps.]

(A.8) Let X, Y be compact convex sets , and let f, s, t, g : X x Y ----> R satisfy:
(i) j(x, y) ~ sex, y) ~ t(x, y) ~ g(x, y) for all (x, y) E X x Y,
(ii) y 1-+ f(x, y) is l.s.c. on Y for each x E X,
(iii) x 1-+ sex, y) is quasi-concave on X for each y E Y,

(iv) y 1-+ t(x , y) is quasi-convex on Y for each x E X,
(v) X 1-+ g(x, y) is u.s.c. on X for each y E Y .
Show:
(A) Given any oX E R, either (a) there is a Yo E Y such that f(x, Yo) :::; oX for all
x E X, or (b) there is an Xo E X such that g(XO,Y) > oX for all y E Y .
(B) The following minimax inequality holds:
inf sup f(x, y) :::; sup inf g(x, y) .
yEY xEX xEX yEY
[Use the coincidence theorem for cp-maps and cpo -maps.]
(For (A.7) d. Yen [1981]; for (A.8) see Ben-El-Mechaiekh et al. [1982] .)
(A.9) (Fan matching theorem) Let X be a nonempty convex subset of a linear topological
space and 0 =I- Y eX . Assume T : Y -+ 2X is a surjective map with open values such
that:
(a) for some 0 =I- Yo c Y, the complement X -U{Ty lyE Yo} is compact (or empty),
(b) Yo is contained in a compact convex subset of X.
Show: There exists a finite set {Xl,· .. , xd c X such that conv{ Xl, .. . ,xd n U7~1 TXi
=I- 0 (Fan [1984]).
(A.lO) (Schauder- Tychonoff theorem for lE"-maps and CP-maps) Let X, Y be non empty
convex sets in linear topological spaces. A map S : X -+ 2Y is compact if SeX) c K for
some compact KeY. Show: If X is a convex subset of a locally convex linear space and
S: X -+ 2 X is a compact lE"-map (or more generally a cp-map) , then Fix(S) =I- 0.
[First prove that if K is a compact subset of a linear topological space, then its convex
hull conv K is paracompact. Then use (A .5)(b) and the Schauder- Tychonoff theorem.]
(A.ll) (Nonlinear alternative for lE"-maps and ~-map~ Let U be an open subset of a
locally convex space E with 0 E U, and S : U -+ 2 be a compact lE"-map (or more
generally, a compact cp-map). Show: either (i) Fix(S) =I- 0, or (ii) there are x E au and
oX E (0,1) such that x E oXSx.
[Prove that the linear span L(K) of a compact set K in a linear topological space is
paracompact and use the nonlinear alternative for single-valued compact maps (6.9.E .8) .]
B . Selecting families and the generalized Nash theorem

In this subsection we deal with families {TdiEI of set-valued maps Ti : X -+ 2Yi , where
X is a subset of a linear topological space and {Yi}iEI is a family of convex sets. By a
selecting family for {TdiEI is meant a family {SdiEI of continuous maps Si : X -+ Yi
such that for each x E X there exists an i E I with Si(X) E Ti(X) .
(B.1) A family {TdiEl is called a Fan family (or simply an lE"-family) provided:
(i) all maps Ti have convex values and open fibers,
(ii) for each x E X, Ti(X) =I- 0 for some i E I .
Prove: If X is paracompact, then any lE"-family {Ti : X -+ 2Yi hEI admits a selecting
family {Si : X -+ Yi hEI·
[Choose a family {AdiEI of closed subsets of X such that Ai c {x E X I Ti(X) =I- 0}
for i E I and UiEI Ai = X (cf. Engelking's book [1989], p. 301). Then define Si = X -+
2Yi by Si(X) = Ti(X) for x E Ai and Si(X) = Yi otherwise; observing that every Si
has nonempty convex values and open fibers, apply the Michael theorem (see Appendix,
(B.14» to get a selection Si of Si . Prove that {sihEl is the desired selecting family.]
(B.2) Let X = DiEI Xi, where each Xi is compact convex, and assume {Ti : X --; 2Xi}
is an IF-family. Show: There exists an index i E I and a point x E X such that Xi E Ti(X) .
[Establish first the assertion for I finite . Then (using compactness of X) find a finite
set J c I such that for each j E J there exists a finite subset {X], xJ, ... ,x7
j } c Xj with
X = UjEJ U~~l Tj-1(xJ); conclude by reducing the case of arbitrary I to that in which
I is finite.]
(B.3) Let X and {XdiEI be as in (B.2) and assume {Ii : X x Xi --; RhEI is a family of
real-valued functions satisfying:
(i) Yi f-> fi (x, Yi) is quasi-concave on Xi for each x E X and i E I,
(ii) x f-> Ii(x, Yi) is l.s.c. on X for each Yi E Xi and i E I.
x
Show: There exists a point E X such that for each i E I,
sup fi(X,Yi)::; sup fi(X , xiJ·

YiEX i xEX
(B.4) (Generalized Nash theorem) Let {XdiEI be a family of compact convex sets and
{gdiEI be a family of continuous real-valued functions on X = DiE I Xi such that Yj f->
gj (Yj, xj) is quasi-concave on Xj for each x j E xj. Show: There exists a point E X x
j
such that for each j E I we have gj(x) = maxYjEX j gj(Yj , X ).
[Define {Ii : X X Xi --; R}iEI by f;(x,Yi) = 9i(Yi,X i ) - gi(X) for x E X, Yi E Xi ,
i E I, and by observing that (i), (ii) of (B.3) are satisfied, apply (B.3) to the family Ud.]
(The results (B.1)-(B.3) and the proof of (B.4) are due to Deguire-Lassonde [1995].)
C. Applications to economics and game theory
(C.1) (Maximal elements of binary relations) If X is a set and S : X --; 2x, we let --<8
be the binary relation on X given by x --<8 Y ¢} Y E Sx (cf. (3.5.A.3».
Let C be compact convex, and let S, T : C --; 2c satisfy:
(i) S has open fibers,
(ii) Sx c Tx for each x E C,
(iii) Y tf. conv(Ty) for Y E C.
Show: There exists a maximal element in (C, --<8).
[Use (1.1.3), (5.8.2), and prove that Sxo = 0 for some Xo E C.]
(C.2) Let X, Y be nonempty convex sets in linear topological spaces, one of them being
compact. Show: If S E IF(X, Y) and T E IF' (X, Y), then there is an xo E X such that
Sxo nTxo -# 0.
(C.3) Let X, Y be nonempty convex sets in linear topological spaces and assume that
either X or Y is compact. Let f : X x Y --+ R satisfy:
(i) Y f-> f(x, y) is quasi-convex and l.s.c. on Y for each x EX,
(ii) x f-> f(x, y) is quasi-concave and u.s.c. on X for each Y E Y.
Prove: sUPx infy f(x, y) = infy sUPx f(x, y).
(C.4) Let {XdiEI be a family of compact convex sets and UdiEI a family of real-valued
functions on X = DiEI Xi satisfying:
(i) x j f-> fj(xj , x j ) is l.s.c. on xj for each Xj E Xj,
(ii) Xj f-> fj(xj,x j ) is quasi-concave on Xj for each x j E xj,
(iii) for each j E I and x j E xj, there is a Yj E Xj such that fj (Yj, x j ) > o.
Show:
(a) There exists x E X such that fj(x) > 0 for each j E I (see Fan's survey [1973]).
(b) Using (a) deduce the generalized Nash theorem (B.4) (Ma [1969]).
. X· .
[(a): For each j E I define Sj : XJ -> 2 j by Sj(x J ) = {Yj E Xj I fj(Yj,x J ) > O}. Prove
that Sj E JF'(xj, Xj) and apply the intersection theorem (A.4) for JF'-maps.]
(C .5)* (Coincidences for lK-maps and JF'*-maps) Let X, Y be nonempty convex sets in
linear topological spaces with sufficiently many linear functionals and assume that Y is
compact and S E lK(X, V). Let T : X -> 2 Y be a set-valued map. Prove:
(a) If T E JF'*(X, V), then Gs n GT i= 0.
(b) If X is compact and T has open values and nonempty convex fibers T-1(y) for
Y E T(X), then Gs n GT i= Y.
(C.6) (Coincidences for lK-maps and lK* -maps) Let X and Y be nonempty compact
convex sets in linear topological spaces with sufficiently many linear functionals. Let
S E lK(X, Y) and T E lK*(X, V). Show: Gs n GT i= 0.
[Prove that lK is a regular class of maps; then apply (A.3).]
(C .7) (Generalized Walras excess demand theorem) Let X, Y be nonempty convex sets
in linear topological spaces with sufficiently many linear functionals and assume that Y
is compact. Let S E lK(X, Y) and let f : X x Y -> R satisfy:
(i) Y ....... f(x,y) is u.s.c. on Y for each x E X ,
(ii) x ....... f(x, y) is quasi-convex on X for each y E Y .
(iii) fiGs 2: o.
Prove:
(A) There exists a fj E Y such that f(x , fj) 2: 0 for all x E X.
(B) If X is compact, then there exists a Yo E SeX) such that f(x, Yo) 2: 0 for all
xE X.
[For (A) , define T : X -> 2 Y by Tx = {y E Y I f(x , y) < O}, show that T E JF* (X, V),
and apply (C .5)(a) to get a contradiction. For (B), use (C.5)(b).]
(C.S) Let X, Y be nonempty convex sets in linear topological spaces and assume that Y
is compact. Let T E lK(Y, X), and let f : X x Y -> R satisfy either (1) or (II) below:
(1) { Y ....... f(x,y) is l.s.c. and quasi-convex on Y for each x E X ,

x ....... f(x, y) is u.s.c. and quasi-concave on X for each y E Y,
(II) { y ....... f(x , y) is convex on Y for each x EX,

x ....... f(x,y) is concave and u.s.c. on X for each y E Y.
Prove: If for each y E Y,
(a) max f(x, y) 2: 0,

xETy
then for some (xo , Yo) E G T we have
({3) min f(xo, y) 2: O.

yEY
[Assume that property (1) holds; to show (a):::;. ({3) , define R by <p(y, z) =
maxxETy f(x, z) and note that <p(y, y) 2: 0 for all y E Y , z ....... <p(y, z) is quasi-convex on
Y for each y E Y, and y ....... <p(y, z) is u.s.c. on Y for each z E Y . By the dual form of
(1.5), get a point Yo E Y with <p(yO , z) = maxxETyo f(x, z) 2: 0 for all z E Y. Next apply
the von Neumann- Sion theorem (1.4) to the function = flTyo x Y : Tyo x Y 7 ---t R to
establish
max min f(x , z) = min max f(x , z) 2: O.
xETyo zEY zEY xETyo
Conclude by getting Xo E Tyo with minzEY f(xo,z) 2: O. The proof under assumption
(II) is analogous; to justify the implication (n)=;..{iJ) , use the dual form of the Fan- Kneser
theorem instead of (1.4).]
(C.9)* (Generalized Gale- Debreu theorem) Let E be a normed linear space, E* its dual
space, and C·) the pairing between E* and E . Given ACE, we let
A+ = {y E E* I (y,a) 2: 0 for all a E A}.

Assume that X is a nonempty compact convex subset of E and let T E JK(X, E*) be such
that maxyETx (y , x) 2: 0 for each x EX . Show: For some EX, we have x
n X+ =1= 0. Tx
[Apply (C.7)(B) with S(x) = {y E E* I (y , x) 2: O} n Tx, Y = Conv S(X) C E* , and
f(x, y) = (y, x) for (x , y) E X x Y.]
(In connection with (C.5) - (C.9) , see Granas- Liu [1986] .)
D. Topological transversality and ordinary differential equations
The results of this subsection illustrate the scope of the topological existence principles
developed in Chapter II. In each instance the proof of existence is based on finding a priori
estimates for solutions to a suitable family of related problems.
Classical problems with invertible left-hand side
(D.l) (Cauchy problem) Let f : [0, T] x R --> R be continuous and satisfy If(t , y)1 :::; 'If(lyl)
for all t and y, where 'If : [0, (0) --> (0, 00) is continuous. Set
roo du
io 'If(u) = Too.
Show: If T < Too, then the problem
(9") y' = f(t , y), y(O) = 0,

has a solution defined on [0, T].
[To establish an a priori bound for solutions y to
y' = )..f(t , y) , y(O) = 0,
where 0 :::; ).. :::; 1, defined on [0, T] with T < Too , note that
,
Iyl' = YI~r :::; IY'I
on the set where y =1= O. Supposing that y is a solution of (Y\) satisfying ly(t)1 2: Irl ,
determine a E [0, T] such that Iyl > Irion (a, t] and ly(a)1 = Irl· Then, using Iyl' :::; IY'I :::;
'If(lyl) on (a, t], get the inequality
roo du {t ly(s)I' ( ly(t)1 du

Jo 'If(u) = Too > T 2: t - a 2: ia 'If(ly(s)l) ds = Jo 'If (u)'
and derive the existence of a constant M such that ly(t)1 < M.]
(D.2) (Dirichlet problem) Assume that a continuous f : [0, 1J x R x R --; R has a decom-
position f = 9 + h such that :
(a) yg(t , y,p) ::::: 0 for all (t, y,p) E [O,lJ x R x R,
(b) Ig(t , y, p)1 ::;; C(t , y)lpI2 + D(t,y) with C and D bounded on bounded sets,
(c) Ih(t,y,p)1 ::;; M(lyla + Ipl.6 ) for some 0::;; Ci,(3 < 1 and M > O.
Show: The Dirichlet problem
y" = f(t, y, y'), yeO) = y(l) = 0,

has a solution.
[We seek a priori bounds in C 1[0, 1J on solutions y to
y" = ,x,[g(t, y , y') + h(t,y,y')J, yeO) = y(1) = 0,

where 0 ::;; ,x, ::;; 1. First multiplying both sides of (~A) by y and integrating from 0 to 1,
use (a) and (b) to get the estimate
'2
Ily II
r 1 ,1 1 2 r 1 1 r
::;; Jo lyl'lh(t,y,y )ldt::;;"2 Jo Iyl dt+"2 Jo Ih(t , y , y)1 dt.
, 2
Next, using (c) and the Holder inequality establish the estimate
Now using Wirtinger's inequality, 1T' 2 11y112 ::;; lIy'1I2, valid for all continuously differentiable
functions y with yeO) = y(l) = 0, derive the inequality
~ lIy'II2 + (~2 _ D IIyl12 ::;; M 2 (llyl12a + Ily'112.6) ,

and (because Ci and (3 are less than 1) deduce the existence of constants Mo and M1 such
that Ilyll < Mo and Ily'll < M1.J
(For the results (D .1)- (D.2) see Granas- Guenther- Lee [1991J.)
Classical problems with noninvertible left-hand side
(D.3) (Periodic problem, second order) Let f : [O,lJ x R x R --; R be continuous,

f(O,y,p) = f(l , y,p), and assume that there are constants Mo > 0 and M1 such that:
(i) yf(t, y, 0) > 0 for Iyl > Mo ,
(ii) (] = inf{lf(t, y, p)11 (t, y) E [O,lJ x [-Mo, MoJ and Ipi > Md > O.
We seek C 2 solutions to the problem
{ y" = f(t, y , y') ,

y E ~ = {u E C 2 [0, 1J I u(O) = u(l), u'(O) = u'(l)} .
(a) Construct a bounded continuous function r.p : [O, lJ x R x R --; R such that
r.p(t,y,p) = sgnf(t , y,p)

for (t, y) E [O,lJ x [-Mo, MoJ and Ipi ::::: M1·
(b) Let € = (]/(2(Mo + 1)) and consider the family of problems
{ y" - €y = ,x,[J(t,y,y') - €yJ + (1- ,x,)r.p(t, y,y')y'2 ,

YE~,
where 0 :s: >. :s: 1 and .):
IIYllo :s: Mo, lIy'lio :s: Mb = max{l, Ml, Q}.

(c) Show: The problem (9) has a solution (Granas-Guenther-Lee).
[Use the fact that the linear operator L : S8 --t e[O, 1] given by y I-> y" - lOy is bijective
(Hartman [1964]).]
(D.4) (Periodic problem, second order) Consider the problem
{ y" = a(t, y, y')y - (3(t, y, y'), t E [0,1],

Y E S8 = {u E el[O, 1]1 u(O) = u(I), u'(O) = u'(I)},
where a, (3 : [0,1] xRxR --t R are continuous, a(O, y,p) = a(l, y,p), (3(0, y,p) = (3(1, y, p),
and the following conditions are satisfied:
1° a(t,y,p) > 0 for all (t,y,p) E I x R2;
2° 1(3(t,y,p)l/(ya(t,y,O)) < 1 for all t E [0,1] and IYI > Mo, where Mo > 0 is a
constant;
3° 1(3(t,y,p)1 --t 00 and a(t,y,p)/I(3(t,y,p)1 --t 0 as Ipi --t 00 uniformly for (t,y) E
[0,1] x [- Mo, Mo].
Prove:
(a) The problem (9) has a solution (Nirenberg [1960]).
(b) If (3(t, y, 0) 2: 0 for all (t, y) E [0,1] x R, then every solution to (9) is nonnegative.
(D.5) Let a(t,y,p) and b(t,y,p) be continuous functions of (t,y,p) E R x R x R with

period 1 in t such that the following conditions hold on R X R+ X R:
(i) aCt, y, p) > 0, bet, y, 0) 2: 0,
(ii) Ib(t,y,p)1 --> 00 and a(t,y,p)/lb(t,y,p)1 --> 0 as Ipi --t 00 uniformly for (t,y) in a
compact set,
(iii) there is a constant Mo such that
b(t,y, O) :s: 1 for y > Mo and O:S: t:S: 1.

ya(t, y, 0)
Show: The differential equation
y" = aCt, y, y')y - bet, y, y')
has at least one nonnegative periodic solution.
[Define a, (3 : R x R x R --> R by a(t, y, p) = aCt, Iyl,p), (3(t, y, p) = bet, IYI, p); then
consider the differential equation y" = a(t, y, y')y - (3(t, y, y') and apply (D.4)(a), (b).]
(D.6) Let J(t) 2: 0 be continuous with period 1. Show: y" = y2 - y,2 - J(t) has a
nonnegative periodic solution.
[Write y" = (1 + y)y - [y + y,2 + J(t)] and apply (D.5).]
(D.7) Let ak(t) (k = O,I, ... ,n) and bl(t) (l = 1, ... ,m) be continuous with period 1.
Show: The differential equation
n m m
y" = L akl- L bly,l = (anyn-1 + ... + a1 + l)y - (y - ao + L bLY,I)
k=O 1=1 1=1
has a nonnegative periodic solution if ak 2: 0, k = 1, ... , n, an > 0, ao :s: 0, bm oF O.

[Apply (D.5) with a = anyn-1 +an _lyn-2+ .. ·+a1 +1 and (3 = y-ao+ L~l bly,l.]
Caratheodory solutions
In what follows, by an LP -Caratheodory solution of a differential equation y' = f(t , y) on
[0, 1J is meant a function y E W 1 ,p [0,1 J such that y' (t) = f(t , y(t)) for almost all t E [O , lJ.
Let p 2: 1. Recall that a function 9 : [0, 1J x Rk ---> R is an LP-Caratheodory function
if:
(a) Z f-> g(t , z) is continuous for almost all t E [0 , 1],
(b) t f-> g( t , z) is measurable for all z E Rk ,
(c) for each r > a there exists an hr E LP[O, 1J such that Izl ::; r implies Ig(t , z)1 ::;
hr(t) for almost all t E [0, 1J .
(D.S) A function f : [O, lJ x R ---> R is called integrably bounded if for some nonnegative
a E L 1 [0, 1J we have, for all y E R,
If(t, y)1 ::; a(t) t-almost everywhere.
Prove: If f : [0, 1J x R ---> R is an integrably bounded LP-CaratModory function then the
initial value problem
y' = f(t , y) , y(O) = 0,
has an LP-Caratheodory solution on [O , lJ (Schauder [1927bJ).
(D.9) (Cauchy problem) Let f : [O , lJ x R ---> R be an LP-Caratheodory function that
satisfies
yf(t , y) ::; a(t)(lyI2 + 1) for all y E R and almost every t E [0,1]'
where a E Ll [0 , 1J is nonnegative. Show: The initial value problem
(f) y' = f(t , y), y(O) = 0,
has an LP-CaratModory solution on [O , lJ.
[Establish a priori bounds in e[O, 1J for solutions y to
(f>.) y' = Af(t , y), y(O) = 0,
where A E [0, 1J.J
Caratheodory problems with noninvertible left-hand side

(D.1O) (Periodic problem, first order) Let f : [O,lJ x R ---> R be LP-CaratModory, a E
e[O, 1J be nonnegative, and r > O. Assume that:
(a) yf(t , y) ::; a(t)(lyI2 + 1) for almost all t E [0 , 1J and all y E R ,
(b) J~ y(s)f(s , y(s)) ds ::; a for all y E e[O , 1J such that y(O) = y(l) and min{ ly(t)11
tE[O,lj}>r.
Show: The periodic problem
(9) y' = f(t , y) , y(O) = y(l),
has an LP-Caratheodory solution on [O , lJ.
[Find a priori bounds in e[O, 1J for solutions y to
y' + y = A[f(t, y) + y], y(O) = y(l) ,
where A E [0, 1J. To this end, letting y be a solution of (9).) for some A, use (a) to establish
the estimate
where ly(J.L) I = mintE[O,l] ly(t) 1 and ly(v)1 = maxtE[O,l] ly(t) l· Then use (b) to get ly(J.L) I
:::::: r, leading to the a priori bound IIYllo :::::: (r2 + 1)1 / 2 exp(21Ialld .]
(D.ll) (Periodic problem, second order) By an £P-CaratModory solution of a differential
equation y" = f(t , y, y') on [0,1] is meant a function y E W 2,P[0 , 1] such that y" (t) =
f(t , y(t) , y' (t)) for almost all t E [0, 1] .
Let f : R ----> R be continuous and h : [0 , 1] x R ----> R be £P -CaratModory. Assume
° °
that f(O) = and there is a constant M > such that yh(t, y) 2 for all y 2 M and
almost all t E [0,1]. Show: The periodic problem
°
(..P) y" = f(y') + h(t, y) , y(O) = y(I), y' (0) = y' (1) ,
has an £P-CaratModory solution on [0,1] .
[Find a priori bounds in C 1 [0 , 1] for solutions y to
(..P;,) y" - y = .\[J(y') + h(t, y) - y], y(O) = y(I) , y'(O) = y'(I) ,
where .\ E [0,1]. To this end , establish first the estimate IIYllo :::::: M. Next, multiplying
(..P;,) by y" and using periodicity get the estimate
Ily"ll~ :::::: N ( 10 1 y"2 dt ) 1 / 2+ M (101 y"2 dt ) 1/2 = (N + M)lIy"112 '

where N = max{lh(t , y)11 t E [0,1] and y E [-M,M]}; from this derive lIy' llo :::::: N + M.]
(The results (D.9)- (D.1l) are due to Granas- Guenther- Lee [1991].)
Cauchy problem for systems in the complex domain
(D .12) Let BT = B(O , T) be an open ball in e , let f : BT X en ----> en be continuous,

and analytic on BT x en , and assume there is a continuous (0, <Xl) such that
T < l XJ ~:) and Ilf(z, u)11 :::::: <pUlul!) for all (z, u).
(a) Show: For every z E BT - {O}, and every continuous u : BT ----> en that is analytic
on BT , the following estimate holds:
d ,
dt Ilu(tz)1I :::::: Iz l' lI u (tz) 11 for all t E [0 , 1] with Ilu(tz)11 > 0.
(b) Using (a), show that the solutions of
u'(z) = .\f(z, u(z)) , z E BT , u(O) = 0,

for .\ E [0 , 1] are a priori bounded.
(c) Deduce that the problem (&'1) has a solution (Frigon [1990]).
[Find a priori bounds in the sup norm of the Banach space E = {u : BT ----> en I u is
continuous, and analytic on B T } for solutions u of (9";,), .\ E [0, 1]. If for some z E B T ,
°
u(z) =1= 0, determine T E [0,1) such that Ilu(tz)1I > on (T,l], and Ilu(TZ)11 = 0. Then,
using (a) and the growth condition, get the inequality
r 11u(z) 11 ds roo ds
io <p(s) :::::: Izl(t - T) :::::: T < io <p(s) ,
and deduce the existence of a constant M such that Ilu(z)1I < M.l
E. Approximating sequences
Let X and Y be two metric spaces and {An} a sequence of compact operators An : X ----> Y .
(i) {An} is called collectively compact provided Un>l An(X) is compact. (ii) {An} is
equicontinuous provided for each c: > 0 there is a 0 > 0 such that d( Xl, X2) < 8 =>
d[An(xI),An(X2)] < c: for all XI , X2 E X and all n = 1,2, . .. . Any sequence {An} of
collectively compact and equicontinuous operators An : X ----> Y converging pointwise to
an operator A : X ----> Y is called an approximating sequence for A (Anselone [1976]).
(E.l) Let {An: X ----> Y} be an approximating sequence for A : X ----> Y . Show:
(a) A is continuous and compact.
(b) An ----> A uniformly on compact sets.
(c) Xn ----> X => Anxn ----> Anx.
(E.2) Assume that Xc Y is closed, and let {An: X ----> Y} be an approximating sequence
for A : X ----> Y. Show:
(a) If Anxn = Xn for n = 1, 2, ... , then {Xn} has a subsequence converging to a fixed
point of A.
(b) The set Un>l Fix(An) U Fix(A) is compact.
(e) If U is an a~bitrary nbd of Fix(A) , then Fix(An) C U for almost all n .
(E.3) Let C be convex in a normed linear space E and let U C C be open in C ; given
A: U ----> C we let 8A = AI8U. Let A E Xau(U,C) and An E Xau(U ,C) (n = 1,2, .. .)
be a sequence of operators such that {8An} is an approximating sequence for 8A. Show:
An is homotopic to A in Xau (U, C) for almost all n.
(E.4) Let A E Xau(U , C) be an essential operator and {An} be an approximating se-
quence for A with each An E Xau(U, C). Show:
(i) Fix(An) =I 0 for almost all n .
(ii) sUPxEFix(An ) d[x , Fix(A)] ----> 0 as n ----> 00.
(E.5) Let U = {x E C I Ilx - xoll < c:} and A E Xau(U, C) be an essential operator
with a unique Xo = Axo. Let {An} be an approximating sequence for A. Then for all
sufficiently large n, the equation x = An(x) has at least one solution , and any sequence
{Xn} of such solutions converges in norm to Xo .
(E.6) Assume that an open U C C contains the origin 0 E E, A: U ----> C is a compact
fixed point free operator, and {An : U ----> C} an approximating sequence for A. Show: For
all sufficiently large n, there are Xn E 8U and An E (0,1) such that Xn = AnAn(xn) .
F. Fixed points for ES( compact)-maps. Generalized Schauder- Tychonoff theorem

(F. 1) Let Q be a class of normal spaces. A space Y is an extensor space for Q provided for
any pair (X, A) in Q with A closed in X any 10 : A ----> Y extends over X to f : X ----> Y;
the class of extensor spaces for Q is denoted by ES(Q). Show:
(a) Q' C Q implies ES(Q) C ES(Q').
(b) A retract of an ES(Q) is an ES(Q).
(c) The Cartesian product of any collection of ES(Q) is an ES(Q).
(F.2) Prove: Every absolute retract is an ES(compact).
[Using the Urysohn embedding, show that a normed linear space is an ES(compact);
then apply (F.l)(b) and (7.6).]
(F.3) Prove: Each Tychonoff cube and each product of lines are ES(normal).
(F.4) Let K be a compact space and f : K - t K a map of the form K ~ X £

K with
X E ES(compact). Show: f has a fixed point .
[First, using the Tychonoff embedding theorem show that f factorizes through some
Tychonoff cube; then apply an argument similar to that in (7.8).]
(F.5) Let X E ES(compact) and f :X -t X be a compact map. Show: f has a fixed
point.
(F.6) A space Y is an approximate extensor space for compact spaces (written Y E
AES(compact)) provided given any compact pair (X, A), any a E Cov(Y) and fa : A - t Y ,
there exists an f : X --> Y such that flA is a-close to f. Prove: If C is a convex set in a
locally convex space, then C E AES(compact).
(F.7) Let K be a compact space and assume that a map f :K -t K can be factorized as
K ~X £ K with X E AES(compact). Show: f has a fixed point .
(F.8) (Generalized Schauder- Tychonofftheorem) Let X E AES(compact) and F : X --> X
be a compact map. Show: F has a fixed point.
(F.9) (ES(compact)-maps) We say that f : X --> Y is an ES(compact)-map if for any
compact pair (Z, A) and any 9 : A - t X there exists a <p : Z - t Y such that <pIA = fg;
the class of all ES(compact)-maps is denoted by ES(compact). Prove:
(i) X E ES(compact) {o} Ix E ES(compact).
(ii) If xL Y .!!.., Z and either f or 9 is an ES(compact)-map, then so also is go f .
(iii) If either X or Y is an ES(compact) space, then every f : X - t Y is an ES(com-
pact)-map .
(F.lO) Let K be a compact space and f : K - t K be an ES(compact)-map. Show:
(i) f has a fixed point; (ii) the generalized Schauder theorem (7.9) and (F.5) are special
cases of (i).
(F.Il) (Approximate ES(compact)-maps) We say that f : X - t Y is an approximate
ES(compact)-map if for any compact pair (Z, A), any 9 : A - t X, and each a E Cov(Y) ,
there exists <pa : Z - t Y such that <paiA is a-close to fg; the class of all approximate
ES(compact)-maps is denoted by AES(compact). Prove:
(i) X E AES(compact) {o} Ix E AES(compact).
(ii) If xL Y .!!.., Z and either f or 9 is an AES(compact)-map , then so also is go f.
(iii) If either X or Y is an AES(compact) space, then every f : X - t Y is an
AES(compact)-map.
(The results (F.9)-(F.12) are due to Gauthier-Granas [2003].)
(F.12) Let K be a compact space and f : K - t K be an AES(compact)-map. Show:
(i) f has a fixed point; (ii) (F.7), (F.8) and the Schauder- Tychonoff theorem (1.13) are
special cases of (i) .
G. Analytic proof of the Brouwer theorem

(G.1) Let K = {x E E Illxll :S I} be the closed ball in a Banach space E and r : K - t oK
be a Lipschitz retraction. Define a deformation dt : K - t E by x f--> X + t(r( x) - x). Show:
(a) dt : (K, oK) --> (K, oK) and dtloK = idaK for all t E [0,1].
(b) For all sufficiently small t , dt is a homeomorphism of K onto K.
[For (b), use the elementary domain invariance and the fact that a contractive field maps
closed sets to closed sets.]
(G.2) Let K be the closed unit ball in a Hilbert space H with scalar product ( , )and
assume that f : K -> K is a map without fixed points. Define (3 : K -> H by
1-(x,x)
x >-+ x - 1 _ (x, f(x)/(x) .
Show:
°
(i) (3 is well defined and continuous.
(ii) (3(x) i= for all x E K .
(iii) The map r :K -> oK given by x >-+ (3(x)/II(3(x)11 is a retraction .
(iv) If dimH < 00 and f is C 1 , then so is the map r .
(G.3) Let K n be the closed unit ball in R n , oK n = Sn-1 , and let r : K n -> Sn-1
be a C 1 retraction. Define a deformation d t : K n -> R n by x >-+ x + tg(x), where
g(x) = r(x) - x. Show:
(a) dtlS n - 1 = idSn - l.
(b) For all sufficiently small t, dt is a diffeomorphism of K n onto Kn .
[For (b), express the determinant det{ 8J + Wgi/ ox j} of the partial derivatives of dt in the
form of a polynomial with respect to t :
n
Pt(x) = 1 + L Ik(X)t k with Ik E C(Kn)j
k=l
use (G.l) and the inverse function theorem.)
(G.4) Using the notation of (G .3), we assign to g(x) = r(x) - x a polynomial function
19 : [0,1) -> R by setting
19(t) = r
JKn
Pt(x) dx = ao + t
k=l
aktk ,
where ao = vol(Kn) and ak = iKn Ik(X) dx . Show: The polynomial function 19(t) has
the constant value ao = vol(Kn) for all t E [0,1) .
[Prove that 19(t) = ao for all sufficiently small t: use (G.3)(b) and the change of
variables formula iKn Pt(x) dx = vol(dt(K n )) = vol(Kn) = ao.)
(G.5) Show: There is no C 1 retraction of K n onto Sn-1.

[Supposing r : K n -> Sn-1 is such a retraction, deduce that P1 (x) = det{ ori (x) I ox j }
== 0, and therefore 19(1) = 0, contradicting (G .4) .)
(G.6) Prove: Every continuous f : K n -> K n has a fixed point.
[Assuming first that f is C 1 , apply (G.5) and (G .2)j for arbitrary f, apply the Weier-
strass approximation theorem and the special case.)
(The above proof is essentially due to Milnor [1978); for further improvements and
simplifications see Rogers [1980), Groger [1981)' Traynor [1996).)
H. Localization and multiplicity of fixed points in cones
In this subsection the following notation will be used. Let (E, II II) be a normed linear
space and C C E a closed nonempty convex cone; the property C n (-C) = is not °
required, so the case C = E is included. For (} > 0, let BQ = {x E C I Ilxll < (l}, SQ =
°
{x E C IlIxll = (}}, KQ = BQ U SQ, Given r, R E R with < r < R, let Ar,R = BR - K r .
(H.l) Let U be an open bounded subset of C with 0 E U, and let F E £au(U, C).
(a) Assume that for all x E au and all A E [0,1] one of the following is satisfied:
1° x =I- AFx.
2° IlFxll -:: : max{llxll, Ilx - Fxll}·
3° (Fx, x) -:::: (x, x), where ( , ) is a scalar product in E.
Show: F is essential.
(b) Assume that there is acE C - {O} such that x =I- Fx + AC for all x E au and all
A 2': O. Show: F is inessential.
[For (b) , assuming F is essential, find for each n E N a point Xn E U such that
Xn = FXn + nc; then, using bounded ness of U, get a contradiction.]
(H.2) (Localization result) Let F E £SRUS r (KR' C).

(a) Suppose that F is essential (with respect to K R ) and FISr is inessential (with
respect to Kr). Show: F has a fixed point in Ar,R.
(b) Assume that (i) for all xESR and all A 2': 0 one of the conditions 1°- 3° of (HI) (a)
holds, and (ii) there is acE C - {O} such that x =I- Fx + AC for all x E Sr and all A 2': O.
Prove: F has a fixed point in Ar,R.
[For (a), show that FIAr,R E £sRus)Ar,R, C) is essentiaL]
(c) Let C = E, so that F E £sRusr(KR, E). Assume that (i) Fx = -F(-x) for all
x E SR , and (ii) there is acE E - {O} such that x =I- Fx + AC for all x E Sr and all A :::: O.
Prove: F has a fixed point in Ar,R.
(H.3) (Multiplicity result) (a) Let F : Ar,R -; C and G : KR -; C be two fixed point free
compact maps such that FISR = GISR. Show: FISr is inessential.
[Letting (2 E (O,r), consider the functions a,(3,,: Ag,r -; R - {O} given by
a(x) = (r - (2)lIxll. (3(x) = (R - (2)r - (R - r)llxll, ,(x) = a(x)/(3(x),
and let F: KR -; C be given by
((2/ R)G((R/ (2)x) for x E Kg,
F(x) ={ ,(x)F((I/r(x))x) for x E Ag,r,
F(x) for x E Ar,R-
Prove that F is a fixed point free compact extension of FIAr,R over KR.]
(b) Let FE £sRusr(KR, C) be an inessential map such that FISr is essential (with
respect to Kr). Show: (i) F has at least two fixed points, Xl E Br and X2 E Ar,R, and
(ii) FIAr,R E £SRUS r (Ar ,R, C) is essential.
[To prove that Fix(FIAr,R) =I- 0, suppose F : Ar,R -; C is fixed point free; use (a) to
get a contradiction.]
(c) Let F : KR -; C be a compact map such that (i) x =I- AFx for all x E Sr and
A E [0,1], (ii) there is acE C - {O} such that x =I- Fx + AC for all x E SR and all A :::: O.
Show: F has at least two fixed points, Xl E Br and X2 E Ar,R.
[Use (H. 1) and (b).]
(d) Assume C = E and let F E £SRUS r (KR, E) be such that (i) Fx = -F( -x) for
all x E Sr, (ii) there is acE E - {O} such that x =I- Fx + AC for all x E SR and all A :::: o.
Prove: F has at least two fixed points, Xl E Br and X2 E Ar,R.
(The above results are due to Simon and Volkmann [1988].)
I. Selected problems
(Ll) Let E and F be Banach spaces and L E L(E, F) be surjective. Let T : E -; 2F be
a completely continuous Kakutani map.
(a) Let K(J = {x EEl Ilxll ::; d· Show: Either (i) Lx E Tx for some x E K(J, or
(ii) there are y E 8K(J and A E (0,1) such that Ly E ATy.
(b) Let T : E -> 2F be a completely continuous Kakutani map and set CT = {x EEl
Lx E ATx for some A E (0, I)}. Show: If the set CT is bounded, then Land T have a point
of coincidence (Granas [1993]).
(I.2) (Generalized Leray- Schauder principle) Let E be a Banach space, C C E closed

convex, and V open in C x [0, 1J; we let VA = {x E C I (x, A) E V} be the section of V
at A. Given H : V -> C we define H : V -> C x [0, 1J by H(x, A) = (H(x, A), 0); clearly, if
H is compact, then so is H.
Let H : V -> C be a compact map such that H(x , A) -=J. x for all (x , A) E 8V, and
assume that one of the following conditions holds: (i) H : V -> C x [0 , 1J is essential;
(ii) (1 - t)xo + tH(x, 0) -=J. x for all (x, 0 , t) E 8V x (0 , 1) for some Xo E Vo. Show: For each
A E [0, 1J the map x I-> H(x, A) has a fixed point in VA (Precup [1995]).
(I.3) Let X be normal, Y arbitrary, and S : X -> 2Y an open map (i.e., with open graph).
Let f : X -> Y be an S-selection on some closed A C X and assume that f is homotopic
to some S-selection 9 : X -> Y by a homotopy cf> that is S-small on A (i.e ., cf>(a x 1) C Sa
for each a E A) . Show: flA extends to an S-selection r : X -> Y sllch that
(i) reX) c cf>(X x I),
r
(ii) ~ f reI A,
(iii) r ~ 9 by an S-small homotopy extending ;t;IA x I.
[Consider,1 : X x I -> X x I given by (x,t) I-> (x , cf>(x,t)); from A x Ie ,1-1 (rs),
deduce that W x I c ,1- 1(rs) for some nbd W :J A, and hence cf>(w x I) C Sew) for
each w E W . Take an Urysohn function A : X -> I with ).IX - W = 1, AlA = 0, and show
that rex) = cf>(x, A(X)) is the required extension of f .J
(1.4) Let X be normal, Y arbitrary, and T : X -> 2Y a closed map (i.e., with graph
closed in X x Y). Let A C X be closed and f : X -> Y continuous with f(a) '/. Ta for
each a E A. Assume that f is homotopic to a map 9 : X -> Y with g(x) '/. Tx for each
x E X via a homotopy cf> such that cf>t(a) '/. Ta for all a E A and tEl. Show: flA has an
extension r : X -> Y with r (x) '/. Tx for each x and such that:
(i) reX) c cf>(X x I),
r
(ii) ~ f reI A ,
(iii) r ~ 9 by a homotopy;t; with ;t;t(x) '/. Tx for all x and t.
(I.5) Let X be a nonempty compact convex subset of a locally convex space E and K C E
a nonempty closed convex set. Let 9 : X x X ----> E be continuous and such that:
(i) for each y E X and any convex set C C E the set {x E X I g(x, y) E C} is convex,
(ii) for each y E X the set {x E X I g(x,y) E K} is nonempty.
Show: There exists fj E X such that gCfj, fj) E K (Lassonde [1983]).
°
[Let ,1 be the diagonal in X x X; supposing the assertion is not true, find a closed
convex symmetric nbd U of in E such that g(,1) n (K + U) = 0. Consider G : X ----> 2x
given by Gx = {y E X I g(x, y) E K + U}; using the Fan- Browder theorem, get a
contradiction by showing that g( Xo, xo) E K + U for some Xo EX. J
(I.6) (Fan - Iokhvidov theorem) Let X be a nonempty compact convex subset of a locally
convex space E, C be a convex closed subset of E and f : X ----> E a continuous map such
that f(X) eX + C. Show: There exists y E X such that fey) E y + C (Iokhvidov [1964],
Fan [1966]).
[Let g: X x X----> E be defined by g(x , y) = f(x) - y and apply (I.5) .J
(1.7) (Himmelberg theorem) Let C be a nonempty convex set in a locally convex space E,
and let T E K(C, C) be a compact Kakutani map. Show:
(a) If V is a closed convex nbd of 0 in E, then there exists a point Xv E C such that
Txv n (xv + V) "" 0.
[Observe that the map x t-> (Tx - V) n C has closed values and open fibers; using
the compactness of T, find an A E (C) with (Tx - V) n A "" 0 for each x E C. Apply
(5.9.H.3).J
(b) The map T E K(C,C) has a fixed point (Himmelberg [1972J; the above proof is
due to Lassonde [1990]).
(1.8) (Fixed points for upper demicontinuous maps) Let E be a locally convex space,
X C E a nonempty subset and A : X --> 2E a set-valued map with nonempty values. We
say that A is upper demicontinuous if for any x E X and any open half-space H C E
containing Ax there is a nbd N x of x in X such that A(Nx ) C H.
(a) Let X be compact convex and A, B : X --> 2E be upper demicontinuous set-valued
maps with nonempty closed convex values such that for each x E X one of the sets Ax,
Bx is compact. Assume furthermore that one of the following conditions is satisfied:
(i) For each (1p,x) E E* x X with 1p(x) = min{1p(z) I Z E X} there are u E Ax,
v E Bx such that 1p(u):S 1p(v).
(ii) A is inward and B is outward in the sense of Fan.
Show: A and B have a coincidence.
(b) Let X be compact convex and A : X --> 2E be upper demicontinuous with
nonempty closed convex values. Show: If A is either inward or outward in the sense of
Fan, then A has a fixed point.
(The above results are due to Fan [1972J.)
(1.9) (Krein-Rutman theorem) Let E be a Banach space, C C E a closed cone in E, and

let ::S be the partial order in E induced by C (x ::S y {=> y - x E C). Let F : E --> E be a
completely continuous operator such that:
(a) x ::S y =? F(x) ::S F(y),
(b) F(o:x) = i:xF(x) for 0: ~ 0, x E E,
(c) there exists v E C with Ilvll = 1 such that F(v) t f3v for some f3 > o.
Show: There exist Xo E C - {o} and A ~ f3 such that F(xo) = AXo (Krein- Rutman [1948]) .
[Given E E (0,1/2) , let Cc = {x EEl x t Ellxllv} and fix I E E* with lev) > 0,
11111 = 1. Let Xc = {x E Cc Illxll :S 1, lex) ~ EIIF(v)ll} and
F(x) + 2EIIF(x)lIv
Fc(x) = IIF(x) + 2EIIF(x)llvll for x E Xc·
Then prove successively: (i) Xc is closed, convex and nonempty, (ii) Fc : Xc --> Xc is well
defined and compact, (iii) there exists Xc E Xc such that Xc = Fc(x c ) = AcXc - /-LcV,
where /-Lc > 0, Ac ~ k > O. Use compactness of Fc to conclude the proof.J
Applications of the topological KKM-principle

The topological KKM-principle has numerous significant applications in di-
verse fields. We list some typical applications (which cannot be obtained
from the geometric KKM-principle) that are discussed in Section 1:
1° geometric results concerning set-valued maps of Ky Fan;

2° minimax inequalities (of Fan and F. C. Liu);
3° fixed point results of Schauder- Tychonoff, Fan, and Iokhvidov;
4° theory of games and mathematical economy.
The geometrical results (1.2), (1.3) and (1.17) were (in a somewhat dif-
ferent setting) established in Fan [1962]' [1964], and [1966], respectively;
Browder [1968] formulated Theorem (1.2) in terms of set-valued maps, and
using the selection technique, deduced it directly from the Brouwer theorem.
The minimax inequality (1.7) is taken from Fan's survey [1972], and Theo-
rem (1.8) from Liu [1978]. Theorem (1.4), established by Sion [1958] with the
aid of the Knaster- Kuratowski- Mazurkiewicz theorem, evolved from earlier
results of von Neumann [1928]' [1937] . The direct simple proof of (1.4) given
in the text is a modification of a proof by Fan [1964].
Among the diverse applications of the Fan minimax inequality (1.7), we
mention the following existence theorem in potential theory:
Let X be a compact space and G : X x X - t R be a continuous nonneg-
ative function such that G (x, x) > 0 for x EX. Then there exists a positive
Radon measure f.L on X such that :
(a) J G(x, y) df.L(Y) 2: 1 for all x E X,
(b) J G(x, y) df.L(Y) = 1 for each x in the support of f.L.
For a proof and other applications of (1.7) , see Fan's survey [1972].
The Schauder- Tychonoff theorem (1.13) is one of the best known classi-
cal results in fixed point theory. Its proof, which uses (1.12) , is a modification
of that given by Lassonde [1983] . For locally convex spaces, Theorem (1.14)
was established by Fan [1969]; the proof in the text (valid for spaces with
sufficiently many linear functionals) is due to Kaczynski [1983]. The Nash
equilibrium theorem was established in Rn by Nash [1951]; the proof of its
extended version presented in the text follows that given in Fan's survey
[1972] . Among other noteworthy results related to the Nash theorem we
mention Gale- Mas-Colell [1975] and Deguire- Lassonde [1995] (d. (lO.B.4)).
For more general results and other applications of KKM-maps the reader
is referred to the survey by Fan [1972], Lassonde [1983], Gwinner [1981]' and
"Miscellaneous Results and Examples" .
Topological KKM-theory was extended to spaces with a generalized con-
vex structure (see Horvath [1987], [1993], Khamsi [1996], van de Vel [1993],
and also section I( c) in "Additional References").
Applications of the antipodal theorem
Theorem (2.1) is due to Kuratowski- Steinhaus [1953]; the proof of (2.1)

follows Borsuk [1953]. Theorem (2.2) was conjectured by Steinhaus; its proof
(based on the antipodal theorem) was first given by Banach (see Steinhaus
[1945]). Theorem (2.3) is a special case of a theorem of P.A. Smith stating
that no nontrivial finite group can act freely on Rn (see Smith's survey
[1960] for more details and further references). Theorem (2.4) is from Krein-
Krasnosel'skil- Milman [1948]; it has important applications in perturbation
theory of linear operators and also in approximation theory.
The remarkable feature of the Krein- Krasnosel'skil- Milman theorem is
that it implies in fact the Borsuk- Ulam theorem; this was discovered by
A.L. Brown [1979].
We now list some further applications of the antipodal theorem:
(i) (Algebra) Dai and Lam [1984] applied the Borsuk- Ulam theorem to
show that the quotient R[Xl , '" ,x n ]/(l +xr + ... +x;) has level n, i.e., -1
cannot be written as a sum of fewer than n squares.
(ii) (Graph theory) Using a version of the antipodal theorem due to Fan
[1952]' Lovasz [1978] established the Kneser conjecture: Given any decompo-
sition of the collection Y of all n-element subsets of a (2n + k)-element set
S into classes Y 1 , ... ,Yk + 1 , at least one of these classes contains two dis-
joint n-element sets (in connection with this result see also Barany [1978]).
For some other combinatorial applications of the antipodal theorem see
Alon [1987].
(iii) (Dimension theory) Using the antipodal theorem one can show that
the n-skeleton of the (2n+2)-simplex cannot be embedded in R 2n (see Flores
[1935]).
(iv) (Approximation theory) Some applications of the antipodal theorem
in approximation theory can be found in Tikhomirov [1960].
(v) (Game theory) Using a version of the Borsuk- Ulam theorem, Simon-
Spiez- Torunczyk [1995] established the existence of equilibria for certain
games arising in mathematical economy.
For more details about applications of the antipodal theorem the reader
is referred to Steinlein's survey [1985] and also to "Additional References" ,
where further information may be found.
Applications of topological transversality

The Leray- Schauder continuation method is at present one of the most
basic tools of nonlinear analysis. In the proof of Theorem (4.2) (Granas-
Guenther- Lee [1977]) we indicate in a simple setting how this method may
be used in the study of nonlinear differential equations; Theorem (4.3) was
proved by Bernstein [1912]' to whom the basic idea of "a priori" bounds is
due.
In subsection D of "Miscellaneous Results and Examples", further ap-
plications of topological transversality are given. To focus on the essential
features of the topological methods, the discussion is restricted to scalar

equations of the first or second order; however, the general techniques also
apply to systems of equations and more general boundary conditions. A sig-
nificant feature of these exercises is that by recasting a differential equation
as an integral equation, both the classical and CaratModory cases can be
treated in a classical setting, without recourse to Sobolev space formulations.
For other applications to ordinary differential equations see, for exam-
ple, Cesari [1960], the surveys by Mawhin [1976] and Granas- Guenther- Lee
[1980], and also Lee- O'Regan [1995], where further references can be found.
For an application to nonlinear integral equations the reader is referred to
Guenther- Lee [1993].
Invariant subspace problem and other applications
(i) (Operator theory) The application of the Schauder theorem to the in-
variant subspace problem presented in Section 6 was given by V. Lomonosov;
Theorem (6.1), due to Lomonosov [1973], extends an earlier result of Aron-
szajn- Smith [1954]. We remark that the invariant subspace problem for
arbitrary bounded linear operators was solved in the negative by Enfio and
independently by Read; for details we refer to Beauzamy [1988]. For other
applications to operator theory, see Krein [1964] and also the survey of Fan
[1972]' where further references can be found.
(ii) (Descriptive set theory) Engelking- Holsztynski-Sikorski [1966] ob-
served that the proof of the existence of Borel sets of arbitrarily high classes
(in a metric space) can be considerably simplified by using the fact that the
Hilbert cube 1 00 has the fixed point property.
(iii) (Linear algebra) The Brouwer theorem yields a simple proof of the
Perron- Frobenius theorem: Every square matrix Ilaij I with aij E R+ has at
least one nonnegative real eigenvalue (Alexandroff- Hopf [1935]). For topo-
logical proofs of some generalizations of this result see Fan [1958].
(iv) (Geometry) The Brouwer theorem permits proving the following
result: Let (X, d) be a metric space, let <p : [0,1] -+ X be a continuous arc
with <p(0) f. <p(I), and let /30, /31,' .. , /3s be s + 1 strictly positive numbers.
Then there exists a partition 0 = to < h < ... < ts+1 = 1 of the interval
[0, 1] and a constant K > a such that
/3j = Kd(<p(tj), <p(tj+d) for j = 0, 1, ... , s
(see Urbanik [1954]) .
(v) (Optimal control theory) The Brouwer theorem implies the following
result: Let f : Rn -+ Rn be differentiable at 0 and such that f(O) = O. If the
derivative l' (0) is invertible, then for some nbd V of 0 we have 0 E Int f(V).
For further details see Halkin [1975].
194 II. Theorem of Borsuk and Topological Transversaiity
Dugundji extension theorem

Theorem (7.4) and its consequence (7.5) established by Dugundji [1951] rep-
resent strict generalizations of the Tietze extension theorem for continuous
real-valued functions. These results are at the roots of the theory of ANRs
to be developed in §11.
One can get various related general extension theorems by trading less
structure on the domain for more structure on the range. We give two ex-
amples of such results:
P If X is paracompact, A C X closed, and E a Banach space, then
every f : A -+ E is extendable to an F : X -+ E (Arens theorem).
2° If X is normal, A C X closed and E a separable Banach space, then
every f : A -+ E extends to an F : X -+ E.
Dugundji [1951] showed that the explicit form of the extension in (7.4)
permits proving the following theorem e): Let X be metric, A c X closed,
and let CB(X) denote the Banach space of all bounded continuous real-
valued functions with the sup norm. Then there exists a linear operator
L : CB(A) -+ CB(X) that makes correspond to each f E CB(A) an exten-
sion Lf E CB(X). This theorem naturally extends to Banach-space-valued
functions.
More details and references concerning Dugundji type results can be
found in the books of Bessaga-Pelczynski [1975] and Hu [1965].
Absolute retracts and generalized Schauder theorem

The theory of metric ANRs provides a framework within which fixed point
results can be expressed in purely topological terms. The first result of
this type was proved for compact ARs by Borsuk [1931a]. The general-
ized Schauder theorem (7.8) as well as Theorem (F.8) are due to Granas;
they are special cases of more general results to be presented in Chapters
IV and V.
A link between topological fixed point theory and the functional-analytic
fixed point results is provided by Theorems (7.4) and (7.5) together with
various embedding results into linear topological spaces. For example, the
fact that a convex set in a normed space is an AR (Dugundji [1951]) implies
that the Schauder theorem (6.3.2) is a special case of (7.8). The fact that the
unit sphere in an infinite-dimensional normed space is an AR (first proved,
using a different method, by Dugundji [1951]) permits a simple proof of
the Birkhoff- Kellogg theorem (Granas [1962]) and also implies the result of
Gohde [1959] that the nonconvex set in (7.7), being an AR, has the fixed
point property for compact maps.
e) For A separable, this theorem was established by Borsuk [1933b].

In connection with Theorems (7.4), (7.5), we make the following remarks:

(a) There exists a compact convex subset C of a locally convex space E
that is not a retract of E (Klee [1953] and E. Michael [1953]).
(b) There exists a linear metric space that is not an absolute retract
(Cauty [1994]).
In connection with Theorem (7.8), we mention that there exists a non-
compact AR having the fixed point property (Klee [1960]).
Fixed points for K akutani maps

The first result for such maps was established by Kakutani [1941]' who
extended the Brouwer theorem and applied the result to prove a version
of the von Neumann minimax principle in Rn. Kakutani's theorem was
extended to Banach spaces by Bohnenblust and Karlin [1950] and to lo-
cally convex spaces by Glicksberg [1952] and Fan [1952]. An analogue of the
Schauder- Tychonoff theorem for compact Kakutani maps was established
by Himmelberg [1972].
3o
..c
0..
J . Dugundji and S. Kakutani, Montreal , 1973
The proof of (8.4) given in the text combines the (graph) approximation
technique developed for compact Kakutani maps in Cellina [1969] and the
suitably modified approximation technique used in the single-valued case
(Lemma (8.2)) (for another technique based on pointwise approximation of
Kakutani maps see Olech [1968]).
We remark that Borsuk's antipodal theorem remains valid for compact
Kakutani maps (Granas [1959b], Cellina- Lasota [1969]), as do the topo-
logical transversality theorem (Granas [1976]) and the Dugundji extension
theorem (7.4) (Ma [1972]). Other results can be found in Fan's survey [1972];
see also Ma [1972].
Fixed point results for Kakutani maps prove useful in many branches of
mathematics; for instance, they find applications in game theory (Bohnen-
blust-Karlin [1950], Glicksberg [1952]' Fan [1952]), optimal control the-
ory (Lasota- Opial [1965], [1968]), differential inclusions (T. Pruszko [1984]'
Frigon [1990a], Deimling [1991]), partial differential equations (Chang [1980],
the lecture notes by Lasry-Robert [1976]), and classical functional analysis
(Day [1962]).
For numerous applications of the Kakutani maps in mathematical econ-
omy the reader is referred to the books by Aubin [1991] and Border [1985]
(see also Florenzano [1981]). More general fixed point results for set-valued
maps will be treated in Chapter VI.
Ryll-Nardzewski theorem
This remarkable result (considerably extending Kakutani 's theorem) was
announced in Ryll-Nardzewski [1962]; a detailed proof based on probabilis-
tic arguments was presented in Ryll-Nardzewski [1966]. The first geometric
proof was given by Namioka-Asplund [1967]. A simple proof of (9.4) (which
is a special case of (9.6)) was found by F. Hahn [1967] who also showed that
Theorem (9.5) of Kakutani [1938] follows directly from (9.6). Theorem (9.3)
is a special case of a result of Namioka. The proof of the Ryll-Nardzewski
theorem presented in the text is a corrected version of that given in the
book of Dugundji-Granas [1982]; the latter proof is valid only under the
assumption of metrizability of the space E (see also Hansel- Troallic [1976]).
For a noteworthy extension of the Ryll-Nardzewski theorem the reader is
referred to Namioka [1983].
Let G be a locally compact group. Following Eberlein [1949]' call a func-
tion f E CB(G) weakly almost periodic (f E W(G)) if its orbit under left
translations O(f) = {Lxf I x E G} is relatively compact with respect to
the weak topology in CB(G). Solving a problem raised by Eberlein [1949]'
Ryll-Nardzewski [1962] applied his fixed point theorem to prove that for
every locally compact group G there exists a left-invariant mean on W (G).
For the class of almost periodic functions AP (G) c W (G) such a result
(originally due to von Neumann] [1934]) can be obtained with the aid of the
Kakutani theorem. For details see Burckel's book [1972].
The Ryll-Nardzewski theorem has found applications in the theory of
finite von Neumann algebras (Yeadon [1971], Stratila-Zsid6 [1979]) and in
linear functional analysis (existence of invariant linear functionals under the
action of the group of isometries in a Banach space; Fan [1976]).
III.
Homology and Fixed Points
In this chapter we develop the algebraic and geometric notions needed to

formulate and prove the main result, the Lefschetz- Hopf theorem for poly-
hedra. We further illustrate the use of homology by studying the special
case of maps sn ---+ sn , showing that the Brouwer degree of a map not
only completely characterizes its homotopy behavior, but also gives consid-
erable information about special topological features that such a map may
have. We come full circle with the beginning of the last chapter by deriving
Borsuk's antipodal theorem within this homological framework.
§8. Simplicial Homology

This paragraph is devoted to an exposition of only those notions of simplicial
homology theory that provide the framework for the main results of the
chapter.
1. Simplicial Complexes and Polyhedra

(1.1) DEFINITION. A simplicial complex is a finite family X {O"} of
simplices in some Rn such that:
(a) if 0" is in X, then so also is every face of 0",
(b) if 0", T EX , then 0" nTis either empty or a face common to both
0" and T.
A polyhedron is a pair (K, X) , where X is a simplicial complex and
K=U{O"[O"EX}.
If (K, X) is a polyhedron, we frequently say that X = sd K is the simpli-
cial decomposition of the polyhedron, and call K = [XI the support of X.
Clearly, the same support can be taken with different simplicial decomposi-
tions (consider, for example, the space of a I-simplex); they are then different
polyhedra.
198 III. Homology and Fixed Points
The dimension of (K,X) is max{dimu I u E X}; the mesh of X is

max{ 5(u) I u E X}. By a subpolyhedron of (K, X) is meant a pair (L , £),
where £ is any subfamily of X satisfying (a), and L is the support of £ ;
since £ clearly also satisfies (b), the pair (L, £) is indeed a polyhedron.
Particularly important is the subset XT c X consisting of all u E X
having dimension ::; some fixed r 2: 0; the subpolyhedron determined by
XT is called the r-skeleton of (K, X) , and is denoted by (K, xt. The
subpolyhedron (K, X)O is called the set of vertices of the polyhedron.
To illustrate, let u be a fixed simplex. Taking the simplicial structure
to be the set §(u) of all its faces gives a polyhedron (u, §(u)); the subset
§' = §(u) - u, being supported by 0-, gives the subpolyhedron (0-, §') of
(u , §), and if dim u = s, it is the (s -I)-skeleton of (u, §). Observe that for
any (K, X) and any u E X, the polyhedron (u, §(u)) is a subpolyhedron
of (K,X).
Let (K, X) be a polyhedron. For any x E K , the carrier u(x) of x is
the simplex u E X of lowest dimension that contains x. It is unique, being
n{ u E X I x E u}. Clearly, (i) u is the carrier of x if and only if x E u - 0-
and (ii) a point x belongs to some simplex u if and only if its carrier is a
face of u.
Let K be the support of a finite polyhedron. Although K is in general
the support of many different simplicial decompositions, the topology of
K can be recovered from any given simplicial decomposition: it is the weak
topology generated by the family X. Consequently, for any topological space
Y a map f : K -> Y is continuous if and only if flu: u -> Y is continuous
for each u E X.
We now describe a family of open sets in K that is obtained directly
from a given X. Note that if p is a vertex of (K, X), then {u E X I p rf- u}
determines a subpolyhedron of (K, X).
(1.2) DEFINITION. Let (K, X) be a polyhedron. For any vertex p of X ,

the set K - U{ u E X I p rf- u} is called the star of p, and is denoted
by Stp.
St p is therefore an open set; clearly, it contains p but no other vertex of

(K , X). Moreover, {Stp I p E (K , X)O} is an open cover of K: given any
x E K, let Po be a vertex of its carrier u(x); because x belongs only to
simplices having u(x) as face, we find x rf- U{u E X I Po rf- u}, so x E Stpo·
This open cover has important properties.
(1.3) THEOREM. Let Po, ... ,Pn be vertices of (K, X). Then:
(a) n~o StPi i= (/) if and only if (po, ... ,Pn) is a simplex of X,
(b) if u = (po, ... ,Pn) is a simplex of X, then n~=o StPi is the set
of all x E K carried by simplices having u as face.
§8. Simplicial Homology 199
PROOF. (a) Assume that Po, . .. ,Pn do not span a simplex (J E £. Then for
each (J E £ at least one of Po, . .. ,Pn is not a vertex of (J , so
U{ (J 1 Po ti (J} U .. . u U{ (J 1 Pn ti (J} = K
and n~=o St Pi = 0. The argument is reversible.

(b) If x E n~=o StPi, then
x ti U{(J 1 Po ti (J} u· · · U U{(J 1 Pn ti (J};

the carrier of x must therefore contain all the vertices Po, ... ,Pn. This ar-
gument is also reversible. 0
We can also use £ to introduce coordinates in the support K analo-
gous to barycentric coordinates in a simplex. Observe that if {po, . . . , PT} =
(K, £)0, then each x E K can be written uniquely as x = "Lf=o f-li(X)Pi ,
where 0 S f-li(X) S 1 for each i = 0, ... , T and "Lf=o f-li(X) = 1 for each
x E K ; indeed, we have only to define, for each i,
barycentric coordinate of x relative to Pi
f-li (x) ={ if Pi is a v ertex of the carrier of x ,
o otherwise.
Thus, for each x E K , the nonzero f-li (x) are the barycentric coordinates
of x in its carrier. Since for each i and any (J E £ , f-li I(J is either identically
zero or the barycentric coordinate function of (J relative to Pi, we conclude
that each f-li : K ----t I is in fact continuous. It is easy to see, using (1.3), that
St Pi = { x 1 f-li (x) > O}.
It follows from this representation of the points of K that for any topo-
logical space Y , each map f : Y ----t K is uniquely expressible as f(y) =
"Lf=o f-li 0 f(Y)Pi, and if f is continuous, then each function f-li 0 f : Y ----t I is
continuous. The construction of continuous maps of spaces into polyhedra
is frequently based on
(1.4) THEOREM. Let (K, £) be a polyhedron in Rn with vertices {Po, ...
. . . PT},
, and let Y b ean arbitrary topological space. Let !.pi : Y ----t I be
a family of functions, one for each vertex Pi, with "Lf=o !.pi (Y)Pi E K
for each Y E Y. If each !.pi is continuous , then Y I--t "Lf=o!.pi (y )Pi is a
continuous map f : Y ----t K.
PROOF. Regarded as a map of Y into Rn, f is evidently continuous; since
f (Y) eKe Rn , the continuity of f as a map of Y into K follows . 0
The homotopy of two maps of a space Y into a polyhedron can sometimes
be detected by their behavior relative to the given £. One frequently used
condition is
(1.5) THEOREM. Let (K, X) be a polyhedron, Y an arbitrary space, and

f, 9 : Y -+ K continuous. Assume that for each y E Y, there is some
simplex a E X containing both f(y) and g(y) (such maps are called
contiguous). Then f c:::: g.
PROOF. For each y E Y, the line segment joining f(y) to g(y) lies in some
a E X, therefore in K. These segments are given by
T
H(y, t) = 2)tJ.Li(f(y)) + (1 - t)J.Li(g(Y))]Pi;
i=O
since the functions tJ.Li 0 f + (1 - t)J.Li 0 9 : Y x I -+ I are continuous, the

map H : Y x I -+ K is continuous and provides the required homotopy. 0
2. Subdivisions
Given any simplicial decomposition X of K, we shall construct another
simplicial decomposition X' of K, called the barycentric subdivision of X;
its importance lies in that all the simplices of X' are "smaller" than those of
X, so by repetition of the construction, we can get simplicial decompositions
of a given support that have arbitrarily small mesh.
The barycenter of an n-simplex a = (Po, ... , Pn) is the point [a] =
n~l L~OPi (occasionally we use the notation ba ); a zero-simplex is its own
barycenter. We first describe the barycentric subdivision Sd 1 a of the poly-
hedron (a, § (a) ), where a is a single simplex; the vertices of Sd 1 a will be
the barycenters of all the faces of a. The definition is by induction on the
dimension of a:
1. If dima = 0, then Sd 1 a = a.
2. Assume Sd 1 a known for all a of dimension :S n - 1. Let an be an
n-simplex, and let!£' be the collection of all (n - 1)-simplices of Sd 1 an-I,
as a n - 1 runs over all the (n - I)-faces of an. Then Sd 1 an consists of the
n-simplices
{(YO,' .. ,Yn-l, [an]) I (Yo, . .. ,Yn-l) E !£'}
and all faces of these simplices.
Observe that the barycentric subdivision of an introduces no new ver-
tices on &n, so if each of two simplices a, T is barycentric ally subdivided,
the process will yield identical subdivisions on anT; the barycentric sub-
division X' = Sd 1 X of (K, X) is obtained by subdividing each a E X
barycentrically, and consists of
{a' I a ' ESdI a and a EX}.
For theoretical purposes, it is more convenient to describe Sd 1 X in
another manner.
(2.1) DEFINITION . Let (K, X) be a polyhedron. Sd 1 X consists of all

simplices ([0"0],"" [0" s]), where 0"0 C 0"1 C ... C 0" sis a strictly
increasing sequence of simplices of X.
It is easy to verify that each set {[O"o], ... , [O"s]} in the definition is in
fact affinely independent. A proof that this construction is equivalent to
that previously given can be based on the observation that each simplex
([ 0"0], ... , [0" s]) is contained in 0" s, since 0" s is a convex set containing all the
points [O"i], i = 0, . .. , s.
(2.2) THEOREM. Let (K, X) be an n-polyhedron of mesh J.L . Then the mesh
ofSd 1 X is :S n~lJ.L.
PROOF. We need only estimate the length of any edge of a simplex of X'.
Let p = [0"0] and q = [0"1] be the vertices of such an edge; according to the
definition, we have, say, 0"0 C 0"1 , so that the vertices of 0"0 are among those
of 0"1 = (pO, ... ,Ps), say 0"0 = (PO,'" ,Pr), where r < s :S n. Then P - q =
r!l L:~=O(pi - q) , and for each i = 0, ... ,r, also Pi - q = S!l L:;=O(Pi - Pj) ,
so that
1 ~~ (s + l)(r + 1) - (r + 1)
lip - qll :S (r + l)(s + 1) to' f::'o IIPi - pjll :S (s + l)(r + 1) J.L,
because there are (s + l)(r + 1) terms in the double sum, but r + 1 of them
are zero, and all of them are :S J.L. Thus,
s n
lip - qll :S s + 1 J.L :S n + 1 J.L,
completing the proof. o
The process can be repeated. Defining the mth barycentric subdivision
of (K, X) inductively by
Sdo X = X, Sdm X = Sd 1 (Sd m - 1 X) ,
we have
(2.3) COROLLARY. Let dimK :S n . Then
meshSd m X:S (n: 1) m mesh X,
so that the diameters of the simplices of Sd m X tend to zero under

repeated barycentric subdivision. 0
3. Simplicial Maps and Simplicial Approximations

If (K, X) and (L,.!i') are two polyhedra, it is natural to consider maps of
K into L that respect the given simplicial decompositions.
(3.1) DEFINITION. A map <P : (K, X) --) (L,5L') is called simplicial if:
(a) for each simplex (Po, ... ,Ps) E X, the points <p(Po), ... , <p(Ps)
are vertices (not necessarily distinct) of some simplex of 5L',
(b) the map <P is affine on each a E X:
L
s s s
<P(LAiPi) = LAi<P(Pi), Ai = 1, Ai ~ O.
i=O i=O i=O
It is to be emphasized that <P is a piecewise linear map; it is uniquely
determined by its values on the vertices of X. Therefore, we often write
<P : X --) 5L'. Clearly, a constant map, sending all of K to a vertex of L ,
is simplicial. Moreover, because the barycentric coordinate functions Ai are
continuous, any simplicial map <P : (K, X) --) (L,5L') is continuous on each
simplex a E X, and therefore it is continuous.
We relate the simplicial maps to arbitrary continuous maps of K into L
by
(3.2) DEFINITION. Let J : K --) L be any continuous map. A simplicial
map <P : (K, Sd r X) --) (L,5L') for some r ~ 0 is called a simplicial
approximation to J if J(Stp) c St<p(p) for each vertex p E Sd r X.
We establish
(3.3) THEOREM. Let J : K --) L be any continuous map. Then there
exist simplicial approximations 0 be a Lebesgue number for the open cover
{J-l(Stq) I q E (L,5L')O}
of K. By (2.3), the mesh of Sd r X is < <5/2 for all sufficiently large r; since
the diameter of each St p is < <5, each St p is contained in J- 1 (St q) for at
least one q. For each vertex p E Sd r X, choose <p(p) to be any vertex of L
such that J(Stp) c St<p(p) . The map <p sends the vertices of each simplex
(po , . .. ,Pn) E Sdr X to the vertices of a simplex of 5L': for
J( nStPi) c nj(StPi) c nSt<P(Pi),

n n n
0#
i=O i=O i=O
and (1.3) applies.
Extending <P affinely over each simplex gives the desired simplicial ap-
proximation to J. To show that J and <P are homotopic, let x E K, and let
(Po, ... ,Pn) = a(x) be its carrier in Sd r X. Then <p(x) E (<p(PO) , . . . <P(Pn))
,
E 5L'; on the other hand, J(x) E J(n~=oStpd c n~=OSt<p(pi)' so by (1.3),
f(x) is carried by some simplex having (<p(po), ... , <P(Pn)) as face. Thus,
f(x) and <p(x) are always in a common simplex of !.t', so by (1.5) the proof
is complete. 0
Note that the simplicial approximation to f is in general not unique:
it depends on the level r of subdivision that is used, and on the choice of
the vertex <p(p) for each vertex P E Sd r X. However, for each fixed r , any
two simplicial approximations <p,1jJ : Sdr X -+ L to f are contiguous: for
if (Po, ... ,Pn) is the carrier of any given x E Sd r X, then f(x) belongs to
n~oSt<p(pi) and also to n~oSt 1jJ (pi) ' so by (1.3) , all the vertices <p(Pi) ,
'Ij;(Pi) lie in some single simplex of !.t', and both <p(x), 1jJ(x) belong to that
simplex. Note also that for each fixed r and simplicial approximation <p :
Sd r X -+ !.t' to f , always d(J(x), <p(x)) ::; mesh!.t', and that the homotopy
path from f(x) to <p(x) lies in a single simplex of !.t'.
4. Vertex Schemes, Realizations, and Nerves of Coverings

Definition (1.1) suggests that a polyhedron may be described simply by
specifying its set of vertices and those sets of vertices that span the simplices
of X ; it was the observation that such a description can in fact be made in
purely abstract terms, and suffices to determine the carrier uniquely up to
homeomorphism, that suggested that algebraic methods may be useful in
the study of polyhedra.
(4.1) ---
DEFINITION. An abstract complex X is a finite set d of elements to-
gether with a family sd d of subsets of d that satisfies the condition:
if s E sd d, then every subset of s also belongs to sd d .
The elements of d are called the "vertices" of 2:

and each set {Po , ';..,:.' Pn}
of n + 1 elements that belongs to sd d is called an "n-simplex" of X.
Each polyhedron (K, X) determines an abstract complex Xcalled its
vertex scheme: d is the set of vertices of (K, X), and sd d consists of those
subsets of (K, X)O that span the simplices of X.
---
Any polyhedron wi~ vertex scheme isomorphic to X in obvious sense ~
called a realization of X . We will now show that every abstract complex X
has at least one realization K in some Rn, and in fact, the topological ~ture
of these realizations is determined entirely by the abstract complex X .
(4.2) THEOREM. Every abstract co.!!!:plex X has a realization in some Rn;

and any two realizations of X are simplicialiy homeomorphic.
PROOF . We describe a realization of X , called the standard realization. Let

{Po, . .. ,PT} be the vertices of 2:
and let eo, . . . ,eT be the vertices of the
standard simplex .1T C RT+l. Select a definite one-to-one correspondence

Pi +-t ei and define a subpolyhedron (K, Jf:) c (.1 T , §(.1 T )) by taking
Jf: = {(eio'.··' ei.) I (Pia,··· ,Pi.) E sdJZ1}.
~
This is clearly ~olyhedron with vertex scheme isomorphic to Jf:, so it is a

realization of Jf:. To prove the second part, we show that any realization of
Xis homeomorphic to the K we have constructed. Let bi be the vertices of
any realization P of X, where bi +-t Pi; then (b o, ... , bn ) E sd P if and only
if (eo, ... , en) E Jf:; defining f (b i ) = ei, i = 0, ... , T, and extending affinely
over each simplex yields the required homeomorphism f : P - t K. 0
The notion of an abstract complex provides a convenient means for defin-
ing polyhedra. One important such use is to define the nerve of a finite family
of subsets of a space.
(4.3) DEFINITION. Let X be a topological space, and H = {Ha I a E .w}
an indexed finite family of subsets of X. Let Jf: be the abstract
complex with the set d as vertices and with {ao, ... , an} E sdJZ1
if and only if Hao n ... n Han i= 0. The standard realization of Jf:
is called the nerve of the family {Hal a E d} and is denoted by
N(H).
As an example, let (P,sdP) be any polyhedron, and {Stp I P E (P,sdP)O}
the covering by its vertex stars. By (1.3), the nerve of this family has pre-
cisely the same vertex scheme as (P, sd P), so that this nerve is homeomor-
phic to P.
Information about the structure of a space can be obtained by studying
the nature of polyhedra "approximating" the space in some sense. The in-
tuitive idea is that nerves of open coverings can be regarded as being such
"approximating" polyhedra, with a finer covering giving a "better" approx-
imation. For normal spaces, the relation of the space to the nerves of its
finite open covers can be given in a very precise manner:
(4.4) THEOREM (Alexandroff). Let X be normal, and U = {Ua I a E JZ1}

a finite open cover of X. Then there exists a continuous map K, :
X - t N(U) such that K,-l(Sta) C Ua for each vertex a of N(U).
PROOF. Shrink the open cover U to an open cover {Va I a E JZ1} having
Va C Ua for each a Ed; and let J-La : X - t I be an U rysohn function
with J-LalVa = 1 and J-Lal(X - Ua ) = 0 for each a E d. Because each x E X
belongs to some Va, we have L:a J-La(x) i= 0 for each x, so that the functions
Aa(X) = J-La(x)
L:a J-La(x)
are continuous on X for each a E d. Define K, : X ---4 N(U) by
To see that K,(x) E N(U) for each x E X, note that if '\)<11"" Aa n are
all the Aa that do not vanish at x, then x E Ua 1 n ... n Uan' SO that the
(al,"" an) span a simplex of N(U) and K,(x) belongs to that simplex. It
follows from (1.4) that K, : X ---4 N(U) is continuous. Finally, K,(x) E Sta if
and only if Aa(X) > 0, so that K,-l(Sta) C Ua . D
These simple maps are called standard maps of X into N(U); the K,
stands for Kuratowski, who was the first to give the explicit formula.
5. Simplicial Homology
Let X be a finite simplicial complex, and linearly order its vertices. Then
each simplex (qo, ... , qn) can be written uniquely as Ipo, ... ,Pnl, where Po -<
Pl -< ... -< Pn, and is called an oriented n-simplex.
(5.1) DEFINITION. For each n 2: 0, the free abelian group Cn(X) gen-
°
erated by the oriented n-simplices of X is called the group of n-
dimensional chains of X; clearly, C n (X) = for n > dim X. For
each n 2: 1, the boundary operator On : C n (X) ---4 C n - l (X) is the
homomorphism defined on each generator by
n
onlpo,.·. ,Pnl = 2:) -l)il po , ... ,Pi,' .. ,Pnl,
i=O
°
the caret over the Pi indicating that it is to be omitted; for n = 0, we
define 0o : Co (X) ---4 to be the zero homomorphism.
A simplex with its vertices written in some order is called an ordered n-
simplex. We relate an arbitrary ordered n-simplex (Pia" .. ,Pin)' made up
of vertices PO, ... ,Pn written in some order, to the generators of Cn (X) by
the convention
if {Pia' ... ,Pin} is an
even permutation of {PO,'" ,Pn},
if {Pia' ... ,Pin} is an
odd permutation of {PO, . .. ,Pn}.
With this convention, each simplex, ordered as it is written, represents + or
- a generator of Cn(X); moreover, the boundary operator applied formally
to that ordered simplex yields exactly the boundary of the generator it
represents. Thus, the boundary operator can be used on any ordered simplex
without first converting it to an oriented simplex.
It is straightforward to verify that any composition an 0 on+1 is zero,

which is equivalent to the statement that Imon+1 C Keron . The kernel of
an : Cn(X) -+ C n - I (X) is denoted by Zn(X) and called the group of n-
cycles of X; note that Zo(X) = Co(X). The image of on+1 : C n+1(X) -+
Cn(X) is called the group Bn(X) of n-boundaries , and the quotient group
Hn(X) = Zn(X)/ Bn(X) is the nth homology group of X. The elements
of Hn(X) are called homology classes, the coset z + Bn(X) being the
homology class of the n-cycle z. Two n-cycles z, z' belonging to the same
Ocn+1 for some (n + I)-chain Cn+l. Note that Hn(X) = for n > dimX,
and Hn(X) = Zn(X) for n = dimX.
°
homology class are called homologous; this will occur if and only if z - z' =
The entire construction can be put in abstract form. Let a chain complex
be any indexed family C* = {( Cn, an) I n = 0, 1, ... } of abelian groups
°
and homomorphisms an : C n -+ Cn-I , where C- 1 = 0, 00 is the zero
homomorphism and an 0 on+1 = for all n 2 0. A chain complex therefore
appears as a sequence
... -+
an C
Cn -+ an -1
n-I ---7 Cn -
a1
2 -+ ... -+ Co
aD
-+ °
of abelian groups and homomorphisms, in which the composition of any two
of the homomorphisms is zero; and the group Hn(C*) = Keron /lmo n+l
provides a measure of how much this sequence deviates from exactness at
the group Cn.
Within this framework, we can define, for a simplicial complex X, ho-
mology groups over an arbitrary abelian group, or field , G. For any such
G, the finite formal sums Cn = L gi lO"fl with gi E G form an abelian
group Cn(X; G), which is a vector space whenever G is a field. The bound-
ary homomorphism an : Cn(X; G) -+ C n - I (X; G) is defined as oncn =
LgiolO"fl , and is a linear map when G is a field. Again an 0 on+1 = 0, so
that {(Cn(X; G) , an) In = 0,1, ... } is a chain complex; the corresponding
homology groups Hn(X; G) are called the homology groups of X over G.
If G is a field , then Hn(X; G), being a quotient of a vector space by a linear
subspace, is itself a vector space e).
As the homology groups have been defined, they appear to depend on
the triangulation used; we will see later that in fact, they are topological
invariants of the support of X. We now calculate some homology groups.
EXAMPLE 1. If X is a connected simplicial complex (i.e., IXI is connected),
then Ho(X; G) = G. We show this for G = Z, the proof for arbitrary G
being the same. The connectedness of X is equivalent to the statement
that for any two vertices Po and Pn there is a sequence 0"1 = (po, PI),
e)Note that in this terminology, Hn(X) is Hn(X ; Z), and, in fact , the chain complex
{(Cn(X; G), 8)} is precisely {(Cn(X) 0 G, 8 ( 1)} , where 0 stands for the tensor product .
a2 = (Pl,P2), ... ,an = (Pn-l,Pn) of I-simplices joining Po and Pn. Now

fix a vertex Po; for any vertex Pn we have a I-chain COn = I:~=l ai such
that Oco n = Pn - Po· In particular, for any O-chain C= I: niPi E Co(£) =
Zo(£), we find
L niPi - (L ni )po = L ni(Pi - Po) = L niOcOi = 8( L nicoi),

so that every O-cycle I: niPi is homologous to some cycle npo. Now, npo and
mpo cannot be homologous when m =f. n, since the boundary of any I-chain,
8 I: nial, will have coefficients alternating in sign, therefore a coefficient
sum equaling O. Thus, every O-cycle is homologous to a unique cycle npo,
and the assertion is proved. 0
EXAMPLE 2. If £ = {p}, a single vertex, then Ho(p; G) = G and Hi(p; G)
= 0 for all i > O.
EXAMPLE 3. Let £ be any simplicial complex, and v a vertex not in £.
The cone .Jt:;; over £ with vertex v is the simplicial complex having as
vertices the vertex v and the vertices of £, and simplices {(v, Po, ... ,Pn) I
(po, ... ,Pn) E £} together with all faces of these simplices. Then Ho(.Jt:;;; G)
= G and Hi (.Jt:;;; G) = 0 for all i > O. Since .Jt:;; is connected, the first
statement is clear. To prove the second, we introduce some notation. Extend
the given linear ordering of £ to one of .Jt:;; by v -< the first vertex of £,
and write a = v . T if a = lv, Po, ... ,Pnl, T = Ipo, ... ,Pnl, extending this
notation in the obvious way for chains. Since 8( v . T) = T - V . 8T, we have
8( v . c) = c - v . 8c for every chain. To establish our result, let n > 0, and let
Cn be an n-chain in .Jt:;; ; then Cn = V· Cn-l + dn , where we have collected all
simplices in the chain involving the vertex v, so 8cn = Cn-l -V·8Cn-l +8dn .
If Cn is a cycle, then because no simplex with vertex v can offset any of the
remaining terms, we must have Cn-l + 8d n = O. Consider now the chain
Cn+l = v . d n ; then
8c n+ 1 = dn - v . 8d n = dn + v . Cn-l = Cn ,
so every cycle bounds.
EXAMPLE 4. For the (closed) n-simplex an, we have Ho(a n ; G) = G and
Hi(a n ; G) = 0 for all i > 0, for a can be regarded as the cone over anyone
of its (n-I)-faces.
EXAMPLE 5. Let KS be the s-skeleton of a simplex K, and note that only
the groups Ci(K) for 0 :S i :S s are used in forming the homology groups
Hi(K) for 0 :S i :S s - 1; since Ci(K) = Ci(KS) for i :S s, it follows that
Hi(K) = Hi(KS) for 0 :S i :S s - 1. Using this observation, we calculate the
homology of ern, the boundary of an n-simplex (which is homeomorphic to
the (n - I)-sphere sn-l). We shall show that whenever n > 1,
for i f. 0, n - 1,
for i = 0, n - 1.
°
Since b"n is the (n - I)-skeleton of (In, we find Hi (b"n; G) = Hi ((In; G) for
:=; i :=; n - 2, so from the previous example, all the groups except for
i = n - 1 are as indicated. Since dim b"n = n - 1, we have H n - 1 (b"n; G) =
Zn_l(b"n; G), so that we need only determine the group of (n - I)-cycles.
Let (In = (po, ... ,Pn) and consider the chain Cn = l(1n in Cn(b"n; Z) ;
then bn - 1 = BCn = L~=o(-I)i(po, ... , Pi , ... ,Pn) is a cycle on b"n because
obn- 1 = oOcn = 0; we will show that the cycles on b"n are precisely all the
chains gb n- 1 for 9 E G. In fact, any (n - I)-chain on b"n can be written as
n
Cn-l = 2) -1)igi (po, .. . ,Pi, ... ,Pn),
i=O
so
n
OCn-l = I) -1)igi { 2) -1)k(po, . .. ,Pk, . .. , Pi , .. . , Pn)
i =O ki
= L {( -1)igi( _1)k-l + (-I)k gk ( -1)i}(po, ... ,Pi,··· ,fJk, ··· ,Pn)
i<k
= L {( -1)i+k[gk - gi]}(PO, ... , Pi, . .. , Pk,· .. ,Pn).
i<k
Thus, Cn-l will be a cycle if and only if all gk - gi = 0, and therefore if and
only if Cn-l = gb n - 1 for some 9 E G. Thus , Hn_1(b"n ; G) = Zn(b"n; G) ~ G.
The cycle bn - 1 is called the basic (n - I)-cycle of b"n in Zn_l(b"n; Z).
6. Chain Transformations and Chain Homotopies

Let X, .!f be two simplicial complexes.
(6.1) DEFINITION. A collection T = {Tn} of homomorphisms Tn : Cn(X)
~ Cn(.!f), one for each dimension n 2: 0, and such that On+l o Tn+! =
Tn 0 On+l is called a chain transformation or a chain map; this can
be visualized as a diagram
~Cn(£) ~ Cn-l(£) ~ C n -2(£) ~ . . . ~ Co(£) ~ 0

lrn lrn-
1 lrn- 2 lro
~Cn(2') -rCn-1 (2') on-i Cn-2(2') ~ . .. ~Co(2') ~o
in which each square is commutative.

Chain transformations are important because they induce homomorphisms

T*n : Hn(Jt")---> Hn(.!/) of the homology for each n, by the rule
T*n[Z + Bn(Jt")] = Tn(Z) + Bn(.:£).

For Tn maps Zn(Jt") into Zn(2) , because /JT(z) = Taz = TO = 0 if az = 0,
and TOe = aTc shows that T(Bn(Jt")) C Bn(2) , so we need only pass to
the quotient .
The composition A 0 T of chain maps is easily seen to be a chain map,
and a direct calculation shows that (A 0 T) * = A* 0 T* .
EXAMPLE 1. Let f : Jt" ---> 2 be a simplicial map. For each n 2: 0, define
fn# : Cn(Jt") ---> Cn (2) by setting
f n# IPo, .. . ,Pn I = { 0(f(po), . .. , f(Pn)) if all the f(Pi) are distinct ,

otherwise ,
on the generators. It is straightforward to verify that f # = {fn#} is a

chain map. The homomorphism f* : Hn(Jt") ---> Hn(2) defined by f# is
called the homomorphism induced by f . Thus, every simplicial map induces
a homomorphism in homology. If both Jt" and 2 are connected, then f* :
Ho(Jt") ~ Ho(2) ; and under composition, (g 0 1)* = g* 0 f*.
EXAMPLE 2. Let Jt"' be the first barycentric subdivision of Jt" . We shall
define a chain map
We observe that if ba is the barycenter of a , and if B' is the complex repre-

senting the barycentric subdivision of aa, then the simplices of Jt"' carried
by (J are exactly the cone ba . B' . We define Sd by induction: set Sd Po = Po
for Po E Co(Jt"), and if Sd is defined for all k < n, set
Sda n = ba · Sdaa n
on each generator lanl of Cn(Jt").
a a
We now show that Sd = Sd by induction: this is certainly true for
n = 0, and if true for dimension n - 1, then using b = ba ,
a Sd an = a(b· Sd aan) = Sd aan - b . a Sd aan
= Sd aan - b . Sd aaan (by the induction hypothesis)
= Sda(Jn.
More generally, if Jt"(m) is the mth barycentric subdivision of Jt", we obtain

a chain map Sd m : C*(Jt") ---> C*(Jt"(m)) by iteration of the chain maps
C*(Jt") ~ C*(Jt"') ~ C*(Jt"") ---> .. . ---> c*(Jt"(m));

observe that for each a E Jt", the chain Sd m a is carried by a.
(6.2) DEFINITION. Let T, J-L : C*(£) -----7 C*(£,) be two chain maps. A chain
homotopy joining T and J-L is a collection D = {Dn} of homomorphisms
Dn : Cn (£) -----7 Cn+1(£,), one for each n ~ 0, such that
Tn - J-Ln = On+lDn + Dn-1on for all n ~ 1.
We say that T and J-L are chain homotopic if such a D exists.
It is simple to verify that chain homotopy is an equivalence relation in the set
of all chain maps C*(£) -----7 C*(£,); moreover, if T,J-L : C*(£) -----7 C*(£,)
are chain homotopic, and a,(3 : C*(£,) -----7 C*(f?ii'J) are chain homotopic,
then a 0 T and (30 J-L are chain homotopic maps of C* (£) into C* (f?ii'J). The
importance of the concept stems from the following: chain homotopic maps
always induce the same homomorphisms T*,J-L* : H*(£) -----7 H*(£,): for, if
z is any cycle in £, then T(Z) - J-L(z) = aDz, so T(Z) is homologous to J-L(z)
for each z.
EXAMPLE 3. Let f, 9 : £ -----7 £' be two contiguous simplicial maps. Then
f* = g* : H*(£) -----7 H*(£,). For let
n
Dlpo, ... ,Pnl = :L) _1)i(j(PO), ... ,f(Pi), g(Pi), ... ,g(Pn))
i=O
on each generator of Cn (£). Each term on the right is made of vertices

(possibly repeated) of some simplex in £' precisely because the maps are
contiguous; we set any term with repeated vertices equal to zero. A routine
calculation shows that g# - f # = Do + aD for the induced chain maps, so
the result follows.
Let £1 be the first barycentric subdivision of £, and let 7r : £' -----7 £
be a pseudo-identity map, defined on the vertices of £1 by
7r(p') = some vertex of the carrier of p'.
This map is clearly simplicial; indeed, St pi c St 7rp', so that any such map
7r is a simplicial approximation to the identity map of 1£1. Consider now
the chain maps
where we write 7r instead of 7r # for simplicity.

(6.3) THEOREM.
(a) 7r 0 Sd : C*(£) -----7 C*(£) is the identity map of C*(£).
(b) Sd 0 7r : C* (£') -----7 C* (£') is chain homotopic to the identity
map of C*(£/).
PROOF. We prove (a) by induction, the assertion being trivial for n = O.
Assume that it is true for dimensions::; n - 1, and let ern be any generator
of Cn (£). It is clear from the definitions that 7r 0 Sd o-n = (tan, where 0: is

some integer, possibly zero. Now
O:O(Jn = O[7r 0 Sd (In] = 7rO Sd (In = 7r 0 Sd O(Jn ,
so by the induction hypothesis, 0: = 1 and 7r Sd (In = o-n for every generator
of Cn (£), completing the inductive step.
We begin the proof of (b) by observing that each simplex 0-' E £'
is of the form ([(Jo]' .. . , [(JtD , where (Jo C (Jl C ... C (Jt , so by defining
s((J') = (Jt we see that s((J') is a simplex of £ containing (J' , and s(o(J') C
s( (J') for each 0-'. We will construct, by induction, a chain homotopy D :
C n (£') ----+ C n + l (£') such that the obviously defined support ID(o-')1 of
D( 0-') is contained in s( (J') for each (J'; the proof relies strongly on the fact
that the barycentric subdivision on each simplex of £ is the cone over its
subdivided boundary with the barycenter of the simplex as apex.
We define D : Co(£') ----+ C l (£'): for each generator p~ of C o(£') we
have p~ - Sd 7r(p~) = p~ - 7rP~ , where 7rP~ is some vertex of s(p~); since the
simplex s(p~) appears in £' as the cone over its barycenter, we find from
Example 3 of Section 5 that p~ - 7rP~ = OCI for some Cl with ICII C s(p~) ,
so setting D(p~) = Cl gives p~ - Sd 7rP~ = oD(p~) , as required.
Assume D : C i (£') ----+ CHI (£') has been constructed for all i < n
with ID((J')I C s((J') for each (J' . Choose any generator ijn of C n (£') and
consider the chain cn = ijn - Sd 7rijn - Doijn, which lies in s( ijn). We have
oCn = oijn - Sd 7roijn - oDoijn = Dooijn = 0,
the next to last equality by the induction hypothesis, so cn is a cycle in
s(ijn), therefore bounds in s(ijn) : cn = OCn+l. Letting Dijn = Cn+l, so that
oDijn = cn, and repeating for each generator ijn completes the induction.O
It is clear that this can be iterated. Let £(m) be the mth barycentric
subdivision of £ , and Sd m : C*(£) ----+ c*(£(m)) the iteration of the chain
mapping Sd. Define 7r : £(m) ----+ £ to be an iteration of pseudo-identity
maps
Then 7roSd m : C*(£) ----+ C*(£) is the identity and Sd m o7r: c*(£(m)) ----+
c*(£(m)) is chain homotopic to the identity.
As an application, let £ be a finite simplicial complex; evidently, C n (£)
and cn(£(m)) are in general not isomorphic. However, we have
(6.4) THEOREM (Invariance of homology under barycentric subdivision).
For any finite simplicial complex £, we have Sd: : H*(£) ~
H*(£(m)), and 7r* : H*(£(m)) ~ H*(£) is the inverse.
PROOF . Theorem (6.3) gives 7r* 0 Sd: = id and Sd: 07r* = id. o
7. Induced Homomorphism
Let 1 and .5t' be two simplicial complexes. A simplicial map <.p : 1 ----> £
induces a homomorphism <.p* : H*(1) ----> H*(£). We are now going to con-
struct a unique homomorphism f * : H * (1) ----> H * (£) for each continuous
(not necessarily simplicial!) map f : K ----> L, in such a way that if f is
simplicial, then f* is the homomorphism induced by the simplicial map f.
This will be a consequence of
(7.1) LEMMA. Let f : K ----> L be continuous. For any two simplicial ap-
proximations <.p : 1(m) ----> £ and 'IjJ : 1(m+s) ----> £ of f, the
homomorphisms <.p* Sd:' , 'IjJ* Sd:'+s : H * (1) ----> H * (£) are identical.
PROOF. Consider the diagram
The left triangle is commutative. For the right triangle, let 7r : 1(m+s) ---->
1(m) be a pseudo-identity map. Then <.p 0 7r and 'IjJ are both simplicial
approximations to f, since
f(Stp') c f(St7rp') C St<.p7r(p'),
so that <.p7r and 'IjJ are contiguous, and therefore 'IjJ* = (<.p7r) *
consequently, by (6.4), 'IjJ* Sd! = <.p*, and the proof is complete.
On the basis of this result, we make
(7.2) DEFINITION. Let f : K ----> L be an arbitrary continuous map of
simplicial complexes (i.e., of their underlying spaces), and let <.p :
1(m) ----> £ be any simplicial approximation to f. The homomor-
phism f* : H*(1) ----> H*(£) is <.p* Sd:' : H*(1) ----> H*(£).
Observe that if f : K ----> L is itself a simplicial map, then the homomorphism
f* : H*(1) ----> H*(£) given by this definition is precisely that induced by
f itself.
This definition has the correct behavior under composition:
(7.3) THEOREM. If K L L !!... P, then g* 0 f* = (g 0 f)*; furthermore,

(id K )* = idH.(x)·
PROOF. Let 'IjJ : it(s) ----+ fY' be a simplicial approximation to 9, and rp :

x(m) ----+ it(s) a simplicial approximation to f : K ----+ L. With a pseudo-
identity map 1f : 2'(s) ----+ it, the map 1frp : x(m) ----+ i t is a simplicial
approximation to f : K ----+ L. The homomorphism 9* 0 f* is therefore
'IjJ* Sd! 0 1f* 0 rp* Sd~ = 'IjJ* rp* Sd~ (by Theorem (6.3))
= ('ljJrp) * Sd~ ,
and 'ljJrp : x(m) ----+ fY' is easily seen to be a simplicial approximation to 9 0 f .
The second assertion is evident. 0
We are now going to show that any two homotopic maps f,9 : P ----+ K
induce the same homomorphism. For this purpose, we observe that if I is
the unit interval and P is a polyhedron, then P x I has a natural simplicial
decomposition by taking for each (Po, . .. ,Pn) E fY' the family of simplices
{(Po x 0, ... ,Pi X 0, Pi xl, ... ,Pn xl) I i = 0, 1, . . . ,n}
together with all faces of such simplices. The desired result will be a conse-
quence of
(7.4) LEMMA. Let P be a polyhedron. If there are two continuous maps
a i- (3 : I I such that
----+
(id xa)* = (id x(3)* : H*(fY' x I) ----+ H*(fY' x I),

then for any polyhedron K, homotopic maps f,9 : P ----+ K induce the
same homomorphisms f* = 9* : H*(fY') ----+ H*(X).
PROOF . For any 7 E I, let kT : I ----+ I be the constant map kT(I) = 7. We
first show that
(id x k o)* = (id x kd* : H*(fY' x I) ----+ H*(fY' x I);
for since a i- (3, there is a 7 E I with ~ = a(7) i- (3(7) = 7]. Let f.L : I ----+ I
be an U rysohn function with f.L( 0 = 0 and f.L( 7]) = 1. Then
id x ko = (id x f.L) 0 (id x a) 0 (id X k T ),
id X kl = (id x f.L) 0 (id x (3) 0 (id x k T ),
so by passing to the induced homomorphisms in homology, the hypothesis
of the lemma gives our preliminary result.
To prove the lemma, let rp : f : : : 9 : P x I ----+ P, and let j : P ----+ P x I
be the embedding j(p) = (p, 0). We have
f = rpo (id x k o) oj,
9 = rp 0 (id x kd 0 j.
Passing to homology and using our preliminary result finishes the proof. 0
(7.5) THEOREM. Let P, K be finite polyhedra and f, 9 : P -+ K continu-

ous. If f ~ g, then f* = g* : H*(fj'J) -+ H*(X).
PROOF. Being a finite polyhedron, P x I has finitely generated homology,
so there are at most countably many distinct endomorphisms H* (fj'J x I)
-+ H*(fj'J x I). However, there are uncountably many distinct continuous
maps I -+ I, so that (id x a)* = (id x {3)* for some distinct a, {3 : I -+ I,
and applying the lemma completes the proof. 0
We are now in a position to show that the homology groups of a simplicial
complex are invariant under homeomorphisms of the supports: although the
homology groups are calculated using a specific simplicial subdivision, they
are in fact functions only of the underlying space.
(7.6) THEOREM (Topological invariance of simplicial homology). Let fj'J,
X be simplicial complexes, and Ifj'J1 , IXI their underlying spaces. Let
h: 1fj'J1 -+ IXI be a homeomorphism. Then h* : H*(fj'J) ~ H*(X).
PROOF. Let 9 : IXI -+ 1fj'J1 be the inverse of h. Since gh = id p and hg =
idK, we find from (7.3) that (gh)* = id* and (hg)* = id* and then that
g*h* = id and also h*g* = id; since these last two conditions imply that h*
is an isomorphism and g* its inverse, the proof is complete. 0
8. Triangulated Spaces and Polytopes

To give the homology a broader scope, we define a generalization of the
notion of a polyhedron that relaxes the restriction that the simplices be
rectilinear: specifically, we consider homeomorphic images of polyhedra.
(8.1) DEFINITION. A homeomorphism h of a space X onto a polyhedron
(P, Y') is called a triangulation of X. A space X together with a
triangulation h : X -+ P is called a polytope (or a triangulated space)
and is denoted by (X; h, P).
Obviously, every polyhedron is a polytope. To give a simple example of
a nonrectilinear polytope, let h be the central projection of the n-sphere
sn c Rn+1 onto the boundary of an (n + I)-simplex O"n+1 having the
origin as barycenter; then h : sn -+ a- n + 1 is a triangulation of sn, and
(sn; h, a- n +1) is a polytope.
Let (X; h, P) be a triangulation of the space X. Clearly, h-1(0") ~ 0" for
each simplex 0" E Y'; the family {h-1(0") I 0" E Y'} is called the simplicial
subdivision of the polytope, the set h -1 (0") being called an n-simplex when-
ever dim 0" = n. The notions of vertex, subpolytope, star, and barycentric
subdivision in (X; h, P) are obtained as inverse images under h of the corre-
sponding concepts in P: broadly speaking, we treat the sets h-1(0") C X as
if they were rectilinear simplices. If (X; h, P) and (Y; g, K) are polytopes, a

map r.p : X ~ Y is called simplicial if gr.ph- 1 : P ~ K is simplicial; because
h- 1 is uniformly continuous, X has subdivisions of arbitrarily small mesh,
and the simplicial approximation theorem carries over to polytopes.
If (X; h, P) is a polytope, we define H*(X; h, P) = H*(PJ'); whenever
(X;g,K) is any other triangulation of X, we have gh- 1 : P ~ K, so by
(7.6) , the group H*(X; h, P) is independent of the triangulation used, and
will be denoted simply by H*(X). If r.p : X ~ Y is a continuous map of the
polytope (X; h, P) into (Y; g, K), we define the induced homomorphism r.p* :
H*(X) ~ H*(Y) to be that induced by gr.ph- 1 : P ~ K; it is trivial to verify
that ('lj;r.p)* = 'lj;*r.p* whenever X ~ Y ~ Z , so as in (7.6), homeomorphic
polytopes have isomorphic homology. We remark that the converse is not
true: a point and the unit interval have isomorphic homology, but they are
not homeomorphic.
In the future, we will denote a polytope simply by X, whenever the
triangulation used is clear from the context; we also write K for both a
simplicial complex and its underlying space.
9. Relative Homology
The notion of homology in a simplicial complex K can be made relative
to a subcomplex L C K: Using the factor groups Cn(K)/Cn(L), a bound-
ary operator a : Cn(K)/Cn(L) - t Cn-1(K)/Cn-1(L) can be defined by
a[c n + Cn(L)] = [8c n + Cn-1(L)]; the homology of the chain complex
{Cn (K) / Cn (L ); a} is denoted by H * (K, L) , and called the homology of K
mod L, or the homology of K relative to L; and for any abelian group G,
one gets the relative homology groups Hn(K, L; G) over G by considering
Cn(K) ® G and its subgroup Cn(L) ® G.
The groups H*(K, L) can be expressed directly in terms of the chains
in K: Let
Z (K L) = {{C E Cn(K) 18c E Cn-1(L)}, n> 0,
n, Co(K) n = 0;
this is called the group of n-cycles of K mod L. Let
Bn(K, L) = Bn(K) + Cn(L)
= the subgroup of Cn(K) generated by Bn(K) and Cn(L);
this is called the group of bounding n-cycles of K mod L; the quotient group
Hn(K, L) = Zn(K, L)/ Bn(K, L)
is the nth homology group of K mod L. Note that if L = 0, then Hn(K, 0)
== Hn(K).
EXAMPLE 1. Let K = {p, q} be a complex consisting of two vertices, and

let L = {q}. Then Ho(p U q, q) = Z and Hi(P U q, q) = 0 for i > O. The
second assertion is obvious, since Ci(p U q) = 0 for i > O. As for the first,
we have Zo(p U q, q) = Co(p) ffi Co(q) and Bo(p U q, q) = Co(q), and because
Co(p) ~ Z, the assertion follows. Similarly, Ho(p U q, q; G) = G for any
abelian group G.
Let K and P be two simplicial complexes, with sub complexes L c K

and Q C P. A chain map T: (Cn(K), Cn(L)) ----> (Cn(P), Cn(Q)) induces, by
passing to the quotient, a chain map T : Cn(K)/Cn(L) ----> Cn(P)/Cn(Q),
and therefore a homomorphism T* : H*(K, L) ----> H*(P, Q); expressed di-
rectly in terms ofthe n-cycles of K mod L , we have T*[c+Bn(K)+Cn(L)] =
[TC+Bn(P)+Cn(Q)]. In particular, every simplicial map f : (K, L) ----> (P, Q)
induces a homomorphism f* : H*(K, L) ----> H*(P, Q).
Let L be a sub complex of K. One of the characteristic features of homol-
ogy theory is a long exact sequence that relates the homologies of K, Land
K mod L. To define this interrelation, let i* : Hn(L) ----> Hn(K) be induced
by the inclusion i : L '----> K, and let j* : Hn(K) ----> Hn(K, L) be induced by
the inclusion j : (K,0) ----> (K, L); specifically,
j*[c + Bn(K)] = [c + Bn(K) + Cn(L)];

and let 8* : Hn(K, L) ----> H n- 1 (L) be the homomorphism
8*[c + Bn(K) + Cn(L)] = [Be + B n- 1 (L)].
It is straightforward to verify
(9.1) THEOREM (Homology sequence of a pair). Let L be a subcomplex

of K. Then the sequence
••. ----> Hn(L) ~ Hn(K) ~ Hn(K, L) ~ H n- 1 (L) ~ .. ,

... ~ Ho(K) ~ Ho(K, L) ----> 0
is exact, which means that the image of each homomorphism is pre-
cisely the kernel of the next homomorphism. Moreover, a simplicial
map f : (K, L) ----> (P, Q) induces a homomorphism of the (K, L)
exact sequence into that of (P, Q), which means that in the diagram
... ~ Hn(L) ~ Hn(K) ~ Hn(K, L) ~ Hn-l (L) ~ ...
1(fIL). 1f• 1 f• 1(f IL) •
... ~Hn(Q)~Hn(P)~Hn(P,Q)~a Hn-l(Q)~'"

~>I< J", >I<
each square is commutative. o

By regarding the exact sequence of (9.1) as arising from a chain complex

and a subcomplex, we are led to a generalization: Starting with subcom-
plexes MeL c K, we have the chain complex {Cn(K)jCn(M)} and
subcomplex {Cn(L)jCn(M)}; the quotient complex is {Cn(K)jCn(L)}, so
we obtain, more generally,
(9.2) COROLLARY (Homology sequence of a triple). Let MeL c K be
simplicial complexes. Then there is an exact sequence
... -t Hn(L, M) -t Hn(K, M) -t Hn(K, L)
§
--+ H n - 1 (L,M) -t ... -t Ho(K,L) -t 0,
where all unlabeled homomorphisms are induced by inclusion maps,
and a
is the composition Hn(K, L) ~ H n - 1 (L) ~ H n - 1 (L, M).
Moreover , a simplicial map f : (K , L, M) - t (P, Q, R) induces a
homomorphism of the exact sequence of the triple (K, L, M) into that
of(P,Q,R). 0
It is clear that with M = 0, the exact sequence of (9.2) is precisely that
of (9.1).
EXAMPLE 2. Let K be a simplicial complex, and p a vertex of K. Then
Hi(K,p) = Hi(K) for all i > 0,
Ho(K,p) ~ Ker[Ho(K) ~ Ho(p)],
where 7r : K -t p is the constant map. For consider the exact sequence of
the couple (K,p); if i 2 2, we have Hi(P) - t Hi(K) - t Hi(K,p) ~ Hi-1(P)
exact with the two end terms zero, so Hi(K) ~ Hi(K,p) for i 2 2. The
terminal part of the exact sequence reads
Now observe that because the composition p ~ K ~ p is the identity

map, we have 7r*i* = id, so i* : Ho(p) - t Ho(K) is monic and Ho(K) =
Im i* EEl Ker 7r *. Using this information in the exact sequence, we find that
0* is the zero homomorphism, so that Hl(K) = H1(K,p), and Ho(K, p) =
H 0 (K) lIm i* ~ Ker 7r *, as asserted.
In particular, if K is connected, then Ho(K,p) = 0. The exact sequence
of the triple (K, L, p), p a vertex of L , is called the reduced homology se-
quence of (K, L); we remark that in calculations with exact sequences using
connected subcomplexes with vanishing homology, it is more convenient to
use the triple (K, L,p) because the cases i = 0, 1 do not require special
consideration.
Let A, B be any two sub complexes of a simplicial complex K. The in-

clusion map
e: (A,AnB) - 4 (AUB,B)
is called an exczswn: the pair (A, A n B) is formed from (A U B, B) by

removing from A U B all of B that is not in A. The second basic feature of
simplicial homology is the following result that the reader can easily verify:
(9.3) THEOREM. Let A, B be any two subcomplexes of a simplicial complex

K, and e : (A, A n B) - 4 (A U B, B) the excision. Then
for all n 2': o.

PROOF (sketch). Consider the homomorphism
p,: Hn(AUB,B) -4 Hn(A,AnB)
induced by the chain map generated by p,( (J) = (J if (J E A, p,( (J) = 0
otherwise, and investigate e* 0 p, and p, 0 e*. 0
EXAMPLE 3. Let K be a simplicial complex. The suspension EK of K is
the union of two distinct cones K +, K _ over K with K + n K _ = K. For ex-
ample, the suspension of the two-point complex SO = {p, q} is a polyhedron
homeomorphic to S1; the suspension of S1 is a polytope homeomorphic to
S2, and inductively, Esn ~ sn+1. To determine the homology of EK in
terms of K , we consider the exact sequences of the triples (EK,K_ , p) and
(K+,K+ nK_ , p) , where p is a vertex of K. For any n 2': 0, we have
where e* is induced by excision. Since Hi(K+,p) = 0 = Hi(K_ ,p) for all

i 2': 0 by Example 2, the 8* and j* are isomorphisms, and using (9.3), we
conclude that
o*e-;lj* : Hn(EK,p) == Hn(K+ U K_,p) ~ Hn-1(K+ n K_,p)
== Hn - 1(K,p)
for all n 2 1; clearly, Ho(EK,p) = 0 because EK is connected.
As an application, we find
for n ::; k , so by iteration,

Hn(Sk,p) ~ Ho(sk-n,p).
If n < k, then Ho(Sk-n,p) = 0 because sk-n is connected; if n = k, then
Ho(SO,p) = Ho(p U q,p) = Z. Thus, for any n 2 1, the homology of sn is
for i = 0, n,
otherwise.
With this result, it is easy to show that the boundary of an n-simplex,
n 2 1, is never a retract of the simplex, a proposition we have seen to
be equivalent to Brouwer's fixed point theorem. For assume that o(Jn is a
retract of (In, and let r : (In --t o(Jn be such a retraction. With i :o(Jn --t (In
we have r 0 i = id : o(Jn --t o(Jn, so in homology, r * i* = id. But this is
impossible because i* : Hn _1(o(Jn) --t Hn_1((Jn) is the zero homomorphism
whereas id : Hn_1(o(Jn) --t Hn_1(o(Jn) is the isomorphism Z --t Z. This
contradiction completes the proof.

(10 .1) Let K be a simplicial complex with Hn+I(K) = O. Let KI, K2 be subcomplexes
such that K = KI U K2. Show: If a cycle Zn in KI n K2 bounds in KI and also in K2,
then it bounds in Kl n K2 .
(10 .2) Let K be a simplicial complex. Two n-chains ef , e~ in K are called homologous ,
written ef '" e~, if ef - e~ = oen + l for some (n+ I)-chain en + l . Let L be a subcomplex of
K . Then: (i) a chain en = I: oiO"i is in L (written en C L) if 0i = 0 for each O"i E K - L;
(ii) en is a cycle mod L if oen c L; (iii) en bounds mod L if en '" en, where en c L.
(a) Prove the following statements:
1° The boundary of a cycle of K mod L bounds in L if and only if the cycle is
homologous mod L to a cycle in K.
2° A cycle of L is homologous to zero in K if and only if it is the boundary of a
cycle of K mod L.
3° A cycle of K is homologous to a cycle of L if and only if it is homologous to
zero mod L .
(b) Show that assertions 1°_3° are equivalent to the exactness of the homology se-
quence of the pair (K, L) .
(10.3) A connected simplicial complex K is called unicoherent if in each representation

K = Kl U K2 as a union of two connected subcomplexes, the intersection Kl n K2 is also
connected. Show: If K is a connected complex and Hl(K) = 0, then K is unicoherent.
[Use (10.1).]
(10.4) By a 2-dimensional pseudomanifold M is meant a 2-complex with the properties:
(a) each I-simplex is the face of exactly two 2-simplices and (b) M cannot be represented
as the union of two nonempty subcomplexes having no I-simplex in common. Let M
be a 2-pseudomanifold, and let ai denote the number of i-simplices, i = 0, I, 2. Show:
ao 2: (7 + yf49 - 24X)/2, where X = ao - al + a2·
[Because of property (a), we have 3a2 = 2al; moreover, al (~o).]s:
(10.5) Let K be a simplicial complex and L a sub complex. Let N be the number of
components of K that contain no elements of L. Show:
(a) Ho(K, L) is the direct sum of N copies of Z.
(b) If dim K s:
n + 1 and K n is the n-skeleton of K, then Hn+l (K, Kn) ~ Cn+l (K).
(10.6) Prove: dim K s: n if and only if Hn+l (K, L) = 0 for every subcomplex L c K.
[Take L = Kn.]
(10.7) Let K be a simplicial complex and *a vertex of K. Show:
Hn(K, *) ~ Hn(K), n > 0,

rank Ho(K, *) = -1 + rank Ho(K), n = O.
[Use the exact sequence for (K, *).]

(10.8) Let K be a simplicial complex, La subcomplex, and CL the cone over L. Show:
H.(K,L) ~ H.(KuCL,*).
[Use exactness to show that H.(K U CL, *) ~ H*(K u CL, CL) and excise CL - K.]
(10.9) Let Kl, K2 be sub complexes of K, and PI, P2 sub complexes of P. Assume
is a chain map such that both T* : H*(Kd ~ H.(Pl) and T* : H*(K2) ~ H*(P2). Prove:
T* : H*(KI n K2) ~ H*(PI n P2)
if and only if
[Use the exact sequences of (Kl, KI n K2) and (PI, PI n P2), then the 5-lemma, excision,
and the exact sequences of (KI U K 2, K2) and (PI U P2 , P2).]
(10.10) Let K = KI U Kz with KI C PI, Kz C Pz and K = PI U Pz· Assume that the
inclusions KI '-> PI and K2 '-> P2 both induce isomorphisms in homology. Show:
i* : H*(KI n K2) ~ H*(PI n Pz).

(10.11) Let K = KI U K2 and L C Kl n K2. Assume that H*(Kl, L) = H*(K2, L) = O.
Show:
[Use the (KI' KI n K2, L) exact sequence, excision, and the (KI U K2, K2, L) exact se-
quence.]
Simplicial complexes
The study of 1- and 2-dimensional simplicial complexes appears already in
the work of Euler and Cauchy. The early treatment of simplicial complexes
of higher dimensions was given by J .B . Listing (Der Census raumliche Com-
plexe, Gottingen, 1862) ; working on the topological ideas which had been
suggested to him by his teacher C.F. Gauss, Listing was, in fact , the first to
use the term "topology" in his Vorstudien zur Topologie, 1847.
Triangulations of differentiable manifolds and barycentric subdivisions
were treated for the first time by Poincare [1895] and used to establish
duality results for manifolds.
Simplicial complexes can be generalized in various directions . A descrip-
tion of infinite simplicial complexes is given later on, in §13. By relaxing
all "linearity" conditions, one arrives at the notion of CW-complex due to
J.H.C. Whitehead (see, e.g., Maunder's book [1970]) .
Simplicial maps and the simplicial approximation technique were devel-
oped by Brouwer. The version of the simplicial approximation theorem given
in the text was first proved by J.W. Alexander. There exists an important
relative version of this theorem, found independently by Jaworowski [1964]
and Zeeman [1964]; a detailed proof of their result can be found in Maun-
der's book [1970]. We remark that the Jaworowski- Zeeman theorem can be
used to justify the proof of the Brouwer fixed point theorem proposed by
Hirsch [1963] (see the above book of Maunder , and Joshi [1999]) and also
to give an elementary proof of the nonexistence of a continuous nonzero
tangent field on s2n (Jaworowski [1964]).
The fundamental concepts of the nerve of a covering and of the standard
map into the nerve (which appear in Theorem (4.4)) were introduced by
Alexandroff [1927] and Kuratowski [1933], respectively. The statement and
proof of Theorem (4.4) were given (in the context of metric spaces) by
Kuratowski [1933]; this proof made use for the first time of the technique of
partitions of unity.
Simplicial homology
The simplicial homology theory presented in this chapter is the result of the
work and influence of many mathematicians. Influenced by discussions and
correspondence with B. Riemann, E. Betti published in 1871 a memoir e)
(1) For details see A. Weil, Riemann, Betti and the birth of topology, Arch. History
Exact Sci. 20 (1979), 91-96. It should be remarked that Riemann gained some background
in topology from Listing, who was one of his professors in Gottingen between 1849 and
1851.
containing what is now called the "Betti numbers"; these were so named by
H. Poincare who was inspired to study topology through Betti's work on
the subject. The concept of the (integral) homology group of a polyhedron,
expressed in terms of numerical invariants (Betti numbers and torsion co-
efficients) was introduced by Poincare [1895], [1900] ; these invariants suffice
for the classification of the 2-dimensional manifolds. The proof of the topo-
logical invariance of Betti numbers for polyhedra was first given by J.W.
Alexander by applying the simplicial approximation technique of Brouwer.
Moscow, 1935. Top row : E. Cech, H. Whitney, K. Zarankiewicz, A. Tucker, S. Lefschetz,

H. Freudenthal , F .Frankl , J . Nielsen, K. Borsuk, D. Sintsoff, L. Tumarkin, M. Nikolaenko,
V. Stepanoff, E. van Kampen, A. Tychonoff. Bottom row : K. Kuratowski, J . Schauder,
S. Cohn-Vossen, P. Heegard, J. R6ianska, J.W. Alexander, H. Hopf, P. Alexandroff,
P. Soloveff.
The introduction of group-theoretic methods circa 1925 led to the ma-

chinery of chain complexes, homology groups with various coefficients (which
cannot be described by numerical invariants alone), and to cohomology. In
the 1920s, J.W. Alexander, S. Lefschetz and H. Hopf developed simplicial
homology theory attaining remarkable results, some of which are presented
in this chapter. The term "homology group" appears for the first time in
Vietoris [1927]. The reader interested in historical details is referred to the
book of Dieudonne [1989] and also to J.-C. Pont's thesis, La topologie alge-
brique des origines a Poincare, Presses Univ. France, 1974.
In connection with the proof of Theorem (7.5) see Schmidt [1974] .
§9. The Lefschetz- Hopf Theorem and Brouwer Degree 223
§9. The Lefschetz-Hopf Theorem and

Brouwer Degree
Some topological properties of polyhedra can be determined directly from

their homology: for example, the condition Ho(P) = Z implies (in fact, is
equivalent to) the connectedness of the polyhedron P. In this paragraph
we will obtain some algebraic conditions on a self-map of P that imply the
existence of a fixed point.
We first prove the Lefschetz- Hopf fixed point theorem: this involves an
alternating sum of the traces of the endomorphisms fn : Hn(P; Q) ~
Hn(P; Q) ; the relevant facts about traces are presented separately before
proceeding to the proof. After that, we show that the alternating sum of
the number of the nonzero eigenvalues (counted with their multiplicities) of
those endomorph isms also gives information about the map, this time on the
existence of periodic points. Some simple applications of these two results
are developed.
The use of homology is further illustrated by defining the degree of maps
sn ~ sn and giving some of its uses, notably to determine the fixed point
properties of such maps and also their behavior at antipodal pairs of points.
We establish Hopf's theorem that the (algebraically defined) degree does, in
fact, completely characterize the homotopy behavior of the map, and within
this algebraic setting we prove Borsuk's theorem once again.
1. Algebraic Preliminaries
Let C denote the field of complex numbers. Given an n x n matrix A = Ilaij II

with entries from C , the trace tr(A) of A is the sum L: aii of its diagonal
entries. We collect here various properties of the trace that will be needed.
Denote the determinant of any square matrix C by Ic!. Letting A denote
a variable in C, the polynomial p(A) = IA - All is called the characteristic
polynomial of A. Clearly,
p(A) = (_l)n An + alAn - 1 + .. . +an
is a polynomial of the nth degree, and the constant term an equals IAI; more
importantly, noting that the terms involving An and An - 1 can arise only from
the product (all - A). " (ann - A) in the expansion of the determinant , we
find that the coefficient of An - l is (-1 )n- l tr(A) . This immediately leads to
(1.1) PROPOSITION. Let A be an n x n matrix over C. If B is any non-

singular n x n matrix over C, then tr(BAB-l) = tr(A).
PROOF. Since the determinant of a product of n x n matrices is the product
of their determinants , we have

IBAB- 1 - All = IB(A - Af)B- 1 = IBI' 1 IA - All· IB- 1
1
= IA - All
so A and BAB- 1 have the same characteristic polynomials, and therefore,

in particular , the same trace. 0
The roots of the characteristic polynomial of A are called the eigenvalues
of A; because C is algebraically closed, every n x n matrix over C has exactly
n eigenvalues, not necessarily all distinct and nonzero; however
(1.2) PROPOSITION. Let AI, ... , An be the n eigenvalues of the n x n ma-
trix A. Then tr(AS) = 2:,7=1 Aj for every integer 8 ::::: l.
PROOF. Consider first the case 8 = 1. Writing
n
IA - All = p(A) = II (Aj - A)
j=1
shows that
p(A) = (_l)n An + (_l)n- l [L Aj] An- l + ... ;
since we know that the coefficient of An - 1 is (_l)n-l tr(A), the result for
8 = 1 is proved. Now let s ::::: 1 be given; recall that if w = e 21ri / s is an 8th
root of unity, then as -
AS = I1;:6(a -
wj A) for any complex number a;
numerical identities involving multiplication and addition being valid also
for commuting matrices , we have
AS - AS I = (A - Af)(A - wAf) ... (A - ws - 1Af),
so passing to determinants gives
s-l
lAS - AS II = II IA - wj All
j=O
n n n
j=1 j=1 j=1

Collecting terms and using the numerical identity repeatedly gives
n
lAS - AS II = II (Aj - AS),
j=1
and hence, since AS is arbitrary, lAS - p,II = I17=1(Aj - p,); the Aj are
therefore the eigenvalues of AS, and as in the case 8 = 1, the proof is
complete. 0
In what follows we shall be dealing for the most part with vector spaces
over the rationals Q, so we give here the facts and terminology we will use.
Let E be a finite-dimensional vector space over Q, and cp : E --t E a linear
transformation. The matrix A = Ila{ II of cp relative to a basis {U1' ... ,un}
in E is obtained by writing
n
cp(Ui) = La{uj, i = 1, ... , n, a{ E Q;
j=l
we define the trace tr(cp) of the endomorphism cp to be tr(A) and the eigen-
values of cp to be the eigenvalues of A. We point out explicitly that in talking
about eigenvalues, we regard matrices as being over C, so that every n x n
matrix over Q will have exactly n eigenvalues, some possibly complex.
(1.3) PROPOSITION . tr(cp), and the eigenvalues ofcp , depend only on cp and
not on the particular basis {U1' ... ,un} that is used.
PROOF. If {V1' ... , V n } is any other basis, we have Vi = '2:,7=1 Cf Uj, i

1, ... ,n, where C = IICf I is a nonsingular matrix over Q; the matrix of
cp relative to the basis {V1, ... , v n } is easily calculated to be C AC- 1 , so
by (1.1), this will have the same characteristic polynomial as A , and in
particular, the same trace as A. D
We remark that if r.p : E --t E has the matrix A relative to some basis,
then the k-fold iterate cpk : E --t E will have the matrix Ak relative to that
basis.
The following propositions express the two basic properties of the trace
of an endomorphism:
(1.4) THEOREM (Commutativity). If f : E' --t E" and g : E" --t E' are
linear maps of finite-dimensional vector spaces , then tr(g f) = tr(f g).
PROOF. Let {U1' ... ,un} be a basis in E' and {V1' ... ,vm } be a basis in E",
m n
f(Ui) = La{vj, g(Vj) = Lbjuk.
j=l k=l
Then we have
m n m
gf(Ui) = La{g(vj) = L (La{bj)Uk,

j=l k=l j=l
n m n
fg(vj) = Lbjf(Uk) = L (Lbja~)vl'
k=l 1=1 k=l
and therefore
n m m n
tr(gf) = L: (L:a{bj) = L: (L:bjaO =tr(Jg). o

k=1 j=1 j=1 k=1
(1.5) THEOREM (Additivity). Given a commutative diagram of finite-

dimensional vector spaces with exact rows
O~E'~E~E"~O
~/l ~1 ~lIl
O~E'~E~E"~O
then
tr(<p) = tr(<p') + tr(<p").
PROOF. We may assume without loss of generality that E' c E and E" =
E / E'. Let 7r : E ----* E" be the projection, let {U1,"" u r } be a basis of
E', and let {U1,"" U r , U r+1, ... ,un} be its extension to a basis of E; we
note that {7r ( U r + d, ... , 7r ( un)} is a basis for E". Let A' be the r x r matrix
of <p' with respect to {U1,'" ,U r }, and A" the (n - r) x (n - r) matrix
of <p" with respect to {7r(U r +1), ... , 7r(u m )}; then the matrix A of <p with
respect to {U1' ... , un} is easily seen to be of the form A = [ AI
B
0] ,and
A"
the conclusion follows. 0
2. The Lefschetz-Hopf Fixed Point Theorem
The Lefschetz- Hopf theorem, which we will establish in this section, includes
many of the known facts about the fixed points for maps of polyhedra.
Let K be a finite simplicial complex. Taking chains over a field F and a
chain transformation T of C*(K; F) into itself, we recall that each Cn(K; F)
is a vector space over F, each Tn: Cn(K;F) ----* Cn(K;F) is a linear trans-
formation, and each induced T*n : Hn(K;F) ----* Hn(K;F) is a linear trans-
formation of a vector space. The following relation between the traces tr( Ti)
and tr( T*i) is of fundamental importance:
(2.1) THEOREM (Hopf trace theorem). Let dimK = n, and let
T* : C*(K;F) ----* C*(K;F)

be any chain transformation. Then
n n
i=O i=O
PROOF. We use repeatedly Theorem (1.5) on additivity of traces. Using the

commutative diagram in (1.5) with the exact row
and then the commutative diagram with exact row
o -t Br(K; F) i
-t Zr(K; F) ~
-t Hr(K; F) -t 0
we get, for each 0 :::; r :::; n,
tr(Tr, Cr) = tr(Tr, Zr) + tr(Tr-1 ' Br- 1)
= tr(T*r, Hr) + tr(Tr, Br) + tr(Tr-1, Br-d·
Because Bn = 0 = B-1 , this gives
n n
L( _l)i trh, C i ) = L( _l)i tr(T*i, Hi),
i=O i=O
and the proof is complete. o

Now let K be a finite polyhedron, and let f : K - t K be a map. If we
use the rationals Q as coefficients, then each induced homomorphism fm :
Hn(K ;Q) - t Hn(K; Q), being an endomorphism of a finite-dimensional
vector space, has a trace trUm).
(2 .2) Let K be a finite polyhedron, dim K :::; n. The Lefschetz
DEFINITION .
number AU) of a map f : K - t K is
n
AU) = L( _l)i tr[f*i, Hi(K; Q)].
i=O
We first determine the nature of this number.
(2.3) THEOREM. Let K be a finite polyhedron and f : K - t K continuous.

Then AU) depends only on the homotopy class of f· Moreover , AU)
is always an integer, and does not change if Q is replaced by any
other field of characteristic 0, such as R or C.
PROOF. The dependence on the homotopy class of f is immediate because

homotopic maps induce identical homomorphisms. To see that AU) is an
integer, we will use the Hopf trace theorem. Letting f* = <p* 0 Sd:, where
<p : K(m) - t K is a simplicial approximation to f, we find from (2.1) that
n
AU) = L(-l)i tr (<pSd m ,Ci (K;Q)).
i= O
Working now III any Cr(K; Q) and using the basis {o-d of oriented r-
simplices of K , we have
Sdmo-i = L bijaj, all bij = 0, ±1, aj E K (m),
<P(ai) = L Cjko-k, all Cjk = 0 except possibly one, which is ±1,

so that
<pSdm(O"i) = LbijCjko-k
is the expansion of the linear transformation <p Sd m in terms of this basis.

Being a matrix of integers, it has an integral trace, so each tr( <p Sd m , C i ) is
an integer, and therefore )..(J) is an integer. Observe that the expression of
<p Sd m in t erms of the basis {o-d remains the same regardless of the field F
of coefficients used, and if the field has characteristic 0, then tr( <p Sd m , C i )
will also remain the same. This completes the proof. D
We now prove the main theorem of this section:
(2.4) THEOREM (Lefschetz-Hopf fixed point theorem). Let K be a finite
polyhedron, and let f : K
-+ K be a map. If )..(J) oj 0, then f has a
fixed point.
PROOF. Assume that f has no fixed point. Since K is compact , there is an
E > 0 such that d(J(x), x) 2: E for all x E K. Using repeated barycentric
subdivision, we start the proof by taking K with a fixed triangulation of
mesh < E/3.
Let <p : K(m) -+ K be a simplicial approximation to f. By the Hopf trace
theorem, it is enough to calculate the trace of <p Sd m : Cr(K; Q) -+ Cr(K; Q)
for each r, and for this purpose, we take each Cr(K, Q) with the basis {o-n
of all oriented r-simplices of K. Expressing <p Sd m in terms of this basis we
have
and therefore
In the last equation, no<p( TJ) = ±o-i: for if v is a vertex of any TJ C 0-:['
then f(v) E f[St(v)] C St<p(v), so that d(J(v), <p(v)) < E/3, and therefore
d(v, <p(v)) 2: d(v, f(v)) - d(J(v), <p(v)) 2: 2E/3;
so if <p( v) were also to belong to 0-:[' we would have 8 (o-j) 2: 2E /3, contra-
dicting that the mesh of the triangulation is < E /3.
Thus, tr(<pSd m , Cr(K; Q)) = 0 for each r, and by the Hopftrace theorem,
)..(1) = O. This completes the proof. D
One immediate consequence is a broad generalization of Brouwer's theo-

rem: A nullhomotopic map of any connected polyhedron always has a fixed
point. For f*i : Hi(K; Q) --t Hi(K; Q) is the zero endomorphism for all i > 0
and the identity automorphism of the I-dimensional vector space Ho(K; Q),
so AU) = I, and f has a fixed point. More applications will be given later.
We remark that the converse of (2.4) is not true in general: for example,
the identity map id : Sl --t Sl leaves every point fixed, and as the reader
will easily verify, A(id) = O.
3. The Euler Number of a Map. Periodic Points
Given f : K --t K, a point x E K is called a periodic point of f if fn(x) = X

for some n; the minimal such n is called the period of the periodic point. For
example, every fixed point of f itself has period 1, and for the antipodal map
sn
ex : --tsn, every point is a periodic point of period 2. In this tiection we
introduce an algebraic measure that provides an effective tool in the study
of periodic points.
(3.1) DEFINITION. Let K be a finite polyhedron, dim K ::; n. The Euler

number xU) of a map f : K --t K is
n
xU) = I)-I)idim [Hi(K;Q)/ U Kerf:7].
i=O rn2:1
We first examine the nature of this number.
(3.2) THEOREM. Let f : K --t K be a map of a finite polyhedron. Then

xU) is an integer depending only on the homotopy class of f. More-
over,
n
xU) = 2) -l)i/k(i),
i=O
where /k( i) is the number of nonzero eigenvalues (counted with mul-

tiplicities) of the endomorphism
PROOF. Since homotopic maps induce the same homomorphism, the first
assertion is obvious. To establish the second assertion observe that f*i maps
N f*i == Urn>l Ker f:7 into itself, and hence induces an endomorphism f~~ on
the factor space Hi(K) = Hi(K; Q)/N f*i' From the commutative diagram
with exact rows

o ~ N f*i ~ Hi(K) ~ Hi(K) ~ 0
lf~i 1f •i 1f~'i
O~Nf*i~Hi(K)~Hi(K)~O
we get as in (1.5) the relation between the characteristic polynomials Pf.i ()..)
= Pf;i()..)Pf;'i()..); since f~i is nilpotent, Pf;,()..) = )..s (8 = dim Nf*i), and
hence f*i and f~~ have the same nonzero eigenvalues. This implies, because
f~~ is an isomorphism, that /-l(i) = dimHi(K), and our assertion follows. D
(3.3) THEOREM (Bowszyc). Let K be a connected polyhedron, and let
f : K -+ K be a map. If xU) =I- 0, then f has a periodic point.
PROOF. For each q = 1, ... , n = dimK , let {Aqi I i = 1, ... , n(q)} be the
nonzero eigenvalues of the endomorphism f*q : Hq(K; Q) -+ Hq(K; Q), and
consider the rational function
L f (z) = 1 _
1
Z
n
+ ~ (-l)q 8
[n(q) 1 ]
1 - )..qi Z '
which is analytic around Z = O. We now get another expression for Lf(z)

by expanding each term in a power series around Z = O. This gives
Lf(Z) = + Z + z2 + .. . ) - [(1 + )..l1Z + )..i 1 z 2 + .. .)
(1
+ (1 + )..12Z + )..i2 Z2 + ... ) + ... J + ...
If we collect like powers of z, the coefficient of zk is the alternating sum of
the sum of the kth powers of the eigenvalues in each dimension; according
to (1.2), that coefficient is therefore )..U k ), the Lefschetz number of the
kth iterate of f. As for the constant term, it is the alternating sum of the
numbers of nonzero eigenvalues in each dimension, so the total, according
to (3.2), is xU). Altogether then, we obtain a power series representation
xU) + L
(X)
Lf(Z) = )..un)zn
n=l
valid in a neighborhood of Z = O.
Observe next that letting Z -+ 00 in (*) gives ILf(z)1 -+ 0, so if L f is
identically a constant, that constant must be zero. To prove the theorem,
assume xU) =I- O. Since xU) = Lf(O) =I- 0, the above observation assures
that L f is not identically constant, so some coefficient )..(r) is nonzero, and
r has a fixed point. The proof is complete. D
It is frequently of importance to determine, from the existence of a peri-

odic point for an f : K --+ K, whether or not f itself has a fixed point; the
following relation between the Lefschetz number of f and that of its iterates
has been useful in questions of this kind.
(3.4) THEOREM (The mod p theorem). Let K be a polyhedron, let f :
K --+ K be continuous , and let p be a prime. Then )..(fP) = )..(f) mod p.
More generally, if q = pS, where s is any positive integer , then
)..(r) = )..(f) mod p.
PROOF . As seen in (2.3), the matrix of the linear transformation corre-
sponding to fr# = 'Pr#Sd~ is a matrix A of integers; the matrix for f~#
is therefore AP , so the problem (in the case s = 1) reduces to showing
that for any matrix A of integers, tr(A) = tr(AP) mod p. We work with the
characteristic polynomials. Let
n n
IA - ),,11 = L ak)..k and lAP - ),,11 = L bk)..k;
k=O k=O
regarding these as elements of Zp[)..], we have
IA - ).P II = L ak)..k p = L a~)..pk mod p ,

because by Fermat's theorem, aP = a mod p for every integer a. Thus, work-
r
ing mod p we have
IA - = L a~)..kp = (L ak)..k = IA - )..lIP = I(A - )..I)P I

)..P II
= lAP - )"PII ,
so that "£ ak)..kp = "£ bk)..k p mod p; since tr(A) = (_1)n-l an _ 1 and tr(AP)
= (-1)n- 1 bn _ 1 , the proof for the case s = 1 is complete.
The general case follows from this by an obvious induction and the ob-
servation that if q = pS and r = ps-l , then = (r)P. r 0
4. Applications
We give here some simple and direct uses of Lefschetz and Euler numbers,
in fixed point problems and in some other areas of mathematics.
It has already been shown that any nullhomotopic map of any connected
polyhedron has a fixed point. We generalize this in
(4.1) PROPOSITION. Let K be a connected polyhedron and f : K --+ K
such that r
is nullhomotopic for some n . Then f has a fixed point.
PROOF . Observe first that if fn is nullhomotopic, then so also is fn+l: for
if If> : K x I --+ K shows that fn is null homotopic , then (x , t) 1--+ 1f>[J(x) , t]
shows that f n + 1 is nullhomotopic. We now start the proof. Choose a prime

p ~ n; using our observation recursively, we find that fP is nullhomotopic,
therefore f~i : Hi (K; Q) ---t Hi (K; Q) is the zero homomorphism for all
i > 0, and consequently, )..(fP) = 1. Since
)..(1) == )..(fP) mod p,

we have )..(1) # 0, and the proof is complete. o
Instead of restricting the map, we now restrict the spaces to get
(4.2) PROPOSITION. Let K be a connected polyhedron with Hi(K; Q) = 0
for all i > O. Then every continuous map f : K ---t K has a fixed
point.
PROOF. It is immediate from the definition of the Lefschetz number that

)..(1) = 1 for every f : K ---t K. 0
We remark that the hypothesis of (4.2) is satisfied by the cone over
any polyhedron (therefore, in particular, by a simplex) and also by any
even-dimensional projective space. The result (4.2) can be extended.
(4.3) PROPOSITION. Let K be a connected complex, and L a connected
subcomplex such that Hi(L; Q) = 0 for all i > O. Let f : K ---t K be
such that r(K) c L for some n. Then f has a fixed point.
PROOF. Choose a prime p ~ n. Since fn+l(K) = fn[j(K)] C fn(K) C L,
we find, by proceeding recursively, that fP(K) C L. We now factorize the
map fP : K ---t K as K ~ L ~ K, where i.p : K ---t L is the map x I--> fP(x)
and i : L ---t K is the inclusion, so that fP = ii.p, and therefore )..(1P) = )"(ii.p).
By the commutativity property (1.4) of the trace, )..(ii.p) = )..(i.pi), and since
L is a connected complex with Hi(L; Q) = 0 for all i > 0, we get )..(i.pi) = 1.
Thus, )..(1) == )..(1P) == 1 mod p, so )..(1) # 0, and f has a fixed point. 0
Placing somewhat weaker restrictions on the space than those in (4.2),

we get
(4.4) PROPOSITION. Let K be a connected complex with odd-dimensional
homology groups H2i+l (K; Q) all zero. Then every f : K ---t K has a
periodic point.
PROOF. The Euler number x(1) is greater than or equal to 1, since there
are no offsetting negative terms. 0
By its classical definition, the Euler characteristic of a polyhedron K

is X(K) = Li>o(-1)i rankCi (K;Z). This number is related to Euler and
Lefschetz numbers in the following useful
§9. The Lefschetz-Hopf Theorem and Brouwer Degree 233
(4.5) PROPOSITION. Let id : K ~ K be the identity map. Then
X(K) = >.(id) = X(id).

PROOF. If 0"1, ... ,O"s are all the q-simplices of K, then s = rankCq(K; Z);
since the chains 10"1, ... ,10"8 form a basis for Cq(K; Q), it follows that the
trace of id : Cq(K; Q) ~ Cq(K, Q) is exactly rank Cq(K; Z), so the Hopf
trace theorem gives X(K) = >.(id). Finally, the eigenvalues of the identity
map id* : Hi(K; Q) ~ Hi(K; Q) all being equal to 1, we find >.(id) = X(id),
and the proof is complete. D
All closed 2-manifolds except the torus and the Klein bottle have a
nonzero Euler characteristic, as also does every even-dimensional sphere;
these are therefore included among the polyhedra covered by
(4.6) PROPOSITION. Let K be a connected polyhedron with Euler charac-
teristic X(K) #- O. Then:
(a) any f : K ~ K homotopic to the identity map has a fixed point ,
(b) any homeomorphism h : K ~ K (homotopic to the identity or
not!) has a periodic point.
PROOF. Using (4.5), we find in case (a) that 0 #- X(K) = >'(id) = >.(1); in
case (b), because h is a homeomorphism, we have X(h) = X(id) = X(K),
The statement (4.6) (b) raises the question of the possible period of a
homeomorphism; this is considered in
(4.7) PROPOSITION. Let K be a connected complex and p a prime. If there
is a fixed point free homeomorphism h : K ~ K with h q = id for
some q = pS, then the Euler characteristic X(K) == 0 mod p.
PROOF. We have >'(h q ) = >'(id) = X(K), and therefore >'(h) == X(K) mod p.
If X(K) 1= 0 mod p, then h would have a fixed point. D
This can be interpreted as saying that if a manifold admits a nontrivial
fixed point free Zps-action, then p must be a divisor of its Euler characteris-
tic. Thus, for example, X(s2n) = 2, so that an even-dimensional sphere can
admit at most a Z2-action, and the antipodal map is an example of such an
action.
Our last application is to topological dynamics.
A semifiow on a polyhedron K is a continuous map f : K x R+ ~ K
such that
f(x, t + T) = f[j(x, t), TJ, x E K, t, T E R+,
f(x,O) = x, x E K.
A fixed point for the semiflow is a point Xo such that f(xo, t) = Xo for all
f has a degenerate orbit) .
t E R+ (i.e. ,
(4.8) PROPOSITION. If K is a finite polyhedron with X(K) =1= 0, then any

semifiow on K has a .fixed point.
PROOF. For each to E R+, we denote the map x 1-7 f(x, to) by fto ' Each fto
is homotopic to the identity: one need only set (x, g) 1-7 f(x , (1 - g)to) to
get a homotopy of fto to fo = id. By (4.6)(a) each fto has a fixed point . Let
An = {x I f(x , 1/2 n ) = x};
each An is nonempty, closed, and therefore compact; moreover, An => An+l
=> ... , since f(x , 1/2 n + 1 ) = x gives
By the finite intersection property, there i~ ~ome Xo E n~=l An; and since
f(xo, 1/2n) = Xo for each nEZ, we have f(xo, m/2n) = Xo for all natural m
and n. Because the set of dyadic rationals {m/2n} is dense in R+, continuity
of f ensures f(xo, t) = Xo for all t 2:: 0, and the proof is complete. 0
5. The Brouwer Degree of Maps sn ---+ sn

As an illustration of the use of homological methods, directly related to fixed
points, we study the properties of mappings of spheres into themselves. The
study of such maps arises naturally in an attempt to determine whether a
given map f : (Kn+l, 8Kn+l) ---+ (Rk+l, Rk+l - {O}) necessarily has a zero;
this question is reduced to the study of maps of spheres by considering the
map P : sn ---+ Sk given by x 1-7 f (x) / II f (x) II: if P is not nullhomotopic,
then f must have a zero.
In the present section we study the case where k = n; if k > n , then P
is always nullhomotopic (which implies that the given flS n has an exten-
sion over Kn+1 with no zero); if k < n, the study of P involves algebraic
machinery much more involved than that considered in this book.
Let n 2:: 1, let f : sn ---+ sn be a continuous map, and let f* : Hn(sn) ---+
Hn(sn) be the induced homomorphism. Choose a generator u E Hn(sn)
~ Z; then f* (u) = d . u for some integer d, positive, negative, or zero, and
clearly d completely determines the homomorphism. Moreover, d depends
only on f, and not on the generator selected: for if -u were used, then
f*(-u) = -f*(u) = -du = d(-u). This justifies
(5.1) DEFINITION. The (Brouwer) degree of a map f : sn ---+ sn is the
unique integer d(f) such that f * ( u) = d(f) ·U, where u is any generator
of Hn(sn).
The degree is a direct generalization of the winding number of analysis, with

which it coincides when n = 1; we give a direct geometric interpretation of
d(J). The homomorphism induced by f being that of a simplicial approxi-
mation, it is enough to give its geometric interpretation for a simplicial map
h : sn --+ En, different symbols being used for the n-spheres because they
are taken with possibly different simplicial subdivisions. Let {0"1' ... ,0" s} be
all the n-simplices of sn and {T1 ' .. . ,Tr } those of En; recall that we can ori-
ent these simplices so that Cn = 2::=1 O"i, ~n = 2:~=1 Ti are the basic cycles.
Now choose any n-simplex TO. Let p be the number of oriented simplices
such that h(O"i) = +TO , and k the number of those such that h(O"i) = -TO;
we call p - k the algebraic number of times that TO is covered. If d(h) is the
degree of h, we have h(cn ) = d(h)~n = (p - k)TO + C; because TO does not
occur in C, we must have p - k = d(h). Since TO is arbitrary, we conclude
that d( h) is the algebraic number of times that any given n-simplex of En
is covered.
Using this interpretation it can be easily verified that the map z 1-+ zn :
Sl --+ Sl has degree n , and moreover that if f : sn --+ sn has degree n, then
so also does its suspension Sf: sn+1 --+ sn+1; it follows that for any degree
d and any n ~ 1, one can therefore construct, by repeated suspension, a
map f : sn --+ sn of degree d.
The degree has the following elementary properties:
(5.2) PROPOSITION. Let n ~ 1, and let f , 9 : sn --+ sn. Then :
(a) d(J 0 g) = d(J) . d(g) ,
(b) if f c::: g, then d(J) = d(g),
(c) >..(J) = 1 + (-l)nd(J).
PROOF. (a) Since (J 0 g)* = f* 0 g* , we find that f*g*(u) = f*(d(g)u)
d(g)f*(u) = d(g) . d(J)u.
(b) is immediate because homotopic maps induce the same homomor-
phism, and (c) follows from the Lefschetz- Hopf theorem because Hi (sn) =
for i i= 0, nand Hn(sn) is a one-dimensional vector space. 0
°
We remark that (b) is in fact an equivalence. It was shown by H. Hopf
that the degree characterizes the homotopy class of f. We shall give a proof
of this important result in Section 8.
The degrees of some maps are easily calculated.
(5.3) PROPOSITION . (a) id: sn --+ sn has degree +l.
(b) A constant map sn --+ sn has degree O.
(c) The antipodal map a : sn --+ sn has degree (-1) n+ 1 .
PROOF. (a) and (b) are obvious from the definition; for (c), note that a
has no fixed points, so by the Lefschetz- Hopf theorem, 0 = >..(a) = 1 +
(-1) n d(a), completing the proof. 0
The degree of a map gives information about its global behavior:

(5.4) THEOREM. Let f : sn ---) sn be given.
(a) If d(f) =1= (-1) n+ 1, then f has a fixed point.
(b) If d(f) =1= 1, then f sends some point to its antipode.
PROOF. (a) Assume f has no fixed point; then 0 = A(f) = 1 + (-l)nd(f) ,
and so d(f) = (_l)n+l, which proves (a). To establish (b), assume that f
sends no point to its antipode, i.e., f(x) =1= a(x) for all x E sn; this implies
that a 0 f(x) =1= x for all x E sn, so af has no fixed point. By (a), we must
therefore have
(_l)n+l = d(a 0 1) = d(a) . d(f) = (-It+ 1 d(f) ,
so d(f) = +1, and the proof is complete. o
Because the sign of ( _1)n+l depends on the parity of n, we shall see that
there are fundamental differences in the behavior of self-maps of even- and
of odd-dimensional spheres.
6. Theorem of Borsuk-Hirsch
The degree gives information about fixed points and points sent to antipodal
points. The Borsuk- Hirsch theorem, which we will establish in this section,
shows that the parity of the degree determines the behavior of the map at
antipodal pairs of points.
Recall that a map f : sn ---) sn is antipode-preserving if fa = af; we call
f antipode-collapsing if fa = f. We again begin by calculating the degree
of some maps. The first part in the following theorem is the homological
version of Borsuk's antipodal theorem:
(6.1) THEOREM. Let f : sn ---) sn.
(a) If f is antipode-preserving, then d(f) is odd.
(b) If f is antipode-collapsing, then d(f) is even.
PROOF. In the proof of both (a) and (b), we shall take sn with the tri-
angulation used in the combinatorial lemma, so that for each simplex of
the triangulation, a( 0") is also a simplex of the triangulation; clearly, every
barycentric subdivision of sn will also have this property.
(a) Let h : sn ---) sn be an antipode-preserving simplicial approximation
to f. By the combinatorial lemma, h maps an odd number of simplices onto
the main simplex of sn, so by our description of degree, d( h) = d(f) is odd.
8''+ ---)
(b) Let h : sn be an antipode-collapsing simplicial approximation
to f. Each n-simplex T of sn will now be covered an even number of times:
if 0" C s+. is mapped onto T, then a( 0") is a simplex in S'2 having the same
image as (T. Thus, the algebraic number of times a simplex of sn is covered

is even, and so d(J) is even. This completes the proof. 0
(6.2) THEOREM. Let f : sn ----) sn.
(a) (G. Hirsch) If d(J) is odd, then f must send some antipodal pair
of points to an antipodal pair of points.
(b) (Borsuk) If d(J) is even, then f must send some antipodal pair
of points to the same point.
PROOF. (a) Assume that antipodal pairs never have antipodal images, so
that fa (x) =1= af(x) for each x. This means that fa(x) and f(x) are never
opposite, so that the segment joining them does not go through the origin.
Projecting these segments from the origin onto the sphere gives a homotopy
from fa to f, specifically,
(1 - t)fa(x) + tf(x)
F(x, t) = 11(1 - t)fa(x) + tf(x)ll·
In particular, f is homotopic to
fa(x)
1 + f(x)
F(x, 2) = Ilfa(x) + f(x)ll·
Call this map <P; it is clear from its definition that <P(ax) = <P(x), i.e., <P is
antipode-collapsing. Since f ~ <P, we have d(J) even, and (a) is proved.
To prove (b), assume that antipodal points never have the same image.
Since fa(x) =1= f(x), it follows that fa(x) and af(x) are never opposite,
therefore are homotopic. As before,
F (1 - t)fa(x) + taf(x)
(x, t) = 11(1 -t)fa(x) + taf(x)11
is a homotopy. Letting <P(x) = F(x,~) we find that af is homotopic to
fa (x) + af(x)
<P(x) = Ilfa(x) + af(x)ll·
Note now that a<P( x) = <Pa (x), so that <P is antipode-preserving. Conse-
quently, a<P is also antipode-preserving, and since a<P ~ aaf = f, we con-
clude that d(J) is odd. This completes the proof. 0
7. Maps of Even- and of Odd-Dimensional Spheres

In this section we apply (5.4) to obtain fundamental differences in the be-
havior of self-maps of spheres which depend on the dimension of the sphere
being odd or even.
(7.1) THEOREM. Every map f : s2n ----) s2n has a fixed point and/or sends
some point to its antipode. Precisely:
If d(f) #- ±1 , then f has a fixed point and sends some point to its
antipode.
If d(f) = +1, then f has a fixed point.
If d(f) = -1, then f sends some point to its antipode.
PROOF. Because (-1) 2n+l = -1, every map has a degree differing from at
least one of +1 and -1; the result follows from (5.4). 0
(7.2) THEOREM . Every map f : s2n+1 -+ s2n+1 with degree #- +1 has a
fixed point and sends some point to its antipode. If d(f) = +1, it may
have both, only one, or none of these features.
PROOF. In this case, (_1)(2n+1)+1 = +1. We consider the case d(f) = 1.
Here, id and ct both have degree + 1, and each has only one of the two
properties. The map
has no fixed point, and sends no point to its antipode (therefore has de-
gree 1). Finally, if we start with the map c.p : S1 -+ S1 of degree +1 given
by
which has both a fixed point and sends some point to its antipode, repeated
suspension of this map will give examples of maps having degree + 1 and
both properties. 0
This difference has two immediate consequences.
(7.3) COROLLARY. Every rotation (i.e., orthogonal transformation of de-
terminant +1) of s2n has a fixed axis; but there are rotations of
s2n+1 having no fixed axis.
PROOF. A rotation is an antipode-preserving map that is homotopic to the
identity, and therefore has degree +1. For S2n, this must have a fixed point,
so its antipode will also be fixed, and these provide a rotational axis. For
s2n+1 , the map R in (7.2) is a rotation that has no fixed points. 0
Denote by T(x) the n-dimensional hyperplane in Rn+1 tangent to sn
at x E sn; translated to the origin, it is an n-plane Lx perpendicular to
the vector x. A continuous, nonvanishing, tangent vector field on sn is a
continuous map assigning to each x E sn a nonzero vector in Lx.
(7.4) COROLLARY (Poincare- Brouwer). There is no continuous nonvan-
ishing tangent vector field on S2n ; such fields exist on s2n+ 1 .
PROOF. Assume that c.p were such a field; the rule f(x) = c.p(x)/IIc.p(x) II
would then give a map f : sn -+ sn that has no fixed points and sends no
point to its antipode . By (7.1) this is impossible for s2n. In the case of an
s2n+ 1 however, the map sending
to the vector with components
defines a continuous nonvanishing tangent vector field. o

8. Degree and Homotopy. Theorem of Hopf
We have seen that homotopic maps have the same degree. Our objective in
this section is to prove the converse, thereby attaining Hopf's theorem that
two maps sn ~ sn are homotopic if and only if they have the same degree:
their behavior in homology therefore completely determines their behavior in
homotopy, so for example, the antipodal map of an odd-dimensional sphere,
having degree +1 , is homotopic to the identity map. The proof of Hopf's
theorem given here will be inductive, based on first showing that for n ~ 2,
each I : sn ~ sn is homotopic to the suspension of some 9 : sn-l ~ sn-l.
We use the symbols sn, En for the n-sphere to distinguish it as domain
and as range; sn has n+ (respectively n_) and En has 8+ (respectively L)
as its north (respectively south) pole; the northern (respectively southern)
hemisphere of sn is denoted by S~ (respectively S::.) and its equatorial
sphere by sn-\ analogously for En. Given a small disk D c S~ centered
at n +, we will frequently use the following homeomorphism h : sn ~ sn,
called the radial projection identifying D with S~: each arc of a great circle
from n+ to n _ meets aD at x and sn-l at ~(x); h maps the arc n+x linearly
onto n+~(x) , and xn_ linearly onto ~(x)n _. Since h : (sn, D) ~ (sn, S~) is
bijective and continuous, it is a homeomorphism; and because x and h(x) are
never antipodal, h:::: id, as also h- 1 :::: id . The radial projection identifying
a disk centered at n_ with S::. is defined in an entirely analogous manner.
The crucial result is
(8.1) LEMMA. Let n ~ 2. Then each I : sn ~ En is homotopic to a map
!.p such that !.p-l(8+) is either empty or a single point.
PROOF. Triangulate En so that 8+ and L are interior points of n-simplices.
Using a sufficiently fine barycentric subdivision on sn, we can assume that
I: sn ~ En is simplicial. Only the case 1- 1 (8+) "# 0 has to be considered,
and because 8+ is in the interior of an n-simplex, I-I (8+) consists of finitely
many points, PI, ... ,p s , at most one in each n-sim plex of the triangulation
of sn. Similarly, I-I (L) is a finite set.
Because n ~ 2, the finite set I-I (L) does not disconnect sn, so there is a
polygonal path A running from PI to P2 to P3, . .. , to Ps that avoids I-I (L);
each x E A therefore has a spherical neighborhood Vx such that f(Vx ) c

En - {L}. It follows that the compact set A has a covering {VI, ... , VT } by
finitely many open balls such that PI E V1,Ps E VT , V; n V;+1 # 0, f(Vi ) c
En - {L}, and no Pj lies on any 8V;. Since f(U Vi) is a closed set avoiding
L, there is a closed disk LL centered at L that it avoids also; using a radial
projection h identifying LL with E~, we can assume (since h 0 f c:::::' f) that
f(Vi ) C interior of E+ for each i = 1, ... ,T.
We now change f on VI to get a map F1 : sn --+ En homotopic to f and
such that VI nF1- 1(6+) is any single point Xl E VI nv2 : replace fIV1 by the
map r : VI --+ En that, for such X E 8V1, sends the segment XIX linearly
onto 6+f(x). Then
F 1 (x) = {f(X),
r(x),
is continuous; moreover, for X E VI, both r( x) and f (x) belong to the interior
of E+ , so FI (x) and f (x) are never opposite, and therefore F1 c:::::' f; finally,
VI n F1- 1(6+) = {xd. This process is called concentrating VI n f- 1(6+)
at Xl.
Now repeat this process with F1 and V2, concentrating V2 n F 1- 1(6+) at
an X2 E V2 n V3 to get F2 : sn --+ En homotopic to F 1, and therefore to f;
and we have F 2- 1 (6+) C V2 U ... U VT . Proceed recursively in this manner:
at the kth stage, F; 1 (6+) C Vk U ... U VT ; concentrating Vk n F k- 1(6+) at an
Xk+1 E Vk n Vk+ 1 yields an F k+ 1 : sn --+ En homotopic to Fk c:::::' f such that
F k-.t\ (0+) c Vk+1 U··· U VT . At the last stage, concentrating VT n Fi21 (6+)
at Ps, we obtain FT c:::::' f with Fi 1 (6+) = Ps, and the proof is complete. 0
(8.2) THEOREM. Let n :::: 2. Then each f : sn --+ En is homotopic to the
suspension of some g : sn-l --+ En-I.
PROOF. If f- 1 (6+) = 0, then f is nullhomotopic, and the conclusion is
obvious. By Lemma (8.1), we can assume f- 1(6+) = n+, by a rotation if
necessary. Choose a small closed disk LL centered at 6_; since f is contin-
uous, there is a disk D centered at n+ such that f(D) C En - LL; on the
compact sn - D , no point goes to 6+, so f(sn - D) c En - .:1+ for some
disk .:1+ centered at 6+.
We now use a "radial projection" s : En --+ En that pushes 8.:1+ and
8.:1_ onto En - I: for each X E En-I, let 6+x6_ be the arc of a great circle
through x; it meets 8.:1+ at ~+ and 8.:1_ at ~ _ ; s maps 6+~+ linearly onto
6+x , ~+~_ onto the point x, and ~_L linearly onto xL. Then sf(D) C E+
and sf (sn - D) c E~; moreover f (x) and sf (x) are always on the same
arc of a great circle, so are never antipodal, and therefore f c:::::' sf. Taking a
radial projection h identifying D with 8+ we have sfh- 1 : (8 n , 8+, 8~) -----)

(En , 17+, E~) and sfh- 1 ~ sf because h- 1 ~ id. Now let 9 = sfh- 1 18 n- 1 :
8 n- 1 -----) En-I., then the suspension 8g .. (8 n ,+,
8 n 8 n- ) -----) (En , En+ ,En).
-, so
since 8g(x) and so f 0 h- (x) are never antipodal, they are homotopic, and
1
the theorem is proved. 0

We now prove the main result:
(8.3) THEOREM (Hopf). Let n 2: 1. Then f, 9 : 8 n -----) 8 n are homotopic
if and only if they have the same degree.
PROOF. It is enough to show that if deg(J) = deg(g) , then f ~ g, since the

converse is already known. We consider first the case n = 1. Regarding 8 1
as Rj Z , the reals modulo 1, an f : 8 1 -----) 8 1 is determined by a continuous
F : R -----) R such that F(x + 1) - F(x) == N, where N is some integer,
positive, negative, or zero: the function F determines the map f : 8 1 -----) 8 1
given by e21rit ~ e 21riF (t), and in the other direction, if f : 8 1 -----) 8 1 is given,
then F is a branch of 2;'i log f (e 21rit ) continuous on R. It is straightforward
to verify that f : 8 1 -----) 8 1 has degree N if and only if its representing
function satisfies F(x + 1) - F(x) == N. Now let g: 8 1 -----) 8 1 be z ~ zN; it
is represented by G(x) = Nx. Given any map f : 8 1 -----) 8 1 of degree N, we
show that it is homotopic to g: for if f is represented by F, then
<P(x , t) = exp(27ri[tF(x) + (1 - t)G(x)])
is a homotopy of 9 to f because <P(x + 1, t) - <.p(x, t) == N, so that <P(x, t)
represents a map of 8 1 into 8 1 for each fixed t. Thus, all maps of degree N
are homotopic to g, and therefore to each other, so the theorem is proved
for n = 1.
We proceed by induction. Assume the theorem is true for k = n -1, and
let f, 9 : 8 n -----) 8 n have the same degree. By the previous theorem, f and
9 are homotopic to the suspensions 8 J', 8 g' of maps 1', g' : 8 n - 1 -----) 8 n - 1 ;
since the suspension of a map and the map have the same degree, we have
deg(J') = deg(g') , so by the induction hypothesis, J' ~ g'. Suspending that
homotopy shows that 8 J' ~ 8 g' , and therefore f ~ g. Thus, the theorem is
true for k = n; this completes the induction, and the proof. 0
9. Vector Fields on Spheres

Let A c Rn+1 . A vector field on A is a continuous map f assigning to each
a E A a vector at the origin in Rn+\ the vector field f is said to have a sin-
gularity at a E A if f(a) = O. The study of vector fields is important in many
areas of mathematics; for example, they arise in attempting to determine
the global properties of solutions of ordinary differential equations.
A continuous vector field f on A determines a map F : A ---; Rn+l by

x X - f(x), and if the field is nonvanishing, no point of A is kept fixed
f----t
by F. Conversely, if F : A ---; Rn+l is any continuous map, then the map

f(x) = x - F(x) is called the vector field associated with the continuous
map F, and is nonvanishing only if F has no fixed point.
Take A = Kn+\ if f is a vector field with no singular points on 8Kn+l
= sn, then the map CJ : x f----t f(x)/llf(x)11 : sn ---; sn is well defined; the
degree x(f) of cf is called the characteristic of the vector field. Note that
the characteristic is determined by flS n and depends only on the directions ,
and not on the lengths, of the vectors. Using these concepts, many results
of the previous sections can be given additional geometric context. We list
some of these interpretations; most are based on the technical results.
1. If f is a nonvanishing vector field on Kn+l, then its characteristic is
zero.
For cf is then extendable to a map of K n+ 1 into sn.
2. The field of outward normals on sn has characteristic + 1, that of
inward normals has characteristic (-1 )n+l.
For cf is the identity map in the first case , and the antipodal map in the
second.
3. (Poincare-Bohl) If two nonvanishing vector fields on sn have different
characteristics, then there is at least one point at which the vectors
are opposite.
For otherwise, the maps cf , cg would never be antipodal, and therefore would
be homotopic.
4. Every nonvanishing vector field on sn with characteristic i- + 1 has
an inward normal; every nonvanishing vector field with characteristic
i- (_1)n+l has an outward normal.
This is a reinterpretation of (5.4). Similarly, from (6.2) follows
5. Let f be a nonsingular vector field on sn. Then there exists a pair of
antipodal points at which the vectors are parallel.
For a reinterpretation of (6.2) we have
6. Let f be a nonsingular vector field on Kn+l. Then there exists a pair
of antipodes at which the vectors have the same direction.
For d(cf) = 0; if the vectors at antipodal points never have the same direc-
tion, then cf sends no antipodal pair to the same point, and therefore must
have odd degree. This is a contradiction.
A. Degree and the Lefschetz- Hopf theorem

(A.l) (Fundamental theorem of algebra) Let p(z) = Co + qz + .. . +cnzn be a complex
polynomial of degree n > 1. Show: p(zo) = 0 for some Zo E C .
[Suppose that p(z) i= 0 for all z E C with Co, Cn i= O. Set
P( z ) = coz n + C1Zn-1 + ... + Cn-1Z + Cn for z E C ,

and for ( E Sl and t E [0 , 1] let
p(t()
f((, t) = P(t/ () '
To get a contradiction, show that ((, t) f-> f((, t)/I!(( , t)1 defines a homotopy Ht : Sl - t
Sl joining a constant map Ho to the function H1 given by ( f-> c;n, which is impossible,
because d(Ho) = 0 and d(H1) = n .]
(This proof is due to Burckel [1981].)
(A.2) Let f , g : S2n - t S2n. Prove: At least one of f , g, g o f has a fixed point.
[Use d(g 0 f) = dg · df .]
(A.3) Let f : S2n - t S2n. Show:
(a) Either f or f2 has a fixed point.
(b) Either f has a fixed point , or else there is a point Xo E S2n such that both Xo
and - x o are fixed points of f2 .
(A.4) Let f : R2n+1 -t R2n+1 . Show: There are x i= 0 and A E R such that f(x) = AX.
(A.5) (Generalized Borsuk- Ulam theorem) Let K be a polyhedron and T : K -t K
periodic, of period 2. Assume that there is a 9 : Sn - 1 - t K such that
sn-1~K
n1 1T
Sn - 1~K
commutes, where ex is the antipodal map. Show: If H n -1 (K) does not contain an infinite
cyclic subgroup, then for each f : K -> R n there is ayE K with f(y) = fT(y).
[Assume f : K - t R n with f(y) i= fTy for all y; then with
f(y) - fTy
F(y) = IIf(y) - fTyll
we get a commutative diagram

K~sn - 1
Tl 1n
K~sn-1
This gives us exFg = Fgex , so that Fog is antipode-preserving, so has odd degree,
F.g.(b n -1) = (2k+l)b n _1 (where bn - 1 is a generator of H n _1(sn - 1)) . Now, g. (b n - 1) E
H n -1(K), and for any integer s , F.[sg.(b n - 1)] = sF.g.(b n - 1 ) = (2k + 1)sb n - 1 i= O.
Therefore, g.(b n - 1) i= 0, and {g.(b n - 1)} generates an infinite cyclic group.]
(A.6) (Dugundji-Fan theorem) Let T be a triangulation of the boundary of an n-simplex

(7 = (po, . . . ,Pn). To each vertex vET assign arbitrarily a number T(V) E {O, 1, ... , n}
and define r.p : T ---> Cr by v f--t PTe v) . This map is simplicial, and has degree d, obtained
by counting the algebraic number of (n - I)-simplices of T that are mapped into a fixed
(n - I)-face of Cr. Let f2k be the algebraic number of simplices in T of dimension k that
receive the same labels as the subscripts of their carriers in Cr. Show:
n-l
2)-llf2k = 1 + (_I)n - 1d.
k=O
[The Lefschetz number '\(r.p) is 1 + (_I)n - 1 d. Using the Hopf trace theorem, compute
this by working with the traces of the chain map r.p SdT, and taking the k-faces of (7 as
basis for the k-chains. Observe that SdT s = the sum of all simplices of T carried by
s = (Pia' . .. , Pi k ), so to say that r.p SdT s = .. . + as + ... means that a is the algebraic
number of those simplices of T of dimension k carried by s that receive the labels io, ... , ik .
Since ,\( r.p) = 2:~~ol (_I)k tr( r.p SdT), this completes the proof.]
B. Vector fields
(B.l) Show: A vector field f : (Kn+l, Sn) ---> (Rn+l, Rn+l - {O}) is essential if and only
if xU) =/0 O.
(B.2) Prove: Two vector fields f, 9 : (Kn+l, Sn) ---> (Rn+l , Rn + 1 - {O}) are homotopic
if and only if xU) = x(g).
(B.3) Let f : (Kn+l, Sn) ---> (Rn+l, R n + 1 - {O}) be a vector field such that the vectors
at antipodal points never have the same direction. Show: xU) is odd.
(B.4) Let f : (Kn+l, Sn) ---> (Rn+l, R n + 1 - {O}) be a vector field. Show:
(i) If xU) =/0 1, then f has an inward normal.
(ii) If x(f) =/0 (_1)n+r, then f has an outward normal.
(iii) If n is odd and xU) =/0 1, then f has an outward normal and an inward normal.
(iv) If n is even and xU) =/0 ±1, then f has an outward normal and an inward norma l.
(v) If n is even, then f has a normal.
(B.5) Let f : (Kn+l, Sn) ---> (Rn+l, R n + 1 - {O}) be a vector field. Show: Either f has
singularities or x(f) = o.
(B.6) A vector field f : Sn --> R n + 1 - {O} is directed inward (outward) at x E Sn if f(x)

lies on the same (opposite) side of the tangent plane to Sn at x as Sn itself. Clearly, if
f is directed inward everywhere, then - f is directed outward everywhere , and vice versa.
Let f : (Kn+l, Sn) ---> (Rn+l , Rn +1 - {O}) be a vector field. Show:
(a) If f lsn is directed inward everywhere , then xU) = (_l)n+l and f(xo) = 0 for
some xo E Kn+l.
(b) If flS n is directed outward everywhere, then x(f) = 1, and f(xo) = 0 for some
xo E Kn+l.
(B.7) Show: A vector field f : Kn+l ---> Rn+l - {O} is somewhere on 8K n +1 inward
normal and somewhere outward normal.
(B.8) Let f : K n + 1 --> R n + 1 - {O}. Show: There is a pair of antipodes on 8K n + 1 at

which the vectors are parallel.
The Lefschetz- Hopf fixed point theorem

This is the basic fixed point result formulated in homological terms. It was
first discovered for compact manifolds by Lefschetz [1923]' [1926] and then
extended by him (Lefschetz [1927]) to manifolds with boundary. Hopf [1928]
gave a completely different, simple proof for arbitrary polyhedra; this is
essentially the proof given in the text. Various extensions of the Lefschetz-
Hopf theorem will be found in Chapter V.
Converse of the Lefschetz- Hopf theorem

Because >.(1) is a homotopy class invariant, the converse of the Lefschetz-
Hopf theorem is the statement: If >.(1) = 0, then there is some 9 :::: f having
no fixed point. This is false , in general, even for self-maps of polyhedra.
However, the converse is true for a broad class of polyhedra: Say that a
polyhedron K is of type (>.) if dim K 2: 3 and the star of each vertex has
connected boundary (thus includes all the n-manifolds, n 2: 3). Then the
converse is true for all simply connected polyhedra of type (>.).
The converse of (4.6)(a) is the statement: If the Euler characteristic
X(K) = 0, then there is a fixed point free f : K -7 K that is homotopic
to the identity. This is also false in general. However, it is true whenever K
is either a manifold or any polyhedron of type (>.). For further details, see
R.F. Brown [1966].
Existence of periodic points

The first result on the existence of periodic points was established by Fuller
[1953], to whom (4.6)(b) is due; for (4.4) the reader is referred to Hajek
[1964]. These results are special cases of Theorem (3.3) proved by Bowszyc
[1969]. Bowszyc introduced the Euler number and the periodicity number of
a map, and using these invariants, established a more general result. These
notions will be treated in more detail in Chapter V. For other closely related
results on periodic points see Kelley- Spanier [1968], Halpern [1968], and also
the survey by Fadell [1970].
Applications of the Lefschetz-Hopf theorem

Theorem (3.4) is a special case of a more general result due to Zabre'iko-
Krasnosel'ski'l [1971], and independently, Steinlein (see Steinlein [1980]). The
first direct proof of (3.4) was given by Peitgen [1976]. Theorems (4.1) and
(4.3) are the simplest results in the so-called asymptotic fixed point theory.
Theorem (4.3) was found by Bourgin [1956a], and independently, by Berstein
[1957]. Theorem (4.7) is due to Floyd [1952] and Theorem (4.8) to Myshkis
[1954]. G. Hirsch [1943] observed that Borsuk's antipodal theorem can be
obtained using the Lefschetz-Hopf theorem.
The B1"U'U'WtT degree
The general notion of topological degree of a map between orient able man-
ifolds is due to Brouwer [1912]; he gave some of its properties and used
it to settle some significant questions such as domain invariance in Rn.
The related notion of the characteristic xU) of a "vector field" f : sn - t
Rn+1 - {O} (xU) = d(!), J = f Illfll) was developed by Kronecker in a
series of papers in 1869- 1878, studying existence of common zeros for a
given system of real-valued functions. In the differentiable context, he ex-
pressed it by an integral, which he showed to be integer-valued; its value is,
in fact, equal to xU) as defined above. Kronecker's ideas were elaborated
by Hadamard [1910], who also gave numerous geometric applications.
Theorem (6.1)(a), proved by Hopf (see Alexandroff-Hopf [1935], p. 483),
represents a homological version of Borsuk's antipodal theorem. Part (a)
of (6.2) is due to G. Hirsch [1946]; part (b) of (6.2) was established by
Borsuk [1937].
Degree and homotopy theorem of Hopf
Let [sn, sn] denote the set of homotopy classes of maps of sn into itself.
The bijectivity of deg : [sn, sn] - t Z for n = 2 is due to Brouwer [1912]'
and for arbitrary n to Hopf [1927]. The proof of the theorem of Hopf (8.3)
is an adaptation of that given in Dugundji 's book [1965]. Theorem (8.2) in
a different form was established by Borsuk [1933b].
Vector fields on spheres
The nonexistence of a continuous nonzero tangent vector field on S2 was

proved by Poincare; the fact that sn has such a field if and only if n is odd
was established by Brouwer [1912]. For elementary proofs of (7.3) (without
using the degree) see Jaworowski [1964] and Milnor [1978]. One can gen-
eralize the problem and seek the maximal number of nonvanishing linearly
independent tangent fields on sn (i.e., the number of vector fields VI, ... , Vk
on a given sn such that for each x the vectors VI(X), ... ,Vk(X) are linearly
independent in Rn+I). Write n + 1 = 2b s, where s is odd and b = 4d + c
with 0 ::; c ::; 3, and let {!(n) = 2C + 8d - 1. Hurwitz, and independently
Radon, showed in 1923 that there are at least {!( n) such fields on a given
sn; the much more difficult part that there are exactly {!( n) such fields was
proved in 1962 by F. Adams.
The genus function,

Let (X; T) be a pair, where X is a paracompact space and T : X - t X a
fixed point free involution on X, i.e., T2 = id. The genus ,(X; T) of X (by
abuse of notation denoted simply by ,(X)) is the smallest positive integer n
such that there exists an equivariant map f : X - t sn, i.e., f(Tx) = - f(x).
This invariant (which was introduced by Yang ([1954], [1955]) and Kras-
nosel'skil [1955]) is closely related to the notion of the Lusternik- Schnirel-
mann category and to various extensions of the Borsuk antipodal theorem.
The following statements (Yang [1954]) are equivalent:
(i) ,(X; T) 2: n;
(ii) if X is covered by n+ 1 closed sets, then at least one of them contains
a pair x, Tx;
(iii) iff: X - t Rn, then there is a point x E X such that f(x) = f(Tx);
(iv) there are no n closed sets M 1 , ... ,Mn such that Mi n T Mi = 0 and
X = U~l(Mi U TMd·
Note that in case X = sn and T = antipodal map, (ii) is the Lusternik-
Schnirelmann-Borsuk theorem and (iii) is the Borsuk-Ulam theorem.
The function, can be used to establish the following extension (due to
Bourgin [1955] and Yang [1955]) of the Borsuk- Ulam theorem: If (X, T) has
,(X) 2: nand f : X - t Rk is any map, then the set Af = {x E X I f(x) =
f(Tx)} is closed and T -invariant, and ,(Af) 2: n- k. A consequence is that
the (covering) dimension of Af is at least n - k.
The basic properties of the genus function , are the following:
(i) (Functoriality) If f : X ---> Y is an equivariant map between spaces with involu-
tion, then ,(X) ::; ,(Y).
(ii) (Continuity) If A c X is closed and invariant , then ,(A) = ,(U) for some closed
invariant nbd U of A.
(iii) (Normalization) ,(Sn) = n .
Other numerical-valued functions satisfying the above properties have been studied by
several authors and are referred to as numerical-valued indices. One such theory based
on cohomology was introduced by Yang [1954J and Conner- Floyd [1960J. Let (X; T) be a
space with a fixed point free involution and for the double covering X ---> XjT denote by
c E HI (XjT) (Cech cohomology with Z2 coefficients) its characteristic class. Yang [1954J
and Conner- Floyd [1960J defined the cohomology index ,c of (X, T) by ,c(X) = sup{n I
cn =I O} and proved that ,c has the properties of the genus function.
For related and more general results, see Conner- Floyd [1962J , Holm- Spanier [1970],
Fadell- Husseini [1987]' and also Fadell [1989J and Jaworowski [1989], where further refer-
ences can be found .
The genus function r

The genus r(X; T) of a pair (X; T) as above is the smallest positive integer n
for which one can find n closed sets M 1 , ... , Mn such that Mi nT Mi = 0 and
X = U~l MiUTMi . Clearly for any (X;T) we have r(X;T) = ,(X;T)+l.
For every involution T on sn we have T(sn; T) 2: n + 1 (Fet [1954]).

More generally, if X is a compactum with Cech homology Hk(X; Z2) ~
H k (sn;Z2) for k ::; n, then for every T, T(X;T) 2: n + 1 (Jaworowski
[1955]). Hence, for such spaces the generalizations of Theorems (5.2) 1, (5.2)2
and (5.2)4 of §5 are valid. More general or related results can be found in
Yang [1954], [1955], Jaworowski [1956], and Davies [1956]; see also Hopf
[1944]' G. Hirsch [1944], Geraghty [1961]' Bacon [1966]. For uses of the
genus in critical point theory see Krasnosel'skil's monograph [1956].
Let X be a paracompact space on which a finite group G acts without fixed points .
The genus r(X; G) of X with respect to G is the smallest positive integer n for which
one can find n closed sets MI ," " M n such that (i) Mi n g(Mi) = 0 unless g = 1, and
(ii) X = U{g(Md I i = 1, . .. , n, g E G}. This invariant was considered for G = Zp by
Krasnosel 'skii [1955J and in full generality by Schwarz [1957J.
The notion of genus can be considered in the following more general sense. Let 7r :
E ----; X be a fibration (or more generally a surjective map). The Schwarz genus r(7r) of 7r
is the minimal number of open sets Ui needed to cover X such that there are continuous
Si : Ui ----; E with 7r 0 Si = idU,. For more details or generalizations, see Schwarz [1961]'
[1962]' and Steinlein [1980J.
A surprising application of the Schwarz genus to problems in computer science was
given by Smale [1987J.
Genus and critical point theory

Let E be a Banach space and '§ be the family of all closed symmetric sets
AcE - {O} (each equipped with the involution a f----> -a). If P : E -+
R is an even C 1 function, one way of finding critical points of P is the
Lusternik- Schnirelmann method of minimaxing P over certain subfamilies
of C§. Specifically, letting S = {x EEl Ilxll = I}, consider for each j 2: 1
the family
Gj = {A E '§ I A c S, ,,(A) 2: j}
and define
Cj = inf supp(a).
A E GjaEA
Under suitable conditions on P, it can be shown that each Cj is a critical value

of P, and if Cj = Cj+l = ... = cj+p = C for some p 2: 0, then ,,(Kc) 2: p + 1,
where K c = {x EEl p(x) = C, p'(x) = O}; this implies that either P has
p + 1 distinct critical points or K c is uncountable. It can also be shown that
if Pc = {x E S I p(x) = C, p'(x) = O}, then Cj = inf{c E R I ,,(pc) 2: j}.
For details, the reader is referred to the book of Mawhin- Willem [1989],
Rabinowitz's lecture notes [1984], and Szulkin [1989].
IV.
Leray-Schauder Degree
and Fixed Point Index
This chapter is devoted to the concept of the topological degree and the
fixed point index. With the aid of some fairly elementary facts from linear
algebra and simplicial topology, we develop first the theory in the simple
setting of Euclidean space. Then, using some of the techniques developed in
Chapter II, we extend the index in R n to infinite dimensions, and establish
the fixed point index theory for compact maps in arbitrary metric ANRs. As
a special case we also obtain the Leray- Schauder degree for compact fields
in normed linear spaces. The chapter ends with a number of applications.
§10. Topological Degree in R n

Our aim in this paragraph is to establish in an elementary manner the
definition and main properties of the topological degree in Rn.
Let U be a bounded open set in Rn, and let C (U , Rn) be the space
of all continuous maps f : U - t Rn taken with the sup metric. In general
terms, the (Brouwer) degree problem is to assign an integer dU, U) to each
f E C(U, Rn) which indicates the minimal number of zeros that f, and all
functions sufficiently close to f, must have.
Clearly, local constancy of f f---t dU, U) is not possible if the functions
are allowed to have zeros on the boundary 8U of U, so attention must
be restricted to the (open) subspace Co(U, Rn) = {J If: (U, 8U) - t
(Rn, Rn - {O} ) }. The development then starts by choosing a dense set d c
Co(U, Rn) such that each ¢ E d has only finitely many zeros in U. Counting
these zeros algebraically (examples such as x f---t x 2 on (-1, 1) show that a
simple count need not be locally constant) gives a degree function that turns
out to be locally constant on the subspace d. Defining the degree dU, U) for
each f E Co(U, Rn) to be the degree of any sufficiently close approximation
¢ E d to f then yields the required degree function.
250 IV. Leray-Schauder Degree and Fixed Point Index
In the analytic approach, d is usually taken to be the Coo functions

having 0 as a regular value, and this requires some knowledge about Coo
approximation of continuous functions, and of Sard's theorem. In our ap-
proach, we take d to consist of piecewise linear maps; the development then
requires little more than fairly simple linear algebra, and generally known
facts from PL topology.
1. PL Maps of Polyhedra
In this section we describe the fundamental notions and obtain the basic ap-
proximation theorem. We recall that given an n-simplex (In = (Po, ... , Pn) =
{2=~=0 AiPi I 2:=:0 Ai = 1, 0 ::; Ai ::; 1, i = 0, ... , n} in some RS , a map
¢ : (In --7 Rk is called affine if ¢(2:=:0 AiPi) = 2:=:0 Ai¢(Pi).
A polyhedron K C RS is a union of a finite number of simplices, where
the intersection of any two simplices is either a common face or is empty;
we let Kq denote the q-skeleton of K , i.e., the subpolyhedron consisting of
all the simplices of dimension::; q. By a pair (K, Q) of polyhedra in RS is
meant a polyhedron K C RS together with its subpolyhedron Q C K. We
say that such a pair (K, Q) is special iffor any simplex (Jm = (po, PI, ... ,Pm)
of K with all Pi in QO we have (Jm E Q; note that for any pair (K, Q) its
barycentric subdivision (K, Q) is always special.
(1.1) DEFINITION. Let K C RS be a polyhedron. A map ¢ : K --7 Rn
is called PL if it is affine on each simplex, and PL n if it is also a
homeomorphism (onto its image) on each simplex of dimension::; n.
By slightly moving the images of vertices and placing them in general posi-
tion, any PL map can be approximated by a PL n map; in fact, we need a
more precise version of this result.
(1.2) LEMMA. Let (K, Q) be a special pair of polyhedra in RS , and let
f : K --7 Rn be a PL map that is PL n on Q. Then, for each E > 0,
there is a PL n map ¢: K --7 Rn with ¢IQ = flQ and Ilf - ¢II < E.
PROOF. For any finite set S C Rn, let F( S) be the union of the flats spanned
by all subsets of k ::; n elements of S; by Baire's theorem, F(S) has an
empty interior (everything being::; n - 1 dimensional). Consider the vertices
PI,·.· ,Pt of K not in Q. Choose YI ~ F[J(QO)l with IIYI - f(PI) II < E, and
proceeding recursively, choose
Yk ~ F[J(QO) U {YI, ... , Yk-dl with IIYk - f(Pk)11 < E, k = 2, ... , t.
Defining
¢(qj) = f(qj), qj E QO,
¢(Pi)=Yi, i=l, ... ,t,
§1O. Topological Degree in R n 251
and extending affinely over each simplex gives the desired map 4>: indeed,
for any (J"l with l ~ n, the images of the vertices do not lie on any k-ftat with
k < l, so 4>1(J"1 is a homeomorphism; and if x = 2::7=0 Airi is any point of
(J"k = (ro, ... , rk) E K, then Ilf(x) -4>(x) II = 112::7=0 ,.\df(ri) -4>(ri)lll < c. 0
More important for our purposes is the PL n approximation of arbitrary
continuous maps:
(1.3) THEOREM. Let (K, Q) be a pair of polyhedra in RS, and f : K -+ R n
a continuous map that is PL n on Q. Then, for each c > 0, there is
a subdivision K of K and a PL n map'I/J : K -+ Rn with 'l/JIQ = flQ
and II'I/J - fll < E.
PROOF. Since K is compact, uniform continuity of f gives a 8 > 0 with
Ilf(x) - f(y)11 < E/2 whenever Ilx - yll < 5. Subdivide K barycentrically
sufficiently many times to get K with mesh K < 8, set 4>(p) = f(p) for each
vertex p of K, and extend affinely over each simplex of K to get a PL map
4> : K -+ Rn. If (f is a simplex of Q and (; C (f a simplex of K, the maps
4>, f are both affine on (f and coincide on the vertices of (;, so fl(; = 4>1(;,
and the (; match up to give 4>IQ = flQ. Finally, if x E K is in the interior
of some simplex (Po, ... ,PI) E K, then Ilx - Pill < 8 for i = 0, ... , l, so
Ilf(x) - 4>(x) II = Ilf(x) - 2::!=0 "\d(pdll < E/2. Applying now Lemma (1.2)
to 4> gives a PL n map 'I/J with II'I/J - fll < E and 'l/JIQ = flQ· 0
(1.4) DEFINITION. Let K be a polyhedron and Kn-l its (n - I)-skeleton.
For any continuous f : K -+ Rn, we call f (K n - 1 ) its set of critical
values, and all the points in Rn - f(Kn-l) its regular values.
With this terminology, we have the following PL-analog of Sard's theorem:
(1.5) THEOREM. Let K C RS be a polyhedron and 4> : K -+ Rn a PL map.
Then the set of regular values of 4> is open and dense in Rn.
PROOF . The critical values of 4> are contained in the union of the finitely
many sets 4>((J"n-l), (J"n-l E K; since each has no interior, their union has
no interior, and the proof is complete. 0
In what follows, we will call a PL n map 4> : K -+ Rn special PL n if 0 is
a regular value of 4>. Thus, a PL map 4> : (K, K n- 1 ) -+ (R n , Rn - {O}) is
special PL n if 4> is a homeomorphism on each simplex of Kn.
2. Polyhedral Domains in Rn. Degree for Generic Maps

An open set U C RS is called a polyhedral domain if its closure U is a finite
polyhedron; we shall assume each polyhedral domain endowed with a fixed
simplicial subdivision. We now define our main approximation class sz1:
(2.1) DEFINITION. Let U c Rn be a polyhedral domain. A continuous

map f : (U,8U) ----> (Rn,R n - to}) is called PL-generic (or simply
generic) if it is special PL n on some subdivision of U. We let
d(U, Rn) = {f E Co(U, Rn) I f is PL-generic}.
Theorem (1.3) leads to the basic approximation result:
(2.2) THEOREM. If U is a polyhedral domain in R n , then the set d(U, Rn)
of generic maps is dense in Co(U, Rn).
PROOF. Starting with f E Co(U, Rn) and any c > 0, apply (1.3) to get a
PL n map ¢ on some subdivision K of U with II¢- fll < c/2; since the regular
values of ¢ are open dense, there is a regular value Yo with II Yo II < c/2. Then
¢ - Yo is generic and II (¢ - Yo) - f I < C; the proof is complete. 0
We now consider the zeros of a generic map ¢ E d(U, Rn). Since
dim U = nand ¢ is special PL n on some subdivision K of U, ¢ has only
finitely many zeros, and at most one in the interior of each n-simplex (Tn E
K. We will count these algebraically, by determining for each P E ¢-l (0)
whether or not ¢ reverses the orientation of the n-simplex containing P in
its interior.
To motivate the formula, recall that if (UI' ... ,un) is an ordered basis
determining an orientation of Rn, an ordered n-simplex (Tn = (Po, ... ,Pn) C
Rn is, by definition, oriented as Rn or in the opposite way, according as the
nonsingular linear transformation
L: (UI,'" ,un) 1----+ (PI - po,··· ,Pn - PO)
has a posi ti ve or negative determinant. Let ((pd 1, ... , (Pi) n) E Rn be the
coordinates of the Pi. Then the determinant of L is
detL =
We abbreviate detL/ldetLI by [Po, ... ,Pn]'

Now let ¢ : (Tn ----> Rn be an affine homeomorphism of the simplex (Tn;
the product [Po, ... ,Pn] . [¢(Po), ... , ¢(Pn)] expresses then whether or not
(Tn and ¢( (Tn) have the same orientation. Since a transposition of the Pi
changes the sign of both determinants, the product is clearly independent
of the particular orientation chosen for Rn, and of the order in which the
vertices of the simplex are written.
We are now prepared to define the degree d( ¢, U) for maps in the ap-
proximating class d:
(2.3) DEFINITION. Let U be a polyhedral domain in Rn and ¢ :U --+ R n

be generic. If P E ¢ -1 (0) belongs to the interior of the n-simplex
(Po, .. . ,Pn), then the local index J(¢ , p) of ¢ at P is
J(¢ , p) = iIPo , · · · ,Pn]· [¢(po),···,¢(Pn)] '
and the degree of ¢ on U is
d(¢, U) = I)J(¢,p) I P E ¢-l(O)}.
The above formulas allow explicit calculation of J(¢ , p) and d(¢, U) for any
generic ¢; another equally direct description is given in the following
(2.4) THEOREM . Let U c Rn be polyhedral and ¢ E d(U, Rn). Assume
that P E ¢-l(O) belongs to the interior of an = (Po, ... ,Pn) , and let
T be the linear part of the affine homeomorphism ¢Ia n . Then
J(¢ ,p) = sgndetT = (-1)'\
where A is the number of negative eigenvalues of T, each counted with
its multiplicity.
PROOF. Let (U1, ... , un) be a basis for Rn. If L is the linear transformation
sending (U1, .. . ,un) to (PI - po ,· ·. ,Pn - PO) , then To L is linear, sending
(U1, ... , un) to (¢ (P1) - ¢(po), .. . , ¢(Pn) - ¢(po)), so that
[¢(po) , ... , ¢(Pn)] = sgn det(T 0 L) = sgn det Tsgn det L ,
and therefore
J(¢,p) = iIPo ,·· · ,Pn]· [¢(po),···,¢(Pn)]
= (sgn det L)2 sgn det T = sgn det T.
Since T is nonsingular and has n nonzero eigenvalues AI, ... , An (counted

with multiplicities) with det T = TIi Ai, and since complex eigenvalues occur
in conjugate pairs, we find sgn det T = (-1) >.. 0
It is an important consequence of (2.4) that J(¢ , p) depends only on the
affine map ¢Ia n , and not on any special simplex (Po, . . . ,Pn) containing pin
its interior that is used for the explicit calculation. Consequently, the degree
of a generic map depends only on the local behavior of ¢, and is independent
of the particular subdivision used to calculate it. Moreover, the degree of a
generic map is invariant under all sufficiently small translations.
(2 .5) PROPOSITION. Let U c Rn be polyhedral, and let ¢ : U --+ R n be
generic. Then there is a neighborhood V(O) of the origin in Rn such
that for every y E V(O) the map ¢ - y is generic.
PROOF. If K is a subdivision of U on which ¢ is special PL n, let ar,
i =
1, ... , N, be the set of n-simplices of K having a zero of ¢ in their interior.
254 IV. Leray- Schauder Degree and Fixed Point Index
Noting that Ci = dist(O, cp(aeri)) > 0 for i = 1, ... , N and that

N
1] = dist [0, cp( U - Ueri)] > 0,
i=l
we can take for V(O) a ball of radius C < min{cl, ... ,cN,1]}. o
3. Local Constancy and Homotopy Invariance
Our next objective is to show that d(cp, U) is locally constant on szI(U, Rn).
This will follow easily after we show that d( cp, U) is invariant under ho-
motopies cp : (U, aU) x I ----+ (R n , R n - {O}). The discussion of homotopy
invariance is somewhat lengthy, and requires some attention to detail; but
the effort gives, in fact, a more general version of homotopy invariance.
We start with the simple
(3.1) LEMMA. Let W c Rn+l be a polyhedral domain, and cp : W ----+ Rn
be special PL n . Then each component of cp-l(O) is homeomorphic
either to the unit interval I or to a circle; and in the first case, the
component has both endpoints in aW.
PROOF. Assume that er n+1 n cp-l(O) 1= 0; because cpler n+1 is affine and
dimcp(er n+ 1) = n, we find that dim(cplern+1)-1(0) = 1, so (cplern+1)-1(0) is a
line segment. It cannot be contained in any n-face ern of er n+1 because cpler n
is a homeomorphism, so it must join points in the interiors of two distinct
n-faces of a n + 1 . If any of these n-faces is the face of some other a~+l, the
segment continues into er~+l. Thus, the component will consist of a finite
string of segments, each meeting the next at a point in the interior of some
an. Since cp-l (0) na n+ 1 consists of at most one segment, the string can never
cross itself. Thus, if the string returns to a previous point, the component is
homeomorphic to a circle; otherwise, it is homeomorphic to I. In the latter
case, the component cannot have an endpoint c in the interior of W: for
then c would be in the interior of some n-simplex ern and also the center of
an (n+ I)-ball B contained in W; if B+, B- are the intersections of B with
the two open half-spaces determined by the linear span of an, then both
are nonempty (n + I)-dimensional subsets of W, which must therefore be
contained in two distinct simplices having ern as face; and as we have seen,
the component will continue across an. 0
We next develop a formula that traces the evolution of the local index
as one moves along cp-l (0).
Let an = (Po, ... ,Pn) be an ordered n-simplex in oriented Rn+l ; then,
for each ~ not in the n-flat spanned by an, the ordered simplex has the
relative orientation [Po, ... , Pn,~], and we have the following simple
§10. Topological Degree in R n 255
(3.2) PROPOSITION.
(a) [Po, ... ,Pn'~] = ±[po, ... ,Pn, 1]] according Rn+1 are on
as~ , 1] E
the same side, or on different sides, of the n-fiat E spanned by
(In = (Po, ... ,Pn).
(b) If qo, ql, . .. ,qn are all in a common hyperplane Rn x {t} of Rn+l,
i.e., qi = ((]i, t), and (v, T) E Rn+l, T -=f. t, then
[qo, .. . ,qn, (v, T)] = [qO, . . . ,qn] . sgn[T - t].
PROOF. (a) Let (l-t)~ +t1], 0 < t < 1, be the open line segment having~, 1]
as endpoints. Then letting ((Pih, .. . , (Pi)n+d E Rn+1 be the coordinates
of Pi for i = 0,1, ... , n + 1, and det [Po , ... ,Pn,Pn+l] be the determinant of
the (n + 2) x (n + 2) matrix
1 1
(poh (Pn+lh
(Pn+dn
(Pn+1)n+l
we have
det[po , ... ,Pn, (1 - t)~ + t1]] = (1 - t) det[po , ... ,Pn,~] + t det[po, ... ,Pn, 1]],
so the values form an interval ([, in in R. Now, det[po, ... ,Pn, a] = 0 if
and only if po, . .. ,Pn, a are affinely dependent , i.e., if and only if a E E.
Thus, if the line segment does not meet E, then 0 (j. ([, ij), so the signs at
the endpoints are the same. If (~ , 1]) n E -=f. 0, then 0 E ([,7]), so that the
endpoints have different signs.
(b) For det[(qo, t), .. . ,(qn, t), (v, T)] we have
1 1
(qoh
=
(qO)n ... (qn)n Vn
o 0 T - t
= (T - t) det[(jo , ... ,qn],
and the assertion (b) follows. o
Let (In = (Po, .. . ,Pn) C Rn+l, and let ¢ : (In ---+ Rn be an affine hom-
eomorphism. Choosing a ~ not in the flat determined by (In, we introduce a
measure that com pares the orientation of (Po , ... , Pn, ~) in Rn+ 1 to that of
(¢(Po), ... ,¢(Pn)) in Rn by means of
Ll(¢,(In;~) = [po, ... ,Pn,~]· [¢(po), ... ,¢(Pn)],
256 IV. LeraySchauder Degree and Fixed Point Index
a quantity independent of the order in which the vertices (Po, ... ,Pn) of (In
are written e).
The main burden of the proof of the homotopy invariance of the degree
will be carried by the following
(3.3) LEMMA. Let (po, ... ,Pn+l) = (In+l C Rn+1, and let
¢: ((In+l, ((In+l)n-l) --? (Rn,Rn - {O})
be PL n such that ¢ -1 (0) =f. 0. Then ¢ -1 (0) is a line segment joining
points in 2 distinct n-faces, say
ao E (Jo = (Po, ... ,Pn) to al E (Jl = (PI, ... ,Pn+l),
and
L1(¢,(Jo;ad = -L1(¢,(Jl;aO).
PROOF. The points al and Pn+l are in the same half-space determined by
(po, . .. ,Pn) because al E (PI, ... ,Pn+d can be joined to Pn+l by a line
segment in (JI; and similarly for ao and Po; so by (3.2)(a),
iJ.(¢, (Jo; ar) = [Po, ... ,Pn, al] . [¢(Po), ... , ¢(Pn)]
= [Po, ...,Pn,Pn+d . [¢(Po), ... , ¢(Pn)]
= (_l)n+l [PI, ... , Pn+l, Po] (_l)n[¢(pI)' ... , ¢(Pn), ¢(po)]
= -[PI,···,Pn+l,aO]· [¢(pr),···,¢(Pn)'¢(PO)].
Now, the (n - I)-fiat E spanned by (¢(pr), ... , ¢(Pn)) C Rn does not con-
tain 0; but both (¢(pr), ... , ¢(Pn), ¢(po)) and (¢(PI)' ... ' ¢(Pn), ¢(Pn+r)) do;
therefore, ¢(po) and ¢(Pn+r) are in the same half-space determined by E,
which shows that
iJ.(¢,(J;ar) = -[PI,···,Pn+l,aO]· [¢(Pl),·.·,¢(Pn),¢(Pn+l)]
= -Ll( ¢, (JI; ao). o
Let W be a polyhedral domain in Rn+l = Rn x R with W c Rn x I.
We will assume that
Wo = W n (Rn x {O}),
Wl=Wn(Rnx{l})
are both and call the closure of oW - (Wo U Wr) the vertical
~nempty,
boundary oW of W. With this notation, the basic result is:
(3.4) THEOREM. Let <P : (W,8W) --? (Rn,Rn - {O}) be continuous and
special PL n on Wo U WI. Then d(<pIWo, W o) = d(<pIW I , WI).
e) For an interpretation of Ll(4), O"n;.;) as the intersection number of the simplex
and the oriented line [O"nJ'; (where [O"nJ is the barycenter of O"n) see the monograph by
Alexandroff and Hopf [1935J.
PROOF . We can assume that P is PL n with regular value O. Indeed, define

c = dist(O ,P(&W)) > 0 and observe that (W, WOUW1 ) is an n-homogeneous
pair of polyhedra. Consequently, by our approximation theorem (1.3), there
is a PL n map H : W ----; Rn with IIH - pil < c/4 and HIWo = plWo == ¢o,
HIW1 = ¢IW1 == ¢l. Now, by (2.5) , there is a neighborhood V(O) such that
d(¢i - Y, Wi) = d(¢i , Wi) ' i = 0,1 , for all Y E V(O) , and since the regular
values of H are dense, V(O) contains a regular value fi of H with lifill < c/4.
Then H - fi is PL n with regular value 0, d(¢i - fi, Wd = d(¢i, Wi), i = 0,1 ,
and because IIH - fi - pil < c/2, the map H - fi has no zeros on &W . Thus,
we can indeed assume that P is PL n with regular value O.
To count zeros, we need to consider only the components of p-l(O) that
meet Wo U WI: any component that does not meet these sets will not give
points affecting the calculation of d(¢o , Wo) or d(¢l, WI)'
Let then L be a component of p-l(O) containing ao E Int 0'0' C Woo In
view of (3 .1) , this component cannot be homeomorphic to a circle since the
(n + I)-simplex having 0'0' as a face would then contain two di!:itinct line
segments of L. Thus , L must be homeomorphic to I , having one endpoint
ao and the other on oW; since P has no zero on &W, the latter endpoint
must therefore be either on Wo or WI.
Suppose L starts at ao E W o, where ao is in the interior of the n-simplex
0'0' , and meets successively the n-simplices 0'1, ... ' O'k at points ai E Int O'i ,
where O'i, O'i+l are faces of some (n + I)-simplex O'~:)l' The quantity
Ll(p,O'i ;ai+ d = [pt , ···,p~ , ai+l]· [p(pt) , · · · , p(p~)]

is constant along L, since by (3.3) ,
Ll(p, O'i ; ai+ d = -L1(p, O'~l; ai) = L1(p , O'~I; ai+2)
because ai , ai+2 are in opposite half-spaces determined by O'i+I'
At the starting point , we have
Ll( P, 0'0 ;ad = [(Po, 0) , ... , (Pn , 0) , al] . [¢o(po) , . .. , ¢O(Pn)]
= [Po, .. . ,Pn] . [¢ o(po), ... , ¢o (Pn)] = J (¢o , ao)
because al is above the hyperplane Rn x {O} carrying the vertices of 0'0 . We
examine the other endpoint of L:
CASE 1: L ends on Rn x {I}. Then
J( ¢o, ao) = Ll(p, O'o;ad = .. . = Ll(P,O'k_l ;ak) = -Ll(p, O'k;ak- I);
as ak- I is below the hyperplane carrying the vertices of O'k , (3 .2)(b) yields
-Ll(p,O'k;ak- d = -(-J(¢l,ak)) = J(¢l , ak),
the same as the index of ¢o at ao .
258 IV . Leray- Schauder Degree and Fixed Point Index
CASE 2: L ends on R n x {O}. Then

J(cPo, ao) = Ll(<1>, O"k-I; ak) = -Ll(<1>, O"k; ak-I);
this time ak-I is above the hyperplane carrying the vertices of O"k, so
J(cPo , ao) = -J(cPo , ak) ,
canceling the contribution to the index of cPo made by ao.
The argument is clearly reversible, starting from WI. Thus, only the zeros
on components L running from W o to WI will contribute to the degrees of
cPO,cPI, and each gives the same amount; therefore, d(cPo, W o) = d(cPI , Wd,
4. Degree for Continuous Maps

We are now ready to define the degree d(f, U) for each 1 E Co(U, Rn) by
approximating 1 with elements of szI(U, Rn). However, before proceeding,
it is convenient to state explicitly a simple general result that is frequently
used:
(4.1) PROPOSITION. Let 1: X ~ Rn be a continuous map, and let A eX
be such that dist(O, f(A)) = a > O. If 9 : X ~ Rn satisfies Ilg - 111 <
a/2 , then:
(i) g(A) does not contain 0,
(ii) the maps f, 9 : (X, A) ~ (Rn, R n - {O}) are homotopic.
PROOF. (i) This follows at once by noting that for a E A, we have Ilg(a)11 2:
Ilf(a)11 -llf(a) - g(a)11 2: a/2.
(ii) For any a E A , we have g(a) E B(f(a) , a/2); putting
ht(x) = (1 - t)f(x) + tg(x)
we have ht(a) E B(f(a), a/2) for any a E A, and because 0 tj B(f(A), a/2)
we conclude that h t : (X,A) ~ (Rn,Rn - {O}) is a homotopy joining f
and g. 0
(4.2) DEFINITION. Let U be a polyhedral domain in Rn, and let the map
f : (U, aU) ~ (Rn, R n - {O}) be continuous. Choose a generic cP E
szI(U, Rn) such that Ilf - cPll < ~ dist(O, 1(8U)). The degree of 1 on
U is d(f, U) = d(cP, U).
By (2.2) such cP exist. We must show that d(f, U) is independent of the
particular ¢ selected. Choose another 'ljJ E szI(U, Rn) satisfying the condi-
tion, and let K, K' be subdivisions of U on which cP, 'ljJ are special PLn. It
is known that there is a simplicial subdivision of the standard polyhedron
U x I that coincides with K on U x {O} and with K' on U x {I}: work-
ing with the simplices of U x I that do not lie in U x {O} or in U x {I},
§lO. Topological Degree in R n 259
proceed by induction on dimension, subdividing each such (J'k+l into the

simplices (b, Yo, ... ,Yk), where b is the barycenter of (J'k+l and (Yo, ... ,Yk)
runs through all the k-simplices found on the boundary of (J'k+l. Taking
U x I with this subdivision, and setting lP(x, t) = (1 - t)c/J(x) + t'l/J(x) , we
find that IP is continuous on U x I and special PL n on U x {O} U U x {1};
since
Ilf(x) -1P(x, t)11 -:; (1 - t)llf(x) - c/J(x) II + tllf(x) - 'l/J(x) II
1 .
< "2 dlst(O, fUJU)),
it follows from (4.1) that IP has no zeros on au x I, and therefore, by (3.4),
that d( c/J, U) = d( 'l/J, U) as required.
If a = d(O, f(aU)), we note that the same generic c/J can be used to
approximate all maps in the ball B(j, aI8); this leads to the main theorem
on the topological degree:
(4.3) THEOREM. Let U be a polyhedral domain in Rn. Then f ~ d(j, U)

defines a locally constant (hence continuous) function d : Co(U, Rn)
--t Z satisfying:
(1) (Strict normalization) If T : U --t R n is an affine homeomor-

phism and T(u) = 0 for some u E U, then d(T, U) = (-1)\
where .A is the number of negative eigenvalues of the linear part
of T, each counted with its multiplicity.
(2) (Additivity) For any pair of disjoint polyhedral domains U1 , U2
C U and for any f E Co(U , Rn) having all its zeros in U1 U U2
we have
d(f , U) = d(f, UI) + d(f, U2).
(3) (Homotopy) If H : (U, aU) xl --t (Rn, Rn-{o}) is a homotopy,

then d(HIU x {O}, U) = d(HIU x {1}, U).
PROOF. We have already proved (1).

For (2), let fi = flUi , i = 1,2, and
a = dist(O, f(U - (U I U U2))).
Let c/J be a generic map with Ilc/J - fll < a/2. Since the Ui are subpolyhedra,
the maps ¢i = ¢IUi are generic and approximate fi, and since all the zeros
are contained in UI U U2, we have d(¢, U) = d(c/JI, UI) + d(c/J2, U2 ), which
gives the result.
(3) is immediate from (3.4): using sufficiently close generic approxima-
tions c/J, 'l/J of ho = HIU x {O} , hI = HIU x {1}, respectively, we have c/J c:::: ho,
'l/J c:::: hI, and since c/J c:::: 'l/J, our assertion follows.
REMARK. In fact , a more general version of the homotopy invariance is valid:

d(f, U) is invariant under simultaneous continuous deformations of both f
and U , provided that no zeros appear on the boundaries of the regions
deformed.
It is a simple matter to see that the properties in (4.3) characterize the
degree function:
(4.4) THEOREM. Let U be a polyhedral domain in Rn. If d: Co(U,R n )
--+ Z is any function with the strict normalization , additivity , and
homotopy properties , then d(f, U) = d(f, U).
PROOF. We use the conditions to calculate d(f, U). By (2.2) and (4.1),
a linear homotopy shows that d(f, U) = d( </J, U) for some special PL n map
</J E sf (U, Rn). Then </J -1 (0) is a finite set {Ul' ... , ud and choosing disjoint
open simplices with Uk E lnt af , i = 1, ... , k , gives by additivity that
k
d(</J, U) = L d(</J, lnt af);
i=1
strict normalization shows

d( </J, lnt af) = d( </J, lnt af)· o
It is an immediate consequence that our d(f, U), as defined above, is
independent of the simplicial subdivision with which U is taken, i.e., it is a
topological, rather than combinatorial, invariant.
REMARK . Note that the set of conditions in (4.3) is not an independent
set of axioms for the degree function: strict normalization can be replaced
simply by d(id, U) = +1 if 0 E U. A proof that the resulting axioms are
independent, and imply (4.3)(1), will be given later.
5. Some Properties of Degree
In this section we present some further features of the degree. They are
all immediate consequences of Theorem (4.3), so that they follow once the
properties given there are established in some way. We will give proofs by
formal deduction from (4.3), to emphasize this dependence, even when there
are more direct proofs (even trivial) from the way we have defined d(f, U).
By taking U = U1 = U2 = 0, the additivity property implies formally
first that d(f, 0) = 0 and then the very useful
(5.1) THEOREM (Excision). If V cUe Rn are polyhedral domains and
f E Co(U, Rn) has all its zeros in V, then d(f, U) = d(f, V) .
PROOF. The zeros of f all being in the disjoint sets V and 0, additivity gives
the result. 0
It is an immediate consequence of the excision property that if f(U) c
Rn - {O}, then d(f, U) = d(f,0) = 0; this leads to the important result that
underlies many applications of degree theory in analysis.
(5.2) THEOREM (Existence property). Let U c Rn be a polyhedral domain
and f E Co(U, Rn). If d(f, U) i= 0, then f(U) contains a neighbor-
hood of O.
PROOF. From the preceding remarks, if d(f, U) i= 0, then the equation
f (u) = 0 has a solution in U. By local constancy, d (g, U) i= 0 for all 9
sufficiently close to f , so for some EO > 0, all the functions g = f - y with
Ilyll < EO have zeros in U, and this proves the theorem. 0
Another important property of the degree is given in the following
(5.3) THEOREM (Multiplicativity). Let U l C Rn and U2 C Rk be poly-
hedral domains, and let II E Co(Ul,Rn), 12 E C o (U2 ,R ). Then
- - k
II x 12 E CO(U1 X U2 , Rn+k) and

d(1I x 12 , Ul x U2 ) = d(II, Ud . d(h , U2 ).
PROOF . By local constancy of the degree function, we can take a sufficiently
close special PL n (respectively special PLk) approximation <Pi of Ii with
d(fi, Ui ) = d(<Pi, Ud , i = 1, 2, and with <PI x <P2 having the same degree as
II x h· If Zi is the zero set of <Pi , then Zl x Z2 is the zero set of <PI x <P2;
we will calculate the local index of <PI x <P2 at each zero Xi x yj.
Because <PI x <P2 is affine whenever the <Pi are both affine, if we let Ll be
the linear part of <Pi on the simplex O"i containing Xi in its interior, and L2
that of <P2 on the simplex O"j containing Yj, then by (2.4) the index is deter-
mined by the sign of det(Ll x L2)' Choosing a basis (el,"" en,···, en+k)
for Rn+k such that (el' . . . , en) is a basis for R n , and (en+l' ... , en+k) one
for Rk, we find that Ll x L2 is expressible in the form (~lL~)' so
det(Ll x L 2) = det Ll . det L 2,
and therefore
Summing over all Xi E Zl gives, for each yj,
L J(<Pl X <P2 , Xi X Yj) = [ L J(<Pl,Xi)]J(<P2 , Yj)

x i EZl xiEZl
= d(<Pl, Ud . J(<P2, YJ) ,

and now summing over all Yj gives the required formula. o
6. Extension to Arbitrary Open Sets
We are now going to remove the requirement that the open set U be polyhe-
dral; indeed, we will not require U to be bounded, or even that the functions
considered be defined on au.
The starting point is to note that given a polyhedral domain U and
f E Co(U , Rn), the zero set Z(j) = f- 1 (0) (being closed and bounded by
continuity of f) is a compact subset of the open set U. This description
makes no explicit reference to flau. Guided by this, we make the following
(6.1) DEFINITION. Let W c Rn be any open set. A continuous map
f : W - t Rn is called compactly rooted in W if Z(j) is compact. The
set of all compactly rooted maps on W is denoted by Co (W, Rn).
Even if W is a polyhedral domain, the set Co(W, Rn) is somewhat larger
than Co(W , R n ) , since continuity on aw is not required. We are going to
define a degree function d : Co (W, Rn) - t Z.
Since Z(j) C W is compact, there is always a polyhedral domain U with
Z(j) cUe U C W: the distance between the compact Z(j) and the closed
R n - W is greater than some positive 0:, so taking a cubical grating of Rn
with mesh < 0:/2 and keeping only the n-cubes that meet Z(j) provides
such a domain.
(6.2) DEFINITION. Let W c Rn be any open set. Given an f E Co(W, Rn),
choose any polyhedral domain U with Z(j) cUe U c Wand define
the degree of f on W by d(j, W) = d(j, U).
The value d(j, W) is independent of the polyhedral domain selected: if V
is another such polyhedral domain, then since the intersection of two such
domains is also a polyhedral domain (the intersections O'unO'v
are all convex,
so the corresponding complex has a simplicial subdivision), excision gives
d(j, U) = d(j, U n V) = d(j, V).
The requirement that each H t be compactly rooted is too weak to give
homotopy invariance of the degree: for example, with W = (0,1) C R1 and
H(w, t) = w-(t+1/2), each H t is compactly rooted in W, but d(Ho, W) = 1,
whereas d(H1' W) = O. The appropriate requirement is that the homotopy
H be compactly rooted in W x I. This can be stated in various equivalent
ways:
(6.3) PROPOSITION. Let H : W x I - t R n be continuous. The following
statements are equivalent:
(1) H - 1 (0) is compact (i.e., H is compactly rooted in W x I).
(2) P w H- 1 (0) is compact , where P w : W x I - t W is the projection.
(3) U{ Z(Ht ) I 0 'S t 'S I} is compact.
PROOF. That (l)=}(2) is obvious; since the set in (3) is exactly PWH-1(O),
it is also clear that (2)¢:}(3). It remains to show that (2)=}(1). For this, note
that H-1(O) is closed in the product of compact sets PwH-1(O) and I. D
Note that if H : W x I --) Rn is compactly rooted, then because each

Z(Ht ) is closed, it follows from (6.3)(3) that each H t is compactly rooted
in W.
We can now establish the general version of Theorem (4.3). Note also
that if W is bounded and H : W x I --) R n , then H is compactly rooted in
W x I if and only if HI8W x I has no zeros.
(6.4) THEOREM. Let W be any open set in Rn. Then f I---> d(f, W) defines
a function d : Co(W, Rn) --) Z satisfying:
(1) Strict normalization
(2) Additivity
(3) (Homotopy) If H : W x 1--) Rn is a compactly rooted homotopy,
then d(HIW x {O}, W) = d(HIW x {I}, W).
PROOF. Properties (1) and (2) are obvious from the definitions. For (3),
choose a polyhedral domain U with H - 1(O) c U x I and U c U c W;
apply (4.3). D
7. Axiomatics
We have seen in (4.4) that the strict normalization, additivity, and homo-
topy properties characterize the degree; and it was pointed out that these
conditions are not independent. Specifically, we are going to show that using
the additivity and homotopy properties, one can deduce the strict normal-
ization condition (4.3)(1) from the following simpler axiom:
(I') (Normalization) If 0 E U and id : U --) U , then d(id, U) = 1.
Let RS = A EEl B be a direct sum decomposition, and let 71"A, 71"B be the
projections. Let U c RS be an open set containing the origin; we are going
to calculate d( -71" A +71"B , U) using (I') and the remaining properties; (4.3) (1)
will then follow easily.
(7.1) PROPOSITION. If dim A is even, then

d( -71"A + 71"B, U) = +1.
PROOF. Choose a basis el, ... ,e2n for A and extend it to a basis for RS.
Define J : A --) A by J(e2i-d = e2i, J(e2i) = -e2i-l; then J is a nonsin-
gular linear transformation with J2 = - idA. We now show that each of the
264 IV. Leray- Scha uder Degree and Fixed Point Index
homotopies
Ho(x, t) = (1 - t)[-7rA(X)] + tJ7rA(X) + 7rB(X) ,
HI(x, t) = (1 - t)J7rA(X) + t7rA(X) + 7rB(X),
of -7rA + 7rB to J7rA + 7rB to 7rA + 7rB is compactly rooted in U x I. Only
the proof for Ho is given, the argument for HI being similar.
Assume that Ho(x, t) = 0; then 7rB(X) = 0, and it is enough to show that
7rA(X) = 0 (so that x = 0). We have (1- t)[-7rA(X)] +tJ7rA(X) = O. If t = 0,
then -7rA(X) = 0; if t = 1, then J7rA(X) = 0 and since J is nonsingular, we
get 7rA(X) = O. Finally, if 0 < t < 1, then 7rA(X) = l~tJ7rA(X), so J7f'A(x) =
l~t (-7rAX) = -( l~t)2 J7rA(X), showing once again that 7rA (x) = O. The two
homotopies show that -7r A + 7r B is homotopic to 7r A + 7r B = id, and axiom
(I') above gives our result. 0
(7.2) PROPOSITION. If dim A is odd, then
d( -7rA + 7rB , U) = -1.
PROOF . It is enough to consider the case where dim A = 1: for we can write
A = Al EB A 2 , where dimA 1 = 1 and dimA 2 = 2n, and by (7.1) we find
d(-7rA+7rB'U) =d(-7rA, -7rA 2 +7rB , U)
= d( -7rA, + 7rA2 + 7rB , U) = d( -7rA, + 7rA 2+B, U).
We take A = R, and define fo(x) to be the constant function 1 and
JI(x) = x(x - 2). We can assume that U c R contains the open interval
(-1 , 3) in its interior; and since the zeros of the functions considered are all
in (-1, 3) , excision shows we need operate only on this interval.
-1 3
We now proceed in several steps:

(a) fo ~ II on (-1 , 3) , since the homotopy (1 - t) + tx(x - 2) is never
zero for any tEl when x = -1,3.
(b) On the first half of the interval:
JI ~ -id on (-1,1),
because (1 - t)x(x - 2) + t( -x) is not zero when tEl and x = ±1.
(c) On the second half of the interval:

h ~ id - 2 on (1,3),
again by using a linear homotopy.
(d) On the entire interval:
id - 2 ~ id on (-1,3)
for reasons as above.
Now, fo(x) =1= 0 on (-1,3) and h(l) =1= 0, so from additivity and the homo-
topies above we get
0= d[fo, (-1,3)] = d[h , (-1,3)] = d[h, (-1,1)] + d[h , (1 , 3)]
= d[- id, (-1,1)] + d[id - 2, (1,3)]
= d[- id, (-1,1)] + d[id - 2, (-1,3)];
because id - 2 has no zeros in (-1, 1), it follows that
0= d[- id, (-1,1)] + d[id, (-1,3)]
= d[ - id, (-1 , 1)] + 1.
By additivity, we conclude that d( - id, U) = - 1, and as we have seen, this

proves our assertion. 0
We now show
(7.3) THEOREM. Let U c Rn be open and T : U ---t Rn a nonsingular
linear map. If U contains 0, then d(T, U) = (_1)5, where s is the
number of negative eigenvalues of T , each counted with its multi-
plicity.
PROOF. Let )'1,.'" Ak be all the distinct negative eigenvalues of T. From
linear algebra, it is known that there is a direct sum decomposition
E = Nl EEl ... EEl Nk EEl M,
where M and all the Ni are invariant under T, and Ai is the only eigenvalue
of TINi with dim Ni = multiplicity of Ai. The eigenvalues of TIM are all the
remaining eigenvalues. Let N = Nl EEl . . . EEl Nk and define
Tl = T IN, T2 = TIM,
H(x,t) = (l-t)(Tl EEl T 2) +t(-idN EEl id M ).
It is easy to see that HI8U x I is never zero (since Tl has no positive eigen-
values and T2 has no negative ones). By (7.1), (7.2), and multiplicativity we
have
d(T, U) = d( - id N , U n N) = (_1)8.
For s = 0, the result follows from normalization, d(id, U) = l.
Thus, in our Theorem (4.3) condition (1) (strict normalization) follows

from (2), (3), and the simpler version (normalization). The last three axioms
are, in fact, independent:
(a) d(j, U) == 0 satisfies axioms (2), (3).
(b) If d satisfies (1'), (2), (3), define d(j, U) = d(j, U)3; then dsatisfies
(1) and (3), but not, in general, (2).
(c) Define d(j, U) = 1 if 0 E U and there is some nbd V of 0 with
flV = id; otherwise, d(j, U) = O. Then normalization and (2) are
satisfied, but (3) is not.
8. The Main Theorem on the Brouwer Degree in R n
We now summarize the preceding discussion by stating the fundamental

theorem on existence and uniqueness of the topological degree in Rn.
(8.1) THEOREM. Let..${ denote the class of all maps f E Co(U, Rn), where
U is open and bounded in some Rn. Then:
(A) There exists a function d : ..${ ---+ Z assigning a degree d(j) =
d(j, U) to each f E Co(U, Rn) and satisfying:
(I) (Normalization) If 0 E U and f E Co(U, Rn) is the iden-
tity ida, then d(j, U) = 1.
(II) (Additivity) If U :::) VI U V2 with VI, V2 open and disjoint,
f E Co(U, Rn) and Z(j) C VI U V2 , then
d(j, U) = d(j, Vd + d(j, V2 ).
(III) (Homotopy) If h t : (U, 8U) ---+ (Rn, R n - {O}) is a homo-
topy, then d(h o) = d(hd.
(IV) (Existence) If f E Co(U, Rn) and d(j) -=J= 0, then f(U)
contains a neighborhood of zero.
(V) (Excision) If V C U are open in Rn and f E Co(U, Rn)
has all its zeros in V, then d(j, U) = d(j, V).
(B) The degree function d : ..${ ---+ Z is uniquely determined by the
normalization, additivity, and homotopy properties (I)-(III). 0
We remark that properties (IV) and (V) follow from (I)- (III) by the
same argument as in the proof of (5.1) and (5.2).
One of the striking consequences of the homotopy property in (8.1) is
that d(j, U) depends only on the boundary values f18U. Precisely:
(8.2) THEOREM (Dependence on boundary values). If U C Rn is open
and bounded, and the maps f, g E Co(U, Rn) satisfy fl8U = g18U,
then d(j, U) = d(g, U).
PROOF. Define H : U x I ~ Rn by H(x, t) = (1 - t)f(x) + tg(x). Since

H t 18U = fl8U = gl8U for all t , we conclude that f, 9 : (U, 8U) ~
(Rn, Rn - {O}) are homotopic, and therefore d(J, U) = d(g, U). 0
The mechanism of this dependence on boundary values, and the deter-
mination of d(J, U) from the knowledge of fl8U alone, will be discussed
later.
Another frequently used property relating to boundary behavior is
(8.3) THEOREM (Rouche). If f,g E Co(U, Rn) satisfy

Ilf(x) - g(x)11 < Ilf(x)11 for x E 8U,
then f and 9 are homotopic in Co(U, Rn) and
d(J, U) = d(g , U) .
PROOF. Observe that ht(x) = (l-t)f(x) +tg(x) t= 0 on 8U, since otherwise
we would have tllf(x) - g(x)11 = Ilf(x)11 for some x E 8U and t E (0, 1); thus
f ,g are homotopic, and our conclusion follows from (8 .1). 0
On the basis of (8.3), we show how to calculate the degree of a differen-

tiable map at its regular zero.
(8.4) THEOREM. Let f : U ~ R n be differentiable, and let a E U be a

regular zero of f, i. e., f' (a) is nonsingular.
(a) For a sufficiently small ball B(a , r) = V C U, the map flV is
homotopic to the affine map x f-> f'(a)(x - a) by a homotopy
H t : (V ,8V) --+ (Rn,Rn - {O}).
(b) d(J, V) = detf'(a)/ldetf'(a)1 = sgndetf'(a).
PROOF . Since f'(a) is invertible, we have 11f'(a)(x - a)11 2 mllx - all for all
x - a and suitable m > O. Choose B(a, r) = V so small that
Ilf(x) - J'(a)(x - a)11 :S ~mllx - all on V.
Then f : (V,8V) --+ (R n , Rn - {O}) and f'(a)(x - a) t= 0 on 8V (since

Ilx - all = r on 8V). Moreover,
IIf(x) - J'(a)(x - a) II < 1IJ'(a)(x - a) II on 8V.
So (8.3) gives (a) and
, det f'(a)
d(J, V) = d(J (a) , V) = Idet f'(a)I'
and the proof is complete. o

We now formulate the main theorem on the topological degree in R n in

an equivalent form which will serve as the basis for the fixed point index
theory that we shall develop in §12.
(8.5) THEOREM (Degree for compactly rooted maps). Let J(* be the class
of all compactly rooted maps f : U ---+ R n , where U is open in some
Rn. Then:
(A) There exists a function D : J(* ---+ Z assigning a d egree D(f) =
D(f, U) to each f : U ---+ Rn in J(* and satisfying:
(I) (Normalization) If f = id u and 0 E U, then D(f) = l.
(II) (Additivity) For every pair VI, V2 of disjoint open subsets
ofU , if Z(f) c VI UV2 , then D(f, U) = D(f, Vr)+D(f , V2) ·
(III) (Homotopy) Let H t : W ---+ R n be a compactly rooted ho-
motopy. Then D(Ho, W) = D(HI' W).
(IV) (Existence) If D(f, U) i= 0, then Z(f) i= 0.
(V) (Excision) If V c U is open and Z(f) C V, then D(f, U)
= D(f, V).
(VI) (Multiplicativity) Let U C Rn and V C R m be open and
f E Co(U, Rn), g E Co (V, Rm). Then f x g E Co(U x V,
Rn+m) and D(f x g , U x V) = D(f, U) . D(g, V).
(B) The degree function D : J(* ---+ Z is uniquely determined by the
normalization, additivity , and homotopy properties (I)-(III). 0
9. Extension of the Antipodal Theorem
Using the degree we now establish another generalization of the Borsuk

antipodal theorem. Let U c R n be centrally symmetric (i.e., -U = U). We
recall that a map f: U ---+ Rn is odd if f(x) = -f(-x) for all x E U.
(9.1) THEOREM. Let U C R n be a centrally symmetric polyhedral domain,

and let f : (U,8U) ---+ (Rn,Rn - {O}) be continuous and odd on U.
If 0 ~ U, then d(f, U) is even.
PROOF. Let E = dist[f(8U) , 0] > o. There exists a triangulation T of U and
a PL-generic approximation <p of f such that:
(i) ~ E T =} -~ E T,
(ii) <p is odd.
The first assertion can be proved by induction: n = 1 is obvious; then,
given a d ecomposed {(Xl' ... ' Xn) E R n I Xn = O} n U, we triangulate
{( Xl, ... , Xn) E Rn I Xn ~ O} n U; the antipode of this offers no contradic-
tion. Then we extend <p simplicially over the northern part, and reflect it
for the antipodal values. Therefore, d(f, U) = d( <p, U).
§lO. Topological Degree in R n 269
Now,
d(<p,U)= L J(<p, X),

xE<p-l (0)
where
and
Since <p is odd,

J( <p, -Xi) = [-po, . .. , -Pn] . [<pC -Po), ... ,<p( -Pn)]
= (-l)n(-1) n J(<p, Xi) = J(<P,Xi).
Therefore,
d(<p,U)=2 L J(<P , Xi)
<p(x;)=O
is even. o
We now state the desired extension of the Borsuk theorem:
(9.2) THEOREM (Antipodal theorem). Let U be a centrally symmetric poly-
hedral domain and f : (U, aU) -+ (Rn, Rn - {O}) a continuous map
such that:
(i) flau is an odd function,
(ii) 0 E U.
Then d(f, U) is odd.
PROOF. Choose a closed ball Uo c U around the origin. Define <p : Uo u
au -+ R n by <pIUo = id, <pIau = flau. Tietze's theorem gives an extension
<P: (U, aU) -+ (Rn, R n - {O}) of <p over U. Defining
1
tJi(x) = 2[<P(x) -<P(-x)]
we find:
(a) tJilau = flau because f is odd on au.
(b) tJil Uo = id.
(c) tJi : U -+ R n is odd.
Now, by (a), d(f, U) = d(tJi, U), because of the boundary value theorem
(8.2). Next, by additivity,
d(tJi, U) = d(tJi, Uo) + d(tJi, U - Uo).
By normalization, d(tJi, Uo) = +1. Since tJi is odd on U - U 0, and 0 tic U - U 0,
we conclude by (9.1) that d(tJi, U - Uo) is even. Thus, d(f, U) is odd. 0
A. Properties of the topological degree in R n
Given an open bounded U C R n and f E Co(U,Rn), we let Z(J) = {x E U I f(x) = o}.

(A. 1) Let VeRn be open and bounded, U C Rk an open bounded nbd of 0, and
f E CoW, Rn) . Let W = V x U, and let F = (J, idu) be given by (x, y) J---> (J(x), y).
Show: The map F sends (W, oW) into (Rn+k, Rn+k - {o}) and d(F, W) = d(J, U).
(A.2) Let f E Co(U, Rn) and assume that V(xo) is a nbd of Xo E Z(J) such that
Z(J) n V(xo) = {xo}· We let io(J, xo) = d(J, V(xo)) be the local index of Xo for f. Show:
io (J, xo) depends only on f and Xo·
(A.3) Let f E Co(U,Rn) with Z(J) = {Xl, .. . ,xd· Show: d(J,U) = 2:7=1 io(J,xi).
(A.4) Let U eRn be open and bounded, and f,g E Co(U, Rn). Show:
(a) If J.Lf(x) = g(x) for all x E au and J.L > 0, then d(J, U) = d(g, U).
(b) If J.Lf(x) = -g(x) for all x E aU and J.L > 0, then d(J,U) = (-I)nd(g,U).
(c) d(J, U) = (-l) n d( - f, U).
(A.5) Let U C R2n+1 be an open bounded nbd of 0, and let f : aU ~ R 2n +1 - {o} be
continuous. Show: There is an (xo, AO) E au x (R - {o}) such that Xo = Aof(xo).
(A.6) Let U eRn be open and bounded, and f E Co(U, Rn). Show:
(a) If either (i) 0 E U and d(J, U) # 1, or (ii) 0 ¢ U and d(J, U) # 0, then there are
Xo E au and AO < 0 such that xo = Aof(xo).
(b) If either (i) 0 E U and d(J, U) # (_l)n, or (ii) 0 ¢ U and d(J, U) # 0, then there
are Yo E au and AO > 0 such that yO = Aof(yo).
(A.7) For any bounded open U C R n and bERn, let Cb(U, Rn) be the set of all
continuous f : Cu, aU) ~ (Rn, R n - {b}). Given an f E Cb(U, R n ), its degree with respect
to b is the integer d(J, U, b) = d(J - b, U), where d(J - b, U) is the Brouwer degree of the
map f - b: (U, aU) ~ (R n , R n - {o}). Establish the following properties of the degree:
(1) (Normalization) d(id, U, b) = 1 or 0 depending on whether or not bE U.
(2) (Additivity) If U ~ UI U U2 with UI, U2 open disjoint and b ¢ f(U - (U1 U U2)),
then
d(J , u, b) = d(J, U1, b) + d(J, U2, b).
(3) (Homotopy) If Ht : (U, aU) ~ (Rn, R n - {b}) is a homotopy, then d(Ho, U, b) =
d(H 1 , U,b).
(4) (Existence property) If d(J, u, b) # 0, then f (U) is a nbd of b in Rn.
(5) (Excision) If UI is an open subset of U and f E Cb(U, Rn) satisfies b ¢ f(U -UIl,
then d(J, U1, 0) = d(J, U,O).
(6) (Dependence on boundary values) For any f,g E Cb(U,Rn ) with flaU = glaU,
we have d(J, U, b) = d(g, U, b).
(7) (Component dependence) If f E Cb(U, R n ), then d(J,U,') is constant on each
connected component of R n - f (aU).
(A.B) Let f E Co(U, Rn) be C 1 on U, and let Xo be a unique regular zero for f (i.e. ,
f(xo) = 0 and the Jacobian J f(xo) is nonzero). Show: d(J, U) = io(J, xo) = ±I, according
to whether the Jacobian J f(xo) at Xo is positive or negative.
(A.9) Let j E CoCU, Rn) be a C 1 map such that Z(f) consists of a finite number of
points Xl, .. . ,Xk> all regular. Show:
k k k
d(f,U) = LsgnJj(xj) = LJj(xj)/IJj(xj)1 = Lio(f,Xj).
j=l j=l j=l
(A .lO)* (Leray composition theorem) Let U C R n be an open bounded subset, and let
j : U -+ R n , 9 : R n -+ R n be two maps. Let K 1, K 2 , .. . denote the bounded components
of R n - JUJU), and let bERn - gj(aU). Show:
d(gj , U,b) = Ld(f,U,Kj)d(g,Kj , b),

j
where d(f, U, K j ) is the value of the constant function defined by a f-7 d(f, U, a), a E Kj
(Leray [1935]).
[Let Koo denote the unbounded component of R n - j(aU), K = Uj Kj, L = j-1(K),
Lj = r1(Kj), and Loo = r1(Koo)j note that
d(gj,U, b) = d(gj, Loo,b) + d(gj,L,b) = d(gj,L,b) = Ld(gj,Lj,b)

j
(since d(gj,Loo,b) = 0), and then show that d(gj , Lj,b) = d(f, U,Kj)d(g,Kj, b), using
the fact that d(f,U,Kj) = d(f,U,bj), where bj E Kj ng - 1(b).]
(A.l1)* (Degree and critical points) Let j : R n -+ R be a C 2 function with a finite

number of critical points such that j(x) -+ 00 as IIxll -+ 00. Show:
(a) For a sufficiently large ball Br = B(O,r) we have d(gradj,Br) = 1.
(b) If 0 is a non degenerate critical point of j (i.e., detla2j/axiaxj(0)1 =1= 0) and j
attains its minimum at a point X =1= 0, then j has at least three stationary points
(Castro- Lazer [1979]).
B. Degree in R n and Brouwer's degree for maps sn -+ Sn

Let Sn be the unit sphere in R n+ 1 and fin = R n U {oo} be the one-point compactification
of Rn. We let Un : R n -+ Sn denote the inverse of the stereographic projection, given by
( IIxII2 - 1 2X) n
Un(X) = IIxI1 2 + l' IIxI1 2 + 1 E R xR
We extend Un in a natural way to a homeomorphism an : fi -+ Sn by sending 00 to the
"north pole" (1 , 0, ... , 0) E Sn j using an we identify fin with Sn.
(B.l) Let U C R n be open and bounded, let j : (U, aU) -+ (R n , R n - {O}) be a map,
and jo = jlaU : au -+ R n - {O}.
(a) Show: There exists a map fo : fin - U -+ fin - {O} such that !olau = jo.
[Use the following facts: (i) au is the common boundary of fin - U and Uj (ii) the
values of jo are in R n - {O} C fin - {O}j (ii) fin - {O} is an absolute retract.]
(b) Define f: fin -+ fin by
f( x) = { fo (x) if X E ~n - U,
j(x) if X E U,
f
and call an allowable extension of j over fin . Show: Any two allowable extensions of j
over fin are homotopic.
(B.2) Let U c R n be open and bounded, and f E Co(U, Rn). Let lin -+ lin be i:
an allowable extension of f. Set deg(f) = dB(i), where dB(i) is the Brouwer degree of
i: Sn -> Sn. Show: deg(f) does not depend on the choice of f.
(B.3) Let U c R n be open and bounded, and let h t : (U, aU) -+ (Rn, R n - {O}) be a
homotopy. Show: t f-+ deg(h t ) is constant.
(B.4) Let U eRn be open and bounded, f: (U,aU) -+ (Rn,R n - {O}), and Ul, U2
open subsets of U such that Z(f) c Ul U U2· Show: deg(f) = deg(f, Ul) + deg(f, U2)'
(B.5) Let U c R n be open and bounded, and f E Co(U, Rn). Show: deg(f) = d(f).
(In connection with the above results, see Bers's lecture notes [1957J and G!;lba-
MassabO-Vignoli [1986J.)
C. Isolating neighborhoods and complementing functions
Throughout this section we assume f : R n x R -+ R n to be a C 1 function such that: (i) the

set A j = {(O, A) I det Dxf(O, A) = O} of its singular points is discrete, (ii) f(O, A) = 0 for
all A E R.
(C.1) Let (O,AO) E Aj. An open U c R n x R is called an (E;r)-isolating nbd of (O,AO)

provided:
(i) U = B(Ao; r, E) = {(x, A) E R n x R I Ilxll < r, lAo - AI < E} is a boxlike nbd of
(0, AO) determined by E > 0 and r > 0,
(ii) (0, AO) is the unique singular point of f in U,
(iii) f(x, A) of=- 0 for lAo - AI = E and all x with 0 < Ilxll < r.
Prove: If E > 0 and r > 0 are sufficiently small, then (0 , AO) admits an (E; r)-isolating nbd.
(C.2) If U is an (E;r)-isolating nbd of (O,AO) E A j , then a continuous B: U -+ R is a
complementing function for f, written B E 'e''>-o(U), provided:
(i) B(O, AO + E) > 0, B(O, AO - E) > 0.
(ii) B(x, A) < 0 for II xii = r.
Prove:
(a) The function B : U -+ R given by
B(x, A) = lAo - AI(r - Ilxll)/r - Ilxll

is a complementing function for f.
(b) For any TJ with 0 < TJ < E, the function B : U -+ R given by
is a complementing function for f.

(c) For any TJ with 0 < TJ < r consider the "tube" J." = S(O, TJ) x [AO - E, AO + EJ and
U = B(Ao;r,c). Let B: U ---> R be a continuous function such that (i) BIJ." = 0,
(ii) B is negative outside J.", (iii) B is positive inside J.". Then B E 'e'.>-o (U).
(d) If Bl, B2 E 'e'.>-o (U), then (1 - t)Bl + tB2 E 'e'.>-o (U) for any t E [0, 1J.
(e) If BE 'e'.>-o (U) and B(x, A) = 0 for some (x, A) E U with A of=- ±E then (x, A) E U.
(C.3) If U is an (E; r)-isolating nbd of (0, AO) and B E 'e''>-o (U), let F = (f, B) : U -+ R n+1
be given by (x, A) f-+ (f(x, A), B(x, A» for (x, A) E U. Prove:
(a) FE Co(U,Rn+l).
(b) If Fl = (f,B 1 ), F2 = (f,B2), where Bl,B2 E 'e''>-oCU), then F1 ,F2 E CO(U, Rn+l)
are homotopic and d(Fl' U) = d(F2, U).
(C.4) Let ° °
< C1 < c2, < TI < r2 and U1 = U(q,r1) C U2 = U(c2,r2) be two
isolating nbds of (0, AO). For i = 1, 2 let Fi E CO(Ui, Rn+l) be given by Fi = (j,Oi) '
where 0i E 'if>'o (Ud· Show: d(F1, U1) = d(F2, U2)·
(C.5) If U is an (c;r)-isolating nbd of (O,AO) E Ai, we let
r(AO) = sgn det Dxf(O, AO + c) - sgn det Dxf(O.AO - c).

Prove:
(a) r(AO) does not depend on the choice of U.
(b) For any F = (f,O) E Co(V, Rn+l), where 0 E 'if>'o(U) , we have r(Ao) = d(F,U).
°
(c) If r(AO) =1= 0, then f(x, A) = for some (x, A) E U with x =1= 0.
[For (b) : consider G = (g,O) E Co(V,R n + 1), where g(X,A) = Dxf(O,A)(X) and 0 E
'if>'o(U) is as in (C.2)(b); observe that (0, AO + T)), (0 , AO - T)) are the only solutions in U
of G(X,A) = 0. To conclude, calculate DxG(O,AO + T)), DxG(O,AO - T)), and then using
(B.2) show that r(AO) = d(G , U) = d(F, U). For (c) use an appropriate complementing
function·l
D. Bifurcation results in R n
Consider the equation
f(x , A) = 0.
We let ~ j = :7j n Yj , where :7j = {O} x R is the set of trivial solutions of (*) and Yj
is the closure in R n x R of the set of nontrivial solutions of (*) . Any (0, A) E ~ j is called
a bifurcation point of (*) .
(D .l) Show: The set ~j of bifurcation points is contained in A j .
(D.2) (Krasnosel'ski£ theorem) Let J c R be an open interval with Aj n ({O} x J) =

{(O,AO)}. Given any A+, A_ E J with A_ < AO < A+, let
,(AO) = sgndet Dxf(O, A+ )- sgn det Dxf(O, L) .
Show: If,(Ao) =1= 0, then (O,AO) E ~j (cf. Krasnosel 'skii's book [1964)) .
(D.3) Assume that A ....... Dxf(O , A) is of the form I - AT for some T E :L'(Rn). Prove: If
1/ AO is an eigenvalue of T of odd multiplicity, then (0, AO) is a bifurcation point for (*).
(D.4) FOrAo < Al < ... < Ak> set [AO, AI , . .. , Akl = {(O,AO) , (0, Ad, . .. , (0, Ak)}' Assume
[AO,A1 , ... ,Akl c ~j. Call {Uo , U1 , . . .,Ud an (c;r)-isolating system of [AO,A1 , . . .,Akl
if:
(i) each Ui = B(Ai;r, c) is an {c;r)-isolating nbd of (O , Ad ,
(ii) Vi n Vi+l = 0 for i = 0, .. . ,k - l.
Prove: Any [AO, AI, . .. , Akl c ~ j admits an isolating system.
(D .5) Let C be a bounded component of Yj such that C n ~j = [AO, AI, . . . ,Akl . Show:
There exists an open bounded set W c Rn+l such that: (i) C c W; (ii) aw n Y j = 0;
(iii) WnAj = [AO , A1, .. . ,Ak] .
[Take a sufficiently large g so that C C B(O, g) , and let X = YjUA jU(R n+ 1 - B(0, g)),
K = A j - [AO, AI , ... , Ak] ; observe that X C R n+1 is closed and K is a closed subset of
X -C . Prove that there exists an open bounded We Rn+l such that C C w , awnx = 0
and WnK = 0.]
(D .6) (Rabinowitz theorem) Let (0, A) E !l8f , and let C be a bounded component of:7f
conta ining (0, A) . Prove:
(a) There exists [AO , AI, ... , Ak] C !l8f such that C n!l8f = [AO , AI ,· . ·, Ak] '
(b) L~=o r(A i ) = 0, where r(A i ) is defined in (C .S) (Rabinowitz [1971]) .
[For (b) , take a n (c ; r)-isolating system {Ud of [AO, AI , . .. , Akl and W as in (D .5) , so that
U = UUi = W n ({ x E R n Illxll < r} x R). Define e : W --> R by e(x , A) = r2 - 211xl1 2
and prove that F = (f,e) E Co(W,Rn+ 1) is homotopic in Co(w , Rn+1) to a constant
map, and thus d(F, W) = 0.]
(The proofs of (D.2) and (D.4) , based on the t echnique of complementing functions
introduced by Ize [1976], are due to K. G~ba) .
Topological degree in R n
Let U be a bounded open subset of Rn and bERn. Let Cb(U , Rn) de-
note the set of all continuous f : (U, aU) .......; (Rn, Rn - {b}). Given any
f E Cb(U , Rn) , its degree with respect to b is defined to be the integer
deg(j, U, b) = d(j - b, U). The properties of the degree function given in
Theorem (8.1) imply at once the corresponding properties of deg(j, U, b) .
The degree deg(j, U, b) can be regarded as the "localization" of Brouwer's
original theory for maps between n-dimensional manifolds. This localiza-
tion was , in fact , first formulated and carried out explicitly by Leray and
Schauder in their classical memoir of [1934] (as the first step towards con-
structing a degree for compact fields in Banach spaces). For some further
comments concerning this matter, the reader is referred to Dieudonne's book
[1989]; see also Leray's survey [1936].
There are essentially three general methods to handle the theory: (i) ge-
ometric; (ii) analytic ; and (iii) algebraic .
The first one , presented in this paragraph, uses only some elementary
facts from linear algebra and simplicial topology and is based on PL-approx-
imations of continuous maps. This type of approach was used, in fact , for
the first time by Leray in his unpublished 1948- 1949 lectures at the College
de France (for a brief outline see Leray [1950]) , but the details and the form
of the presentation given here are due to Dugundji [1985]; the reader may
consult also Peitgen- Siegberg [1981]' where the PL-approach is studied from
the viewpoint of finding algorithms for computing fixed points.
The second method, based on using various tools of analysis, has its roots
in the work of Kronecker [1878], who already developed, in the setting of
C 1 maps, what could be called a degree theory. Various analytic approaches
for continuous maps were given (cf. for example Nagumo [1951] and Heinz
[1959]) , and are described in several books and lecture notes.
We recommend the following references for the analytic approach:
(a) lecture notes: Schwartz [1965], Nirenberg [1974], Rabinowitz [1975]

(in French), Dold [1986] (in Spanish),
(b) monographs: Krasnosel'ski'l- Zabre'iko [1975], Berger [1977], Eise-
nack-Fenske [1978] (in German), Lloyd [1978], Deimling [1985],
Zeidler [1985], Rothe [1986], and also Milnor [1965].
The third method, based on tools of algebraic topology, is briefly de-
scribed in §15; for a complete presentation, the interested reader is referred
to Dold's monograph [1972]. In Section 7 it is shown that the normaliza-
tion, additivity, and homotopy properties characterize the degree. This fact
(which was first proved by Fuhrer [1971] and later but independently by
Zeidler [1972J and Amann- Weiss [1973]) implies that each of the above ap-
proaches yields the same notion of degree.
Theorem (9.1) extending Borsuk's antipodal theorem was proved, using
the analytic approach, in Schwartz's lecture notes [1969]; the proof in the
text is close to that given by G<2ba- Granas [1983].
Historical comments
The general degree theory for maps between manifolds was created by
Brouwer in 1910- 1912. Using the newly introduced technique of simplicial
approximation, Brouwer was able to establish in a rigorous way a number
of remarkable results:
1° the "invariance of dimension" theorem (already conjectured by Dede-
kind) stating that Rn is not homeomorphic to Rm when n -=J m;
2° the "invariance of domain" theorem asserting that if U c Rn is open
and f : U --+ Rn is continuous and injective, then feU) is open in
Rn;
3° the proof that the suitably modified definition of "dimension" of com-
pact subsets of Rn given by Poincare and the definition given by
Lebesgue are equivalent;
4° the "Jordan theorem" in Rn, stating that if E n - 1 c Rn is homeo-
morphic to sn-l, then Rn - En-l has exactly two components;
5° "fixed points theorems":
(a) If f : sn --+ sn has d(f) -=J (_1)n+l, then f has a fixed point.
[For if not, the consideration of the great circle on sn joining -x
and f(x) provides a homotopy of f to the antipodal map that has
degree (_1)n+l; cf. Dieudonne's book [1989], pp. 454- 472.J
(b) If f maps a closed ball in R n into itself, then f has a fixed point.
[We may assume that f : K --+ K, where K = S+, the upper hemisphere
of sn; let 9 : sn --+ K be given by
f(x), x E s+,
g(x) = { f(s(x)), x E S"2,
where s is the symmetry with respect to the equator sn-l C sn; clearly,
glS+ = f, and since 9 is not surjective, deg(g) must be zero; by (a), g(xo) =
Xo for some Xo E S+, and therefore Xo = f(xo).]
L.E.J. Brouwer, 1943
Brouwer's approach to degree was based on his fundamental idea that

given a map f : M - 7 N between n-dimensional manifolds, much informa-
tion about the map can be obtained from the study of the inverse images of a
single point in N. He defined the degree of f (by first taking a simplicial ap-
proximation cp of f) as "number of inverse images of a point" (counted with
appropriate multiplicities) and then proved that the degree is a homotopy
invariant of f.
We also remark that while the intuitive notion of deformation was used
(without definition) by many mathematicians in the 19th century, it was
Brouwer who gave first the modern definition of homotopy (cf. Dieudonfi(§'s
book [1989], p. 462).
In the special case where M = N = S2, Brouwer succeeded in showing
that two maps f, 9 : S2 - 7 S2 are homotopic if and only if d(f) = d(g). The
proof of the extension of this result to arbitrary n, due to Hopf [1929], in-
volved restating Brouwer's degree theory in terms of homology. This theorem
of Hopf (i.e., Theorem (9.8.3)), together with the Lefschetz- Hopf theorem
and the Alexander duality, were the earliest and most complete successes of
homology theory.
Very soon after proving Theorem (9.8.3), Hopf found an example of a

nontrivial map f : 8 3 ~ 82 , showing that the induced homomorphism in
homology cannot detect whether the homotopy class of f is nontrivial; the
method used in the construction of the above example was again Brouwer's
method of inverse images; the invariant that can distinguish two non homo-
topic maps from 8 3 to 82 is the linking coefficient of the inverse images of
two points.
We insert some comments about Brouwer's work due to Freudenthal:
Seen in historical perspective , Brouwer's performance at that time, in particular
his first great paper, on the invariance of dimension, looks like witchcraft . As his
magic wand he used the seemingly simple theorem: If a continuous map f of the
n-dimensional cube K n = [-l,ljn into R n displaces every point less than 1/2,
then the image f(K) contains an interior point. He proved this theorem by sim-
plicial approximation of the given mapping, a method which due to Brouwer now
seems rather obvious but which was revolutionary in 1911. It is the first example
of mixing up combinatorial and set theory methods , which later would lead to the
most profound re~mlts in topology. Because of this discovery we may rightly claim
that, notwithstanding all precursors, modern topology started with Brouwer.
It is no exaggeration to refer to Brouwer's new tools as a magic wand; the
results indeed look like witchcraft, the invariance of dimension, the mapping de-
gree, the singularities of spherical vector fields, which factually were his starting
point , fixed point theorems, the invariance of domain, with applications to auto-
morphic functions, the Jordan theorem for arbitrary dimension, the invariance of
the closed curve and its connectivity, which in germ contains the homology theory
of compacta. This indeed is a staggering series of old conjectures come true, and
of new theorems and concepts which in due course were to be fundamental in
topology, all produced in less than two years.
In the process of preparing the publication of Brouwer's Collected Works,

Freudenthal unexpectedly discovered "The exercise book" of Brouwer that
sheds a new light on the origin and development of Brouwer's discoveries
(cf. Freudenthal [1975] and also his article in Brouwer's Collected Works).
This document (written in Dutch) contains a draft or copy of Brouwer's
letter to Hadamard dated January 4, 1910. We insert a fragment of this
letter showing that Brouwer, already in January 1910, had a proof of his
fixed point theorem in R n , before the publication of Hadamard [1910]:
Je puis a present vous communiquer quelques extensions du theoreme du point
invariant dans les transformations biunivoques et continues de la sphere. Elles se
rapportent aux transformations univoques et continues de la sphere. A une telle
transformation on peut attribuer un nombre fini n comme son degre.
( ... ) Revenons a une transformation univoque et continue generale. Elle peut
etre approximee par une serie de transformations polynomiales; on demontre que
ces dernieres ont toutes Ie me me degre: c'est encore Ie degre de la transformation-
limite. Le degre est toujours un nombre entier fini , positif ou negatif. Le degre
d 'une transformation biunivoque est de +1, si l'indicatrice reste la meme, et de
-1, si elle est renversee.
Maintenant Ie theoreme du point invariant generalise devient Ie suivant: Toute

transformation univoque et continue de la sphere en eJle-meme, dont Ie degre n'est
pas -1, possede au moins un point invariant.
J'ai encore etendu ce theoreme aux spheres a m dimensions. II s'enonce alors
de la maniere suivante: Toute transformation univoque et continue de la sphere m-
dimensionale en elle-meme possede au moins un point invariant, excepte a) quand
m est impair et si Ie degre nest +1, b) quand m est pair et si Ie degre nest -1.
( .. ) Pour Ie volume d 'une sphere m-dimensionale dans I'espace a m+ 1 dimen-
sions (si nous y comprenons la sphere eJle-meme) j 'ai reussi dernierement a etablir
un resultat plus general encore, a savoir: Toute transformation univoque (pas
necessairement biunivoque) et continue du volume d'une sphere m-dimensionale
en lui-meme possede au moins un point invariant.
A nalytical approach
Theorem (8.4) is the basis for the approach to degree theory using only
analytical methods. This starts with the observation that given an open
bounded U eRn, the set COO(U, Rk) is dense in C(U, Rk); here j E
COO(U , Rk) if for some open VeRn with U c V, there is a Coo map
g: V --+ Rk such that glU = j. Next, recall that Yo E Rk is called a critical
value of j if there is some Xo E j-1(yO) for which f'(xo) E '!£(Rn, Rk) is not
surjective; otherwise, Yo is called a regular value. A necessary condition for
having regular values in j(U) is n 2: k. We now take n = k . The Sard the-
orem asserts that if j E COO(U, Rk), then the set of critical values of j has
Lebesgue measure zero. If Cr;o = Cr;o(U, Rn) is the set of all j E COO(U, Rn)
for which 0 is a regular value, then Cr;o is dense in C(U, Rn): given a con-
tinuous j, approximate it first by a Coo map and then translate the latter
slightly if 0 is not a regular value.
For j E Cr;o the inverse mapping theorem assures that each x E j-1(0)
has a nbd mapped diffeomorphically onto a nbd of 0, so if U is bounded and
rt
o j(8U), then the set j-1(0) is finite. One then defines
dU, U) = L { I~:~ j:~~:~11 j(Xi) = 0 }
for j E Cr;o and proves local constancy (essentially by following the sign of
detDxh(x(s), ),(s)) along the curve s t----> (x(s), ),(s)) of the zeros in U x 1)
and then extends to all Co (U, Rn) exactly as we have done. This satisfies all
the axioms, so by uniqueness, it coincides with the degree we have obtained.
Observe that this approach and the PL-approach both proceed by "lineariz-
ing" maps and both are based on Brouwer's method of inverse images.
§11. Absolute Neighborhood Retracts 279
§11. Absolute Neighborhood Retracts
A natural topological framework for the concept of the fixed point index,
which we shall develop in this chapter, is provided by the theory of ANRs.
This paragraph contains a concise presentation of the basic notions and facts
of the theory. The last section is concerned with some general fixed point
results for compact maps in ANRs.
1. General Properties
(1.1) DEFINITION. A space Y is an absolute neighborhood retract if (i) Y

is metrizable and (ii) for each metrizable X and every closed A c X,
each continuous f : A ---+ Y is extendable over some nbd U of A. The
class of all absolute neighborhood retracts is denoted by ANR.
It is evident that if Y is an ANR, then every space homeomorphic to Y is
also an ANR. We now consider subsets.
(1.2) PROPOSITION. Let Y be an ANR. Then:
(i) any open subset of Y is an ANR,
(ii) any nbd retract of Y is an ANR.
PROOF. (i) Let W c Y be open, and let f : A W be defined on a
---+
closed subset of a metrizable space X. Then f extends over a nbd U :::) A
to an F : U ---+ Y; since A c F- 1 (W) and F- 1 (W) is open, the map
FIF-l(W) : F- 1 (W) ---+ W is the desired extension of f.
(ii) Let B be a nbd retract of Y, and let f : A ---+ B be defined on a
closed subset of a metrizable space X. Let r : W ---+ B be a retraction of some
nbd W of Bin Y. Since W is open, it is an ANR, and hence f has an exten-
sion F : U ---+ W for some nbd U :::) A; then r 0 F is the required extension
for f. 0
For cartesian products, we have

(1.3) PROPOSITION. A finite cartesian product TI~=l Yi is an ANR if and
only if each Yi is an ANR.
PROOF. If TI Yi is an ANR, then because each factor Yi is homeomorphic
to a cross-section in TI Yi, and each cross-section is evidently a retract of
TI Yi, it follows that each Yi is an ANR. Conversely, if each Yi is an ANR,
and if f : A ---+ TI Yi is given, where A c X is closed in a metrizable X, we
can extend each coordinate function Ii to an Fi : Ui ---+ Yi defined on some
n
nbd Ui :::) A; then Ui is a nbd of A on which all the Fi are defined, and
x f--7 (F1 (x), ... , Fn(x)) is the required extension over that nbd. 0
REMARK. (1.3) is not true for infinite cartesian products: although Y =

n:l Yi being an ANR implies that each Yi is an ANR, the converse is not
true.
The term ANR arises because the ANRs are characterized by a very
strong retraction property. It is clear that if i, j : A --t X are two embeddings
of a space A into X, one of them may send A onto a retract of X , whereas
the other may not. To ask that the image of every embedding of a given
space into another space be a retract is a strong requirement, nevertheless
we have
(1.4) THEOREM. A metrizable space is an ANR if and only if it is a nbd
retract of every metrizable space in which it is embedded as a closed
set.
PROOF. Suppose Y is an ANR, and that Y c Z is a closed subset. Consider
now the identity ly : Y --t Y; since Y c Z is closed and Y is an ANR, the
map 1y extends over a nbd U of Y in Z to an r : U --t Y , and r is clearly a
retraction. Conversely, suppose Y has the property of the theorem. Embed
Y as a closed subset of a normed linear space E. It is a nbd retract of E,
which is an AR; therefore, by (1.2), Y is an ANR. 0
We say that a space X is r-dominated by a space Y if there exists a
pair of maps X ~ Y ~ X such that rs = Ix; for example, if X c Yand
r : Y --t X is a retraction, then X is r-dominated by Y.
With this terminology we give another convenient characterization of
ANRs.
(1.5) THEOREM. A metrizable space X is an ANR if and only if one of
the following equivalent conditions holds:
(a) X is a nbd retract of some normed linear space.
(b) X is r-dominated by an open subset of some normed linear space.
PROOF. This is a consequence of (1.4) and the Arens- Eells embedding the-
orem (see Appendix). 0
2. ARs and ANRs

Recall that a metrizable Y is an absolute retract whenever for any metrizable
X and closed A c X each f : A --t Y is extendable over X; the class of
absolute retracts is denoted by AR.
We clearly have AR C ANR; the question of determining which of the
ANR are AR has a particularly simple resolution.
(2.1) THEOREM. Y is an AR if and only if it is a contractible ANR.
PROOF. Let Y be an AR. Then it is in particular an ANR. Moreover, it must

be contractible: for consider the closed subspace S ::::; Y x {O} U Y x {I} C
Y x I and the map f : S ---+ Y given by f(y,O) ::::; y, f(y,l) ::::; Yo E Y;
because Y is an AR, the map is extendable to an F : Y x I ---+ Y, and F is
precisely a homotopy id ':::: Yo.
Conversely, suppose Y is an ANR and contractible; let H : Y x I ---+ Y
be a homotopy with H(y, 0) ::::; y, H(y, 1) ::::; Yo. Let X be metrizable, A C X
closed, and f : A ---+ Y. Since Y is an ANR, there is an extension f: U ---+ Y,
where U =:> A is open in X. Choose a nbd V with A eVe V c U and a
continuous). : X ---+ I with ).IA ::::; 0, ).I(X - V) ::::; 1 and define F : X ---+ Y
by
F(x) ::::; {H(j(x), ).(x)), x E V,
Yo , x EX - V.
This function is continuous, for if x E V n (X - V), then ).(x) ::::; 1 and both
definitions agree. Since F(a) ::::; H(j(a), 0) ::::; j(a) ::::; f(a) for a E A , we find
that F is the required extension of f. 0
3. Local Properties
We first state a simple result that it will be convenient to have at our
disposal.
(3.1) LEMMA (Tube lemma). Let X be a metric space, A C X closed , and
V an open subset of X x I with A x I c V. Then there exists an
open set U =:> A in X such that U x leV .
PROOF. For each (a, t) E A x I take an open set of the form Ua,t X [a,t C V,
where Ua,t is a nbd of a in X and [a,t is a nbd of t in I. By compactness,
a finite number of such nbds Ua,ti X [a,t;> i E [kJ, cover {a} x I. Now let
U a = n~=l Ua,ti and finally U = UaEA Ua. 0
We are now going to show that the ANRs have a number of nice internal
properties. One of these asserts that sufficiently close points can be con-
nected by arcs that vary continuously with the endpoints; i.e., each point
has a nbd U and a family of maps 'Pxy : I ---+ Y (one for each pair x, y E U)
that vary continuously with x, y and get small when x, y get closer together.
We give an exact formulation of this intuitive statement in
(3.2) THEOREM. Let Y be an ANR. Then there is a nbd U of the diagonal
Ll in Y x Y, and a continuous). : U x I ---+ Y such that ).(a, b, 0) ::::; a,
).(a, b, 1) ::::; b, and ).(a, a ,t) ::::; a for every (a, b) E U, tEl.
PROOF . On the closed L ::::; (Y xY x {O} )U(Ll xI)U(Y xYx {I}) c Y xY xl,
define 't/J : L ---+ Y by (x, y, 0) f--+ x , (x, x, t) f--+ x, (x , y ,1) f--+ y. Since Y is
an ANR, this map extends over an open W =:> L in Y x Y x I; by the tube

lemma there is an open U =:> Ll with U x leW, and the restriction of'lj; to
U x I is the required >... 0
The pair (>.., U) is called equiconnecting data for Y; for a pair a, bEY
with (a, b) E U, >..(a, b, t) is a path in Y running from a to b.
(3.3) COROLLARY. Let (>.., U) be equiconnecting data for an ANR Y. Then
for each a E Y and each nbd W of a, there is a nbd V with a EVe W
such that >"(V, V,1) c W (i. e., the paths that vary continuously with
the endpoints and that join points in V all lie in W).
PROOF. Given (>.., U), we have >..-l(W) open in the open U x I , hence open
in Y x Y x I; moreover, {a} x {a} x Ie >..-l(W). By the tube lemma, there
is an open V =:7 (a, a) with V x Ie>.. -1 (W); and we can always choose V
of the form V x V, where V is a nbd of a. 0
The existence of such families of paths leads to the expectation that the
ANR and AR have geometrical behavior analogous in some respects to that
of locally convex sets in linear spaces. We give two such properties, which
are important for our later purposes.
(3.4) THEOREM. Every ANR is locally contractible (for each a E Y and a
nbd W of a there exists a nbd V of a that is contractible in W).
PROOF. Let (>.., U) be equiconnecting data for Y E ANR, and given W, find
a nbd V of a such that >"(V, V,I) c W. Then H : V x I --? W given by
(y, t) ~ >..(y, a, t)
is the required homotopy. o
Note, in particular, the strong kind of contractibility: one can, in fact, con-
tract V to a point of W without ever moving any preassigned point of V.
For the second application, we recall some t erminology.
(3.5) DEFINITION. Let f ,9 : X - t Y be two maps of a space X into a
space Y, and let a = {U>. I >.. E A} be an open cover of Y. We say
that f, 9 are a-close if for each x E X there is a U>.(x) containing
both f(x) and g(x). We say that f,g are a-homotopic if there is a
homotopy h : f : : : 9 such that h(x, I) is contained in some U>.(x) for
each x EX. The maps f, 9 are stationarily homotopic if there is a
homotopy never changing the image of any Xo E {x I f(x) = g(x)}.
We now have
(3.6) THEOREM. Let Y be an ANR. Then each open cover a = {U} has
an open refinement f3 = {V} with the property: for every space X,
any two f3-close maps f, 9 : X - t Yare stationarily a-homotopic.
PROOF. Take some equiconnecting data for Y. Then (3 .3) says that each
a E Y has a nbd Va contained in some U such that -'(Va , Va, 1) is also
contained in that U. The open cover /3 = {Va I a E Y} refines ex = {U} . If
X is any space and J,g: X - t Yare /3-close, then (f(x),g(x)) belongs to a
Va X Va for each x , and
hex , t) = -,[l(x) , g(x), t], tEl,
is a stationary ex-homotopy of J to g. 0
4. Pasting ANRs Together

The main burden of the development will be carried by the following general
(4.1) LEMMA (Kuratowski). Let Y be a metrizable space such that Y =
Yl UY2 , where Yl , Y2, and Yl nY2 are ANRs. Let X be metrizable, A c
X closed , and let J : A - t Y . If X can be represented as the union
Bl UB 2 of two closed sets such that J(AnB l ) c Yl , J(AnB 2) c Y2,
then J is extendable over a nbd of A in X.
PROOF. We have J : An Bl n B2 - t Yl n Y2. Since Yl n Y2 is an ANR
and An Bl n B2 is closed in X, J extends over a nbd in X , hence over
the closure of a smaller nbd. We therefore have an H open in Bl n B2 with
An Bl n B2 c H C Bl n B2 and an extension h : H - t Yl n Y2 of JIH n A .
I. Let F = Bl n B2 - H; then F is closed in Bl n B 2, hence in X , and
(1) FnA = 0.
The two maps
on An B i ,
(i=1 , 2)
onH,
are consistently defined on An Bi n H = An Bl n B 2, so are continuous.
II. Each of the li sends the closed (A n B i ) U H into Yi. Since Yi is an
ANR, there is an extension of li over a nbd Ui in X to gi : Ui - t Yi. Let
Ci = B i - Ui , i = 1,2.
The Ci are closed in X and
(2) An Ci = 0, H n Ci = 0.
III. We now remove the possible inconsistencies. Define U = X - (F U
C l U C 2 ). Then U is open in X; moreover, A C U by (1), (2). Set
J* = {gl on Bl nu ,
g2 on B2 n U.
This is defined on the open U. Since each gi is continuous on U and UnF = 0,
we have
SOgl, g2 are consistently defined on the intersection of two closed subsets of

U, and therefore 1* is continuous on U. Thus, f extends over a nbd of A,
In (4.1), YI , Y2 are arbitrary ANRs. If they are assumed to be either both
closed or both open, the required decomposition of X is always possible, and
we thus obtain the following two important results:
(4.2) THEOREM (Aronszajn-Borsuk). Let Y be a metrizable space and
Y = YI U Y 2 , where YI , Y 2 are closed.
(a) If YI , Y 2, and YI n Y 2 are ANRs, then Y is an ANR.
(b) If YI , Y 2, and Y1 n Y 2 are ARs, then Y is an AR.
PROOF. (a) Let X be metrizable, A C X closed, and let f : A ---t Y be a
given map. The theorem will follow from (4.1) if we can show X = BI U B 2 ,
where Bi are closed and f(A n B i ) C Yi. The sets f-I(Yd, f- l (y2), being
closed in A, are closed in X.
Define
BI = {x I dist(x, f-I(Yd) ::; dist(x, f- l (y2 ))},
B2 = {x I dist(x, f- l (y2 )) ::; dist(x, f-I(Yd)},
so that X = HI UB 2 and each Bi is closed in X. We show f(AnB i ) C Yi for
i = 1,2; by symmetry only f-I(Yd = AnB l needs a proof: if a E f-I(Yd,
then a E B I , since dist(a, f-I(Yd) = 0, so a E An B l ; if a (j. f-I(Yd, then
a E f- l (y2 ) and dist(a, f-l(yl )) > 0, so a (j. B l , i.e., a (j. An B I . Thus,
f-l(yl ) = A n B I , and the proof of (a) is complete.
The proof of (b) is similar and is left to the reader. D
(4.3) COROLLARY. Let Y be an ANR and BeY a closed ANR. Then
Y x {O} U B x I is an ANR.
PROOF. By (1.3), the product B x I is an ANR, and (4.2) applies. D
(4.4) COROLLARY. Any finite union of closed metrizable convex sets in a
locally convex space is an ANR.
PROOF. We show by induction on n that U~= l C i E ANR for any closed
convex metrizable C i (i = 1, ... , n). For n = 1, our statement is true be-
cause, by the Dugundji extension theorem (7.7.4), any convex metrizable
set in a locally convex space is an AR. Assuming that it is true for all inte-
gers smaller than n, we have Y = U::/ C i E ANR, C n E ANR, and hence
Y n Cn = U~:II(Ci n Cn) E ANR, because Ci n Cn E ANR. Thus Y U Cn is
the union of two closed ANRs whose intersection is an ANR, and because
YuCn is metrizable (in view of Theorem (4.4.19) in Engelking's book [1989],
p. 286), our assertion follows from (4.2). D
(4.5) COROLLARY. Any finite polyhedron is a compact ANR. 0

(4.6) COROLLARY. Let Y be a space, U C Y open, and X c U compact.
Assume furthermore that one of the following conditions is satisfied:
(i) Y is a Banach space.
(ii) Y is a metrizable compact convex subset of a locally convex linear
topological space.
Then there exists a compact set C E ANR such that X c C cU.
PROOF. In case (i), cover X by a finite number of closed balls K l , .. . , Ks
c U, and let Ci = Conv(Ki n X) for i E [s]. Since Y is a Banach space,
by Mazur's theorem (see Appendix), each Ci C U is convex compact, and
we infer that X is contained in the compact set C = U Ci C U. Now our
assertion clearly follows from (4.4).
The proof of (ii) is analogous and is left to the reader. 0
A consequence of (4.1) whenever Y = Yl U Y2 with Yi open is
(4.7) THEOREM. Let Y be a metrizable space, and let Y = Ul U U2, where
Ul , U2 are open. If Ul , U2 are ANRs, then so also is Y.
PROOF. Note that we do not have to assume U l n U2 E ANR, because it is
open in U l E ANR and (1.2) applies.
Let X be metrizable, A C X closed, and let f : A ----+ Y be given.
By (4.1) we need only show that X = Bl U B 2, where Bi are closed and
f (A n B i ) c Ui . To this end consider first
Ai =A- f-l(U l ), A2 =A - f- l (U2);
these are disjoint closed sets in X , so there is a continuous .A : X ----+ I with
.A(x) = 1 for x E Ai and .A(x) = 0 for x E A 2.
Let
Bl = {x I .A(x) :s n, B2 = {x I .A(x) ~ n,
so that B l , B2 are closed and X = Bl UB 2. We have f(AnB l ) CUi: for if
a E AnBl , then .A(a) :S ~,so a tt Ai, i.e. , a E A-(A- f-l(Ud) = f-l(Ud.
Similarly f(A n B 2 ) c U2 , and the proof is complete. 0
(4.8) COROLLARY. Let Y be a metrizable space that admits a finite open
covering by ANRs. Then Y is an ANR. 0
(4.9) COROLLARY. Any compact locally Euclidean space is an ANR. 0
5. Theorem of Hanner
The fact that (4.7) is valid with no additional assumption on U l n U2 leads
one to suspect that the ANR property may be local. In this section we shall
establish the fundamental localization theorem.
(5.1) THEOREM. Let Y be a metrizable space and {U>. I A E A} a family

of pairwise disjoint open ANR subspaces. Then their union U>. U>. is
also an ANR.
PROOF. Let X be metrizable, A c X be closed, and let f : A -+ U>. U>. be
continuous. Because of pairwise disjointness, the union of any family of the
U>. is closed in U>. U>., so the A>. = f-1(U>.) are pairwise disjoint and the
union of any family of the A>. is closed in A, hence in X.
Putting V>. = {x E X I dist(x, A>.) < dist(x, A-A>.)} , we obtain a family
{V>. I A E A} of open sets in X with A>. C V>. for each A; moreover, the V>.
are pairwise disjoint because dist(x, A - A>.) :S dist(x, AN) if A i= A' . Since
each U>. is an ANR, we can extend each flA>. over a nbd W>. => A>. in X to
an F>. : W>. -+ U>.; the map F : U>. (V>. n W>.) -+ U>. U>. defined to be F>. on
V>. n W>. is then consistently defined and represents a continuous extension
of f over a nbd of A in X. 0
(5.2) THEOREM. Let Y be a metrizable space that is the union of a count-
able family {Vn In = 1,2, ... } of open ANRs. Then Y is an ANR.
PROOF. We may assume without loss of generality that Vi C Vi+l for each
i = 1,2, ... (otherwise, we would consider the family {V; = U~=l Vk I n =
1,2, ... }), and that Y i= Vi for all i = 1,2, .... We now shrink {Vn } to an
open covering {Wn } by putting
Wi = {y E Y I dist(y, Y - Vi) > 1/2i} (i = 1,2, ... ).
Clearly, Wi is open in Vi and hence an ANR, Wi c Wi+l, and U~l Wi = Y .
We now form the "rings"
. .. ,
Because each Wn is an ANR, so is each Rn; moreover, Y = U~=l Rn because
if n = min{i I x E Wd, then x E Wn - W n- 1 eRn.
Now Y = U~=l R 2n UU~=l R2n-l; since {R2n I n = 1,2, ... } is a disjoint
family of open ANRs, it follows from (5 .1) that U~=l R 2n E ANR; similarly,
U~=l R 2n - 1 E ANR. Thus Y is the union of two open ANRs, so by (4.7) we
conclude that Y E ANR. 0
(5 .3) THEOREM (Hanner) . Let Y be a metrizable space such that each
y E Y admits a nbd U that is an ANR. Then Y E ANR.
PROOF. By assumption, Y has an open cover {U>. I A E A} with each
U>. E ANR. According to (B.IO) in the Appendix, this cover has a a-discrete
open refinement {U>.,n I (A, n) E A x Z+}, where for each fixed integer n, the
family {U>' ,n} is pairwise disjoint and each U>.,n is contained in U>.. It follows
that each U>. ,n is an ANR, and therefore, from (5 .1) , that Vn = U>. U>.,n is
an ANR for each n; consequently, Y = U~l Vn with each Vn E ANR. Now

our assertion follows from (5.2). D
(5.4) COROLLARY. Any metrizable Banach manifold is an ANR. D
6. Homotopy Properties
We begin with the following useful
(6.1) LEMMA (Dowker) . Let X be a metric space, A c X closed , and
assume that V c X x I is an open nbd of the partial cylinder
M = X x {O} U A x I.
Then there exists a map rp : X x I ~ V such that rp(x, t) = (x , t) for
all (x, t) EM.
PROOF. By the tube lemma there exists an open U => A in X such that
U x leV. Because the closed sets A and X - U are disjoint , there exists
a continuous A : X ~ I with AlA = 1, AIX - U = 0. Now letting
rp(x , t) = (x , A(X)t) for (x , t) E X x I ,
we observe that if x E U , then (x , A(X)t) E V , and if x E X - U, then
rp(x , t) = (x , O) E MeV. Because clearly rplM = id M , we conclude that rp
is the desired map. D
Let Y be an ANR, X metrizable, and A C X closed. We know that every
f : A ~ Y is extendable over an open U => A. We now address the problem
of whether or not f is, in fact, extendable over the entire space X. The
following theorem of Borsuk asserts that this problem reduces to one in the
homotopy category: if any single 9 : A ~ Y homotopic to f is extendable,
then so also will be f. In more pictorial terms : if we map X into an ANR
and pull the image of A around, the image of X will always follow.
(6.2) THEOREM (Borsuk). Let Y be an ANR , X a metrizable space, and
A C X closed. Let f, 9 : A ~ Y be homotopic. If f is extendable to
an F : X ~ Y , then 9 is also extendable to a G : X ~ Y; moreover,
G can be so chosen that the given homotopy of f to 9 extends to a
homotopy of F to G.
PROOF. Form the partial cylinder M = Xx {O}UAxI, and let h : AxI ~ Y
be a homotopy joining f and g. Define !lio : M ~ Y by
!lio(x, 0) = F(x) for x E X,
!lio(a, t) = h(a, t) for (a,t) E A x I.
Since M is closed in X x I and Y is an ANR, !lio extends over an open
V=> M to !li : V ~ Y . Using the Dowker lemma (6.1), we choose for this V
a map 'P: X x I --t V such that 'PIM = idM, and define H : X x I --t Z as
the composite
XxI~V.!.Y.
Then, because for each (x, t) EM,
= tP"['P(x, t)] = tP"(x, t) = tP"o(x, t),
H(x, t)
G(x) = H(x, 1) is an extension of 9 over X,
we infer that x f---t and H is the
desired homotopy of F to G extending h over X x I. 0
(6.3) COROLLARY. Let Y be an ANR, X metrizable, and A c X closed. If
f :A --t Y is nullhomotopic, then f is extendable to an F : X --t Y
that is also nullhomotopic.

PROOF. The constant map of A into Y is evidently extendable over X, and
Borsuk's theorem applies. 0
The fact that an extension problem can be reduced to a homotopy ques-
tion is very important. In fact, any space X (not necessarily metric) and any
closed A c X for which it is true that for every space Z (not necessarily an
ANR) the extendability of maps of A into Z always reduces to a homotopy
question, are called cofibered pairs. More precisely:
(6.4) DEFINITION. Let X be a space and A c X closed. We say that (X, A)
is a cofibered pair if for every space Z and two homotopic maps of
A into Z, if one is extendable over X, so also is the other, and the
extensions can be chosen homotopic by a homotopy extending the
given one.
(6.5) THEOREM. Let X be a metric space and A C X closed. If the partial
cylinder M = X x {O} u A x I is a nbd retract in X x I, then (X, A)
is a cofibered pair.
PROOF. Let Z be any space and f, 9 : A --t Z. Assume that F : X --t Z is
an extension of f and that h : A x I --t Z is a homotopy joining f and g.
Define Wo : M --t Z by
tP"o(x, 0) = F(x) for x E X,
tP"o(a, t) = h(a, t) for (a, t) E A x I.
By assumption there is an open U in X x I and a retraction r : U --t M.
Using the Dowker lemma, we choose for this U a map 'P : X x I --t U such
that 'PIM = id M , and define H : X x I --t Y as the composite
XxI~U.!...M~Z.
Then, because for each (x, t) EM,
H(x, t) = tP"o[r'P(x, t)] = tP"or(x, t) = tP"o(x, t),
the map y f--+ H(y, 1) is the desired extension G of g, and H is a homotopy
of F to G extending h. 0
(6.6) COROLLARY. Let A be a closed ANR subspace of an ANR space X.
Then (X, A) is a cofibered pair.
PROOF. By (4.2) the partial cylinder M = X x {O} UA x I is an ANR, and
hence, as a closed subset of X x I, it is a nbd retract in X x I. 0
For the last property, we recall some terminology.
(6.7) DEFINITION. Let X be a space and B c X.
(a) By a deformation of B in X is meant a homotopy D : B x I
---+ X with D(b, O) = b for all b E B; if moreover D(B x {I}) is
contained in a subspace A eX, then D is said to be a deforma-
tion of B into A in X .
(b) A closed set A c B is called a strong deformation retract of B in
X if there exists a deformation D : B x I ---+ X of B into A in X
such that D(a, t) = a for all (a, t) E A x I.
(c) The set A is a deformation retract of B in X if the last condition
is valid only for t = l.
(6.8) THEOREM. Let A be a closed ANR subset of an ANR X. Then for
some open U =:J A the set A is a strong deformation retract of U
in X.
PROOF. Let r : V ---+ A be a retraction of a closed nbd V of A in X. On the
set
N = V x {O} U A x I U V x {I}
define a continuous <Po : N ---+ X by
<Po(x , O) = x for x E V,
<Po (a, t) = a for (a,t) E A x I,
<Po(x, 1) = r(x) for x E V.
Since N is closed in X x I and X is an ANR, this <Po extends over an open
W =:J N to a map <P : W ---+ X. The tube lemma gives an open U =:J A,
U c V with U x leW, and the restriction of <P to U x I gives the desired
strong deformation retraction of U onto A in X. 0
7. Generalized Leray-Schauder Principle in ANRs

In this section we extend to arbitrary ANRs some basic fixed point theorems
for compact operators. The method is elementary and is based on some
properties of compact maps into ANRs which use the notion of extendability
in their formulation.
(7.1) DEFINITION. Let X, Y be two spaces, and let £(X, Y) be the set
of all compact maps from X to Y.
(a) If A c X, then a map f E £(A, Y) is said to be compactly
extendable over X ifthere is a map F E £(X, Y) with FIA = f.
(b) Two maps f,g E £(X, Y) are called compactly homotopic if
there exists a compact map h : X x [ --> Y with h(x,O) = f(x),
h(x , 1) = g(x) for each x E X. The map h is a compact homotopy
joining f and g, and we write h : f 'C::' 9 in £(X , Y); the one-
parameter family of maps {h t : X --> Y}, which is determined by
h in a familiar manner, is also called a compact homotopy.
(c) A map f E £(X , Y) is compactly nullhomotopic ifit is compactly
homotopic to a constant map from X to Y.
An important property of ANRs is given in
(7.2) THEOREM. Let Y be an ANR, X a metric space , and A C X closed.
Then any f E £(A, Y) is compactly extendable over an open nbd U
of A in X.
PROOF. Let K = f(X); since K is compact, there is an embedding h- 1 :
K --> [00 onto a closed subset R C [00. The map f : A --> Y can therefore
be factored
as in the following diagram:

X--~ [00 Y
Jy
K
7~
A------:>K
By the Tietze theorem, we extend cp to a map if> : X --> [00 . B~cause Y
is an ANR, 9 has an extension G : W --> Y over some nbd W of K in [00.
Choose an open V with ReV c V c W , and let U = if>-l(V). Then the
map F = Gif>IU : U --> Y is an extension of f over the nbd U => A. Because
V is compact, so also is G(V) and from F(U) = Gif>[if>-l(V)] C G(V) c
G(V) = G(V) we conclude that the map F is compact. D
We now extend Borsuk's theorem to arbitrary compact maps.
(7.3) THEOREM. Let Y be an ANR, X a metric space , A C X closed, and
let f, 9 E £(A , Y) be two compactly homotopic maps. Assume that f
is compactly extendable to an F E £ (X, Y). Then 9 is also compactly
extendable to aGE Je(X, Y); moreover, G can be so chosen that the

given compact homotopy of f to 9 extends to a compact homotopy of
F to G.
PROOF. Form the partial cylinder M = X x {O} u A x I and let h : A x I -+ Y
be a compact homotopy joining 1 and g. Define a compact map rIto : M -+ Y
by
rIto(x , 0) = F(x) for x E X ,
rIto(a, t) = h(a, t) for (a,t) E A x I.
Since M is closed in X x I and Y is an ANR, this rIto extends, in view
of (7.2), over an open V =:l M to a compact rIt : V -+ Y. Using Dowker's
lemma, choose for this V a map <p : X x I -+ V with <pIM = idM , and define
a compact homotopy H : X x I -+ Y as the composite
XxI~V~Y.
Then, because for each (x, t) E M ,
H(x, t) = rIt[<p(x, t)] = rIt(x, t) = rIto(x, t) ,
we infer that x f--t G(x) = H(x , 1) is a compact extension of 9 over X , and
H is the desired compact homotopy of F to G extending h over X x I . 0
(7.4) THEOREM (Generalized Schauder theorem in ANRs). Let Y be an
ANR , and let 1 E Je(Y, Y) be a compactly nullhomotopic map. Then
f has a fixed point.
PROOF. Using the Arens- Eells theorem , embed Y as a closed subset in a
normed linear space E. By assumption, f E Je (Y, Y) is compactly homo-
topic to a constant map 9 : Y -+ Y . Because 9 is extendable over E, it
follows from (7.3) that 1 extends over E to a compact F E Je(E, Y). For
this F , by the Schauder fixed point theorem, Xo = F(xo) for some Xo E E;
but since the values of F lie in Y and FlY = f , we get Xo = F(xo) = I(xo),
completing the proof. 0
To formulate the next result we introduce some terminology.
(7.5) DEFINITION. Let Y be a space, U C Y open, and aU the bound-
ary of U in Y. The set of all compact maps 1 : U -+ Y such that
the restriction IlaU : aU -+ Y is fixed point free is denoted by
Jf'8u(U, Y). A compact homotopy h t : U -+ Y is said to be admis-
sible if h t E Jf'8u(U , Y) for each tEl. Two maps I,g E Jf'8u(U, Y)
are called admissibly homotopic, written 1 c:::: 9 in Jf'8u (U, Y), if there
is an admissible compact homotopy h t : U -+ Y with ho = f, hI = g.
A compact map j E Jf8u(U, Y) is said to be compactly nullhomo-

topic (notation j ~ 0 in Jf8u(U, Y)) if it is admissibly homotopic to
a constant map 9 sending U into a single point Uo E U.
With this terminology we now establish a general fixed point result formu-
lated in purely topological terms.
(7.6) THEOREM. Let Y be an ANR, U c Y open, and let j E Jf8u(U, Y)
be a compactly nullhomotopic map. Then j has a fixed point.
PROOF. Let h : U x I -+ Y be an admissible compact homotopy joining the
constant map 9 with g(U) = Uo E U and the map j E Jf8u(U, Y). Because
9 extends to a constant map G : Y -+ Y, it follows from (7.3) that the
homotopy h extends to a compact homotopy H : Y X 1-+ Y.
Let B = {x E Y - U I H(x, t) = x for some tEl}. We may assume
B =1= 0 (otherwise, j would have a fixed point in U by (7.4)). Noting that
B and A = U are closed and disjoint subsets of Y, choose A : Y -+ I with
AlA = 1, AlB = O. Define a compact map F : Y -+ Y by
F(y) = H(y, A(Y)) for Y E Y.
We claim that F is fixed point free on Y - U: for if
Xo = F(xo) = H(xo, A(Xo)) for Xo E Y - U,
then Xo E Band Xo = H(xo,O) = G(xo) = uo, which contradicts the
assumption that Uo E U. By (7.4), this implies that F must have a fixed
point Yo in U, and thus, because FlU = j, we have Yo = F(yo) = j(yo). 0
Theorem (7.6) can be rephrased as
(7.7) THEOREM (Generalized Leray- Schauder principle in ANRs). Let Y
be an ANR, U c Y open, and let g be a constant map sending U to
a point Uo E U. Then any compact homotopy h t : U -+ Y joining
ho = g and hI = j has one of the following two properties:
(a) f has a fixed point in U,
(b) there are Yo E au and A E (0,1] with Yo = h).,(yo). 0
We remark that (7.4) and the classical Leray- Schauder principle (6.5.1) are
special cases of (7.7).
A. Identifications
Let X be a topological space, Y an arbitrary set, and p : X ---> Y a surjection. The
identification topology 'Jl'(p) induced by p on Y is
'Jl'(p) = {U C Y I p-l(U) is open in X}.
If X and Yare two spaces, a continuous surjection p : X ---+ Y is an identification map

(or briefly an identification) if the topology in Y is exactly 'IT'(p).
(A.I) Show: (a) A continuous surjection p : X ---+ Y is an identification if and only if
for any 9 : Y ---+ Z , the continuity of gp implies that of g; (b) if a continuous surjection
p: X ----; Y is an open (or closed) map, then p is an identification.
(A.2) Let p : X ----; Y be an identification, and h : X ----; Z be continuous such that hp-l
is single-valued [i.e., h is constant on each p-l(y)]. Show:
(a) hp- l : Y -> Z is continuous and h = (hp-l )p.
(b) hp- l : Y -> Z is an open (respectively closed) map if and only if h(U) is open
(respectively closed) whenever U is a p-saturated open (respectively closed) set.
(A c X is p-saturated whenever A = p-l[p(A)] .)
(A.3) Let p : X -> Y be an identification, Z a set , and 9 : Y -> Z a surjection. Show:
(a) 'IT'(gp) = 'IT'(g); (b) if Z is a space, then gp is an identification if and only if 9 is.
(A.4) Let p : X ----; Y be an identification and K a locally compact space. Show: The map
p x id : X x K ---+ Y x K is an identification map .
B. Quotient spaces
Let R be an equivalence relation in a space X. The quotient set XI R with the identification
topology determined by the projection p : X -> XI R is called the quotient space of X
by R. If A c X, then XIA is the quotient space obtained using the equivalence relation
whose equivalence classes are A and the single points of X - A.
(B. 1) Let X, Y be spaces with equivalence relations R , S, respectively, and let f : X -> Y
be a relation-preserving, continuous map. Show: (a) The induced map f: XI R -> YI Sis
continuous; (b) if f is an identification, then so is 1.
(B.2) Let f : X -> Y be continuous. Define the equivalence relation K(f) in X by x ~ x'
if f x = f x' , and denote by p : X -> X I K (f) the identification map; X I K (f) is called the
decomposition space of f. Show:
(a) f can always be factored as X .!!.., XI K(f) .J.. Y with p surjective and 9 injective.
(b) If the diagram
X~y
~~ ~'"
Z~W
commutes, then there is a continuous>. : XI K(f) -> ZI K(h) such that the
diagram
is commutative.
(B .3) Let X be a space and J = [-1, +1] . The suspension SX of X is the quotient space
of X x J obtained by identifying X x {+ I} and X x {-I} to points. The cone ex over
X is the quotient space ex = X x [0, I]/X x {I}; the elements of SX and also of ex
are denoted by (x, t). Show:
(a) SX ~ ex/x x {O} .

(b) ex is homeomorphic to the subspace {(x, t) E SX I t 2: O}.
(c) A continuous f : X - t Y induces a continuous map Sf : SX - t SY and also
ef: ex --> ey by (x , t ) f--> (J(x), t).
(d) The assignments X f--> S X, f f--> Sf and X f--> ex, f f--> e f define functors
S, e :Top --> Top .
(B.4) Let X , Y be two disjoint spaces, A c X closed , and f : A -+ Y continuous. In the

disjoint union X + Y , we generate an equivalence relation R by a ~ f(a) for each a E A.
The quotient space Xu Y / R is the space obtained by attaching X to Y by f, and is written
Y Uf X; let p : X + Y -+ Y Uf X be the projection . Show:
(a) plY: Y --> Y Uf X is an embedding onto a closed subspace.
(b) piX - A : X - A - t Y U f X is an embedding onto an open subspace.
(c) ex is obtained by attaching X x [0, IJ to a point qO by f(X x {I}) = {qo}.
(d) SX is obtained by attaching X x J to a two-point set {q+ , q-} by f(X x {I}) =
{q+} , f(X x {-I}) = {q-} .
(e) If X , Y , and A are compact , then so is the space Y Uf X .
(B.5) The join X *Y of spaces X and Y is defined by attaching X x [0, 1J x Y to the disjoint
union X + Y by (x , 0, y) f--> x , (x , 1, y) f--> y. Show: ex ~ X * qo and SX ~ X * {q+ , q-} .
(B.6) (Relative bijections) A map f : (X , A) -+ (Y, B) is called a relative bijection if

fiX -A is a bijective map of X -A onto Y -B ; clearly, f-I(B) = A, and f(A) c B (though
possibly not equal to B). Let f : X -+ Y be an identification , and let f : (X, A) -+ (Y, B)
be a relative bijection. Show:
(a) X/A ~ Y/B (and this is natural , induced by J).
(b) If A is open or closed (or if f is an open or closed mapping) , then f : X - A ~ Y - B.
[Consider the diagram
X~X/A
f~
Y~Y/ B
k
and show that l' = (qJ)p-1 : X/A -+ Y/B is continuous and bijective.J
C. Deformation retracts
(C.l) Let A C X be closed. Show: A is a deformation retract of X if and only if it has

the following two properties:
(a) For every space Z , each continuous f : A -+ Z is extendable over X .
(b) For every space Z and any f,g : X -+ Z, f ~ 9 whenever flA ~ glA.
(C.2) Let A C X be closed. We say that X is deformable into A if there exists a defor-
mation D : X x I - t X such that D(x , 1) E A for x E X . Show: If X is deformable into
A and A is a retract of X, then A is a deformation retract of X.
[If r : X - t A is a retraction and d : X x I - t X a deformation of X into A , define
D( ) {d(X, 2t) for °S t S i,

x ,t = r[d(x , 2 - 2t)J for i S t S 1,
and prove that D : X x I -t X is the desired deformation retraction of X onto A.J
(C .3) Show: If A is a deformation retract of X, then the inclusion map i : A ---> X is a

homotopy equivalence.
(C.4) Show: If A C X is a deformation retract of X with the retraction r : X ---> A, then

any map f : Y ---> X is homotopic to the map ir f : Y ---> X .
(C.5) Let D : X x I -+ X be a deformation of X into A C X such that the points of A

remain in A during the entire deformation. Show: X/A is contractible to [AJ, keeping [A]
fixed .
[Consider the diagram
X/A x I ~ X x 1.£ X!!.. X/A

in which p x 1 is an identification by (A.4). Show that (p 0 D)(p X 1) - 1 given by
(p 0 D)(p x 1) - 1(.;, t) = p 0 D[p-l (~), t]

is single-valued and that it provides the required continuous deformation of X/A into [A].]
(C .6) Let (X, A) be a compact pair and A be a strong deformation retract of X. Assume
that f : (X, A) -+ (Y, B) is surjective and maps X - A homeomorphic ally onto Y - B .
Show: B is a strong deformation retract of Y (Spanier [1949]).
(C.7) Let Po E Sn. Show: If Pi-po, then the set (Sn x {p}) U ({p} X Sn) is a strong
deformation retract of Sn x Sn - {(po, po)} (Borsuk [1937]).
[Let f : (K n , sn - 1) -+ (Sn, p) be a map sending K n - Sn-1 homeomorphically onto
Sn - {p}, and let Xo = f- 1 (po) be the center of Kn ; define
g : (Kn x K n - {(xo, xo)}, (Kn x Sn-l) U (Sn-l x Kn))
-+ (Sn x Sn - {(po, PO)}, (Sn x {p}) U ({p} X Sn))
by g(x,x') = U(x),f(x')) and apply (C.6) to the map g.]
D. Deformation retracts and ANRs
(D.1) Let Y be an AR and A C Y closed. Show: A is an AR if and only if A is a strong

deformation retract of Y.
(D.2) Let Y be an ANR and A C Y closed. Show: If A is a deformation retract of Y,

then it is also a strong deformation retract of Y (Samelson [1944]).
[Let d : Y x I -+ Y be a deformation and y t--> r(y) = dey, 1) a retraction of Y onto
A; on the set N = Y x {O} U A x I U Y x {I} C Y x I define ht : N -+ Y, tEl, by
for y E X and s = 0,
ht(y, s) = {~(y, s(l - t)) for yEA and s E I ,
d(r(y), 1 - t) for y E X and s = 1.
Then observe that ho extends to a map Ho : Y x I ---> Y by taking Ho(y, s) = dey , s) for
(y, s) E Y x I, and apply the Borsuk theorem to get an extension HI of hI over Y x I.
Prove that HI : Y x 1-+ Y is the desired strong deformation retraction of Y onto A.]
(D.3) Let Y be an ANR, A C Y closed, and M = Y x {O} U A x ICY x I. Prove: The

following statements are equivalent: (i) M is a retract of Y x I; (ii) A is an ANR; (iii) M
is an ANR.
(D.4) Let X be compact metric and (Y, d) a metric space. Denote by (Yx , (2) the metric
space of all continuous maps f: X --7 Y with (2(f,g) = sup{d(f(x),g(x)) I x E X}. Show:
The space yX is an ANR if and only if Y is an ANR.
(D.5) (Borsukfibmtion theorem) A surjective map p : E --7 B is called afibmtion provided
for any space Z , any 9 : Z --7 E, and any h.-9IDotopy ht : Z --7 B such that pg = ho , there
exists a homotopy ht : Z --7 Y such that pht = ht for each t . Assume now that (X , A) is
a pair of compact ANRs and Y is an arbitrary metric space. Let E = yX , B = yA and
p: E --7 B be the restriction map f f--> flA. Prove: p is a fibration (Borsuk [1937]) .
[Given u: Z x I x A --7 Y, v: Z x X --7 Y with u(z , O,a) = v(z , a) for a E A find
w : Z x I x X --7 Y such that w(z, t , a) = u(z, a) for a E A , w(z , 0, x) = v(z , x) for x E X.
Use the fact that M = I x AU {O} x X is a retract of I x X and that Z x M is a retract
of Z x I x X.]
E. The Lusternik- Schnirelmann category and ANRs
Let X be a space. A closed subset A C X is said to have category Catx (A) :::; n in X if
A = Al U ... U An and each Ai is closed and deformable to a point in X; when A = X we
write CatX for Catx(X) .
(E.1) Let A, B be closed in X . Show:
(a) If A C B, then Catx(A) :::; Catx(B) .
(b) Catx(A U B) :::; Catx(A) + Catx(B).
(c) If d: A x I --7 X is a deformation and B = dCA, 1) , then Catx(A) :::; Catx(B) .
(E.2) Let X be an ANR and A c X be closed. Show: There exists a closed nbd W of A
in X such that Catx(A) = Catx(W).
(E.3) Let X be an ANR, A C Y closed, and let d : A x I --7 X be a deformation. Show:
There exists a deformation D : X x I --7 X such that D I(A x I) = d .
[Use Borsuk's theorem (6.2)].
(E.4) (Essential ANRs) A space M is called essential if there is no deformation h :
M x I --7 M such that M of h(M, 1). Let M be an essential compact ANR such that
M = Ml X ... x Mn, where each Mi consists of more than one point . Show: Cat M > n
(Eilenberg [1936]).
[Suppose to the contrary that Cat M :::; n, i.e., there exists a decomposition M = Al U
.. . uAn such that for each i E In], Ai is closed and there is a deformation di : Ai x 1--7 M
with dilAi x {1} = qi E M. Use (E.3) to extend each di over M x I to a deformation
Di : M x I --7 M. Letting x = (Xl, .. . ,xn) E M with Xi E M i , define a deformation
D : M x I --7 M by
D(x , t) = (PlDl(X , t), P2D2(X, t), . .. , PnDn(X, t)),

where Pi : M --7 Mi is the projection for each i E In]. To get a contradiction, choose
a point y = (Yl, ... , Yn) in M such that Yi of Pi(qi) for each i E In], and show that
Y of D(x, 1) for each x EM.]
(E.5) (Schnirelmann theorem) Let Ml , . . . ,Mn be compact manifolds with each Mi con-
sisting of more than one point and M = Ml X ... x Mn. Show: Cat M > n.
[Observe that a compact manifold is essential and use (E.4).]
(E.6) Let Tn be the n-dimensional torus (i.e., the product of n copies of 8 1 ). Show:
CatT n > n.
F . Special ANRs
Throughout this subsection , E is a normed linear space, m is a fixed integer, and '6' =
{Cd~l stands for a family of m subsets of E ; we denote by M('6') the smallest lattice of
sets containing '6', and by N(<i') the nerve of the family <i'.
Given a multiindex J = (jl, ... ,jk) with jl < .. . < jk and 111 = k S m , we let
CJ = n{Ci li E J}.
By an m-special ANR in E is meant a closed subset C = U~l Ci of E that is equipped
with a covering {Cd~l by m closed convex subsets of C .
We denote by Km the category defined as follows:
(i) the objects of Km are m-special ANRs,
(ii) the morphisms from C to D are continuous maps! : C --> D such that !(Ci ) c Di
for i E [m].
By a pair in Km is meant a p air (C, D) of m-special ANRs such that i : D'---+ C is in Km
and N({Cd) = N({Dd)·
(F.l) Let (C, D) be a pair in Km and set C* = n~l Ci . Show: If C* =I- 0, then there
exists a retraction s : D UC* = Z --> D such that s sends Z n Ci into Ci for each i E [m].
[Using (4.2)(b), prove by induction that C* n D is an ANR, and therefore there is a
retraction r : C* --> C* n Dj then s = i Uris the desired r etraction of Z onto D. ]
(F.2) (Regular coverings) Let (C, D) be a pair in Km . Given any J C [m] with C J =I- 0,
we let UJ denote a closed nbd of CJ n Din CJ . For each p E [m], consider the covering
I:tp = {UJ U D IJ c [m], 111 = p, (CJ = 0) ~ (UJ = 0)}
of the set D , and let
Zp = U{UJ uD 1111= p, (CJ = 0) ~ (UJ = 0)} .

We say that I:tp is a regular covering of D if there is a retraction sp : Zp --> D such that
sp(Zp n C i ) c Ci for each i E [m]. Show: For each p E [m] there exists a regular covering
I:tp of D .
[Proceed by induction on IJI, starting with IJI = m and noting that in this case the
assertion is true by (F.l) . Suppose the existence of a regular I:tp has been established for
some 1 D with sp(Zp n C i ) c Ci for each i E [m] . To construct
a regular covering I:tp-l of D , proceed as follows: For each J with IJI = p - 1, extend
sp : zpnCJ --> DnCJ over an open nbd U~ of zpncJ in C J to a map SJ : U~ --> DnCJ
and then show successively:
(i) The set WJ = [CJ - U{CL IILI = p}] UU{UL nCJ IILI = p} is a nbd of CJ nD
in CJ .
(ii) If UJ is a closed nbd of C J nD in C J with UJ c WJ nu~, and I:tp-l = {UJ UD I
IJI = p - I}, then the map Sp-l : Zp-l --> D given by
Sp-l = sp U U{sJIUJ I IJI = p - I}
is well defined . (If IJI = 11'1 = p - 1, J =I- J' and x E UJ n UJ' c CJUJ" then sJ(x) =
sJ'(x) ; use the fact that IJ U J'I :::: p implies that x E UK for some K with IKI = p and
also that sJIUK = sJIIUK.)
(iii) If x E UJ n Ci, 111= p - 1, then Sp-l(X) E Cd
(F.3) Let (C, D) be a pair in Km . Show: There exists an open nbd V of D in C and a
retraction s : V --> D such that s(V n C i ) c C i for each i E [m] .
(F.4)* Let G E K m , and let {OJ I J C {1 , ... , m}, GJ i= 0} be an open covering

of G such that each OJ is an open nbd of G J . Show: There exists an open covering
{UJ I J C {I, .. . ,m}, G J i= 0} of G such that:
(i) UJ C OJ,
(ii) if IKI 2 IJI and J rt. K, then UK n UJ = 0,
(iii) V K n Gi = 0 for each i rf. K .
[Proceed inductively starting from IKI = m ; then consider IKI = m - 1 and so on. For
IKI = m define UK = OK and note that {UK IIKI 2 m} satisfies (i)- (iii). Suppose the
existence of open sets UL in G has been established for all L with ILl 2 r, for some r
with 1 < r:::; m , such that {UL IILI2 r} satisfies (i)- (iii) and U{GL IILI2 r} C U{UL I
ILI2 r}.
To construct { UK I IK I 2 r - I} , proceed as follows :
(i) Fix K with IKI = r - 1 and let AK = GK - U{UL I ILl 2 r}; then observing
that AK n Gj = 0 whenever j rf. K, choose an open nbd VK :> AK with VK C OK and
V K n Gj = (/) for j rf. K.
(ii) Consider any L C {I , ... , m} with ILl> IKI = r - 1 and L 1; K, and choose
j E K - L . By the inductive hypothesis applied to (L,j) , we have V L n Gj = 0, so
U L n W(L ,j) = 0 for some open nbd W(L,j) of Gj; observe that W(L,jl is, in fact , an open
nbd of A K , since Gj :> GK :> AK . Next define WK = n{W(L,j) I LI > IKI, ILl 1; K,
jEK-L} .
(iii) For any K with IKI = r - 1 find an open nbd ZK of AK such that if K and K'
are any two distinct subsets of [m] with IKI = IK'I = r - I , then ZK n ZK' = 0.
(iv) Lastly, let UK = VK n WK n ZK, and show that {UK IIKI 2 r -I} satisfies the
inductive hypothesis.]
(F.5) Let (G, D) be a pair in Km . Show:

(i) There exists a retraction r : G -> D such that r(G;) C Gi n D for each i E [m] .
(ii) D is a deformation retract of G.
(iii) Given E > 0, there exist open nbds OK in E of DK for K C {I , . . ., m} with
DK i= 0 such that if GK C OK for all K , then the retraction r as in (i) can be
so chosen that IIr(x) - xii:::; E for all x E G.
[For each K with DK i= 0 let rK : E -> DK be a retraction and OK = {x EEl
IlrK(x) - xii < E} . Define an open covering {OK} of G by
o - { OK n G if G K C OK ,
K - any open nbd of GK in G otherwise.
Apply (F.4) to get an open cover {UK} of G satisfying (i)- (iii) of (F.4) ; then for each
L C {I, .. . ,m} , choose an open nbd WL of V L such that WL n Gj = 0 for j rf. L. Using
(F.3), take a retraction s : V -> D (where V is an open nbd of D) with s(V n Gi ) C Gi
for all i E [m]. Define an open nbd W of D by the condition x E W ¢:} Ils(x) - xii < E and
sex) E WL if x E V L for some L. Choose a closed nbd W* C W of D , and take a partition
of unity {A, AK} subordinate to the open covering {W, (G - W*) n UK} K of G. Define
R : G -> D by R(x) = A(X)S(X) + LK AK(x)rK(x) (the sum is over K with DK i= 0) and
show that R is the desired retraction of G onto D.]
(F.6) Let G be an m-special ANR with G = U~l Gi . Show: There exists in Km a

compact finite-dimensional map R: G -> G (i.e. , R(Gi ) C Gi for each i E [m]) .
[For each J C {I, ... , m} with GJ i= 0, select XJ E GJ and then proceed as in (F.5).]
(The above results are due to Nussbaum [1971] .)
C. Lemy- Schauder spaces
In this subsection, unless stated otherwise, Y stands for a completely regular space. If
U C Y is open , we let as usual xCV, Y) be the set of compact maps from V to Y, and
Xau(U, Y) = {f E X(U, Y) I FixUlaU) = 0}. The relations of compact (respectively
admissible) homotopy in XCV, Y) (respectively in X8U(V , Y» (see (7.1), (7.5» divide
the above sets into disjoint homotopy classes; the homotopy class of a map f is denoted
by [fl.
(G .1) (Homotopically nontrivial maps) A map f in XCV , Y) (respectively in XaU(V , Y»

is called homotopically nontrivial (written [f] =f. 0) provided all maps 9 in the homotopy
class U] in XCV, Y) (respectively in X8U(V , Y» have Fix(g) =f. 0. Show:
(a) If f E X&U(V , Y) is essential (see (0.3.1», then [f] =f. 0 in X8U(U, Y).
(b) If Y is a convex set in a linear topological space, then f E Xau(V, Y) is essential
<=> [f] =f. 0 in XOU(V, Y).
[For (a) , see (0.3.3).]
(G .2) Given Xc Y and a compact homotopy h : X x I --> Y, we let

FIX (h) = {( :c, t) E X x I I hex , t) = x}.
Let U C Y be open, 9 : Y --> Y the constant map sending Y to uo E U, and h: V x 1--> Y
an admissible compact homotopy with h(x , O) = g(x) for all x E V. Show: There exists a
compact homotopy h : Y x I --> Y such that :
(i) FIX (h) = FIX(h),
(ii) h(y,O) = uo for all y E Y.
[Observe that e = {x E V I hex, t) = x for some t E I} is nonempty and compact; then
using complete regularity of Y and en au = 0, choose A : V --> I such that Ale = 1,
Alau = 0, and verify that h : Y X I --> Y given by
hey, t) = { hey, A(y)t) for (y, t) E V x I,
Uo for y E Y - V , tEl ,
is the required compact homotopy.]
(G .3) Let 9 : Y --> Y be the constant map sending Y to Uo E Y . Show: The following
conditions are equivalent:
(i) 9 is homotopically nontrivial,
(ii) for each open U C Y containing uo, the restriction glV is homotopically nontrivial
in X&U(V, Y).
(G.4) (The fixed point class go) A space Y is called a fixed point space for compactly
nullhomotopic maps (written Y E go) if every f E X(Y, Y) such that f ~ 0 in X(Y, Y)
has a fixed point. Show:
(a) Y E go <=> [every constant map 9 E X(Y, Y) is homotopic ally nontrivial in
X(Y,Y)] .
(b) If Y is in go , then so also is every open subset of Y .
(c) If Y is in go, then so also is every retract of Y.
(G.5) (Lemy - Schauder spaces) A space Y is called a Lemy- Schauder space if for every
open U C Y and any compact homotopy h t : V --> Y such that ho is the constant map
sending V to Uo E U, one of the following properties holds: either Fix(hlIU) =f. 0, or
yO = h)..(yo) for some Yo E au and A E (0, 1].
(a) Prove: For a space Y, the following assertions are equivalent:

(i) Y is a Leray-Schauder space.
(ii) If U c Y is open and f E Jt8u(U, Y) is compactly nullhomotopic, then
Fix(j) #0.
(iii) If U c Y is open, then any constant map sending U to Uo E U is homotopi-
cally nontrivial in Jt8u (U, Y).
(b) Show: Y is a Leray- Schauder space ¢o} Y E ffo.
(The results (G.2)-(G.5) are due to Horvath-Lassonde [2001J.)
H. Homotopy extension property for compact maps
In this subsection only metrizable spaces are considered, and by a pair of spaces we
understand a pair (X, A) with A c X closed. A space Y is said to have the homotopy
extension property for compact maps if given any pair (X, A) and a compact map f E
£(X, Y), every partial compact homotopy h t : A -> Y of f admits a compact extension
ht : X -> Y such that ho = f.
(H. 1) Assume that Y has the homotopy extension property for compact maps. Show:
(a) If f E £(Y, Y) is nullhomotopic, then Fix(j) # 0.
(b) If U c Y is open and 9 E £au(U , Y) is nullhomotopic, then Fix(g) # 0.
(H.2) (Lemy-Schauder principle) Let Y be a space having the homotopy extension prop-
erty for compact maps, U C Y open, and let 9 be a constant map sending U to a point
Uo E U. Show: Any compact homotopy h t : U -> Y joining ho = 9 and hI = f has one of
the following two properties:
(i) f has a fixed point in U;
Oi) there are Yo E aU and'\ E (0, IJ such that yO = h).,(yo).
(H.3) Prove: Given a space Y, the following two conditions are equivalent:
(a) Y is NES(compact metric).
(b) For any pair (X, A) , each f E £(A, Y) admits an extension F E £(U, Y) over a
nbd U::) A in X.
(H.4) Show: Every Y that is NES(compact metric) has the homotopy extension property
for compact maps.
Absolute neighborhood results

Theorem (3.6) asserting that any two sufficiently close maps into an ANR are
homotopic was proved by Dugundji [1965]. Aronszajn-Borsuk [1932] proved
Theorem (4.2) for compact ARs, and Borsuk [1932] extended the result
to the case of compact ANRs. The fundamental localization theorem (5.3)
was proved by Hanner [1951]. The homotopy extension theorem (6.2) was
established by Borsuk [1937]; this result in more special cases (for example,
in the case of maps with compact domain into sn) was, in fact, known and
used in the early thirties (cf. Borsuk [1931] and Eilenberg [1936]). The proof
of the homotopy extension theorem given in the text, which uses Lemma
(6.1), is essentially due to Dowker. The homotopy extension theorem for

compact maps (7.3) and its applications to fixed point results for compact
maps in ANRs (Theorems (7.4) and (7.7)) are due to Granas and appear
here for the first time; another direct proof (without using the fixed point
index theory) of (7.4), (7.7) was given earlier by Horvath- Lassonde [2001].
The following more special results are of importance in fixed point the-
ory:
(i) (Hanner-Dugundji domination theorem) Let Y be an ANR and a
an open cover of Y. Then there exists a polytope P with the weak
topology and maps f : Y ~ P and g : P ~ Y such that 9 0 f and
Iy are a-homotopic.
(ii) (Bothe embedding theorem) For each n = 1,2, ... there is a compact
(n + I)-dimensional absolute retract B(n) such that any separable
metric space of dimension :S n is homeomorphic to a subset of B(n).
LC n spaces
This class was introduced in the context of compact metric spaces in Lef-
schetz's book [1930]. A metric space X is n-Iocally connected if for every
point x E X and every nbd U of x there is a nbd V of x such that any
f: Sk ~ V, k :S n, is homotopic to a constant map into U .
The class of n-Iocally connected spaces is denoted by LC n , and we let
LC oo = n~= o LC n ; clearly, the class LC of locally contractible spaces is
contained in LC oo .
The following result (proved by Kuratowski [1935] for separable metric
spaces, and by Dugundji [1958] for the general case) provides a useful char-
acterization of the LC n spaces: For a metric space Y the following conditions
are equivalent:
(i) Y E LC n for some n > 0,
(ii) if A is closed in a metric space X and dim(X - A) :S n + 1, then for
each fo : A ~ Y there is an f : U ~ Y that extends fo over a nbd
UofAinX.
ENRs and finite-dimensional ANRs

A space Y is a Euclidean neighborhood retract if it is homeomorphic to a nbd
retract X c Rn. The class of all such spaces (denoted by ENR) is smaller
than the class of finite-dimensional ANRs, and is characterized as follows:
A separable metric space X is an ENR if and only if it is a locally compact
ANR with dim X < 00. For details concerning ENRs, the reader is referred
to Dold's book [1980].
Borsuk [1932] gave the following characterization of compact ENRs: If
X c Rn is compact, then X E ENR {:} X E LC. Borsuk [1935] introduced
the operation of attaching spaces by continuous maps and (using the above
characterization of compact ENRs) proved the following theorem: If f :
A -+ Y is continuous and A c X, X and Yare compact ENRs, then so
also is the adjunction space X Uf Y. J.H.C. Whitehead [1948] generalized
Borsuk's theorem to arbitrary compact ANRs and used the extended result
as an effective tool in his theory of CW-complexes.
For many years, the infinite-dimensional case remained an open problem
until Borsuk [1948] showed that the solution is negative. He constructed a
closed subset of the Hilbert cube that is locally contractible and that admits
retractions onto subsets homeomorphic to sn for any n > O. Taking the join
of this set with a single point yields an example of a compact contractible
and locally contractible space that is not an absolute retract.
Borsuk's example is constructed as follows: Regard the Hilbert cube 1 00
as the cartesian product n:l
Ii of a countable family of unit intervals h
and for each k = 1,2, ... let Ck be the k-cube
Ck = {x E 1 00 11/(k + 1) ::; [xh ::; 11k, 0::; [Xli ::; 1 for 2 ::; i ::; k
and [Xli = 0 for i > k},
where we write [Xli for the ith coordinate of x. Let Bk ~ Sk - l be the bound-
ary of C k , and let Bo = {x E 1 00 I [xh = O}. Borsuk's locally contractible
non-ANR is the compact subspace B = U:
o Bi c 1 00 . For each integer
N > 0 there is a retraction eN : B -+ BN given by
1/(N + 1) if [xh ::; 1/(N + 1),
{
[eN(x)h = [xh if 1/(N + 1) ::; [xlI ::; liN,
liN if l i N::; [xh ,
[eN(X)]i = {O[X]i if 2::; i ::; N,
if i > N.
We remark that if a metrizable and locally contractible space Y has the
homotopy extension property with respect to the class of metric spaces, then
Y is an ANR (Hanner [1951]).
Generalizing Borsuk's result of 1932, Kuratowski [1935] proved the fol-
lowing theorem: If Y is separable metric and the covering dimension dim Y
is finite, then the following properties are equivalent: (i) Y is LC n for some
n :2 dim Y; (ii) Y is locally contractible; (iii) Y is an ANR. Dugundji [1958]
extended this theorem to arbitrary metric spaces.
Equiconnected and locally equiconnected spaces
A metric space Y is called locally equiconnected if there is a map ..\ :

U x 1 -+ Y, where U is a nbd of the diagonal in YxY, such that ..\(a, b, 0) = ~
..\( a, b, 1) = b, and ..\( a, a, t) = a; if U = Y x Y, then Y is called equiconnected.
§ll. Absolute Neighborhood Retracts 303
From (3.2) it follows that every ANR is locally equiconnected (and every
AR is equiconnected). Dugundji [1965] found conditions implying that a lo-
cally equiconnected space is an ANR. The longstanding problem of whether
an arbitrary locally equiconnected space is an ANR was resolved in the
negative by Cauty [1994], who constructed a metric linear space (and thus
an equiconnected space) that is not an absolute retract; Cauty's example
also shows that in the statement of the Dugundji extension theorem the
assumption of local convexity of the target space cannot be weakened.
Cauty [2002] established recently that any compact equiconnected space
has the fixed point property (and more generally that any compact locally
equiconnected space is a Lefschetz space (cf. §15)).
Neighborhood extensor spaces
Let Q be any of the following classes of spaces: JV = normal, f!JJ = para-

compact, J£: = compact, ~ = metric, J£:~ = compact metric.
A space Y is called a neighborhood extensor space for Q if for each X E Q,
every closed A eX, and fa : A ---+ Y, there exists a map f : U ---+ Y that
extends f over some nbd U of A in X; if in the above definition fa extends
over X , we call Y an extensor space for Q.
The corresponding classes of spaces are denoted by NES (Q) and ES (Q),
respectively, and their elementary and frequently used properties are:
(i) ES( Q) c NES( Q).
(ii) A retract of a NES(Q) (respectively ES(Q)) is a NES(Q) (respec-
tively ES(Q)).
(iii) An open subset of a NES( Q) is a NES( Q).
(iv) If Q' c Q then NES(Q) C NES(Q').
Thus various classes of NES( Q) spaces satisfy the inclusions
NES(JV) c NES(f!JJ) c {NES(J£:),NES(~)} c NES(J£:~).
We list some examples of ES( Q) spaces:

• ES(JV) spaces: (i) arbitrary products of lines; (ii) Tychonoff cubes;
(iii) separable Banach spaces.
• ES ( f!JJ) spaces: Banach spaces (Arens theorem).
• ES(~) spaces: (i) convex sets in locally convex linear topological
spaces (Dugundji extension theorem (7.7.4)); (ii) polytopes with the
weak topology.
• ES(J£:) spaces: (i) ARs, (ii) normed linear spaces; (iii) complete metric
linear spaces that are admissible in the sense of Klee [1960].
Using this list and the above elementary properties (i)- (iii), we obtain nu-
merous further examples of NES( Q) spaces.
Hanner [1951] established a number of important properties of NES(Q)

spaces, which are analogous to the properties of ANRs given in the text:
(i) The product of any collection of ES(Q)'s is an ES(Q).
(ii) The product of any finite collection of NES(Q)'s is a NES(Q).
(iii) Any local NES(PJi) is a NES(PJi).
A space Y is called an absolute neighborhood retract (respectively an
absolute retract) for the class Q provided Y is in Q and whenever it is
embedded in another space of Q as a closed subset, it is a nbd retract
(respectively a retract) of the ambient space; the corresponding classes of
spaces are denoted by ANR( Q) and AR( Q).
We note that AR(Q) C ANR(Q), and ANR(.L) coincides with the class
of ANRs; it can be shown that any ANR is a NES(compact). As for re-
lations between NES(Q) and ANR(Q) spaces, Hanner [1951] proved that
ANR(Q) = Q n NES(Q).
Historical note
The basic notions of the theory (retracts, deformation retracts, ARs and
ANRs, local contractibility, adjunction of ANRs) were introduced and stud-
ied by Borsuk [1931]; the term "retraction" was suggested by Mazurkiewicz
and that of an "absolute retract" by Aronszajn. In the thirties the theory
was systematically developed by Borsuk (in the context of compact met-
ric spaces), by Kuratowski (for separable metric spaces), and by Lefschetz
(theory of LC n spaces, fixed points for maps of compact ANRs).
After Stone's fundamental discovery that every metric space is paracom-
pact, the general theory of ANRs was extended to arbitrary metric spaces
by Dowker [1948] and Dugundji [1951]; at the same time generalizations of
the theory to more general classes of spaces (NES( Q) spaces and ANR( Q)
spaces) were made by Hanner [1951]' [1952]' Michael [1953], and others. For
further details, the reader may consult Hu's book [1965], concerned for the
most part with the general theory of NES spaces.
The related notions of approximate ANRs were introduced by Noguchi
[1953], Clapp [1971]' and Gauthier [1983]. The concepts of approximate
NES(compact) spaces and of related classes of spaces appear in the lecture
notes of Granas [1980].
For more details and further study of the theory of retracts the reader is
referred to the monographs of Borsuk, Lefschetz, and van Mill. The reader
interested in more recent research on ANRs and related topics may consult
the survey article by Mardesic [1999].
§12. Fixed Point Index in ANRs 305
§12. Fixed Point Index in ANRs

This paragraph is devoted to the concept of the Leray- Schauder fixed point
index. With the aid of the topological degree in Rn and some of the geo-
metric methods developed in Chapter II, our objective is to establish the
theory in the setting of arbitrary ANRs. The homological part of the theory
will be treated separately in §16, in which the Hopf- Lefschetz normalization
property of the index will be established, and thus the entire theory will be
rounded out.
Throughout this paragraph, the following terminology and notation are
used. Let X be a space, U C X open, and f : U --+ X continuous. We say
that f is compactly fixed if the fixed point set Fix(f) is compact. The set of
all compactly fixed maps f : U --+ X is denoted by §(U, X). A homotopy
h t : U --+ X is said to be compactly fixed if UtEI Fix(h t ) is compact.
1. Fixed Point Index in Rn

Let U c Rn be open and f : U --+ Rn be a continuous map. Recall that
Z(f) denotes the zero set of f. Observing that
Fix(f) = Z(id - f)
we will use Theorem (10.8.5) to develop an index that indicates the minimal
number of fixed points that f must have.
(1.1) DEFINITION. Let U C Rn be open, and let §(U, Rn) be the set of
all compactly fixed maps f : U ~ Rn. The fixed point index function
I: §(U, Rn) --+ Z is defined for f E §(U, Rn) by
I(f) = I(f, U) = D(id - f, U),
and the integer I(f, U) is called the fixed point index of f.
For compactly fixed maps on an open U C R n the properties of the de-
gree for compactly rooted maps given in (10.8 .5) immediately translate to
properties of the index:
(I) (Normalization) If f : U --+ Rn is the constant map U f---t Uo with
UoE U, then I(f, U) = l.
(II) (Additivity) For every pair of disjoint open VI, V2 C U, if Fix(f) C

VI U V2, then I(f, U) = I(f, Vd + I(f , V2).
(III) (Homotopy) Let H t : U --+ Rn be a compactly fixed homotopy. Then
I(Ho, U) = I(Hl' U).
(IV) (Existence) If I(f , U) f= 0, then f has a fixed point in U.
PROOF. D(id - f, U) =I 0, so id - f has a zero on U. o

(V) (Excision) If V c U is open and Fix(f) C V, then I(f, V) = I(f, U).
PROOF. This is simply the excision property of degree. 0
(VI) (Multiplicativity) Let U eRn, V c R m , and let f : U ---+ Rn and
g: V ---+ R m be compactly fixed maps. Then
I(f x g, U x V) = I(f, U) . I(g, V).
PROOF. It is easily seen that Fix(f x g) = Fix(f) x Fix(g), so that the
product map f x 9 : U X V - t Rn x R m is compactly fixed. Consider the
map
(x , y) r--+ (x,y) - (f(x) , g(y)) = (iduxv -(f x g))(x,y)
= [x - f(x)] x [y - g(y)].
By multiplicativity of degree for compactly rooted maps, we get
D{[x - f(x)] x [y - g(y)]' U x V} = D[x - f(x) , U] . D[y - g(y), V]. 0
The crucial property of the index, which is important in extending the
concept to more general spaces, is that of commutativity:
(VII) (Commutativity) Let U C R n , We Rm be open , and let f : U - t Rm,
9 :W --+ Rn. Consider the maps
gf : V = f-1(W) --+ Rn and fg: Vi = g-l(U) --+ Rm.
If 9 f is compactly fixed , then so is f g, and
I(gf , V) = I(fg, V').
PROOF. Consider the fixed point sets
Fix(gf) = {x E f-l(W) I x = gf(x)} , Fix(fg) = {y E g-l(U) I y = fg(y)}
and observe that f : Fix(gf) --+ Fix(fg) and 9 : Fix(fg) --+ Fix(gf) are
inverse to each other, and hence the sets Fix(g f) and Fix(f g) are homeo-
morphic. Thus, if one of them is compact, then so is the other.
Assuming that both of them are compact, we now start the proof:
(a) I(gf, V) = I((gfx, 0), V x Rm).
°:R m (x , y)R m , (gfx ,O)

get
For
---+
r--+ is the product of the two maps gf : V ---+ Rn and
and so by multiplicativity, and because 1(0,Rm) = 1, we
I((gfx, 0), V x Rm) = I(gf, V) ·1(0, Rm) = I(gf, V) .

(b) I ( (g f x, 0) , V x Rm) = I ( (g f x , fx) , V x Rm).
For (gfx, fx) and (gfx, 0) can be joined by the compactly fixed homo-
topy at : V x Rm ----> Rn x Rm given by
at(x, y) = (gfx, (1 - t)fx), t E [0,1].
Note: UtE! Fix(at) C V x Rm is compact because it coincides with the
image of the compact set Fix(gf) x I under the map (x , t) f--f (x, (1- t)fx).
(c) l[(gfx,fx), V x Rm] = l[(gfx,fx), V x V'].
For if gfx = x and y = fx with x E V = f-1(W), then gy = x shows
y E g-l (U) = V'; thus all the fixed points of (x, y) f--f (gfx, fx) in V x Rm
are in a smaller set V x V', so we can cut down the domain of consideration
(by excision).
(d) l[(gfx, fx), V x V'] = l[(gy, fx), V x V'].
For (x, y) f--f (gfx, fx) and (x, y) f--f (gy, fx) can be joined by the com-
pactly fixed homotopy H t : V x V' ----> Rn x Rm given by
Ht(x, y) = [(1 - t)gfx + tgy, fx].
Note: Fix(Ht) = {(x, y) I (1- t)gfx + tgy = x, y = fx} = {(x, y) I gfx = x,
y = fx} is compact.
Now we go down the line in the opposite direction:

(e) I[(gy, fx), V x V'] = l[(gy, fgy), V x V'].
We use a compactly fixed homotopy at : V x V' ----> Rn x Rm,
at(x , y) = (gy , (1 - t)fx + tfgy).
(f) I[(gy, fgy), V x V'] = l[(gy, fgy), Rn x V'].
(g) l[(gy , fgy), R n x V'] = 1[(0, fgy), Rn x V'] = l(jg, V').
Thus the proof is complete. o
We can now formulate a basic theorem:
(1.2) THEOREM (Fixed point index in Rn). Let U be any open set in R n
and § (U, Rn) the set of all compactly fixed maps f : U ----> Rn. Then:
(A) There exists a fixed point index function f f--f 1(j) = 1(j, U) for
f E §(U, Rn) with properties (I)-(VII).
(B) The function 1 : §(U, Rn) ----> Z is uniquely determined by the
normalization, additivity, and homotopy properties (I)-(III).
PROOF. The existence of the function 1 has already been established. Its
uniqueness reduces to that of the degree, since each fixed point index func-
tion f (i.e., a function satisfying (I)- (VII)) determines a degree Df by the
formula Di(f, U) = 1(id - J, U); specifically, it follows from (10.8.5) that

the normalization, additivity, and homotopy properties uniquely determine
the fixed point index function in Rn. 0
2. Axioms for the Index
(2.1) DEFINITION. Let C be a category of topological spaces and continuous

maps, and let
§ = §(C) c {J E §(U, X) I X E C, U open in X}
be a distinguished class of compactly fixed maps. A fixed point index
on § is an integer-valued function J f-t I(f, U) for J : U ~ X in
§ which satisfies the following conditions (for V c U open, we write
simply I(f, V) for I(fIV, V)):
(I) ( Normalization) If J : U ~ X in .9J: is the constant map
U f-t Uo with Uo E U , then I(f , U) = l.
(II) (Additivity) For J E § and every pair of disjoint open VI, V2
C U, if Fix(f) c VI U V2, then I(f, U) = I(f, VI) + I(f, V2)'
(III) (Homotopy) If h t : U ~ X is a compactly fixed homotopy and
h t E § for all tEl , then I(ho , U) = I(hl ' U).
(IV) (Existence ) If J E § and 1(f, U) =1= 0, then J has a fixed point
in U.
(V) (Excision) If J E § and Fix(f) C V for some open V C U,
then JIV E § and 1(f, U) = 1(f, V) .
(VI) (Multiplicativity) If h : Ul ~ Xl and 12 : U2 ~ X 2 are in
§, then so is their product h x 12 : Ul X U2 ~ Xl X X 2 and
l(h x 12, Ul x U2) = l(h, Ul )I(12, U2).
(VII) (Commutativity) Let U eX, U' c X' be open and J : U ~ X',
9 : U' ~ X be maps in the category C. Consider the maps
gJ: V = J-l(U') ~ X, Jg : V' = g-l(U) ~ X'.
If both gJ and Jg are in §, then l(gJ, V) = l(fg, V').
REMARK. Note that the set of properties in (2.1) is not an independent set of
axioms for the index. For example, excision follows from additivity: indeed, if
we take U = U l = U2 = 0, then additivity implies formally that 1(f, O) = 0;
then for J E §(U, X), if Fix(f) eVe U, then because the fixed points of
J all lie in the disjoint sets V and 0, additivity gives 1(f, V) = 1(f, U).
On the other hand, the excision axiom implies (IV): for if J E §(U, X)
and Fix(f) = 0, then 1(f, U) = 1(f, O) = O.
The interdependencies of the axioms will be discussed in §16.
We now extend the index to any n-dimensional normed linear space En.
If U c En is open and f : U ~ En is compactly fixed , choose any linear
isomorphism h : Rn ~ En and define
l(J, U) = 1(h- 1fh, h-l(U)).
The commutativity of the index in R n implies that l(J, U) is independent
of the particular isomorphism used in its definition. Properties (I)- (VII) for
this index follow from those of the index in Rn.
Thus we may state the results of Section 1 in the following slightly more
general form.
(2.2) THEOREM (Fixed point index in En) . Let C be the category of finite-
dimensional normed linear spaces , and g; = g; (C) the corresponding
class of all compactly fixed maps. Then the integer-valued function
f f--? l(J, U) defined for f : U ~ En in (*) has properties (I)- (VII).
We note that commutativity implies the following property of the index:
(VIII) (Contraction) Let U c En be open and f : U ~ En a compactly
fixed map such that f(U) c L, where L is some linear subspace of
En. Denote by fUnL : U n L ~ L the contraction of f. Then
l(J, U) = l(JunL , U n L).
PROOF. Let i : L ~ En be the inclusion; then commutativity gives
l(J, U) = l(if, U) = l(Ji, C1(U)) = l(JunL , Un L). D
3. The Leray-Schauder Index in Normed Linear Spaces

This section develops the Leray- Schauder fixed point index for compact and
compactly fixed maps in normed linear spaces. In the subsequent discussion,
given a compact map f and E > 0, any finite-dimensional E-approximation
of f will be simply referred to as an E-approximation of j.
We begin with a strengthened version of the Schauder approximation
theorem (6.2.3) which, though more general than now required, is stated
explicitly for future use:
(3.1) THEOREM. Let X be a space, U an open subset of a normed linear
space E , and f : X ~ U a compact map. Then for each sufficiently
small E > 0 there exists a polytope Kg C U and a finite-dimensional
map fg : X ~ U such that:
(i) Ilf(x) - fg(x)11 < E for all x E X,
(ii) fg(X) c Kg,
(iii) fg ~ f·
PROOF. Let 0 < c < dist(f(X), aU), and let fe : X ---t E be an c-

approximation to f with fe (X) c En for some n-dimensional linear sub-
space En c E (see (6.2.3)); by the choice of c, it is clear that fe(X) c U
and that (i) and (iii) are satisfied. Observe now that that if W c Rn is
open and K c W is compact, then there always exists a polytope Pc with
K c Pc c W: taking a cubical grating of R n with mesh < a/2, where
a < dist(K, oW), and keeping only the n-cubes that meet K provides such
a polytope. Using this observation, and the fact that En is linearly homeo-
morphic to Rn, we find a polytope Ke such that fe(X) eKe c UnEn c U;
thus, property (ii) is also established. 0
We also state a simple general result that will be frequently used:
(3.2) LEMMA. Let V be open in a normed linear space E and assume that
f: V ---t E is a compact map with no fixed points on av. Then:
(a) the number
TJ = inf{llx - f(x)111 x E aV}
is positive,
(b) if 0 < c < TJ , then any c-approximation fe of f is fixed point free
on av,
(c) if c < TJ/2, then given any two c-approximations f~, f~' of f, the
formula h t (x) = (1- t)f~ (x) +tf~' (x) defines a finite-dimensional
TJ-homotopy joining f~ and f~' without fixed points on av.
PROOF. The proof, analogous to that of (10.4.1), is left to the reader. 0

Let U be an open subset of a normed linear space E, and let f E §(U, E)
be a compact map. Given c > 0, we let fe : U ---t E be an c-approximation
of f. Take an open set V C V c U such that Fix(f) C V and note that by
(3.2) the number TJ = inf{llx - f(x)111 x E aV} is positive. From (3.2) and
the definition of TJ it follows that:
(i) if 0 < c < TJ, then the map felV = ge : V ---t E is an c-approximation
of 9 = flV and ge is compactly fixed,
(ii) if 0 < c < TJ/2 and f~, f~' : U ---t E are any two c-approximations
of f, and g~ = f~lV , g~ = f~'IV , then ht(x) = (1 - t)g~(x) + tg~(x),
(x, t) E V x I, defines a compactly fixed finite-dimensional homotopy
h t : V ---t E joining g~ and g~ such that each h t is TJ-close to f.
Let f E §(U, E) be a compact map and ge : V ---t E be an c-approximation
of 9 = flV as above. Denote by En a finite-dimensional subspace of E that
contains ge(V) and by g~ : En n V ---t En the evident contraction of ge'
Set 1(f, V) = 1(g~, Ennv). It follows from (i) and (ii) and the homotopy
and contraction properties of the index in En that 1(f, V) is independent
of the choice of En and also of the finite-dimensional approximation chosen.
Moreover, given VI, V2 with the same properties as V , we have
Indeed, if VI C V2 , our assertion follows from the excision property of the

index in En , and the general case reduces evidently to this one.
(3.3) DEFINITION. Let U C E be open and f E §(U, E) compact. We
define the Leray- Schauder fixed point index 1(J) = 1(J, U) of f by
1(J) = 1(J, V) = 1(g~, En n V).
It follows from (*) that this definition is independent of the choice of V, and
thus 1 (J) is well defined.
We may now state the first main result of this paragraph.
(3.4) THEOREM. Let C be the category of normed linear spaces, and let §
be the class of all compact maps f E §(U, E) for all E E C and all
U C E open. Then the Leray- Schauder index 1 : § -+ Z has all the
properties (I)- (VII) of (2.1) provided that in (III) all homotopies are
assumed to be compact, and in (VII) it is required that either f and
gf be compact, or 9 and fg be compact.
PROOF. With the aid of the Schauder approximation theorem (3.1) and
Lemma (3.2), the properties of the index in En yield in a straightforward
manner the corresponding properties (I)- (VI) of the Leray- Schauder index.
As an example, we give the proof of property (III). Let h : U x I -+ E
be a compact and compactly fixed homotopy, and let h t : U -+ E be the
corresponding family of compactly fixed compact maps; we want to show
that 1(ho, U) = 1(h 1 , U). Take an open set V C V c U such that K =
UtE! Fix(h t ) C V, and let c > 0 be smaller than 'T] = dist(K, aV). Consider
the restriction H = hW x I and choose an c-approximation H(C:) : V x I -+ E
of the compact map H : V x I -+ E with H(c)(V x I) C En, where En
is a finite-dimensional subspace of E. We now define gt : V n En -+ En by
gt = HiC:)w n En and observe that because {HiC:)} has no fixed points on
aV, the homotopy {gd is compactly fixed. Hence, by property (III) of the
index in En, we have 1 (gO, V n En) = 1 (gl, V n En). On the other hand, by
the definition (3.3) of the Leray- Schauder index,
and thus the proof of the homotopy property of the Leray- Schauder index
is complete.
The proof of properties (I), (II) and (IV)- (VI) is similar and is left to
the reader.
The proof of property (VII), which is somewhat more sophisticated and
requires some attention to detail, is given separately in the next section. 0
4. Commutativity of the Index
In this proof we shall use the fact that the Leray-Schauder index has prop-
erties (I), (III), (V), and (VI).
Let E and E' be normed linear spaces, U C E and U' C E' be open,
and let J : U' -) E and 9 : U -) E' be continuous. Consider the composites
gf : V' = J-I(U) -) E', Jg: V = g-I(U') -) E,
and their fixed point sets
Fix(gf) = {x E J-I(U) Ix = gJ(x)}, Fix(fg) = {y E g-I(U') I y = Jg(y)} .
We note that the maps J : Fix(g f) -) Fix(f g) and 9 : Fix(f g) -) Fix(g f) are
inverse to each other, and hence the fixed point sets Fix(gf) and Fix(fg)
are homeomorphic; thus, if one of them is compact, then so is the other.
Assuming that 9 J (and hence also Jg) is compactly fixed, we are going to
show that
l(gJ, J-I(U)) = l(fg, g-I(U')).
We proceed in two steps.
STEP 1 (Special case: both J and 9 are compact). The proof in this case
is essentially a repetition of that in Rn (Section 1); we shall therefore only
indicate the main points, leaving the details to the reader.
We define compact homotopies
ht, ht : V' x V -) E' x E,
H t : V' x E -) E' x E,
Ht : E' x V -) E' x E,
by setting
ht(x, y) = (tgJ(x) + (1 - t)g(y), J(x)), (x, y, t) E V' x V x I,
ht(x, y) = (g(y), tJg(y) + (1 - t)J(x)), (x,y,t) E V' x V x I,
Ht(x,y) = (gf(x), (1- t)J(x)), (x, y, t) E V' x E x I,
Ht(x, y) = ((1 - t)g(y), Jg(y)), (x, y, t) E E' x V xl.
Observe that Fix(h o) and Fix(gf) are homeomorphic under (x, y) I---' x,
X I---' (x, J(x)); a simple calculation giv;:s Fix(ho) = Fix(h t ) = Fix(h t ), thus
showing that the homotopies }}t and h t are compactly fixed. In a similar
way, one verifies that H t and H t are also compactly fixed.
Further, since in view of (*) we have
ho = ho, hI = HoW' x V, hI = HoW' x V,

the homotopy and excision properties imply that

I(Hl, V' x E) = I(Ho, V' x V) = l(hd = l(h o) = l(h o) = l(h 1)
= I(Ho, V' x V) = I(H1' E' x V),
and hence I(H 1) = I(Hd.

Finally, since HI = (gJ) X 0 a~d HI = 0 x (jg). , where 0 is the constant
map y f-+ 0 for HI and x f-+ 0 for HI, in view of the multiplicativity property
we have l(gJ) ·1(0) = 1(0) . l(jg) , and because 1(0) = 1 by normalization,
the assertion is proved.
STEP 2 (General case: j and gj are compact). In this case, because j is
compact , so also is jg. Assuming as before that jg and gj are compactly
fixed, we must show that
l(gj, j-1(U)) = l(jg, g-l(U')),
and we begin by reducing the problem.
First, by excision, we may assume (by taking smaller open sets if nec-
essary) that j and 9 are in fact defined on U' and U, respectively. Take
a smaller open set 0 C 0 C U with Fix(jg) c 0 and set 0' = j-1(0).
Clearly Fix(gJ) cO', so by excision, our assertion will be established if we
show that
l(gj,j-1(0)) = l(jg,g-l(O')).
We now start the proof. Set
'r/1 = inf{llx - gj(x)11 1 x E oj-1(0)} ,
'r/2 = inf{lly - jg(y)111 y E og-l(O')},
'r/ = min('r/1, 'r/2)'
We note that 'r/ > 0 by (3.2) (because (gJ)lj-1(0) and (jg)lg- 1(0') are
fixed point free on oj - 1(0) and og-l(O') , respectively).
Let K* be a compact set satisfying j(U') c K* and observe that on
j-1(0) C j-1(0) the map j has values in the compact set K = K*nO c U.
We claim that
(**) there exists a positive 8 < 8* = dist( K , OU) such that for all y , y'
in U,
[y' E B(y, 8) and y E K] =? [g(y') E B(g(y), 'r/)].
Indeed, supposing the contrary, we find sequences {Yn} , {y~} with Yn E K ,
y~ E U such that for every n EN,
(i) llYn - y~11 < 8* In,

Since K is compact, we may assume Yn --+ Yo E K, and hence y~ --+ Yo

by (i). From this and the continuity of g, we obtain Ilg(Yn) - g(y~) II --+ 0,
which contradicts (ii); thus our assertion (**) is proved.
We set V" = UyEKB(y,8) and c = min{8/2,7]/2}. Let fe: U' --+ E be
an c-approximation of f and
ht(x) = tf(x) + (1 - t)fe(x) for (x, t) E U' x I.
We make the following observations:
1° Since c < 8/2, we see that for any x E f- 1 (0) the values of ht(x),
tEl, are in the convex open ball BU(x), 8/2) C V"/2, and therefore ht :
f- 1(0) --+ V" is a compact 8-homotopy joining f, fe : f- 1(0) --+ V".
2° From 1° and (**), it follows that ghdx), ghtll (x) E B(gf(x), 7]) for
all x E f- 1 (0) and t', til E I; this implies that the composition
f- 1 (0) ~ V" ~ E'

is a compact 27]-homotopy with no fixed points on 8f- 1 (0), by (3.2) and
the choice of 7].
3° In view of 2° and (3.2), we see that on f- 1 (0) the homotopy {ght}
joining gf,gfe : f- 1 (0) --+ E' is compactly fixed, and therefore, by the
homotopy invariance of the index,
We now reduce the problem further. Since fe(U') c En for some En c E,

we have feU- 1(0)) c En n V", and we note that on f- 1(0), gfe can be
expressed as the composition
f- 1 (0) ~ En n V" L E',

where fe is defined by fe and9 = glEn n V,,; therefore,
I(gfe' f- 1(0)) = I(g h, f-1(0)).
Moreover, since EnnV" is bounded, the map 9 is compact, and thus (because
flO and 9 now satisfy the requirements of the special case of commutativity
established in Step 1) we get
I(g h, f- 1(0)) = I(hg,g-lU- 1(O))).
Comparing this with the preceding formulas and since 0'
obtain
I(gf, f- 1 (0)) = I(hg, g-l(O')).
Next, on g-l (0') C g-l ClY) consider the composition
g-l(O') ~ f- 1(0) ~ V8.

Clearly, because c < T/, {htg} is a compact T/-homotopy, and therefore, by

(3.2), it is fixed point free on ag- 1(0'). This implies that htg : g-I(O') ---.. E
is compactly fixed, and thus, by homotopy invariance,
l(jg , g-1(0')) = l(jeg, g-1(0')).
To conclude, we observe that since the values of feg are in En n V", by the
definition of the Leray- Schauder index applied to feg we obtain
1(jeg,g-1(0')) = 1(jeg,g-1(0') n V" n En) = 1(hg,g-1(0')).
Comparing this with the preceding formula and then with (***) we get
1(gf,J-1(0)) = 1(jg,g-1(0')) , and thus the proof of commutativity is
complete. 0
5. Fixed Point Index for Compact Maps in ANRs

In this section the Leray- Schauder fixed point index is extended to compact
maps f E .f7(U, X) , where X is an ANR. The basic idea of the extension
is to use commutativity in conjunction with the fact that every ANR is
r-dominated by an open subset of some normed linear space.
(5 .1) DEFINITION. Let X be an ANR, U c X open, and f E .f7(U, X)
a compact map. Take an open set V in a normed linear space E
that r-dominates X. Let s : X ---.. V and r : V ---.. X be such that
rs = Ix. Since the composite r-1(U) ~ U L X ~ V is compact
and compactly fixed (because Fix(f) ~ Fix(sfr)), its Leray- Schauder
index is defined and we let
(*) l(j,U) = l(j) = 1(sfr,r-1(U)).
This is independent of the choice of V , r, and s. Indeed, let V' c E' be
another open set in a normed linear space E' that r-dominates X, with
s' : X ---.. V', r' : V' ---.. X, r's' = Ix. Then, because the second of the
maps sr' : V' ---.. V, s' fr : r- 1(U) ---.. V' is compact, and so is the composite
(sr')(s' fr), the commutativity property of the Leray- Schauder index gives
l((s' fr) 0 (sr'), (sr')-1(r- 1(U))) = l((sr') 0 (s' fr), r-1(U)).
Since (s'fr) 0 (sr') = s'fr', (sr') 0 (s'fr) = sfr and (sr')-1(r- 1(U))
r,-l(U), we get l(s' fr', r,-l(U)) = l(sfr, r- 1(U)), which proves that our
definition is independent of the choices involved.
We are now ready to state the main result of this chapter.
(5.2) THEOREM. Let C be the category of ANRs, and let .f7 be the class of
all compact maps f E .f7(U, X) for all X E C and U C X open. Then
the fixed point index 1 : .f7 ---.. Z defined by formula (*) has all the
properties (I)- (VII) of (2.1) provided that in (III) it is assumed that

all homotopies are compact, and in (VII) it is required that either f
and 9 f be compact, or 9 and f 9 be compact.
PROOF. The proof consists of evident reductions to the corresponding prop-
erties of the Leray- Schauder index. As an example, we prove property (VII).
Let X and X' be ANRs, let f : U' ----) X, 9 : U ----) X' be two maps,
and assume that f and gf are compact. Let V (respectively V') be an open
set in a normed linear space E (respectively E') that r-dominates X (re-
/ /
spectively X'); let X ~ V -..::.. X and X' ~ V' .:.. X' satisfy rs = Ix and
r's' = lx'.
Consider the maps
sfr': r,-l(U') ----) V, s'gr: r- 1 : r-l(U) ----) V'
and note that the first of them is compact, and so is the composition
(s'gr)(sfr') = s'gfr'. By commutativity of the Leray- Schauder index,
l( (sfr') (s' gr) , (s' gr) -lr,-l (U')) = l( (s' gr)( sfr'), (sfr') - l r - 1 (U)),
and hence, because
(s'gr)-lr, - l(U') = r-1g-1(U'), (sfr') - lr-1(U) = r,-l f-1(U),
we have l(sf gr, r-1g- 1 (U')) = l( s' gfr', r,-l f- 1(U)). In view of Definition
(5.1), this gives
l(jg, g-l(U')) = l(gf, f-1(U)).
The proofs of other properties are similar and are left to the reader. 0
We remark that commutativity implies the following property of the
index:
(VIII) (Contraction) Let (X , A) be a pair of ANRs with A closed in X.
Assume that U c X is open and f E §(U, X) is compact with f(U) c
A, and denote by funA : UnA ----) A the contraction of f. Then
l(j, U) = l(junA, UnA).
PROOF. Note that if i : A '---7 X is the inclusion, then both if and fare
compact; hence commutativity gives
l(j, U) = l(if, U) = l(ji, i-l(U)) = l(junA, UnA). 0
As a special case of Theorem (5.2) we obtain
(5.3) THEOREM. Let C be the category of compact ANRs, and let § be
the class of all continuous maps f E §(U, X) for all X E C and all
U open in X. Then there exists on § a fixed point index function
1 : § ----) Z with properties (I)-(VII). 0
6. The Leray-Schauder Continuation Principle in ANRs

In this section, using the notation and terminology of (11. 7.4) , we first state
the properties of the Leray-Schauder index in a slightly different but equiva-
lent setting for maps in Xau(U, X), where X is an ANR. Next, we establish
a general version of homotopy invariance of the index, and with its aid we
prove the Leray-Schauder continuation principle in ANRs.
Let X be an ANR and U open in X. Recall that by X(U, X) we denote
the set of all compact maps from U to X, and by Xau(U, X) the set of all
maps f E X(U, X) that have no fixed points on 8U. Observing that for
f E Xau(U, X) the map flU is in §(U, X), we can use Theorem (5.2) to
develop an index for maps in Xau(U, X).
(6.1) DEFINITION. Let X be an ANR, U open in X, and f E Xau(U, X).
The fixed point index i(f, U) of f is given by
i(f, U) = I(fIU, U).
The properties of the index for compact maps in §(U, X) immediately
translate to properties of the index for maps in Xau(U, X), and we obtain
the following basic theorem:
(6.2) THEOREM. Let X be an ANR, U c X an arbitrary open subset, and
Xau(U, X) the set of all compact admissible maps from U to X. Then
there exists an integer-valued fixed point index function f 1-4 i(f) for
f E Xau(U, X) with the following properties:
(I) (Normalization) If f E Xau(U, X) is a constant map u 1-4 uo,
then i(f, U) = 1 or 0 depending on whether or not Uo E U.
(II) (Additivity) If f E Xau(U, X) and Fix(f) C U1 U U2 C U
with U1 , U2 open and disjoint, then
i(f, U) = i(f, Ud + i(f, U2 ).
(III) (Homotopy) If h t : U --+ X is an admissible compact homotopy
in Xau(U, X), then i(ho, U) = i(hl' U).
(IV) (Existence) If i(f, U) -10, then Fix(f) -I 0.
(V) (Excision) If V is an open subset of U and if f E Xau(U, X)
has no fixed points in U - V, then i(f, U) = i(f, V).
(VI) (Multiplicativity) If hEXaU1 (U1 ,Xd and 12 EXaU2(U2 , X 2 ),
then h x 12 E Xa(U 1 XU 2)(U1 X U2 ,X1 x X 2 ) and
i(h x 12, U1 x U2 ) = i(h, Ud . i(12, U2 ).
(VII) (Commutativity) Let X, X' be ANRs, let U eX, U' c X' be
open, and let f : U --+ X', g : U' --+ X be continuous maps, at
least one of them being compact. Define V = Un f- 1 (U') and
V' = u' n g-I(U). Then:
(i) the maps

gJ : V ----y X, Jg: V' ----y X'
are compact ,
(ii) iJ Fix(gf) C V and Fix(fg) C V' , then
i(gJ, V) = i(fg, V').
We list further frequently used properties of the index:
(VIII) (Contraction) Let (X, A) be a pair oj ANRs with A closed in X,
U C X open , and J E Jt8u(U, X) with J(U) c A. Let = lunA : 1
UnA ----Y A be the contraction oj J. Then 1
E v~(UnA)(U n A, A)
and i(f, U) = i(j, UnA) .
(IX) (Localization) Let J E Jt8u(U , X) and Fix(f) C U1 U U2 C U with
U1 , U2 open and disjoint. Suppose i(f, U) =f 0 and i(f, Ud = O. Then
FixUIU2) =f 0.
(X) (Multiplicity) Let J E Jt8u(U , X) and Fix(f) C U1 U U2 C U with
U1 , U2 open and disjoint. Suppose i(f, U) = 0 and i(f, U1 ) =f O. Then
FixUlUd =f 0 and FixUIU2 ) =f 0.
We remark that the contraction property follows from the commuta-
tivity of the index; the localization and multiplicity properties are obvious
consequences of additivity and normalization.
We now establish, for the index in ANRs, the general homotopy invari-
ance property, which has numerous applications in nonlinear analysis.
Let X be an ANR and J = [a, b] c R ; if M is a subset of X x J, then
for each t E J , the t-slice of M, written M t , is given by
M t = {x E X I (x , t) E M}.
Let U c X x J be open and assume that Ua and Ub are both nonempty. We

calloU - [(U n (X x {a})) U (U n (X x {b}))] the vertical boundary of U,
and denote it by aU. If J : U ----Y X is a map, we let
S = {(x,t) E U I J(x,t) = x}.
For t E J , ft : Ut ----Y X is given by Jt(x) = J( x , t); as usual we use the fact

that J determines the parametrized family {It : Ut ----Y XhEJ and vice versa.
With this notation, the basic property of the fixed point index is:
(6.3) THEOREM (General homotopy invariance). Let X be an ANR , J =
[a , b] C R , and U open in X x J. Let J : U ----Y X be a compact map
such that SnaU = 0. Then s f--+ iUs , Us) is a constant function on J;
in particular, iUa , Ua) = i(fb, Ub) .
PROOF. We first show that s f-> i(Js , Us) is a locally constant function on J.
Fix to E J. Select an open nbd J 1 C J of to and an open set Vo with
Fix(Jto) C Vo C Vo C Uto such that Vo x h c U. We now claim that there
exists an open nbd Jo C J 1 of to such that:
(a) Vo x Jo c U ,
(b) Fix(Js) c Vo for each s E J o·
Indeed, supposing our assertion to be false, we find a sequence (xn ' tn ) E
(X - Vo) x [to - lin , to + l i n] such that f(x n , tn ) = Xn for any n E N.
Because f is compact , we may suppose that Xn ---> Xo E X - Vo, and since
tn ---> to, we obtain f(x n , tn ) ---> f(xo, to) = Xo E X - Vo ; but this contradicts
Fix(Jto) C Vo, and thus our assertion is proved .
We remark that (a) and (b) imply Fix(JsI8Vo) = 0 for each s E J o .
Now define a compact homotopy h : Vo x J o ---> X by
h(x, t) = f(x , t) for (x, t) E Vo x J o .
By the homotopy property, i(h s , Vo ) is locally constant in a nbd J* C J o
of to, i.e. ,
i(Js , Vo ) = i(Jto , Vo ) for all s E J*.
From this, and because by (b) and excision,
i(Js , Vo) = i(Js , Us) , i(Jto , Vo) = i(Jto , Uto)'
we obtain i(Js, Us) = i(Jto, Uto ) for all s E J*. Since to E J was fixed
arbitrarily, we see that s f-> i(Js, Us) is locally constant on J , and thus
because J is connected, it is constant on the entire interval. 0
To prepare for applications of (6.3), we first establish a result from gen-
eral topology.
Let X be a space, and let A and B be two subsets of X . We say that X
is disconnected between A and B if there is a closed-open set K A such that
A C KA and KA n B = 0; otherwise, X is said to be connected between A
and B. We remark that X is connected between two points a, b E X if a
and b belong to the same quasi-component of X (the quasi-component of a
is the intersection of all closed-open subsets of X containing a).
(6.4) THEOREM (Kuratowski- Mazurkiewicz separation theorem). Let A
and B be two disjoint closed subsets of a compact space X. Then one
of the following properties holds:
(i) there exist two closed-open subsets KA and KB of X such that
X = KA U XB , A C K A , B C KB, and KA n KB = 0,
(ii) there is a continuum C C X such that en A of- 0 of- en B.
PROOF. Assume first that X is disconnected between A and B; in this case
if KA is closed-open in X with A c KA and KAnB = 0, then KB = X -KA
is closed-open in X with B c KB and KA n KB = 0, and thus property (i)

is true.
Assume next that X is connected between A and B; in this case we are
going to show that property (ii) holds. For the proof we first establish that
X is in fact connected between a certain pair of points a E A and b E B.
Supposing the contrary, given any (a, b) E A x B , we find a closed-open Nab
such that a E Nab and b tt Nab. For any bE B , the open sets {Nab I a E A}
form a cover for A, and hence compactness of A shows A c U{Nab I a E A'}
with a finite A' cA. Letting Nb = U{Nab I a E A'} for b E B, we see that
Nb is a closed-open subset of X with A c Nb and b tt N b. This implies
that the open sets {X - Nb I b E B} form a cover for B, and therefore, by
compactness, B c U{X - Nb I b E B'} where B' c B is finite. It follows
readily that K = n{ Nb I b E B'} is a closed-open subset of X such that
A c K and K n B = 0, which contradicts our assumption.
Thus for a certain pair (a, b) E A x B, our assertion is established, i.e.,
the points a and b belong to the same quasi-component of X. Now because
X is compact, and in a compact space components coincide with quasi-
components (see Engelking's book [1989]), it follows that the component C
of a E A must also contain b E B. Thus C n A =1= 0 =1= C n B, and the proof
is complete. 0
We are now ready to prove a basic theorem:
(6.5) THEOREM (Leray- Schauder continuation principle). Let X be an
ANR, U an open subset of X x [a, b], and let f : U -> X be a compact
map such that:
au
(i) the sets and S = {(x, t) E U I f(x, t) = x} are disjoint,
(ii) i(fa, Ua ) =1= 0.
Then there exists a continuum C c S joining the sets
A = S n (X x {a}) and B = S n (X x {b}).
PROOF. We first observe that because of (ii), (6 .3) implies that A and B
are nonempty. Suppose to the contrary that there is no continuum C c S
such that An C =1= 0 =1= B n C. Then, since S, A, and B are compact and
nonempty, by the Kuratowski-Mazurkiewicz theorem (6.4) we can find dis-
joint compact sets SA, SB C S such that S = SA USB, A C SA, and B C SB.
Let E < ~ dist(SA, SB) and denote by W an E-nbd of SB in U. Letting now
V = U - W, we see that V is open in U and has the following properties:
(a) S and the vertical boundary av of V are disjoint,
(b) Fix(fa) eVa, Fix(fb) n Vb = 0.
By excision, i(fa, Va) = i(fa, Ua ) =1= 0, and because S n av = 0, the general
homotopy invariance (6.3) gives i(fa, Va) = i(fb, Vb) =1= 0. On the other hand,
Fix(jb) n Vb = 0 shows that i(jb, Vb) = O. This contradiction completes the

proof. 0
We conclude this section by deriving, in the framework of index theory,

a strengthened version of Borsuk's theorem.
(6.6) THEOREM (Antipodal theorem). Let E be a normed linear space and

U a bounded centrally symmetric neighborhood of the origin in E. Let
f E Jf8u(U, E) be such that f(x) = - f( -x) for each x E aU. Then
i(j, U) is odd.
PROOF. Let 0 < s < inf{llx- f(x)111 x E aU}. Using the notation of (6.2.2),
choose a finite subset NeE symmetric with respect to the origin, such
that f(U) C (N,s). It follows that the finite-dimensional approximation
flO = Pc 0 f is still antipode-preserving on aU. Let Ek be a finite-dimensional
subspace of E with fc(U) c Ek , and set ie = fclunEk. Now Uk = UnEk
is an open, bounded, centrally symmetric neighborhood of 0 in Ek, and
ie E Jf8Uk (Uk, Ek) is antipode-preserving on aUk , so by Theorem (10.9.2),
because i(j, U) = i(ie, Uk) = d(I -ie, Uk), the conclusion follows. 0
7. Simple Consequences and Index Calculations
In many problems arising naturally in analysis, ANR spaces appear as con-

vex sets in normed linear spaces. Because of their richer structure, the prop-
erties of the index lead to a number of further useful results.
Let E be a normed linear space, C a convex (not necessarily closed) sub-
set of E, and U C C open with 0 E U. As before, we denote by Jf8u(U, C)
the set of compact maps f : U -+ C that are fixed point free on aU.
We begin with two simple consequences of the homotopy property of the
index:
(7.1) PROPOSITION. Let f, 9 E Jf8u(U, C) and assume that one of the

following conditions holds:
(i) flaU = glaU ,
(ii) (1 - t)f(x) + tg(x) i= x for each (x, t) E aU x I,
(iii) SUPXE&U Ilf(x) - g(x) 11 :S infxE&u Ilx - f(x)ll·
Then i(j, U) = i(g, U).
PROOF. By (6.4.2), any of (i)- (iii) implies f ::::: 9 in Jf8u(U, C), so the
conclusion follows from the homotopy property of the index. 0
We now show that i(j, U) does not change under small modifications of
f on aU.
(7.2) PROPOSITION. Let f E Jf:8u(U, C) and 0 < E < infxE8u Ilx - f(x)ll·
Assume also thatg: U - t C is a compact map with Ilf(x)-g(x)11 < E
for all x E au. Then:
(a) 9 E Jf:8u(U , C),
(b) i(j,U) = i(g , U).
PROOF. (a) is obvious by definition of E; (b) follows from (7.1). 0
We now show that for some simple maps the index can be easily calcu-
lated.
(7.3) THEOREM. Let f E Jf:8u(U, C) be such that
xi )..f(x) for all (x,)..) E au x (0,1).
Then i(j, U) = 1.
PROOF. Let 9 : U - t C be the constant map x 1---+ 0 and consider the
compact homotopy h t : U - t C given by ht(x) = (1 - t)f(x) joining f
to g. By assumption, the homotopy {h t } is fixed point free on au, so by the
homotopy and normalization properties , the conclusion follows. 0
(7.4) COROLLARY. Let I I be any norm in E, let f E Jf:8u(U , C) , and
assume that one of the following conditions holds for all x E au:
(i) lJ(x)l::; Ixt,
(ii) If(x)i ::; Ix - f(x)t,
(iii) If(x)F ::; IxF + Ix - f(x)F,
(iv) (x,f(x)) ::; (x , x), where ( , ) is a scalar product in E.
Then i(j, U) = 1. 0
Invariant directions for compact maps

(7.5) DEFINITION. We say that a map f E Jf:8u(U , C) has an invariant
direction if there are x E au and J..L > 0 such that x = J..Lf(x); the
element x is called an eigenvector of f, and the number J..L is a char-
acteristic value of f.
The following immediate consequence of (7.3) provides useful informa-
tion about the existence of invariant directions:
(7.6) THEOREM. Let U c C be open with 0 E U, and let f E Jf:8u(U, C)
satisfy i(j, U) i 1. Then f has at least one eigenvector on au with
characteristic value J..L E (0, 1). 0
Before giving examples of compact maps that have invariant directions,
we recall some terminology.
(7.7) DEFINITION. A convex subset W of a normed linear space (E, I II)
is said to be a wedge if ).. W c W for all ).. 2: 0; a wedge W is proper
if it is not a linear subspace of E . A wedge W is called a cone if

W n (-W) = {O}.
If WeE is a wedge and (! > 0, we let
Bg = {x E W Illxll < (!}, Sg = {x E W Illxll= (!}, Kg = Sg U B g.
°
(7.8) THEOREM. Let E be a normed linear space, WeE a proper wedge,
and let f E JtS)Kg, W) be such that inf{llf(x)111 x E Sg} > and
)..f(x) =1= x for all (x,)..) E Sg x (1,00). Then:
(a) i(f, Bg) = 0,
(b) f has an eigenvector on Sg with characteristic value J.l E (0,1).
PROOF. Clearly, (a)::::}(b) by (7.6). To show that i(f, Bg) = 0, we proceed
in a few steps.
Since 13 = inf{llf(x)111 x E Sg} > 0, we can choose a ball Bd C Bg such
that Bd n f(Sg) = 0. Let
at(x) = (1 + td- 1(!)f(x), (x, t) E Kg x I,
and observe that {at} is a compact homotopy from f = aD to a1 in
JtSe(Kg, W), where a1(x) = (1 + d- 1(!)f(x).
Next select v E W with Ilvll = 1 such that -v tt W (v exists because W
is not a linear subspace) and define
if a1(x) =1= 0,
if a1(x) = 0.
From the estimate
Ila1(X)11 = (1 + d- 1(!)llf(x)11 ~ 13 on Sg,

we see that {13t} is a compact homotopy joining 130 = a1 to 131 in XSe (Kg, W).
Lastly, define
I't(x) = 131 (X) + 2tf2v for (x, t) E Kg x I
and note that because 131 (Sg) C {)..V I ).. > O}, btl is a compact homotopy
joining 131 to 1'1 in XSe (Kg, W); moreover, from 1'1 (Kg) c W - Kg, it follows
that Fixbd = 0, and hence, since f = aD ::: 1'1 in JtS e(Kg, W), we conclude,
by the homotopy and existence axioms, that i(f,Bg) = ib1,Bg) = 0. 0
(7.9) COROLLARY. Let f E XSe (Kg, W) satisfy Ilf(x)11 ~ Ilxll for all
x E Sg' Then:
(a) i(f, Bg) = 0,
(b) f has an eigenvector on Sg with characteristic value J.l E (0,1).
PROOF. (a) Suppose i(f, Be) i= 0; then, by (7.8), x = Af(x) for some x E Se
and A > 1, and hence Ilf(x)11 2: Allf(x)ll, giving A S 1, a contradiction;
(a) implies (b) by (7.6). 0
(7.10) COROLLARY. Lei f E Xse(Ke, W) satisfy one of the following con-
ditions:
(i) Ilf(x)11 2: a for some a > 0 and all x ESe,
(ii) Ilf(x)ll2: Ilx - f(x)11 for all x ESe·
Then f has an eigenvector on Se with characteristic value /-l > o. 0
As our last example, we have
(7.11) THEOREM . Let E be an infinite-dimensional normed linear space ,

and U an open bounded subset of E with 0 E U. Let f E Jf:8u(U, E)
satisfy one of the following conditions:
(i) f(aU) n conv U = 0,
(ii) there is a point Xo E E - {o} such that x i= f(x) + AXo for all
x E aU and A 2: 0,
(iii) inf{llf(x)11 I x E aU} > 0 and f(x) i= AX for all x E aU and
AE(O,l).
Then:
(a) i(f, U) = 0,
(b) f has at least one eigenvector on aU with characteristic value
/-lE(O,l).
PROOF. Clearly, by (7.6) it suffices to show that i(f, U) = o. As an illustra-
tion, we prove the assertion under hypotheses (i) and (ii).
(i) Choose a small ball B(O, m) = B c 13 c U and (using the fact
that S = aB is an AR) take a retraction r : E ---. E - B. Observe that
g(x) = r f(x), x E U , defines a compact map g : U ---. E with glaU = flaU
and g(x) i= 0 for x E U. Let
Q = sup{llylll Y E aU} and h(x) = (2Q/m)g(x)

for x E U. An easy verification shows that h E Jf:8u(U, E), h(U) n U = 0
and h ~ gin Jf:8u(U , E). Thus, 0 = i(h, U) = i(g , U) = i(f, U).
(ii) Arguing indirectly, assume that i(f, U) i= O. For each n E N, de-
fine fn E Y:&u(U , E) by fn(x) = f(x) + nxo for x E U; observe that by
assumption, the formula ht(x) = f(x) + tnxo for (x, i) E U x I defines a
compact homotopy joining f to fn in Jf:8u(U, E), and thus, by homotopy,
i(fn, U) i= O. Hence there exists a sequence {Yn} C U with Yn = f(Yn) +nxo
for all n, implying that nllxo II = llYn - f(Yn) II ---. 00 , which is impossible,
because the sequence {Yn - f(Yn)} is bounded. 0
Localization and multiplicity results

We conclude this section with a few simple applications of the index to
problems of localization and existence of multiple fixed points.
(7.12) THEOREM (Krasnosel'skil). Let E be a normed linear space, WeE
a proper wedge, and assume that f : W ----+ W is a completely contin-
uous map such that for some numbers rand R with 0 < r < R, one
of the following conditions is satisfied:
(a) Ilf(x)11 ::; Ilxll for x E Sr, and Ilf(x)11 2': Ilxll for x E SR,
(b) Ilf(x)ll2': Ilxll for x E Sr, and Ilf(x)11 ::; Ilxll for x E SR.
Then f has a fixed point x with r ::; Ilxll ::; R.
PROOF. We may assume that f has no fixed points on Sr and SR. We make
the following observations:
(i) if (a) holds, then i(j, B R ) = 0 by (7.9) and i(j, Br) = 1 by (7.4),
(ii) if (b) holds, then i(j, B R ) = 1 by (7.4) and i(j, Br) = 0 by (7.9).
In each case, the conclusion follows from the multiplicity or localization
property of the index. D
(7.13) THEOREM (Nussbaum). Let C be a convex subset of a normed linear
space, U c C open, and f E Xau(U, C). Assume that:
(a) there is an open set V C V c U and a convex set Co C V such
that f(8V) C Co,
(b) there is a point Xo E C - U such that (1 - t)f(x) + txo =1= x for
all (x, t) E 8U x I.
Then f has at least two fixed points, Xl E V and X2 E U - V.
PROOF. We first calculate i(j, U) and i(j, V). Let g E Xau(U, C) be the
constant map x f--7 Xo E C - U. Clearly, f ~ g in Xau (U, C) by (b),
and hence, by normalization and homotopy, i(j, U) = O. Similarly, if 9 E
Xav(V, C) is the constant map x f--7 Yo E Co C V, then because f = flV E
Xav(V, C) and (1 - t)f(x) + tyo =1= x for (x, t) E 8V x I, by (a) we see
that f ~ 9 in Jtav(V, C); consequently, by normalization and homotopy,
i(j, V) = i(g, V) = 1. Now, since Fix(j) C VU (U - V), our assertion follows
from the multiplicity property of the index. D
(7.14) THEOREM. Let E be an infinite-dimensional normed linear space,
V an open bounded subset of E with 0 E V, and U C U c V
a bounded centrally symmetric neighborhood of the origin in E. Let
f E Xavuau(V, E) be such that:
(i) f(x) = - f( -x) for x E 8U,
(ii) f satisfies on 8V one of the conditions (i)-(iii) of (7.11).
Then f has at least two fixed points, Xl E U and X2 E V - U.
PROOF. By (6.6) and (7.11), the assertion follows from the multiplicity prop-
erty of the index. 0
8. Local Index of an Isolated Fixed Point

In this section we define the concept of the local index, which gives informa-
tion about the behavior of isolated fixed points. Our aim is to establish the
basic index formula for calculating the local index for compact differentiable
maps in a Banach space.
(8.1) DEFINITION . Let X be an ANR, U c X open, and Xo E U an isolated
fixed point of f E Xau(U, X). The local index of Xo for f is defined
by
J(j, xo) = i(j, B o),
where Bo = B(xo, 6) c U is an open ball such that Fix(jIBo) = {xo}.
By the excision property, J(j, xo) does not depend on the choice of 5.
As an immediate consequence of additivity we obtain
(8.2) THEOREM. If f E Xau(U, X) has only finitely many fixed points
Xl , . .. , Xk E U, then
k
i(j, U) = L J(j, xd· o
i=l
We now calculate the local index for some simple maps.

EXAMPLE 1. If X = R , f :R ---t R is continuous and U = ( a , b) c R, then
1 1
i(j, (a , b)) = 2 sgn[b - f(b)]- 2 sgn[a - f(a)],
provided that f(a) =1= a and f(b) =1= b. In particular, if f is differentiable at

Yo = f(yo) and f'(yo) =1= 1, then
J(j , Yo) = sgn :t [t - f(t)]it=yo'
EXAMPLE 2. If T : Rn ---t Rn is a linear map such that 1 is not an eigenvalue

of T, then
J(T, 0) = sgndet(I - T) = (-1)13,
where!3 = card{i I Ai > 1} and {Ad~l are the eigenvalues of T. Indeed,
since 1- T is invertible, this follows at once by applying (10.7.3) to 1- T .
EXAMPLE 3. Let f : Rn ---t Rn be differentiable at 0 with f(O) = 0 and
assume that 1 is not an eigenvalue of T = f'(O) E !C'(Rn , Rn). We show
that °
is an isolated fixed point for f and
J(j,O) = J(T, 0) .
Indeed, since I - T is invertible, we have Ilx - Txll 2: 20:1Ixii for all x E Rn
and a suitable 0: > 0. Choose B(O, c) = Be so small that Ilf(x) -Txll ~ o:llxll
on Be' Then on Be we have Ilx - f(x)11 2: Ilx - Txll - Ilf(x) - Txll 2: o:llxll ,
°
showing that is an isolated fixed point for f. Moreover,
Ilf(x) - Txll ~ Ilx - Txll on aBc,
so Rouche 's theorem (10.8.3) gives
J(j , O) = i(j, Be) = i(T, Be) = J(T, 0).
In the remaining part of this section our aim is to extend the index
formula of Example 3 to infinite-dimensional Banach spaces and calculate
the local index for compact differentiable maps.
Let E be a Banach space, T E X(E, E) a completely continuous linear
operator, and r(T) = {v E R I Ker(I - vT) =1= O} the set of characteristic
values of T . By the Riesz- Schauder theory (cf. Appendix), the following
facts are known:
(i) Every closed interval [a , b] c R contains only a finite number of
characteristic values of T .
(ii) For any v E r(T) with v =1= 1, there exists an sEN such that
UKer (I -
00
NV = Ker (I - vT)S = vT)k

k=l
(called the generalized kernel of I - vT) is of finite dimension; the
integer mv = dimNv is called the algebraic multiplicity of v.
(iii) We have the splitting
E =Nv EBR v,
where RV = 1m (I - vT)S = n~l 1m (I - vT)k is a closed subspace
of E.
(iv) We have the inclusions
T(NV) c NV with r(TINV) = {v},
T(RV) c R V with v tt r(TIRV).
(v) If /1, v E r(T) and /1 =1= v, then Nv c Rf.l- .
(8.3) THEOREM . Let E be a Banach space, and T E X(E, E) a linear
completely continuous map such that 1 tt r(T). Then
J(T,O) = (-1),6,
where f3 is the sum of the algebraic multiplicities of the characteristic
values of T lying in (0,1).
PROOF . We proceed in a few steps.

(a) For the characteristic values vI, ... , Vk E r(T) n (0, 1) , take the cor-
responding finite-dimensional spaces NVi, and let
N = NVI EB· · · EB NVk
with dimN = L:~=I mj = /3, where mj = dimNVj is the algebraic multi-
plicity of Vj .
Now, because for each j E [kJ, T(NVj ) c NVj and r(TINVj ) = {Vj} ,
it follows that T(N) eN and r(TIN) = {VI , .. . , vd . Since {l/Vj}j=1 are
the eigenvalues of TIN with l / vj > 1, the finite-dimensional formula of
Example 2 applied to the nonsingular linear map (I - T) IN gives
(*) J(TIN, O) = d((I - T)IN, B nN) = sgndet((I - T)IN) = (-1) P,
where /3 = L:~=I mj and B is the open unit ball in E.

(b) For any j E [k], take the linear projection Qj : NVj EB RVj ~ NVj of
E onto NVj and the linear projection Q : E ~ N defined by Q = L:;=I Qj ;
because each Qj commutes with T , it follows that so also does Q. Now from
(v) it follows that the linear map P = I -Q maps E onto the closed subspace
R = n;=1
RVj of E , which is invariant under T and satisfies
E=NEBR and [O , l]nr(TIR) =0.
(c) Consider the compact homotopy H t : B n R ~ R given by Ht(x) =
(1 - t)Tx for x E B n R and joining T = TIB n R to the constant map
x f--7 0; because 1 ~ r(HtIR) , {Hd is fixed point free on 8(B n R) , and
therefore, by homotopy and normalization,
i(T, BnR) = 1.
Now, by multiplicativity,
i (T, B) = i(TIN, B n N) . i(TIR , B n R) ,
and thus in view of (*) and (**) the desired conclusion follows. 0
(8 .4) COROLLARY. Let T E X(E , E) be a linear completely continuous
map , and V a characteristic value of T with algebraic multiplicity mv.
Then
J((V - 8)T, 0) = (_l)m vJ((v + 8)T, 0)
for all sufficiently small 8 > O. o
(8.5) THEOREM (Leray- Schauder formula). Let E be a Banach space,
U C E open , and F : U ~ E a compact map with F(xo) = Xo E U.
Assume that F is differentiable at Xo and that 1 is not an eigenvalue

of F'(xo) E X(E, E). Then:
(a) Xo is an isolated fixed point for F and J(F, xo) = J(F' (xo) , 0),
(b) J(F,xo) = (-1),8, where (3 is the sum of the algebraic multiplici-
ties of the characteristic values of F' (xo) lying in (0, 1).
PROOF. The proof of (a) is strictly analogous to that of the index formula
in Example 3 and is left to the reader; (b) follows from (a) and (8.2). 0
A. Essential fixed points
Let (X, d) b e a metric space and f : X -> X a compact map. A fixed point xo of f is
called essential (or stable) if for each ball B (xo, 8) in X there exists an c: > 0 such that any
compact map g: X - t X with d(f(x),g(x» < c: for x E X has a fixed point in B(xo,8) .
(A.1) Let (X, d) be an ANR and f : X -> X a compact map. Prove: If Xo is an isolated
fixed point for f and J(f, xo) i- 0, then Xo is an essential fixed point.
(A.2) Let (X , d) be an AR, and (£(X , X), gl

the space of compact maps f : X -> X
with the sup metric. Let r : £(X, X) -> 2 be given by r(f) = Fix(f), where 2 x
is the space of non empty compacta in X with the Hausdorff metric. Prove: r is upper
semicontinuous.
[Given U C X open and fo E £(X, X) with r(fo) C U , observe that d(x, fo(x» 2::
a > 0 for x ~ U. Then, given any 9 with g(g, fo) < a/2, we have r(g) C U: for if
d(x,g(x» = 0 for some x ~ U , then d(x, fo(x» :s
d(x, g(x» + d(g(x) , fo(x» :s
a/2, which
is a contradiction.]
(A.3) Let (X , d), (£(X, X), g) and r be as in (A.2) , and let f E £(X , X). Prove:
(a) If every fixed point of f is essential , then r is lower semicontinuous at f .
(b) If r is lower semicontinuous at f, then every fixed point of f is essential.
(c) Every fixed point of f is essential if and only if r : £(X, X) -> 2 x is continuous
at f .
[For (a), to show that r is l.s.c at f , let U c X be open with r(f) n U i- 0; choose
x E r(f) n U and find an open nbd V(f) of f such that 9 E VU) => Fix(g) n U i- 0. For
(c) , show that given c: > 0, there is a nbd V(f) of f such that Fix(g) n B(x, 2c:) i- 0 for
all 9 E V(f) and x E Fix(f): cover r(f) by finitely many c:-balls B(Xi , c:); then for each
n
Xi E Fix(f) find V;(f) from l.s.c. , and take V(f) = V;(f) . Use (a) , (b), and (A.2) .]
(AA) Let (X , d) and £(X, X) be as in (A .2), and let Ex = {f E £(X, X) I every x E

Fix(f) is essential}. Prove: If the space X is complete, then Ex is dense in (£(X, X) , g).
[Show that (£(X , X), g) is complete and then use the following theorem of Kurato-
wski- Fort: If X is complete and r : £(X, X) -> 2 x is semicontinuous, then the points
of discontinuity of r form a set of the first category (cf. Fort [1951]' where a reference to
an earlier result of Kuratowski (for separable spaces) is given).]
(A.5) Let X be an ANR and f : X -> X a compact map with Fix(f) i- 0. A component
C of Fix(f) is called essential if for each nbd U of C there exists a nbd V(f) of f (in
(£ (X, X) , g» such that if 9 E V (f), then 9 has a fixed point in U. Prove: If the fixed
point set of a compact map f : X -+ X has finitely many components and i(J, X) '" 0,
then f has at least one essential fixed point component.
[Letting {Cj} be the components of Fix(J) , find finitely many nonintersecting open
sets Uj with C j C Uj for each j; using additivity, find a j with i(J, Uj) '" 0 and show that
the component C j is essential.J
B. Fixed points in wedges and cones

Throughout this subsection, E is a normed linear space and W is a wedge in E; for e > 0,
we let Be = {x E W Illxll < e}, Se = aBe and Ke = Se U Be·
(B.1) Let f E .xSe (Ke, W), and let p : E -+ R+ be any (not necessarily continuous)
function such that p-I(O) = {O} and p(..\x) = ..\p(x) for all..\ > 0 and x E E. Assume that
one of the following conditions holds:
(i) p(J(x)) :::: max{p(x),p(J(x) - x)} for x ESe,
(ii) p(J(x)) :::: {(p(x))k + (p(J(x) - x))k}l/k for x ESe, where k > 1.
Show: i(J, Be) = 1.
(B.2) (Krasnosel'ski£ theorem) Let C be a cone in E, and let f : C -+ C be completely
continuous. Assume that for some numbers rand R with 0 < r < R, one of the following
conditions is satisfied:
(a) x - f(x) rf. C for x E Sr and f(x) - x rf. C for x E SR,
(b) f(x) - x rf. C for x E Sr and x - f(x) rf. C for x E SR.
Prove: f has a fixed point x with r :::: Ilxll :::: R (Krasnosel'skir) [1960J.
(B.3) Let WeE be a proper wedge, and let f : W -+ W be completely continuous.
Assume that for some numbers rand R with 0 < r < R, one of the following conditions
is satisfied:
(a) Ilf(x)11 :::: Ilf(x) - xii for x E Sr and Ilf(x)11 :::: Ilxll for x E SR,
(b) Ilf(x)11 :::: Ilxll for x E Sr and IIJ(x)11 :::: Cllxl1 2+ Ilx - f(x)112)1/2 for x E SR·
Prove: f has a fixed point x with r :::: Ilxll :::: R.
(B.4) Let X C E be a closed ANR, U c X x [a, bJ open with vertical boundary aU, and
f : U -+ X a compact map. Let S = {(x,..\) E U I f(x,..\) = x}. Prove: If Sa n (aU)a = 0
and i(Ja, Ua) '" 0, then there exists a continuum C C S joining Sa X {a} and aUUSb x {b}.
(B.5) Let WeE be a closed wedge, U C W x [a, bJ open, and f : U -+ W completely
continuous. Let S = {(x , ..\) E U I f (x , ..\) = x} and assume that Sa is bounded and
Sa n (aU)a = 0. Prove: If i(Ja, Ua) '" 0, then there exists a component C C S with
C a '" 0 such that either C is unbounded or C n (aU U Sb x {b}) '" 0.
(B.6) Let WeE be a closed wedge, and let h : W X R+ -+ W be a completely
continuous map such that h(x,O) = 0 for all x E W. Let C+ (W) be the component
of S = {(x,..\) E W x R+ I h(x,..\) = x} containing (0 , 0). Show: C+ (W) is unbounded.
C. Geometric approach to the index for ENRs
Throughout this subsection, we deal with ENRs without isolated points. We recall that
ENRs are (up to homeomorphism) neighborhood retracts of Euclidean spaces.
Consider compactly fixed maps f : U -+ X, where U is open in X and X is an
ENR. Let § be the set of (homeomorphism classes) of such maps. In § we introduce the
following "homotopy" and "excision" relations:
(HTP) Let fa, h E §; then
f a HTP f { there exists a compactly fixed homotopy

'" 1 <=?
ht : U ---> X such that ho = fa, hI = h.
(EXC) Let f : U ---> X and fa : Uo ---> Xo be in §; then
Xo c X and Uo is open in U,
f E~C fa (or fa E~C f) <=? { Fix(fo) = Fix(f),
fo(x) = f(x) for x E Uo·
These two relations generate an equivalence relation ~ in §; the equivalence class of f is
denoted by [I], and the set of equivalence classes by FIX = § /~.
(C.l) Let g: W ---> Y be in §, and let P E Fix(g). Show:

(a) If <.p : I ---> Y is a path joining <.p(0) = P to <.p(1) = q, then the map h : W x {O} U
{p} x I ---> Y given by
hex t) = {g(x), (x, t) E W x {O},

, <.p(t), (x, t) E {p} x I,
extends to a map h : W x I ---> Y.

(b) If V c W is an open nbd of Fix(g), then there exists gp : W ---> Y in § satisfying:
( I.) 9 HTP
~ gp,
(ii) gplW - V = glW - V,
(iii) gp(p) -=J. p.
[For (a), use the homotopy extension property. For (b), take h as in (a); then, choosing
A: W ---> I with A(p) = 1, AIW - V = 0, define H : W x I ---> Y by H(x, t) = hex, tA(X)),
and let gp(x) = H(x, 1).]
(C.2) Let 9 : W ---> Y be in §, and let V be an open nbd of Fix(g). Show:

(a) There exist gO, gl , .. . ,gs : W ---> Y in § such that for each i = 0, 1, ... , s,
( I.)
gi HTP
~ g,
(ii) gilW - V = glW - V,
(iii) n:=o Fix(9i) = 0.
(b) There exist Urysohn functions QO,Ql, ... ,Qs: Y ---> I such that QiIFix(9i) = 1
and Qi IY - W = 0 for each i = 0, 1, ... , s, and mino::;i::::s Qi = O.
[(a): Proceeding for each p E Fix(g) as in (C.1), obtain [npEFix(g) Fix(gp)] n Fix(g) = 0;
from this, by compactness of Fix(g), get [nf=l Fix(gpJ] n Fix(g) = 0 for some PI, ... , Psi
letting gi = gPi for i > 0, take go = 9 to complete the proof.
(b): For k = 0,1, ... , s, choose Ak : Y ---> I with Fix(9k) = A;;I (0), AklY - W = 1,
and define (2k(Y) = 1 - Ak(y)/maxO::::i::;s Ai(Y).]
(C.3)* Let 9 : W ---> Y be in §, and X a retract of Y; form the partial cylinder M =

Y x {O} U X x I with r : M ---> Y, j : Y ---> M given by r(y, t) = y, j(y) = (y,O), so
rj = id y , and consider a map in § given by h = jgr : r-I(W) ---> M. Show: hand 9 are
equivalent in §.
[Let M = Mo ~ MI ~ ... ~ Ms ~ Ms+l = Y x {O} be s + 2 subsets of M given for
k = 1, ... , s + 1 by
Mk = {(y,t) E Mlt:S min{{2o(Y),··· , {2k-l(y)}},

where go , £11,··., £Is : Y --t I are from (C.2); observe that (y, t) >-> (y , min{t , go(y) , ...
. . .,gk-l (y))) determines a retraction of M onto Mk> and this implies (because M is an
ENR) that each Mk is an ENR. For each k = 0, 1, ... ,s + 1, let
hk(y,O) = (g(y) , O),

and observe that hs+ l = g. Prove inductively that h ~ hk for each k:
(i) Observe first that ho = h; then assuming h ~ hk> take the maps {gdk=O from
(C.2), and note that hk = jgr H~P j9kr (since 9 H~P gk by (C.2)).
(ii) Consider the restriction jgkrlMk+ l : M k + l n r- l (W) --t Mk+l and observe that
Fix(j9kr) C {(y , t) E Mk I t = O} ; then use excision to remove all (y , t) E Mk with
t > gk () .. .
y , glvmg Jgk r
EXC.
~ Jgk r
1Mk+l·
(iii) From (ii), since jgkrlMk+l H~P jgrlMk+l = hk+l ' deduce h ~ h k+ l , completing
the induction and giving h ~ hS +l = g.)
(C.4)* Let Y be an ENR, and X a retract of Y with X -i.. Y ~ X, £Ii = idx . Show: If
f: V --t X is in $, then so is 9 = if £I : £1 - 1 (V) --t Y, and f and 9 are equivalent in $.
[(i) As in (C.3), form the partial cylinder M = X x IUY x {O} and consider the map
h = jgr = j(ifg)r : r- 1 £1 - 1 (V) --t M; note that h ~ 9 as in (C.3).
(ii) Consider the homotopy ktigr : r-lg-l(V) --t M , where {kt : X --t M}tEI is
given by x>-> (x, t) ; observe that h = j(ifg)r = kofgr H~P kIf gr.
(iii) Since Fix(kdgr) C X x {1}, excise all (y, t) with t < ~ ,so t hat X x [~, 1] remains,
and note that, with q: V x [~,1] --t V being the projection , the maps kdgr , kdq
V x [~, 1) --t X X [~ , 1) are equivalent in $ and klfq(v, t) = (f(v), 1).
(iv) To conclude, use (i)- (iii) to get 9 ~ h = kofgr ~ klfgr ~ kdq ~ f.J
(C.5) Let 72(Rn ) = {B E 2(Rn , Rn) I Fix(B) = {O}} and assume A is in 72(Rn).
Show:
(a) There is a path in 2 joining A to the linear map determined by one of the n x n
matrices [1*1 g].
(b) A is equivalent in $ to one of the self-maps of R: x >-> 0, x >-> 2x.
[For (a): because I - A E GL(R n ), there exists a path in GL(Rn) joining I - A to the
linear map determined by one of the matrices
For (b): use (C.4) and (a).)

(C.6) Let f : V --t X be any map in $. Show: There exists an open subset U of R n for
some n and a map 9 : U --t R n in $ such that f and 9 are equivalent in $.
[Use (C.4) and the fact that X is (up to homeomorphism) a nbd retract of some Rn.)
(C.7) Given fa : Uo --t Xo and il : Ul --t Xl in $, consider their topological sum
fa EB il : Ul EB U2 --t Xo EB Xl. Show:
(a) The addition EB in $ is compatible with ~, and so determines an addition + in
FIX: [fa) + [il) = [fa EB il) ·
(b) The pair (FIX, +) is a commutative and associative monoid with zero [0), where
o is the "empty map" .
(C .8)* Let f : W --+ R n be compactly fixed . Prove: f is equivalent in FIX to a finite sum
EB fi , where each fi : V; --+ R n is an affine map with Fix(fd = {xd C V; and such that
x - fi(x) = Li(X) - Xi for x E V; and some Li E GL(Rn).
[Assuming without loss of generality that f is defined on Wand that W is a polyhedral
domain, modify slightly the map x >--+ x - f(x) on W to get a PL-generic map 9" from
(W, oW) to (R n , R n - {O}) ; then id - 9" has isolated fixed points, and id - 9" '" f. To
conclude, apply excision to the map id - 9d
(C .9) (Dold theorem) Prove:
(a) Each compactly fixed f : W --+ X is equivalent to a sum of maps R --+ R of the
form x >--+ 0 or x >--+ 2x, and these maps add up to 0 in FIX.
(b) The monoid FIX is an infinite cyclic group generated by e = [R --+ R, x >--+ 0] =
- [R --+ R, x>--+ 2x] .
(c) The projection f f-> [f] E FIX gives an integer that coincides with the fixed point
index I(f, W) of f.
(The above results are due to Dold [1974] .)
Fixed point index for polyhedra and compact ANRs

Fixed point index theory for polyhedra, due to Hopf, is classic and can be
found in the treatise of Alexandroff-Hopf. The index for compactly fixed
maps of ENRs, due to Dold [1965] , is presented in full detail in his book
[1972]; more general theory for compact ANRs is presented in R.F. Brown's
book [1971]. The construction of the index in the above books is based on
tools of algebraic topology.
Fixed point index for compact maps of ANRs

In this monograph, the fixed point index theory for compact maps of ANRs is
presented in two parts: the first "geometric" part makes no use of algebraic
topology, and the second "algebraic" part described in §16 combines the
Lefschetz- Hopf theory with the geometric part of the index.
The index theory in a setting similar to that presented in the text was
established in Granas [1972], on the basis of Dold's [1965] index for com-
pactly fixed maps in Rn. Closely related partial results were obtained earlier
by Browder [1969] and Granas [1969].
§12 develops only the "geometric" part of the theory. Later on, in §16,
the concept of the index will be discussed from the viewpoint of algebraic
topology; specifically (after establishing the Hopf index theorem relating the
Lefschetz number to the index), we will show that the "geometric" part of
the index can be embodied in a suitably and axiomatically defined "alge-
braic" part of the theory. We remark that the index theory presented in §12
decomposes into two closely related parts, namely, the "I-index" for com-
pactly fixed maps and the "i-index" for maps that are fixed point free on
the boundary. These parts are so closely analogous that there is no need to
treat them in full detail separately; the results of one almost automatically
apply to the other.
The presentation of the "I-index" is carried out in the following steps:
1. Construction of the index for compactly fixed maps in Rn.
2. Extension to compact and compactly fixed maps in normed linear
spaces (the Leray- Schauder index).
3. Extension to compact and compactly fixed maps of ANRs, based on
the commutativity of the Leray- Schauder index.
Jean Leray, 1953
Steps 2 and 3 closely follow Granas [1972]. Step 2 relies on the degree
for compactly rooted maps in Rn (§10). The proof of the commutativity of
the index in Rn (Section 1) is due to Dold [1965]; also, the argument in the
first part of the proof of the commutativity of the Leray- Schauder index is
analogous to the above proof. A special feature of the entire development is
that the index for compact ANRs and the index for compact maps of ANRs
are both derived as simple corollaries of the Leray- Schauder theory.
We remark that the index theory for compact maps of ANRs appeared first (see the
lecture notes of Granas [1969- 1970]) in the following somewhat less general setting:
Let .rz1 denote the set of all triples (X , j , V) , where X is an ANR, V c X open , and
j : X -+ X a compact map with FixUI8V) = 0. Then there exists on .rz1 an integer-valued
function (X , j,V) ...... ix(f, V) satisfying:
(I) (Strong normalization) If V = X , then ix(f, X) = AU), where AU) is the
generalized Lefschetz number of j .
(II) (Additivity) If (X, j , V) E .rz1 and Vi , V2 C V are disjoint , and j has no fixed
points in V - Vi U V2, then ix(f, V) = ix(f, Vd + i x(f, V2).
(III) (Homotopy) If ht : X -+ X is a compact homotopy and Fix(htI8V) = 0 for
t E I , then ix(ho , V) = ix(hl ' V).
(IV) (Commutativity) If X , Yare ANRs and j : X -+ Y , g : Y -+ X are maps such
that either j or g is compact, then ix(gj, V) = i(fg, g-l (V)).
The proof of this theorem relies on the index theory for compact ANRs and on the fact
that ANRs are dominated by polytopes with weak topology.
K uratowski- Mazurkiewicz separation theorem
Theorem (6.4) is of importance in the fixed point index theory and its appli-
cations. It was initially attributed to G.T. Whyburn (Topological Analysis,
Princeton Univ. Press, 1958; see, for example, Rabinowitz [1971]) . Later on,
J.C. Alexander [1981] pointed out that the result can be traced back to the
early days of point-set topology and is contained in Kuratowski's monograph
[1968]. In Chapter V of that book, Kuratowski introduces for a space X the
following property:
(M) {If Ais, Be
X
X are closed and X is connected between A and B , then
also connected between a pair of points and a E A b E B.
He attributes the notion to Mazurkiewicz (CRAS Paris 151 (1910), p . 296) ,
If
and proves that :
If
(i) X is compact, then X has property (M).
(ii) X has property (M) , then its components coincide with its quasi-
components.
The argument to establish (i) (which is also given in the proof of (6.4)) is
strictly similar to that used in the above mentioned note of Mazurkiewicz.
Index for k-set contractions and for condensing maps
The fixed point index has been extended to wider classes of maps. We outline
two such extensions: to the classes of k-set contractions and condensing
maps.
Let C be a closed convex subset of a Banach space E. Recall that the
Kuratowski measure of noncompactness of X c C is defined by
a(X) = inf{J > 0 I X has a finite cover by sets of diameter> a}.
The main properties of a are:
(I) If {An} is a descending sequence of nonempty closed subsets of

C such that a(An) - 0, then AcX) = n~=l An is nonempty and
compact and each nbd U of A(X) contains all the An with sufficiently
large n.
(II) a(A) = 0 if and only if A is compact.
(III) a(Conv(A)) = a(A) for all bounded A c C.
(IV) a(A U B) ~ max{ a(A) , a(B)} for all bounded A , Be C.
DEFINITION. Let X, Y c c, f : X - Y be continuous and k E (0,1).
(a) f is a k-set contraction if a(f(A)) ~ ka(A) for all bounded A c X.
(b) f is condensing if a(f(A)) < a(A) for all A c X with a(A) #- O.
We now describe the definition of the fixed point index for k-set contrac-
tions. The key result here is the following:
LEMMA. Let U be a bounded open subset of C and iP : U - C be a k-set
contraction. Then:
(i) there exists a compact convex C(X) C C such that iP(U n C(X)) c C(X) ,
(ii) there exists a compact map F : U - C(X) extending the restriction
iPIU: Un C(X) - Coo and satisfying Fix(F) = Fix(iP); any two such
extensions are homotopic via a compact homotopy H t : U - Coo
such that Fix( H t ) = Fix( iP) for each tEl.
PROOF. Define inductively a descending sequence C 1 ::J C 2 ::J ... of closed
convex sets by setting
C1 = Conv(iP(U)) , C n = Conv(iP(U n Cn-d).
Letting Coo = n~=l C n and using iP(UnCn - 1 ) c C n gives iP(Unc(X)) c Coo·
Because P is k-set contractive, a(Cn ) ~ ka(Cn - d ~ k n - 1 a(Cd, and as
k E (0,1), (I) shows that Coo is compact.
Now, P : unC(X) - C(X) extends to F : U - C(X), since C(X) is convex, and
F is compact , since Coo is. If x = F(x) for some.r E U, then x E UnC(X), so
x = F(x) = p(x), and thus Fix(F) = Fix(P). Now assume that G : U - C(X)
were another such extension and define a compact homotopy H t : U - Coo
by Ht(x) = (l-t)F(x) +tG(x); if x = Ht(x) for some x E U and some tEl,
then x E Un Coo, and therefore x = F(x) = iP(x), i.e., Fix(Ht) = Fix(iP)
for all tEl. 0
The Leray- Schauder fixed point indices i (F, U), i ( G, U) are the same,
and we define i(iP, U) = i(F, U).
It can be shown that i(P, U) satisfies the main axioms for the index on
the set of k-set contractive maps. In particular, it is also unique.
Let now F : U - C be a condensing map with Fix(F) c U. Take 0 <
6 < 60 = inf{llx - F(x) I I x E aU} (60 > 0 because x f--+ x - F(x) is a closed
map); select any Xo E U and set Ft(x) = (1 - t)xo + tF(x) for x E U and
tEl . Now choosing to sufficiently close to 1 so that II Fto (x) - F (x) II < 6 for
all x E aU, note that Fto : U ~ C is a k-set contraction with Fix( Fto) cU.
We define i(F, U) = i(Fto' U). It can be verified that the definition is
independent of the particular to, Xo chosen and that i(F, U) satisfies the
main axioms for the index on the set of condensing maps that are fixed
point free on aU. In particular, it is also unique.
For details and more general results about the index for condensing maps
(and the related notion of degree) see Nussbaum [1971], [1972a,b], [1977],
Borisovich- Sapronov [1968], and also Nussbaum's lecture notes [1985] and
Krawcewicz's book [1997], where further references can be found.
Index for compact K akutani maps

The index can also be extended to compact Kakutani maps. Let C be a
closed convex set in a normed linear space E, and let U C C be open in C.
As before (cf. (11.7.5)), we denote by Xau(U, C) the set of all compact
maps f : U ~ C that are fixed point free on aU; recall that Xau(U, C) is
equipped with the relation c:::: of homotopy, and we let 7fau(U, C) denote the
corresponding set of homotopy classes.
Let Xau(U, 2C ) be the set of all compact Kakutani maps 8 : U ~ 2c
that are fixed point free on aU. Recall that two Kakutani maps 8, T E
Xau(U,2 C) are called homotopic (written 8 "-' T) if there exists a map
HE XauxI(U x I,2 C ) with H(x, 0) = 8x and H(x, 1) = Tx for all x E U.
The homotopy relation "-' is an equivalence relation in Xau(U,2 C ). We
denote by [8] the equivalence class of 8 in Xau(U, 2C ) and by 7rau(U, 2C )
the corresponding set of homotopy classes.
The extension of the index to compact Kakutani maps relies on the
following theorem:
THEOREM. Let U be an open subset of C. Then the map T : 7fau(U, C) ~
7rau(U,2C) defined by [J] f---t [f] is a bijection.
The proof of this theorem can be carried out with the aid of the approx-
imation results (7.8.2) and (7.8.3). Starting off with 8 E Xau(U, 2C ), we
select a map f E Xau (U ,C) satisfying [f] = [8] and define
ind(8, U) = i(j, U).
By the above theorem, this is independent of the choice of f and turns out
to satisfy analogues of the index axioms; again, they uniquely characterize
this index.
For details about the index for compact Kakutani maps (and the related
notion of degree) see Granas [1959], Hukuhara [1967], Cellina- Lasota [1969],
Borisovich et al. [1969], Ma [1972], and G~ba et al. [1959].

This paragraph is devoted entirely to illustrating various uses of the fixed
point index. We begin with two direct and significant applications of the
index, first to establish some general bifurcation results in ANRs, and second
to nonlinear partial differential equations. Then, among other applications,
we derive the Leray- Schauder degree theory for compact fields in normed
linear spaces, and using the degree, we establish some generalizations of the
Borsuk theorem. The last section develops the Leray- Schauder index for
compact maps in locally convex spaces.
1. Bifurcation Results in ANRs

Numerous questions, ranging from nonlinear Sturm- Liouville problems in
ordinary differential equations to eigenvalue problems for elliptic partial
differential equations, reduce in a natural way to the study of solutions of
equations of the form
x = F(x, A) ,
where x is an element of a Banach space E, A is a real parameter, and
F : E x R ----> E is a completely continuous map with F(O, A) = 0; note
that (*) has the line {(O, A) I A E R} of solutions, which are called the
trivial solutions of the problem. The solutions of interest are those in the set
N = {(x, A) I x = F(x, A) and x -=f O}; a point (0, AO) is called a bifurcation
point of the problem if it belongs to the closure of N in E x R. In general
terms, bifurcation results are concerned with changes in the structure of the
sets of solutions of x = F(x, A) as the parameter A varies.
In the first part of this section our aim is to present the geometric part of
the theory, leaving analytic aspects aside; in the framework of ANRs, with
the Leray- Schauder index as a basic tool, some local and global bifurca-
tion results are developed. The section ends with applications to bifurcation
results in Banach spaces.
We begin with some notation and terminology.
Let X be a space, J c R an interval, and let F : X x J ----> X be a
map. For each t E J we let Ft : X ----> X be given by Ft(x) = F(x, t); we
shall repeatedly use the fact that F determines the family {Ft : X ----> XhEJ
of maps and vice versa. Throughout the entire section, by {(X, d); Po} we
denote a noncompact based ANR with a "base point" Po EX, and by
J = (a, /3) a fixed open interval in R. For r > 0, we let Br = B(po, r) and
Kr = K (po, r) be open and closed balls in X , respectively. In the product
X x J we introduce a metric (J by
(J((x, s) , (y , t)) = d(x, y) + Is - tl;
if U c X X J and t E J, then the t-slice of U, written Ut , is defined by

Ut = {x E X I (x, t) E U}.
(1.1) DEFINITION. Let {(X, d);po} be a based ANR, J = (ex, (3) C R open,
and let F : X x J --+ X be a completely continuous map.
(a) A subset A c J is called a singular set associated with F if:
(i) A is finite or countable,
(ii) for any closed J o = [a, bJ c J, the intersection AnJo is finite,
(iii) for any closed J o = [a, bJ c J - A, there is a ball BE: =
B(po, E), with a sufficiently small radius E = E(Jo) > 0, for
which
Fix(Ft) n BE: = Fix(FtIBE:) = {Po} for all t E J o.
(b) The map F (or, equivalently, the family {Ft : X --+ XhEJ de-
termined by F) is said to be allowable if it is equipped with a
singular set A = A F.
From now on, we assume that ((X, d); Po) is a based ANR and that
F : X x J --+ X is a completely continuous allowable map with singular set
A F ; we call elements of AF singular points for F.
(1.2) PROPOSITION. Let Ao E A F , and let J o = (a, b) c J be such that
AF n J o = {Ao}. Then:
(i) for each t E J o - {Ao}, there exists an r(t) > 0 such that
Fix(FtIBr(t)) = {Po},
(ii) i(Ft, Br(t)) is constant for a < t < AO,
(iii) i(Ft, Br(t)) is constant for Ao < t < b.
PROOF. (i) is evident; with the aid of the general homotopy invariance and
excision property of the index, we see that (ii) and (iii) follow at once from
Definition (1.1). 0
We now consider the equation
Ft(x) = F(x, t) = x
and look for its solutions (x, t) E X x J; note that Ft(po) = Po for each
t E J, so the points (x, t) E IF = {Po} x J form the set of trivial solutions
of (*).
(1.3) DEFINITION. A point (po, AO) is called a bifurcation point of (*)
provided for any open nbd U of (Po, Ao) in X x J there exists (x, t) E U
such that x E Fix(Ft ) - {po}. The set of bifurcation points is denoted
by BF ; clearly, if (Po, AO) E BF , then AO E AF.
We let NF = {(x, t) E X x J I x E Fix(Ft ) - {Po}} be the set of
nontrivial solutions of (*), and let SF be the closure of N F; note
that BF = TF n SF, and thus the only trivial solutions in SF are

bifurcation points.
(1.4) PROPOSITION. If AO E AF and (Po, AO) r¢ BF, then the fixed point
index i(Ft, Br(t)) is constant in a certain nbd of Ao.
PROOF. Indeed, if (Po, AO) r¢ B F , then for some nbd V of (Po, AO) in X x J we
have V n NF = 0; from this, by (1.2) and the general homotopy invariance
of the index, our assertion follows. D
(1.5) DEFINITION. Assume that AO E A F , J o = (a, b) c J and r(t) > 0 are
as in (1.2). Select t1, t2 such that a < t1 < Ao and Ao < t2 < b. We
define the bifurcation index T(Ao) of the family {FthEJ at Ao by
T(Ao) = i(Ft1 , Br(tIl) - i(Ft2 , B r(t2))'
In view of (1.2), it is clear that the definition of T(Ao) is independent of the
t1 and t2 chosen as above. Furthermore, r(ti), i = 1,2, in the definition can
be replaced by anye > 0 such that Fix(FtJBe) = {Po}, i = 1,2.
A sufficient condition for a point to be a bifurcation point is given in the
following:
(1.6) THEOREM (Local bifurcation). If AO E AF and T(Ao) -I- 0, then
(Po, AO) is a bifurcation point for (*).
PROOF. This is an immediate consequence of (1.4) and (1.5). D
Let C c X x J be a compact component of SF with C n BF -I- 0.

By the compactness of C, we see that en BF consists of a finite number
of bifurcation points (Po, Ad, ... , (Po, Ak)' We let Ao = {A1, ... , Ad and
assume A1 < ... < Ak.
(1.7) DEFINITION. Let C c X x J be a compact component of SF with
CnB F = {(Po, Ad,···, (Po, Ak)}. A bounded open subset U of X x J
is called a special neighborhood of C provided:
(i) C C U,
(ii) there exists a positive rJ = rJc such that for each Ai E Ao = {Aj I
j E [k]}, we have AF n (Ai - rJ, Ai + rJ) = {Ai},
(iii) TF n U c Ui{PO} X (Ai - rJ, Ai + rJ),
(iv) if x = F(x, t) and (x, t) E aU, then x = Po and t E (Ai -rJ, Ai +rJ)
for some Ai E Ao.
The proof of the main result of this section is based on the following
(1.8) LEMMA. Let C c X x J be a compact component of SF with bi-
furcation points (Po, A1)"'" (po, Ak)' Then C admits a special nbd U
satisfying:
(i) there exist ry*, r > 0 such that ry* < ry and
k
U(Kr x [Ai -ry*,Ai +r(]) c U,
i=l
(ii) Fix(FtIKr ) = {PO} whenever ry* < It - Ail < TJ,

(iii) there exists a closed interval [a, b] c J such that if (x, t) E U,
then a < t < b.
PROOF. We first select a closed interval [a , b] c J such that (x, t) E C
implies t E (a, b), and let
EO = dist(Ao, AF - Ao),
El = min{min{t E R I (x , t) E C} - a, b - max{t E R I (x, t) E C}},
E2 = min{Ai+l - Ai liE [k - I]}.
Let 0 < TJ < min{Eo,El,E2} and

Bi = {(x, t) E X x J I g((x, t), (Po , Ai)) < ry/2} for i E [kJ,
and let
[28 = {(x,s) E X x J I Q((x,s),C) < c5}
be the open c5-neighborhood of C in X x J with
k
c5 < min {ry/2,dist (C - UBi, {Ao} x R)}.
i=l
We make the following observations:

(a) Ao = {Ai liE [k]} c (a, b),
(b) AFnU~=l[Ai-ry,Ai+ry] =Ao,
(c) TF n no c U~=l {{Po} X (Ai - ry, Ai + TJ)},
(d) (x, t) E [20 implies t E (a, b).
We now apply the Kuratowski- Mazurkiewicz separation theorem (12.6.4).
Consider the compact subset K = no
n SF of X x J and its closed disjoint
subsets A = C and B = fHh n SF. Because 8fh n C = 0, there is no con-
nected subset of K joining A and B, and hence K is disconnected between A
and B. By the Kuratowski- Mazurkiewicz theorem we can find two disjoint
closed subsets KA and KB of K such that
A=CcKA, B=8no nSFCKB , K=KAUK B .
Because KA and KB are compact and disjoint, there exists an open nbd U
of C in X x J such that U C [28, U n SF = 0, and a < t < b for (x, t) E U.
By construction it is clear that U is the desired special nbd of C. 0
We are now ready to establish the global bifurcation theorem:
(1.9) THEOREM (Rabinowitz- Nussbaum). Let {(X , d);po} be a based ANR

and F : X x J ---. X a completely continuous allowable map. Let C
be a compact component of SF containing a bifurcation point of ( *) .
Then:
(A) if (Po , A) E en BF and r(A) =I 0, then C contains another
bifurcation point of (*),
(B) if en BF = {(po, A1), ... , (po, Ak)} , then L~=l r(Ai) = O.
PROOF. Because (B)*(A) , it is enough to prove (B) . We first select a special
bounded nbd U of C satisfying (i)- (iii) of (1.8). The proof will be carried
out in a few steps:
STEP 1. We fix Ai E A o and let Vi = X X [Ai - ry , Ai + ryJ be a "strip" in
X x J determined by (Ai, ry). We define an open subset 0 C Vi as the union
O=VUW, where
V = Br x [Ai - ry, Ai + ry] and W = Vi n U.
We claim that
(1) Fix(Ft l(80)t) = 0 for each t E [Ai - ry, Ai + ry].
Supposing the contrary, i.e., Ft(x) = x for some x E (80)t , we may have
either (a) x E (8U)t, or (b) x E 8Br and t E [Ai - 1] , Ai + 1]]. In the first
case, x must coincide with Po, implying x E Ot, which is impossible; and in
the second case, from ry* ~ It - Ail ~ 1] and the construction of U , it follows
that x = Po, and from It - Ail ~ ry* that x E (8U)t; thus our assertion (1) is
established.
Because of (1), by applying the general homotopy invariance of the index
on [Ai - ry , Ai + 1]], we have
(2)
Next, by the additivity property we get
(3)
i(F>"i-'7' O>"i-'7) = i(F>"i-'7' U>"i-'7) + i(F>"i-'7' B r ),
i(F>"i+'7' O>"i+'7) = i (F>"i +'7 , U>"i+'7) + i (F>"i +'7 , Br)'
Now from (2), (3), and Definition (1.3) we obtain
(4)
Because Ai was fixed arbitrarily, (4) holds for any i E [k].
STEP 2. We now consider a pair of consecutive elements Aj < Aj+1 of A o.
Because (Aj, Aj+1) n A o = 0, we have
(5)
It follows from (5) and the general homotopy invariance of the index that
(6) i(F>"j+I-r." U>"j+I-17) = i(F>..j +17 , U>"j+17)·

Because the pair)..j < )..j+1 was fixed arbitrarily, (6) holds for any j E [k-l].
For convenience, we now set ai = i (F>"i +17 , U>"i+17) , bi = i(F>"i-17 , U>"i-17)
and observe that from (4) and (6) we obtain
ai - bi = r()..i) for each i E [k],
aj = bj +1 for each j E [k - 1],
and therefore
k k
L r()..i) = L(ai - bi ) = ak - b1
i=l i=l
= i(F>"k+17' U>"k+17) - i(F>"l-17' U>"I-17)·

STEP 3. To complete the proof we only need to show that ak = 0 and
b1 = O. To show that ak = 0, we apply the general homotopy invariance
property to the set un (X x [)..k + Tt, b]). Since there are no solutions of (*)
on 8Un(X x [)..k+Tt, b]) by (1.7)(iv) and Ub = (/) by (1.8)(iii), it follows by the
general homotopy invariance that 0 = i(F>"d17' U)..d17) = ak. The argument
for b1 = 0 is similar, and thus the proof of the theorem is complete. 0
We now consider two examples:
EXAMPLE 1. Let E be an infinite-dimensional Banach space, and let F :
E x R -+ E be a completely continuous map with the following properties:
(A.l) F(x,)..) = )"Tx + w(x,)..) for (x,)..) E E x R,
(A.2) T is linear and completely continuous,
(A.3) limllxll-;o Ilw(x, )..)ll/llxll = 0 uniformly in each [a, b] c R,
(A.4) F(O,)..) = 0 for)" E R.
Let r(T) be the set of characteristic values of T . Using the terminology of
(1.1), we show that F with (X;po) = (E;O), J = R, and AF = r(T) is
allowable. To see this, it is enough to observe that r(T) satisfies (a) of (1.1):
(i) and (ii) of (a) are obvious, and since for every f..L fj. r(T), (I - f..LT)-l
exists, it is easily seen that properties (A.l)- (A.3) of F imply that (iii) of
(a) is also satisfied, so the assertion follows.
EXAMPLE 2. Let F be as in Example 1. We show that if v E r(T) is
a characteristic value with algebraic multiplicity m v , then the bifurcation
index r(v) of {FdtER at v is given by
r( ) = {O if mv is even,
v ±2 if mv is odd.
344 IV . Leray- Schauder Degree and Fixed Point Index
To see this, take a small interval J o = (v-Tj, v+Tj) with Jonr(T) = {v} and
choose a c5 E (O,Tj). By (1.2), for each t E J o - {v}, there exists an r(t) > 0
such that
Fix{FtIBr(t)} = {O},
{ J(Fv-fn 0) = i(Ft, Br(t)) for all t E (v - Tj, v),
J(Fv+o , 0) = i(Ft, Br(t)) for all t E (v, v + Tj).
This, in view of Definition (1.5) and (12.8.5), gives
r = J(Fv-6, 0) - J(Fv+o, 0) = J((v - c5)T, 0) - J((v + c5)T, 0),
and now the desired assertion follows from (12.8.3).
We are now in a position to establish the following basic
(1.10) THEOREM (Krasnosel'skil- Rabinowitz). Let E be a Banach space
and F : E x R -----t R be completely continuous such that
(i) F(x,),) = )'Tx + w(x,),) for (x,),) E E x R,
(ii) T: E -----t E is linear and completely continuous,
(iii) w(x,),) = o(llxll) as x -----t 0 uniformly in), in each interval [a, b].
Assume that v E r(T) has odd algebraic multiplicity. Then:
(a) (0, v) is a bifurcation point,
(b) if C is a component of SF with (O,v) E C, then either C zs
unbounded or C contains another bifurcation point of (*),
(c) if C is compact and if en BF = {(O, vd, ... , (0, Vk)}, then
2:7=1 r(Vi) = 0,
(d) the number of characteristic values Vi E r(T), i E [kJ, appearing
in (c) and having odd algebraic multiplicity is even.
PROOF. In view of Examples 1 and 2, assertions (a)- (c) are immediate
consequences of (1.6) and (1.9).
(d) Because in the sum 2:7=1 r(Vi) = 0, the nontrivial terms r(vd = ±2
involve only the Vi E r(T) having odd algebraic multiplicity, their number
must be even. 0
2. Application of the Index to Nonlinear PDEs

Partial differential equations of elliptic type (both linear and nonlinear) arise
naturally in physics, geometry, and various other branches of mathematics;
many basic questions in those fields appear as Dirichlet problems, and the
existence proofs combine analytical and topological techniques. The ana-
lytical parts of these proofs are usually very complicated, and will not be
treated here; we concentrate only on the topological aspects.
a. Nonlinear Poisson equation

Let D be a bounded region in R n having a smooth boundary, Di = a/axi,
and let L1 = 2:=~ I D;
be the Laplace operator. Consider the homogeneous
boundary value problem
{ L1u = f(x, u, Du),

ulaD = o.
It is well known that the Banach spaces c k (D) are not sufficient for studying
this problem. Indeed, let C6 = {u E C 2 (D) I ulaD = O}; then, although the
Laplace operator L1 : C6 --+ C(D) is continuous, it is not surjective: for
a given f E C(D), the solution of the linear Poisson equation L1u = f,
ulaD = 0, may not exist in C 2 (D).
The function spaces that provide an appropriate setting for this and
more general problems are the Holder spaces. To recall the definition we
introduce the notation: for each ordered set P = (PI, . .. , Pn) of nonnegative
integers, put
aipi
DP = aXlPI .. . aXnPn;
Ipi = 2:=~=I Pi is called the order of DP. With this notation, the Holder space
°
Ck+o: (D), where k ;:: is an integer and S
all u E Ck(D) for which the Holder norm
° 0: < 1, is the Banach space of
IDPu(x) - DPu(y)1
Ilullk+o: = sup IDPu(x)1 + sup
Ix-ylo:
Ipl:Sk,XED Ip l=k,x#y
x,yED
is finite. For example, CO: (D) consists simply of the Holder continuous func-
tions with exponent 0: on D and with the norm
II II lu(x) - u(y)1
u 0 + sup
x#y IX - Y I0: '
where 11110 is the supremum norm on n.
The Holder spaces are related as follows: if k + 0: > l + /3, then the
embedding j : Ck+o: --+ C I +f3 is completely continuous (i.e., the image of the
ball Ilullk+o: S M in Ck+o: is relatively compact in C I +f3 for each M > 0) .
Moreover, the new setting overcomes the above difficulty with the linear
Poisson equation: on the space C6+0: = {u E C2+O:(D) I ulaD = o} the
Laplace operator L1 : C6+0: --+ CO: is a bijective linear map for each 0: E
(0,1), and hence by the inverse mapping theorem it is an isomorphism.
(2.1) THEOREM. Assume that u 1--7 f(x, u, Du) determines a continuous
map F : CHo: --+ CO: such that IIFullo: S M for all u ECHo: and
some M < 00. Then the boundary value problem (SO.:1) has at least
one solution u E cg+ a .
PROOF. Starting with LJ : cg+ a ---+ C a and the embedding j : cg+ a ---+
C Ha , we have to show that LJU = Fju has a solution; we convert this to
the equivalent fixed point problem for the operator F j LJ -1 : C a ---+ ca.
Since j is completely continuous and F is bounded, we see that the map
jLJ- 1F : C Ha ---+ C Ha is compact; so by Schauder's theorem, it has a fixed
point. This clearly implies that FjLJ- 1 also has a fixed point, and thus the
desired conclusion follows. 0
b. The equation Lu = f(x, u , Du)

Bounds for the solutions of a differential equation (linear or nonlinear) which
are obtained under the sole assumption that the solution exists are called
a priori bounds. Following the pioneering work of Bernstein, Schauder de-
veloped a technique for solving the Dirichlet problem for a linear elliptic
equation that involves establishing a priori bounds in Holder spaces which
permit application of the invertibility theorem (4.3.4). We now illustrate the
use of the Schauder a priori bounds in the nonlinear context.
Consider the homogeneous boundary value problem
Lu = f(x, u , Du) ,
{
ulan = a,
where
L = L aij(x)DiDj + L bi(x)Di + c(x)
i,j
is a differential operator with coefficients aij, bi , c belonging to C a (n); we
assume that the operator L is uniformly elliptic in n,i.e., m L:~=1 ~l .s
L:~j=l aij(x)t;i~j .s M L:~1 a
for positive constants m, M independent
of x E n and for all ~ = (6 , ... ,~n) ERn. We assume also that u ~
f(x, u, Du) determines a continuous map
F : CHa(n) ---+ Ca(n).
Starting with the linear operator L : cg+ a ---+ C a we have as before
the problem Lu = F j (u); so we consider the possibility of inverting L.
Under the hypothesis that c(x) .s a (which implies the injectivity of L)
Schauder showed that L -1 exists; the proof depends on the invertibility
of the Laplace operator, and proceeds as follows: consider the family of
operators L t = (1 - t)LJ + tL : cg+ a ---+ C a , where a t .s .s
1. Schauder
established the fundamental "a priori estimates" Ilul12+a .s KllLtUlla for
any u E cg+ a , where K is a constant independent of u and t E [a, 1]; now
applying (4.3.4) one concludes that L is invertible.
(2.2) THEOREM. Assume that u f----t f(x, u, Du) determines a continuous

operator F : C Ha ---+ C a such that IIFull a :S M for all u E C Ha .
Then the problem (9'J L ) has at least one solution u E C5+ a .
The proof is strictly analogous to that of (2.1).
c. Quasi-linear differential equations

We now give an application of the Leray- Schauder index to quasi-linear ellip-
tic differential equations. The approach presented here was first introduced
in the context of degree theory for compact fields by Leray and Schauder,
and has proved to be a powerful tool in the treatment of various nonlinear
problems.
Let n c R n be a bounded region with a smooth boundary. We now con-
sider the problem of solvability of an elliptic quasi-linear differential equation
L
n
aij(x, u, Du)DiDju = f(x, u, Du)

i,j=l
with Dirichlet boundary condition
ulan = 'P .
The Leray- Schauder method for finding a solution to this type of prob-
lem is based on a combination of the technique of a priori bounds with
the fixed point index theory for compact operators. The analytical details
for establishing the a priori bounds are complicated even for relatively sim-
ple equations in R2 . Here we sketch only the topological aspect using the
notation given at the beginning of this section.
Consider the "auxiliary" family of problems
L~j=l aij(x,u , Du)DiDju = >"f(x,u, Du),
{
ulan = >"'P,
°
depending on a parameter >.., :S >.. :S l.
For each choice of Uo E C Ha , we obtain a "linearized" family
{ L~j=l aij(x , Uo , Duo)DiDjU = >..f(x, uo , Duo),

ulan = >"'P,
which is easier to solve. We shall say that the original problem is well posed
if (a) the linearized problem has a unique solution H>..(uo) = u E C Ha for
each choice of Uo and >.., and (b) the assignment (uo , >..) f----t H>.. (uo) defines a
homotopy
H : C Ha x [0, 1] ---+ C Ha
that maps bounded sets into bounded sets.
For well-posed problems, the existence of a solution of the given equa-

tion depends on "a priori bounds" for the solutions of the auxiliary family
of equations; that is, under the (a priori) assumption that any solution of
anyone of the auxiliary equations is sufficiently smooth, it is then suit-
ably majorized. The proof of the following theorem illustrates the use of the
Leray- Schauder index to establish existence theorems for well-posed prob-
lems.
(2.3) THEOREM (Leray- Schauder). Assume that
L
n
aij(x, u, Du)DiDju = f(x, u, Du) , ulan = <p,
i,j=l
is well posed, and that if u E C 2 +a (D) is a solution of any of the
auxiliary equations
n
L aij(x, u, Du)DiDju = Af(x, u, Du), ulan = A<p,
i,j=l
then IlullHa :::; M, where M is independent of u and A. Then the
given problem has at least one solution u E C2+ a .
PROOF. By hypothesis, for each Uo E C Ha and A E I, the problem
2:~j=l aij(x, un, Duo)DiDju = Af(x, un, Duo),
{
ulan = A<p,
has a unique solution H>..(uo) E C2+ a . The rule Uo f--t H>..uo therefore de-
fines a homotopy H>.. : C Ha ---+ C2+ a which for each A maps bounded
sets into bounded sets. Let j : C2+ a ---+ C Ha be the (completely con-
tinuous) embedding, so that we have a completely continuous homotopy
j H>.. : C Ha ---+ C Ha . This homotopy is fixed point free on the boundary of
the ballllullHa :::; M + 1 because of the a priori estimate on the solutions of
the auxiliary system. Clearly, jHo : C Ha ---+ C Ha is the constant mapping
u f--t 0, by unicity of the solutions of the linearized system, so the Leray-
Schauder fixed point index i(jHo, B(O, M + 1)) is 1. By homotopy invariance
of the index, because jHo and jHl are compactly homotopic on 13(0, M + 1)
without fixed points on aB(O , M + 1), we get i(jHl, B(O, M + 1)) = 1, so
there exists at least one u with u = jHl (u); any such u is a solution of the
given problem. 0
3. The Leray-Schauder Degree

In this section we return to the study of compact fields in normed linear
spaces. Having the index in ANRs at our disposal, we can now acquire the
Leray-Schauder degree for compact fields directly from the index, the point
being that normed linear spaces are ANRs and that the degree and index
are related via f +-+ I - f (1).
Let E be an infinite-dimensional normed linear space. For any open
subset U of E and b in E we denote by ~b(U) the set of all compact fields
f : (U,aU) --+ (E,E - {b}), and let .Ji'8u(U,E) be the set of all compact
maps from U to E that are fixed point free on aU.
(3.1) DEFINITION. Let U be an open subset of E, let b be in E, and let
9 E ~o(U) and f E ~b(U) be compact fields.
(i) The Leray- Schauder degree of 9 is
d(g, U) = i(I - g, U) ,
where i(I - g, U) is the index of the associated compact map
I - 9 E .Ji'8u(U, E).
(ii) The Leray- Schauder degree of f with respect to b is the integer
d(j,U,b) defined by
d(j, U, b) = d(g, U),

where the right hand side is the Leray-Schauder degree of the
field 9 = f - b E ~o(U).
As an immediate consequence of the properties of the index for compact
maps in .Ji'8u(U, E), we obtain the following:
(3.2) THEOREM. The Leray- Schauder degree f 1--+ d(j, U, b) for f E ~b(U)
has the following properties:
(I) (Normalization) If f(x) = x - b, then d(j, U, b) = 1 or 0, de-
pending on whether b E U or not.
(II) (Additivity) For any pair of disjoint open VI, V2 C U, if b tf.
f(U - (VI U V2 )), then d(j, U, b) = d(j, VI, b) + d(j, V2 , b).
(III) (Homotopy) If h t : (U, aU) --+ (E , E - {b}) is a homotopy of
compact fields, then d(ho, U, b) = d(h1' U, b).
(IV) (Existence) If d(j, U, b) 1= 0, then f(U) is a nbd of b in E.
(V) (Excision) If V is an open subset of U and f E ~b(U) satisfies
b tf. f(U - V), then d(j, V , b) = d(j, U, b). D
One of the important consequences of the homotopy property in (3.2)
is that d(j, U, b) depends only on the boundary values flaU. Precisely, we
have
(1) Since locally convex metrizable linear topological spaces are ANRs, the results of
this section that do not refer to the notion of norm are also valid in such spaces.
(3.3) THEOREM (Dependence on boundary values) . If U c E is open and

f , 9 E Q:b(U) satisfy flau = glaU , then d(j, U,b) = d(g, U, b).
PROOF. Define h : U x I --+ E by
h(x, t) = (1 - t)f(x) + tg(x) = x - [(1 - t)F(x) + tG(x)].
Since htlau = flau = glaU for all t , we conclude that {ht} is a homotopy
of compact fields in Q:b(U) joining f and g, and so d(j, U, b) = d(g , U,b). 0
Another useful property relating to boundary behavior is
(3.4) THEOREM (RoucM). Let f , 9 : U --+ E be two compact fields satis-
fying:
(i) Ilf(x) - g(x)11 < Ilg(x) - bll for all x E au,
(ii) 9 E Q:b(U).
Then f E Q:b(U) and d(j, U,b) = d(g , U,b).
PROOF. Let ht(x) = (1 - t)g(x) + tf(x) for (x , t) E U x I. Then ht(x) - b =
g(x) - b+t(j(x) - g(x)) , and hence Ilht(x) - bll 2: Ilg(x) - bll-Ilf(x) - g(x) II.
For x E au , the right hand side is positive by assumption, and therefore b r/:.
ht(aU) for all tEl. Since by homotopy invariance d(ht, U, b) is independent
of t, the desired conclusion follows. 0
As another consequence of the homotopy invariance, we now give a sim-
ple criterion implying that the degree of a given compact field is zero. To
formulate the result, we need some terminology.
Let b be a point in E. By a ray Rb originating at b is meant any set
[b, yt-> given by
[b , y]-> = {x EEl x = (1- A)b+ AY , 0::; A < oo} ,
where y i- b is in E.
(3.5) THEOREM . Let U be an open bounded subset of E and f E Q:b(U) .
Assume that there exists a ray Rb originating at b such that Rb n
f(aU) = 0. Then d(j, U,b) = O.
PROOF. Since f(U) is bounded, there is a (2 > 0 such that y r/:. f(U) for
all y with Ilyll 2: (2. Choose now a point b* E Rb with Ilb* II 2: (2 such that
d(j , U, b*) = 0 (by (3.2)(IV)), and let
ht(x) = f(x) - [(1 - t)b + tb*] for (x, t) E U x I.
Since Rb n f(aU) = 0 and the segment [b, b*] is contained in R b, it follows
that ht(x) i- 0 for all (x , t) E au x I . Thus, h t : (U , au) --+ (E, E - {O}) is a
homotopy of compact fields joining f - band f - b* in Q:o(U). By homotopy
invariance of the degree, we have
d(j, U, b) = d(j - b, U) = d(j - b*, U) = d(j, U, b*). 0
Connectedness results
The Leray- Schauder degree can be used to determine whether the solution
set of a nonlinear equation is connected.
Before stating the first result of this nature, we recall some terminology
and notation.
Let M c E x [a , b] and f : M --> E. For A E [a, b], we let M).. = {x EEl
(x , A) E M} be the A-slice of M; we denote by {J>. : M).. --> E} )"E[a,b] the
family of maps determined by f, where J>.(x) = f(x , A) for (x, A) E M.
The general homotopy invariance property of the index (see (12.6.3))
implies the following:
(3.6) THEOREM (Generalized homotopy invariance). Let U be an open
subset of E x [a, b], and f : U --> E a compact field with f = I-F. If
z E E- f(fiu) , then the degree d(J>., U).., z) is independent of A E [a, b],
and so in particular, d(fa, Ua , z) = d(fb, Ub, z). D
The first connectedness result in the context of the Leray- Schauder de-
gree is the following special case of Theorem (12.6.5):
(3.7) THEOREM (Continuation principle in normed linear spaces). Let U c
E x [a, b] be open with vertical boundary au, and let f : U --> E be a
compact field with f = I - F. Let
S = {(x, A) E U I f(x, A) = O} = {(x, A) E U I F(x, A) = x}
and assume that:
(i) SnaU=0 ,
(ii) d(fa , Ua ) 1= 0.
Then there exists a continuum C c S joining Sa X {a} to Sb X {b}.D
The following result of Krasnosel'ski'l- Perov is frequently used to show
that the set of solutions of a differential equation is connected.
°
(3 .8) THEOREM. Let U c E be open , and f : (U , aU) --> (E , E - {O}) a
compact field f(x) = x - F(x) with d(f, U) 1= such that F : U --> E
satisfies the following condition:
(*) for each E > 0, there exists a compact E-approximation Fe: : U --> E
of F such that for each bEE with Ilbll :::: E the equation
x = Fc:(x) +b
has at most one solution in U.
Then the zero set Z(f) = {x E U I f(x) = o} is connected.
PROOF. Since d(f, U) 1= 0, the compact set Z = Z(f) is not empty. Suppose
to the contrary that Z is not connected. Then Z = Zl U Z2 where Zl , Z2
are nonempty, disjoint, and compact. Choose open sets U1 , U2 C U with

disjoint closures such that Zl c U1 , Z2 C U2, and observe that
d(j, U) = d(j, Ud + d(j, U2)
by the additivity and excision properties of degree. To get a contradiction,
we show that d(j, Ud = d(j, U2) = O. Let h = F(h) be in Zl, and for given
c > 0 set
ge(X) = X - Fe(x) - (h - Fe(h)) for x E U.
Consider the family of compact fields
ht(x) = (1 - t)f(x) + tge(x) for (x, t) E U x I.
Let a = inf{llf(x)111 x E U - (U1 U U2)} (a> 0 by assumption) and assume
c :::; a/4. Since for any x E U - (U1 U U2),
+ t(F(x) - Fe(x)) - t(h - Fe(h)) II
Ilht(x) II = Ilf(x)
2 Ilf(x)ll- tIIF(x) - Fe(x)11 - tllh - Fe(h)11
2 Ilf(x)ll- 2c 2 a - 2c 2 a/2 > 0,
we see that h t : (U,8U) --+ (E , E - {O}) is a homotopy of compact fields,
and hence the degree d(ht, U) is constant on I; thus
d(ge, U) = d(j, U) ¥ O.
Because in view of (*), ge(X) = x - Fe(x) - b with b = h - Fe(h) has at
most one zero and h E Zl C U1 , we see that 910 has no zeros on U2 , and
therefore d(ge, U2) = d(j, U2) = O. If hE Z2, a similar argument shows that
d(ge , U1 ) = d(j, U1 ) = O. Thus, in view of (**) , we obtain a contradiction,
4. Extensions of the Borsuk and Borsuk-Ulam Theorems

Using the Leray- Schauder degree, we now establish some extensions of the
Borsuk and Borsuk- Ulam theorems. Let SeE be centrally symmetric (i.e.,
-S = S). We recall that a map f : S --+ E is odd if f(x) = ~ f( -x) for all
xES.
(4.1) THEOREM (Antipodal theorem). Let U C E be a bounded centrally
symmetric domain and f : (U,8U) --+ (E, E - {O}) be a compact field
such that:
(i) 0 E U,
(ii) fl8U is an odd function.
Then d(j, U) is odd.
PROOF. This follows at once from the definition of degree and (12.6.6). 0
(4.2) COROLLARY. Let U c E be a bounded centrally symmetric domain

and f : (U, aU) --+ (E , E - {O}) be a compact field such that
(i) 0 E U,
(ii) f(x) i= )..f( -x) for all x E aU and)" > 0 (i.e., the vectors f(x)
and f ( -x) have the same direction for no x E aU).
Then d(j, U) is odd.
PROOF. Let
g(x) = f(x) - f( -x) =x _ F(x) - F( -x) for x E U
2 2
and
ht(x) = tf(x) + (1 - t)g(x)
=x- (l+t)F(x)-(l-t)F(-x) for(x,t)EUxI.
2
We claim that ht(aU) C E - {O} for all tEl. Supposing the contrary, we
would have tf(x) + (1 - t)g(x) = 0 for some x E aU and some tEl, giving
1-t
f(x) = 1+t f( -x),
which for t E [0,1) contradicts (ii) and for t = 1 contradicts the assumption
that f has no zeros on aU. Thus, h t : (U, aU) --+ (E, E - {O}) is a homotopy
of compact fields joining 9 and f. Because 9 is odd on aU, d(g, U) is odd by
(4.1) , and the conclusion follows from the homotopy property of degree. 0
(4.3) THEOREM. Let U C E be a bounded centrally symmetric domain
with 0 E U, and f : aU --+ Eo an odd compact field, where Eo c E is
a closed linear subspace of codimension 1. Then f(xo) = 0 for some
Xo E aU.
PROOF. Suppose to the contrary that f(x) i= 0 for x E aU. Write f(x) =
x - F(x) and extend F over U to a compact F: U --+ E. Letting
F(x)
[( x) = x - for x E U,
observe that since JiaU = f, we have j: (U, aU) --+ (E, E - {O}), and hence
by (4.1), d(j, U) is odd.
On the other hand, since there obviously exists a ray Ro originating at 0
with Ro n [(aU) = 0, we have d(j, U) = 0 by (3.5); this contradiction
We now establish an extension of the Borsuk-Ulam theorem:
(4.4) THEOREM. Let U C E be a bounded centrally symmetric domain
with 0 E E, and f : aU --+ Eo a compact field, where Eo c E is a
closed linear subspace of codimension 1. Then f(xo) = f( -xo) for
some Xo E aU.
PROOF. Write f(x) = x - F(x) and let

g(x) = f(x) - f(-x) = x _ F(x) - F(-x)
for x E au'
2 2
Since 9 is a compact field with g( aU) c Eo and 9 is odd on aU, the conclu-
sion follows from (4.3). 0
5. The Leray-Schauder Index in Locally Convex Spaces

This section develops the Leray- Schauder fixed point index for compact
maps in locally convex spaces. Throughout this section, E will denote a
locally convex linear topological space and 1/ the local base of convex sym-
metric nbds of the origin in E. Given V E 1/ and x E E, we let V(x) = x+ V
and denote by Pv the semi norm determined by V.
(5.1) DEFINITION. Let N = {C1' ... , cn } be a finite subset of E, V a convex
symmetric nbd of 0 in E , and
n
Nv = UV(Ci).
i=1
For each i E [n], define J-Li : N v ---> R by x I---' max{O, 1 - pv(x - Cin,
and let J-L(x) = L:~=1 J-Li(X). The Schauder projection 71V : Nv --->
conv N is given by
1 n
7rv(x) = -(x) "2::J-Li(X)Ci.
J-L i=1
°
Note that 7rv is well defined, because each x E N v belongs to some V(Ci)
and J-Li(X) 1= ¢:? x E V(Ci), so that J-L(x) 1= O.
(5 .2) PROPOSITION. Let C1, . .. ,Cn belong to some convex C C E, V E 1/
and 7rv be the Schauder projection. Then:
(a) 7rv : N v ---> conv Nee is a compact map,
(b) 7rv(x) E V(x) for all x E N v .
PROOF. (a) is obvious; to prove (b), note that letting N x = {Ci I Ci E V(xn,
we see that 7rv(x) E conv N x C V(x) for each x E Nv, and thus the proof
is complete. 0
This leads to the basic
(5.3) THEOREM (Approximation theorem) . Let X be a space, C a convex
subset of a locally convex space E , and f : X ---> C a compact map.
Then for each V E 1/ there exists a finite set N = {C1, ... , cn } C
f(X) C C and a finite-dimensional map fv : X ---> C such that:
(a) fv(x) - f(x) E V for all x E X,

(b) fv(X) c conv Nee,
(c) the maps f and fv are V -homotopic.
PROOF. As f(X) is relatively compact, there is a finite set N = {Cl,.'.' cn }
c f(X) with f(X) c N v . Define fv : X ---+ C by x f-t 7fv 0 f(x), where
7fv : N v ---+ conv N is the Schauder projection; according to (5.2), the map
fv has the required properties (a) and (b). Since for any x E X the interval
(1 - t)f(x) + t7fv f(x) is entirely contained in V(f(x)), the maps f and fv
are clearly V -homotopic. 0
Let U C E be open and Y:8u(U, E) be the set of all compact maps
f : U ---+ E with Fix(f) c U. Then, since Fix(f) is compact, there exists a
continuous semi norm p such that TJ(f) = inf{p(x - f(x)) I x E aU} > O.
Using Schauder projections, for each E < ~TJ(f) we find a finite-dimen-
sional map fe E Y:8u(U, E) with p(fe(x) - f(x)) < E for all x E U and such
that for any two such approximations fe' fe l, the family of maps H t (x) =
(1-t)fe(x)+tfel(x) is a compact homotopy in Y:8u(U, E) joining fe and fel.
This leads to the following
(5.4) DEFINITION. Let f E Y:8u(U, E), and let p be a continuous seminorm
on E such that TJ(f) = inf{p(x- fx) I x E aU} > O. Choose any finite-
dimensional approximation 9 E Y:8u (U, E) of f with p(f (x) - g( x)) <
TJ/2 for x E U and g(U) C L, where L is a finite-dimensional linear
subspace of E. The Leray- Schauder index of f on U is
i(f, U) = i(glU n L, U n L).
This definition is independent of the choice of the finite-dimensional ap-
proximation. For if gi : U ---+ E, i = 1,2, are two such approximations with
gi(U) eLi, then taking a finite-dimensional subspace L :=J L1 U L 2, by the
contraction property we find first that
i = 1,2,
and then, because gl and g2 are homotopic, that they have the same index
on UnL:
i(gllU n L, U n L) = i(g2lU n L, U n L).
Using the properties of the index in finite-dimensional spaces, we obtain
(5.5) THEOREM. Let U C E be open. Then the integer-valued function
f f-t i(f, U) for f E Y:8u(U, E) has the following properties:
(I) (Normalization) If f E Y:8u(U, E) is a constant map u f-t Uo,
then i(f, U) = 1 or 0, depending on whether or not Uo E U.
(II) (Additivity) If f E Y:8u(U, E) and Fix(f) C U1UU2 C U with
U1, U2 open and disjoint, then i(f, U) = i(f, Ud + i(f, U2).
(III) (Homotopy) If h t : U ~ E is an admissible compact homotopy

in Jf8u(U, E), then i(h o, U) = i(h 1 , U).
(IV) (Existence) If i(f, U) =F 0, then Fix(f) =F 0.
(V) (Excision) If V is an open subset of U and f E Jf8u(U, E)
has no fixed points in U - V, then i(f, U) = i(f, V). 0
Next we define the index for compact and compactly fixed maps:
(5.6) DEFINITION. Let U c E be open, let ~(U, E) be the set of all
compactly fixed maps f : U ~ E, and let f E ~(U, E) be compact .
We define the Leray- Schauder index I(f) = I(f, U) of f by
I(f, U) = i(f, V) ,
where V is any nbd of Fix(f) such that V c V cU.
By the excision property of i, it follows that this definition is independent
of the choice of V, and thus I(f) is well defined.
(5.7) THEOREM. Let C be the category of locally convex spaces, and let ~
be the class of all compact maps f E ~(U, E) for all E E C and all
U c E open. Then the Leray- Schauder index I : ~ ~ Z has all the
properties (I)- (VII) of (12.2.1) , provided that in (III) all homotopies
are assumed to be compact and in (VII) it is required that either both
f and gf be compact , or both 9 and fg be compact.
PROOF. Properties (I)- (V) follow in a straightforward manner from the
corresponding properties of the index function i . The multiplicativity of I
follows from the corresponding property of i in (12.2.2). The proof of the
commutativity consists of two parts as in Section 4 of §12. The proof of the
first part is strictly analogous to that in §12; the proof of the second part
also follows (with appropriate modifications) the steps of the second part of
the proof in §12; because it is long and technical, it is omitted. 0
We now show that still more generally, the Leray- Schauder index can be
extended to compact and compactly fixed maps f : U ~ X, where U C X
is open and X is a nbd retract of a locally convex space E . Let r : V ~ X
be a retraction, where V is open in E, and let f E ~(U, X). Consider the
composition
r-l(U)~uLx2,v,
where j : X '---7 V is the inclusion, and define
I(f, U) = I(jfr,r-l(U)).
This is independent of the particular V and r selected: if f2 : W ~ X is a
retraction of another neighborhood onto X, and 'rJ : X '---7 W is the inclusion,
§I3. Further Results and Applications 357
then by commutativity,
I(j fr, r- 1 (U)) = I( (j (J) (rlfr) , r - 1 (U)) = I( (r7fr)(j (J) , (j (J) -lr- 1 (U))
= I(r7f(!, (J-l(U)),
because (JTJ = rj = id. (We have used the fact that TJfr and (j(J)(TJfr) are
compact, so that the commutativity property could be applied.)
We are now ready to state the main result of this section:
(5 .8) THEOREM. Let C be the category of spaces that are r-dominated by
open sets in locally convex linear topological spaces, and let ff be the
class of all compact maps f E ff(V, X) for all X E C and V c X
open. Then the fixed point index I : ff ---+ Z defined by (*) has all the
properties (I)- (VII) of (12.2.1) , provided that in (III) it is assumed
that all homotopies are compact and in (VII) it is required that either
f and gf be compact, or g and fg be compact. 0
A compact space X is said to be an ANR for normal spaces if X embed-
ded in any normal space Y is a nbd retract of Y. Let X be a compact ANR
for normal spaces. Since any such X can be embedded in a locally convex
space, we may assume that X is a subset of a locally convex space E. It
can be proved (see (17.4.4)) that the linear span of X in E is normal, and
therefore X is r-dominated by an open set in a locally convex space.
As a corollary of Theorem (5.8) we obtain:
(5.9) THEOREM (Index for compact nonmetrizable ANRs). Let C be the
category of compact ANRs for normal spaces, and let ff be the class
of all maps f E ff(U, X) for all X E C and U C X open. Then
there exists a fixed point index function I : ff ---+ Z with properties
(I)- (VII) . 0
6. Miscellaneous Results and Applications
A . Kronecker characteristic
Throughout this subsection we let <1:0 denote the class of maps defined by the condition:
f E <1:0 if and only if f : au -+ E - {o} is a compact field , where U is an open bounded
subset of a normed linear space E. If f E <1:0 , the Kronecker characteristic of f is the
integer ,U, U) defined by ,U, U) = dei, U) , where i E <1:(U) is a compact field such that
i lau = f ·
(A.I) Establish the following properties of the function f ...... ,U, U) for f E <1:0:
(I) (Normalization) If Xo tt au and f(x) = x - xo for x E au , then -yU, U) = 1
or 0, depending on whether xo E U or not.
(II) (Additivity) Let U C E be open bounded, and let Ul, .. . ,Uk be disjoint open
- k
subsets of U. Let f : U -+ E be a compact field with feU - Ui=l Ui) c E - {O}.
~ ~-
k ~
Then ,U, U) = 2:i=l ,UlaUi , Ui)'

(III) (Homotopy) If h t : aU -> E - {O} is a homotopy of compact fields , then ')'(h t , U)

is independent of tEl.
(A.2) Let f : aU -> E - {O} be a compact field with ')'(f, U) #- O. Prove: Each ray Ro in
E originating at zero intersects f(aU).
(A.3) A compact field f : aU -> E - {O} is called inessential if it can be extended over
V to a compact field f: V -> E - {O}; otherwise, f is called essential. Prove: If U is
connected, then f is inessential if and only if ')'(f, U) = O.
(A.4) (Antipodal theorem) Let U be a bounded centrally symmetric domain with 0 E U .
Show: If f : aU -> E - {O} is an odd compact field, then 'Y(f, U) is odd .
(A.5) (Generalized Borsuk- Ulam theorem) Let U be as in (A.4), and let f : aU -> Eo
be a compact field, where Eo c E is a closed linear subspace of codimension 1. Prove: f
sends at least one pair of antipodal points to the same point, i.e. , f(x) = f(-x) for some
x E aU .
(A.6) (Hopf- Rothe theorem) Let U = B(O,l) be the open unit ball in E and 8 = aU.
Let f, 9 : 8 --+ E - {O} be two compact fields with ')'(f, U) = ')'(g , U). Prove: The compact
fields f and 9 are homotopic.
[(i) Assuming first that f and 9 are finite-dimensional, let F : 8 -> E and G: 8 -> E
be the associated finite-dimensional maps. Take a linear subspace Eo C E with dim Eo <
00, F(8), G(8) c Eo, let Uo = Un Eo , aUo = 80 and fo = f180, gO = g180; note that for
fo , gO : 80 -> Eo - {O}, ')'(fo, Uo) = 'Y(gO , Uo).
(ii) Using the Hopf theorem (9.8.3) , show that the maps fo , gO : 80 -> Eo - {O} are
homotopic. This implies that if we write fo(x) = x - Fo(x) , go(x) = x - Go(x) , then
there exists a fixed point free homotopy H : 80 x I -> Eo such that fo(x) = H(x,O) ,
Go(x) = H(x , 1) for x E 80.
(iii) Letting 7ro : E -> E be a linear projection onto Eo, define h : 8 x I -> E - {O}
by
h(x, t) = {x - II 7ro(x)IIH( II 7ro(x)ll- l7ro(x), t) if 7ro(x~ #- 0,
x otherWIse .]
B. Some geometric applications of the Leray-Schauder degree
In this subsection E stands for a normed linear space with dim E > 1, and X, Y for
proper (i .e., nonempty and different from the entire space) subsets of E . We denote by C
the category whose objects are closed proper subsets X of E and whose morphisms are
compact fields f : X -> Y; for the terminology concerning compact fields , see §6. By a
special compact field is meant a field f : X -> E such that for some finite-dimensional
linear subspace Eo c E, there exists a continuous linear projection p : E -> Eo and a
compact Fo : Eo -> Eo satisfying f(x) = x - Fo(p(x)) for x E X.
(B.1) Let X C E be closed , and let Z be a compact subset of a finite-dimensional linear
subspace of E . Show: For each compact field f : X -> E - Z there exists a special compact
field fo : X --+ E - Z such that fo is homotopic to f .
(B .2) Let X C E be closed, and let f : E -> E be a compact field such that fiX = l' :
X --+ E - {O} . Show: There is a compact field g : E -> E such that :
(i) g-l(O) = f- 1 (0) and g(x) = x outside a bounded set,
(ii) glX = g' : X -> E - {O},
(iii) 9' is homotopic to 1'.
(B.3)* Let E be finite-dimensional, and let X C E be compact such that S = {x EE l

Ilxll = r} C X. Show: If f , g : X -> E - {O} are homotopic and f(x) = g(x) = x for all
XES , then there exists a homotopy h : X x I -> E - {O} joining f and 9 such that
h(x , t) = x for (x , t) E S x I .
[Use the standard retraction of E - {O} on S and the Borsuk homotopy extension
theorem for a suitable subset of X x I x I .]
(B.4) Let U C E be open, X C E closed , bEE, and let 9 : au -> X , f : X -> E - {b}
be two compact fields .
(a) Let K be a connected open set in E - g(aU). For every y E K let 9 : E -> E be
a compact field extending 9 : au -> E - {y} over E, and let d(g, U, y) = d(g , U, y) . Show:
The integer-valued function y f-> d(g , u, y), y E K, is well defined and is constant on K .
(b) Let K. be the set of components K of E - X and K.o = {K E K. I d(f, K , b) "# O} .
Show:
(i) The set K.o is finite and 2:.KEK. d(f, K, b) = l.
(ii) d(fg, U, b) = 2:.KEK.o d(g , U,K)d(f, K ,b) , where d(g, U, K) is the value of the
constant function defined in (a) .
[Use (10.10.A.7).]
(B.5) (The functor 7r) For X in C, let 7r(X) be the set of homotopy classes [u] of fields
u: X -> E - {O} , and for f E C(X, Y) let 7r(f) : 7r(Y) -> 7r(X) be given by
7r(f)([v]) = [vf] for every field v : X -> E - {O} .
Show: 7r is a contravariant functor from C to the category Ens.

(B.6) (The functor a) For X , Y in C, let K. be the set of components of E - X , and .c the
set of components of E - Y . Let a(X) = {X : K. -> Z I X(K) "# 0 only for a finite number
of K E K. and 2:.KEK. X(K) = I} . For f E C(X, Y) , we define a(f) : a(Y) -> a(X) as
follows: for ry E a(Y) , we let X = a(f)(ry) be given by
X(K) = L d(f , K , L)ry(L) for K E K. .

LEL.
Show: (a) a(f) is well defined, (b) a is a contravariant functor from C to Ens.
[Use (B.4).]
(B.7) (The natural transformation f.L) For X in C, let f.L(X) : 7r(X) -> a(X) be the map
that assigns to [u] E 7r(X) the integer-valued function X = 7r(X)([u]) : K. -> Z with
X(K) = d(u, K) for a component K E K. of the set E - X . Show: f.L: 7r -> a is a natural
transformation of functors.
[Use (B.4) .]
(B .8)* Let E be of finite dimension greater than 1, let Xc E be compact, and let K. be
the set of all bounded components of E - X. Prove:
(a) For every function X : K. -> Z with X(U) "# 0 only for a finite number of U E K. ,
there exists a map f : X -> E - {O} such that d(f , U) = X(U) for every U E K..
(b) If f,g : X -> E - {O} are such that d(f, U) = d(g, U) for every U E K. , then f is
homotopic to g .
[For (a): For every U E K. with X(U) "# 0 choose an open ball Be U and a map f : 13 -> E
with d(f, B) = X(U). Extend this map over E in such a way that the possible new zeros
all lie outside a ball containing X .
For (b) : Use the fact that the set of homotopy classes of maps X -> E - {O} has the
structure of an abelian group: if dim E = 2, then E - {O} is the multiplicative group of
complex numbers; for dim E :::: 3, see Kuratowski's monograph [1968], Vol. II, Sect. 60.
It is sufficient to prove that if d(J, U) = 0 for every U E K, then f is homotopic to a
constant map. Such an f extends to a map h : B --> E - {O} of a ball B containing X
by concentration of zeros in balls contained in U E K, and their elimination by the Hopf
theorem; h is null homotopic by contractibility of B .J
(B.9)* Prove: The transformation p, : 7r --> CJ is a natural equivalence.
[To show that p,(X) : 7r(X) --> CJ(X) is surjective, use (B .8)(a) for a suitable finite-
dimensional linear subspace Eo of E, the Borsuk homotopy extension theorem, and a
linear projection of E onto Eo. To show that p,(X) is injective, choose a suitable finite-
dimensional linear subspace E1 of E and a sufficiently large ball B1 eEl. Use (B.2),
(B.8)(b), (B .3) and properties of the degree.J
(B.IO) (Theorem on disconnection of E) Let X be a closed subset of E. Show: X does
not disconnect E if and only if any two compact fields f, 9 : X --> E - {O} are homotopic.
(B.ll) For X, Y C E closed, we say that X is h-dominated by Y if there are compact
fields f : X --> Y and 9 : Y --> X such that gf : X --> X is homotopic to Ix; in this
case we say that 9 is a left homotopy inverse of f, and f is a right homotopy inverse of g.
Prove:
(a) If X is h-dominated by Y, then the number of components of E - X is not greater
than the number of components of E - Y.
(b) If a compact field f : X --> Y has a left homotopy inverse g, then for every com-
ponent K of E - X there exists a component L of E - Y such that d(J, K, L) =I- O.
[Consider d(J, K , L) and d(g, L , K) as entries of matrices of linear maps between real linear
spaces and use properties of the degree.J
(B.12) (Generalized Leray theorem) Closed subsets X, Y of E are called h-equivalent
whenever X is h-dominated by Y and Y is h-dominated by X. Show: If X and Yare h-
equivalent, then their complements E - X and E - Y have the same number of components.
(B.13) Let X, Y C E be closed, f : X --> Y a compact field having a left homotopy
inverse, Ko a subset of the set of components of E - X, D = U{ K IKE Ko}, and
A = X U D . Show: If a compact field f : A --> E is an extension of f such that f(D) and
Yare disjoint, then for K E Ko the images f(K) are distinct components of E - Y and
d(J, K, f(K)) = ±1.
(B.14) (Generalized invariance of domain) Let U C E be open and connected, and let
f : V --> E be a compact field such that flaU : aU -> E is injective and f (aU) n f (U) = 0.
Show: f(U) is open and connected and f(aU) = af(U).
(B .15) If U C E is open, we say that V is regularly shrinkable whenever there exists a
deformation d : V x I --> V such that d(x, t) E U for (x, t) E V x (O,lJ and d(V, 1) = Uo
for some Uo E U; the closure of an open convex set is a r egularly shrinkable set . Show: If
V is regularly shrinkable and F : V -> E is compact with F(aU) C V, then F has a fixed
point .
(Most of the results of this subsection, which are also valid in locally convex spaces,
are due to Bowszyc [1970J ; for (B .14) see also J.H. Michael [1957J.)
C. Degree for representations of maps

In this subsection we let X denote an ANR and Y a locally connected bounded metric
space.
By an admissible class ./t of homeomorphisms from X to Y is meant a family of

homeomorphisms hu : U --> h(U), for U open in X, satisfying:
(a) hu maps U homeomorphically onto h(U) open in Y ,
(b) for each V open in U , hu IV is in ./t.
If ./t is admissible and U C X is open, then we denote by ./tu the subfamily of ./t of
homeomorphisms h defined on U; ./tu is equipped with the sup metric. Throughout this
subsection we let ./t be an admissible family of homeomorphisms.
Let U C X be open and f : U --> Y a map. By a representation of f with respect to
./t is meant a pair (W, F), where We X x X is open and F : W --> Y has the following
properties:
(i) The diagonal 4u = {(x , x) I x E U} C Wand f(x) = F(x, x) for each x E U.
(ii) For each v E X, let Wv = {u E X I (u , v) E W} and Fv(u) = F(u , v) . Then
Fv : Wv --> Y is a homeomorphism onto an open subset of Y, belonging to ./t.
(iii) For any (uo, vo) E W, there are nbds Nuo and Nvo of uo and vo , respectively, in
X with N Uo x N Vo c W such that Fv (N uo) is closed in Y for each v E Nvo and
v ...... Fv INUo is a continuous compact map from Nvo to ./tNuo '
(C.1)* Let U C X be open, f : U --> Y a map, and assume that f has a representation
(W, F) with respect to ./t. For any y E Y let Uy = {v E U l yE FI! (WI!)} and define
Ty(v) = Fv-l(y) for v E Uy . Show that for each y E Y:
(i) Uy is open in U,
(ii) Ty : Uy --> X is continuous and locally compact,
(iii) Fix(Ty ) = {v E U I f(v) = y}, and Fix(Ty ) is compact if f is proper.
(C.2)* Let U C X be open and f : U --> Y be a proper map having a representation

(W, F) with respect to ./t. Let y E Y and let V be an open nbd of f - l (y) in U such that
TylV : V --> X is compact . For the pair [f, FJ, we define a degree function by
deg..4'l([f, FJ , U, y) = I(Ty , V) .
(a) Show: The definition of deg..4t([J, FJ, U, y) is independent of the choice of V .

(b) Establish the following properties of deg..4t ([J, FJ, U, y):
(i) (Existence) If deg..4t([J, FJ, U, y) =j:. 0, then f(x) = y for some x E U.
(ii) (Additivity) If Ul , U2 C U are open and f - l(y) C Ul U U2 , then
deg..4t ([J, FJ, U, y) = deg..4t([J, FJ, Ul, y) + deg.A't ([f , FJ, U2 , y) .

(iii) (Homotopy) Let ht : U --> Y, tEl, be a homotopy and {yt}tEI a curve in Y
such that hll (yt) E U for all tEl. For an appropriate representation (W, Ht)
of ht with respect to ./t, deg..4t ([ht , Htl, u, yt) is independent of tEl.
(iv) (Normalization) If the representation (u, v) ...... F(u , v) of f is independent
of v, and y E feU), then deg..4t([J , FJ,U, y) = l.
(C.3)* (Browder- Caccioppoli theorem) Let E, E be Banach spaces, 2(E , E) the Banach
space of continuous linear maps from E to E, and 2c(E, E) the subspace of completely
continuous linear maps. Assume that f : E -+ E is a proper C 1 map such that :
(i) For any compact convex C C E there exists a continuous map <.p : C -+ 2c(E, E)
such that for every v E C the map D fv + <.p( v) E 2(E, E) is an isomorphism.
(ii) There exists a point YO E E such that f-l(yO) = {Xl, . . . ,X2k+d has an odd
number of elements and Dfxi is an isomorphism for each i E [2k + 1].
Show: f is surjective.
(The above results are due to Browder [1969J.)
D. Brouwer degree via differential forms

This subsection requires the knowledge of the theory of differential forms. We recall briefly
the terminology and notation, and refer for details to the book of Bott and Tu [1982].
Let A* be the associative algebra over R generated by elements 1, dXl, . .. , dXn subject
to the relations: (i) 1 is a multiplicative identity, (ii) dXi . dXj = -dxj . dXi for all i, j. The
algebra A* has a natural grading by the degree of monomials:
n
A* = EBAj,
j=o
where AO = R· 1 = R and each Ai is a finite-dimensional vector space over R.

If U c R n is open and COO(U) = {f : U ~ R I f is of class COO}, the set of Coo
differential forms on U is
A * (U) = COO (U) 0 R A * .
If w is such a form, then it can be uniquely written as

n
w=L L Ii" ... ,i"dxi] · ·.dxik'
k=O i , <···<ik
where Ii" ... ,ik E COO(U); we write w = 'LfIdxI. The algebra A*(U) = E9~=oAk(U) is
naturally graded; here Ak (U) consists of the k-forms on U. There is a differential operator
d: Ak(U) ~ Ak+l(U) given by:
(a) If f E AO(U), then
(b) If w = 'L fIdxI, then dw = 'LdfIdxJ.

Because d 2 = 0, A*(U) is a cochain complex, and its cohomology groups are called the de
Rham cohomology of U.
Let U c R m and VeRn be open and f: U --> V be a Coo map: x = (Xl , ... ,Xm) >-+
f(x) = (Yl, ... ,Yn) = (/1 (X), ... ,fn(x)). The induced map r :
A* (V) --> A*(U) is defined
by
f*(Lgi 1, ... ,ikdYi] ... dYi k ) = Lgi), ... ,ik ofdli, ... dfi k ·
In particular, if m = n, for an n-form w = g(y)dYl ... dYn we have

n
f*(w) = L g(f(x))lf(x)dxl ... dXn,
k=l
where If(x) = det f~ is the Jacobian of fat x. Because f* commutes with d, f* is in fact
a cochain transformation of A*(V) to A*(U) .
The notions of differential form, differential operator, and induced map as well as their
properties extend in a natural way to the category of manifolds.
Recall that a Coo manifold M of dimension n with boundary is given by an atlas
{Ua , 'Pa}, where 'Pa is a homeomorphism of Ua C M either on R n or on the half-space
H n = {(Xl, . .. , Xn) I Xl :::; O} such that each 'Pa'P~l is a Coo map . The boundary 8M
is an (n - I)-dimensional manifold. An oriented atlas {Ua , 'Pa} (i.e. , one with all 'Pa'P~ 1
having positive Jacobian) induces an oriented atlas on 8M. For an n-dimensional oriented
manifold M and an n-form 'T/ on M with compact support there is defined the integral
§I3. Further Results and Applications 363
1M TJ · A basic result due to Stokes asserts that if w is an (n-I)-form with compact support
on an oriented manifold M of dimension n , and if 8M is given the induced orientation,
then
r dw = JaM
JM
r i*(w),
where i : 8M ...... M is the inclusion.
(D.I)* (Brouwer degree between smooth manifolds) In what follows, M , N stand for (para-
compact) oriented Coo manifolds without boundary of the same dimension n ; U C M is
open with compact closure V ; f : V ...... N a Coo map; and bEN - f(8U). An open nbd
V of b is called Euclidean if it is diffeomorphic to Rn. All differential forms on Mare
assumed to be of class Coo.
(a) Let TJ be a differential n-form with compact support on R n (or on a Euclidean
nbd V) . Show: There exists a differential (n - I)-form w with compact support such that
TJ = dw if and only if I TJ = O.
[For necessity, use the Stokes theorem, and for sufficiency, apply induction on n; cf.
Nirenberg's lecture notes [1974], Lemma 1.3.3.]
(b) Let V be a Euclidean nbd of bEN - j(8U), and let TJ be a differential n-
form with compact support contained in V such that IN
TJ = 1. Prove: (i) The number
deg(f, U, b) = Iu f*TJ does not depend on the choice of TJ; (ii) if deg(f, U, bo) =f. 0, then
there exists Xo E U such that j(xo) = boo
(c) Show: (i) If bo , bI belong to the same component of N - j(8U) , then deg(J, U, bo)
= deg(f, U, bI); (ii) if N is connected and U = M is compact, then deg(J) = deg(J, M, bo)
is independent of bo .
(d) Prove: If TJ is an n-form with compact support contained in the component of
N - j(8U) containing bo, then
fu j*TJ = deg(J , U,bo) iN TJ·
(We remark that this equality provides an equivalent definition of the degree .)
[Use a Coo partition of unity on N.]
(D .2)* (Properties oj the degree) (a) Let b be a regular value of j (i.e., if j(x) = b, then
the derivative D j(x) of j at x is an isomorphism of the appropriate tangent spaces). Show:
deg(f , U, b) = LsgnDj(xj) ,
j
where j - I (b) = {Xl, . . . ,Xk} and sgn D j(Xj) is 1 or -1 according as D j(Xj) preserves or
reverses orientation. The Sard theorem implies that deg(J, U, b) is defined for some b.
(b) (Additivity) If U is the union of disjoint open subsets UI and U2, and if b (j.
j(U - (UI U U2)), then
deg(f, U, b) = deg(J, UI , b) + deg(J, U2, b) .

(c) (General homotopy invariance) Let W C M x I be open with compact closure,
I 3 t f--> bt E N a continuous path, and F : W ...... N a Coo map. For tEl and any
SCM x I , set St = {x E M I (x , t) E S}, and let Ft : (W)t ...... N be given by
Ft(x) = F(x , t). Assume that bt (j. Ft((W)t - Wt) for every tEl. Prove: deg(Ft , Wt , bt) is
independent of tEl. In particular, if M is compact and N is connected, then deg(J, M , b)
does not depend on bEN and is denoted simply by deg(J).
364 IV. Leray~Schauder Degree and Fixed Point Index
(d) Let P be an oriented (n + I)-dimensional Coo manifold with oriented boundary

oP = M , Van open subset of P with compact closure and F : 17'-+ N a Coo map. Set
X = V n M and j = FIX: X -+ N. Assume Yo E N - F(oV). Prove: deg(f, X, Yo) = O.
(In particular, this may be applied when V = P is compact; Milnor [1965J.)
[Use the Stokes theorem.J
(e) (Composition law) Let M, N, P be oriented n-dimensional Coo manifolds without
f 9
boundary such that M , N are compact and N , P are connected. Show: If M -+ N -+ P
are Coo maps, then deg(gJ) = deg(g) deg(f).
[Use (d) of (D.1).J
(f) (Multiplicativity) Let M, M', N, N' be oriented Coo manifolds without boundary,
dim M = dim N, dim lVI' = dim N', and assume that U eM, u' c M' are open subsets
with compact closures. Show: If the maps j : V -+ N, !' : U' -+ N' are of class Coo and
Yo E N - j(oU), yb EN' - j(oU') , then
deg(f x !" U X U', (YO, yb)) = deg(f, U, YO) deg(f', U', yb)·
Bifurcation theory
Theorem (1.10), due to P. Rabinowitz and M. Krasnosel'skir, is the basic
classical result in bifurcation theory. Theorems (1.8) and (1.9), which appear
in a slightly more general form in Nussbaum's lecture notes [1985], extend
the Krasnosel'skir-Rabinowitz theorem to maps in metric ANRs (e.g. cones).
The "local bifurcation" result (1.10)(a) is due to Krasnosel'skir [1956];
(1.lO)(b) was discovered by Rabinowitz [1971]; a remarkable feature of this
result is that it provides information about global behavior from purely
local data. The refinements of the Rabinowitz theorem given in (1.lO)(c), (d)
were found by Ize [1976]. All the above theorems were proved by using the
Leray-Schauder degree theory.
For a direct proof of the Rabinowitz theorem using the Leray-Schauder
degree, the reader may consult the books by Chow-Hale [1974], Brown
[1953], and Nirenberg's lecture notes [1974]. For more general closely re-
lated results for compact maps f : C x J ---+ C, where C is a closed convex
set in a Banach space, see Dancer [1974]' Nussbaum [1975], and Turner
[1974].
For some applications of bifurcation results to Sturm-Louville problems
and eigenvalue problems for elliptic partial differential equations the reader
is referred to Rabinowitz's lecture notes [1975] and the books of Chow-Hale
[1974] and Zeidler [1986], where further references can be found.
Applications to nonlinear PDEs

For (2.1) see Schauder [1927b]; the fact that the spaces cn(5?) are not
sufficient for the problem Llu = f, ulan = 0 was observed by Zaremba
[1911]; Holder spaces in the abstract setting were considered for the first time
by Schauder [1927a], [1932]. Many applications of the Schauder theorem for
proving the existence of classical solutions of partial differential equations
are treated in the book by Pogorzelski [1966]; for other applications and
further references see Krasnosel'skil's book [1964b] and Griffel [1985].
The scheme outlined at the beginning of Section 3 in §7 and used in the
proof of (2.2) and (2.3) is an explicit and abstract formulation of the general
approach used by Schauder [1927a], [1927b]. Application of this scheme to
(2.3) (carried out by Schauder in [1933]) was an important mathematical
achievement; it involved the development of the theory of so-called Schauder
estimates for linear second order elliptic operators (Schauder [1932]). The
same general ideas were exploited by Schauder in another important direc-
tion: for proving the existence of weak solutions of some nonlinear problems.
This involved the study of the classes W k ,2, the derivation of Schauder esti-
mates for linear differential operators in this setting and finally application
of topological arguments (Schauder [1934]' where the case of quasi-linear
elliptic equations with continuous coefficients in R2 is outlined, and also
Schauder [1935], where quasi-linear hyperbolic equations are treated).
A detailed and modern exposition of the theory of Schauder estimates
and its applications to nonlinear problems can be found in the books of
Gilbarg- Trudinger [1977] and Ladyzhenskaya- Ural'tseva [1964].
The Leray- Schauder method represents one of the most basic tools of
nonlinear analysis; in Section 2 we indicate in a simple setting how this
method may be used in the study of nonlinear partial differential equations.
The first fundamental results on quasi-linear second order equations of
eliptic type were obtained by Bernstein [1912]; further significant progress
was made through the work of Schauder and Leray (cf. Schauder [1932]'
[1933], Leray- Schauder [1934], Leray [1938], [1939]). In their joint memoir
[1934] Leray and Schauder brought together a number of important ideas
and developed a new method for solution of quasi-linear equations; their
work, while embracing several preceding discoveries, provided also a general
framework for the treatment of many other nonlinear problems. For an ac-
count of historical beginnings see the surveys by Schauder [1936a], [1936b]
and Leray [1936], where a number of references to older literature can be
found.
A modern presentation of the theory of second order quasi-linear elliptic
equations, which has been brought to a significant level of completeness,
can be found in the books of Gilbarg- Trudinger [1977] and Ladyzhenskaya-
Ural'tseva [1964] . These books also present applications of the continuation
method to the proofs of existence of generalized solutions of some nonlinear
problems. Further literature can be found in Nirenberg's lecture notes [1974]
and the survey by Serrin [1976] .
The Leray- Schauder degree theory

We first remark that in an infinite-dimensional normed linear space E, there
can be no degree theory applicable to all continuous maps: for if U is the
closed unit ball in E, then there is a retraction r : U ----) au; since rlaU =
id lau, the normalization and homotopy properties would imply d(r, U) =
d(id, U) = 1, giving the contradiction that r(x) = 0 has a solution in U.
The class of maps for which a degree or index theory can be defined must
therefore be restricted.
In their 1934 memoir, Leray and Schauder singled out the class of com-
pact fields f (x) = x - F (x) in Banach spaces and showed that a degree
(preserving all properties of degree in Rn) could be defined for maps in this
class. Theorems (3.6) and (3.7) were established by Leray-Schauder [1934].
Theorem (3.8) is due to Krasnosel'skil- Perov [1959].
For a direct exposition of the Leray-Schauder degree theory, the reader
may consult the books by Deimling [1985], Lloyd [1978], and Rothe [1986].
Fixed point index in locally convex spaces

The results of Section 5 are taken from Granas [1969], [1972]. The exis-
tence of the index for compact (nonmetrizable) ANRs given in (5.9) was
established earlier by combinatorial means and in a different form by sev-
eral authors (Leray [1959], Deleanu [1959], Bourgin [1955], [1956a,b], and
Browder [1960]).
We remark that the Leray-Schauder degree for compact fields in locally
convex spaces (Leray's survey [1950], Nagumo [1951b]) can be derived from
the fixed point index as in the metrizable case (Section 3).
Extensions of the Leray- Schauder degree

We now list some of the numerous extensions of the Leray- Schauder degree
theory that are not treated in this book.
(i) Degree for condensing fields in Banach spaces (Nussbaum [1972]'
Borisovich-Sapronov [1968], Sadovskil's survey [1972]' and Krawce-
wicz's book [1997]).
(ii) Degree for A-proper maps, motivated by the needs of the theory of
monotone operators (Browder- Petryshyn [1969], Petryshyn's survey
[1975], and his book [1995]).
(iii) Degree for monotone-like operators between a Banach space and
its dual (Skrypnik's book [1973], Browder [1983], Browder's survey
[1983b]).
(iv) Degree for compact Kakutani fields (Granas [1959], Hukuhara
[1967], Cellina- Lasota [1969], and Ma [1972]).
Degree for generalized compact fields
Let E be a normed linear space, X, Y C E, and f : X -. Y a map. We say that f is

a Rothe map (or simply an R-map) if it is of the form f(x) = A(X)X - F(x) for x E X ,
where F : X -. E is compact and A : X -. R is a continuous function satisfying
0< m ::; A(X) ::; M for some some constants m, M and all x E X. By an R-homotopy is
meant a family ht(x) = A(X, t)x + H(x, t), (x, t) E X x I, such that 0 < m ::; A(X, t) ::; M
and H : X x I -. E is compact (cf. Rothe [1939]).
Let U be a bounded open subset of E, bEE, and let f : CU, aU) -. (E, E - {b}) be
an R-map. Observe that if
1-"\(x) 1
Fo(x) = A(X) b + "\(x) F(x), fo(x) =x - Fo(x),
then Z(f - b) = Z(fo - b). We then define the degree of f with respect to b by d(f, U, b) =
d(fo, U, b) . It can be verified that the degree for R-maps has the same properties as the
Leray- Schauder degree for compact fields. For details, see Rothe's book [1986].
Degree for maps having a diagonal representation
If E, F are Banach spaces, a map 9 : E -. F has a dwgonal representation if g(x)

G(x,x), where G : Ex E --> F is such that for each fixed vEE, the equation G(u,v) = 0
has a unique solution u = rev) defining a completely continuous map r : E --> E. Maps
of this type appeared first in Leray- Schauder [1934]. For maps with a diagonal repre-
sentation, the degree was developed by Zabreiko- Krasnosel'skil [1967] and independently
by Browder- Nussbaum [1968] . For details the reader may consult the book of Zabrelko-
Krasnosel'skii and Browder [1968], [1976]; see also "Miscellaneous Results and Examples".
Coincidence degree
Let E, F be normed linear spaces, and L : E --> F a fixed linear Fredholm operator of
index zero. If U C E is open and bounded , and N : U --> F is a compact map, one
can define, for maps of the form L + N : (U, aU) -. (F, F - {b}), the coincidence degree
deg(L + N, U, {b}) with respect to U and b. This degree, developed by Mawhin [1972]'
retains the main properties of the Leray- Schauder degree. Extensions of the continuation
theorems can also be established in this setting. For details, see Gaines- Mawhin [1977] .
Degree for Fredholm maps
We now describe, in a simple setting, a direct extension of the Leray- Schauder degree to
Fredholm maps due to Smale [1965]. We first recall some terminology.
Let E, F be Banach spaces, U a domain in E, and f : U --> F a C 1 map. An element
x E U is called a regular point for f if D f(x) E 2(E, F) is surjective, and a critical
point otherwise. The image of a critical point is a critical value of f . An element y E F
is a regular value of f if it is not a critical value. The map f is called Fredholm if each
differential D f(x) is a Fredholm map, i.e., D f(x) E <P(E , F) for each x EX. Since U is
connected, the index Ind D f(x) is constant on U; its value (denoted by ind f) is called the
index of f. The set of all Fredholm cq maps of index n is denoted by <Pn C q .
Given a domain U C E , we say that a map f : (U, aU) --> (E, E - {O}) is allowable if
f is proper and flU: U --> E is a C 1 Fredholm map of index O. We let '6'o(U, E) denote
the set of allowable maps f : (U, aU) --> (E, E - {O}). Call f, 9 E '6'0 (V, E) homotopic
(written f rv g) if there exists a proper map h: (U, aU) x I --> (E , E - {O}) such that:
368 IV. Leray~Schauder Degree and Fixed Point Index
(i) hlU x I : U x I -+ E is of class C 2 ,

(ii) Dh(x, t) E <l>I(E (£J R, E) for all (x, t) E U x I ,
(iii) h(x , O) = f(x), hex, 1) = g(x) for all x E V.
The main tool for defining the mod 2 degree for allowable maps is the following:
THEOREM (Smalc~Sard). If f E '6'oCU, E), then the subset of E - f(aU) consisting of the
regular values of flU is open and dense in E - feU).
Let f E Yfo(V, E) and y E E be a regular value for flU with Ilyll < inf{llf(x)11 I
x E aU}. It follows that either f~l(y) = 0 or f~l(y) = {Xl,." ,Xk} C U. The mod 2
degree deg(f; y) of f with respect to y is then defined to be, respectively, 0 or k mod 2.
One shows that deg(f; y) does not depend on the choice of the regular value y and we set
deg f = deg(f; y). The main properties of the degree are:
'*
(i) deg f =1= 0 f(x) = 0 for some x E U ,
'*
(ii) f '" g degf = degg.
Using the mod 2 degree, one can extend the antipodal theorem to Fredholm maps: Let
U c E be a bounded symmetric domain containing 0 and f E Yfo(V, E) be odd (i.e.,
f (x) = - f ( - x) for x E V). Then deg f == 1 (mod 2). For details the reader is referred
to Smale [1965J and Elworthy~Tromba [1970]; for a proof of the antipodal theorem see
G!;;ba~Granas [1983J.
Degree for maps between Banach manifolds
Let E be a Banach space, !feE) the Banach algebra of bounded linear operators on E,
and GL(E) the multiplicative subgroup of invertible elements. Let ,X:(E) C !feE) be the
set of completely continuous linear operators and !fc(E) and GLc(E) the subsets of !feE)
a nd GL(E), respectively, of operators of the form 1+ T, where T E feE). Then GLc(E)
is a subgroup of GL(E). It is known that GLc(E) has two components (G!;;ba [1968],
where references to earlier more special results of A. Schwarz and Palais can be found; see
also the survey by Borisovich- Zvyagin- Sapronov [1977], Isnard [1973], and "Additional
References") . We denote the component containing the identity by GLt(E) and the other
by GL;:- (E) . Given a Banach manifold M , a c-structure on M is an admissible atlas
{~i'U;} maximal with respect to the property: for any i,j, the differential d(~j~il) at
any point is in GLc(E). The c-structure is orientable if it admits a subatlas for which the
differentials actually lie in GLt(E). An orientation is a subatlas maximal with respect
to this property. A smooth map f : M -+ N between c-manifolds (i.e., manifolds with
distinguished c-structures) is a c-map if for any local representative 1jJjf~il of f the
differential d(1jJjf~il) at any point is in !fc(E). This implies that f is Fredholm of index
zero.
Suppose f is a proper c-map between oriented manifolds lvf, N with N connected.
Then the oriented degree of f is defined: By the Smale~Sard theorem, f has a regular
value yEN and f~ I (y) C M consists of a finite number of points. Counting these points
with proper signs gives the degree:
deg f = 2..= sgn dfx .

xEf - l(y)
The above sign is determined as follows: Take any local representative 1jJjf~il about x .
The differential d(1jJjf~il) at ~i(X) is then in GLc(E) , since x is a regular point . Define
sgn df x to be 1 if the differential is in GLt (E), and -1 otherwise. This definition of degree
obviously extends the finite-dimensional one and is due to Elworthy~Tromba [1970J.
v.
The Lefschetz-Hopf Theory
This chapter is algebraic in character. We develop here the homological

tools needed to formulate and prove some of the central results in topological
fixed poirt theory: (i) the Lefschetz fixed point theorem for various classes of
maps of non-compact spaces, and (ii) the Hopf index theorem expressing the
relation between the generalized Lefschetz number and the fixed point index
for compact maps of ANRs. The chapter ends with a number of applications.
§14. Singular Homology
In order to provide an appropriate framework for the main results of the

chapter, we need first to extend simplicial homology to arbitrary topological
spaces. One way of doing this is to approximate the space, in some sense,
by polyhedra, and this method leads to what is known as "Cech homology" .
The other way is to discard the idea of triangulation and substitute it by
properly defined "embeddings" of a standard simplex into the space. This
leads to what is known as "singular homology" and it is this approach we
will take.
In this paragraph we shall develop elementary parts of singular homology
and only in such generality that is needed for the aims of the chapter. We
remark that the proofs of several results of this paragraph are rather long
and tedious; a reader primarily interested in fixed point theory may omit
such proofs on a first reading and return to them if need be.
1. Singular Chain Complex and Homology Functors
From the intuitive point of view, the development of singular homology

arises from the observation that topological spaces can sometimes be dis-
tinguished from each other because every closed curve in one space forms
370 V. The Lefschetz- Hopf Theory
the boundary of a surface in that space (e.g. , a great circle on a sphere)

while this is not true in another space (a meridian circle on a torus- a cut
can be made without breaking the surface into separate pieces; on more
complicated surfaces, more than two cuts can be made without breaking
the surface into separate pieces). To make this more precise for algebraic
treatment, the notion of an r-dimensional surface in Rn+ 1 is replaced by
the notion of a linear combination of singular simplices in Rn+l. Geomet-
rically, this is thought of as a surface built up from simplices embedded in
Rn+l. Thus, the main general idea of constructing singular homology is to
transfer the algebraic notions developed in §8 to arbitrary spaces; this will
be accomplished by transferring the algebraic operations with simplices onto
the set of singular simplices.
Categories and functors
To formulate the above intuitive ideas in a precise formal way, we shall use
the language of categories and functors.
Recall that a category K consists of a class of objects, and for any objects
A and B, there is a set K(A, B) (also denoted by [A , BlK) of morphisms
f : A --+ B from A to B with the following properties: given two morphisms
f : A --+ Band g : B --+ C, the composite morphism gf : A --+ C is defined;
furthermore, the composition operation is required to be associative and to
have an identity IA in K(A, A) for every object A in K.
For example, the class K of all sets, with K(A, B) being the set of all
maps of A into B, and with the customary composition law, obviously forms
a category Ens. Similarly, the class K of all topological spaces, with K(A, B)
the set of all continuous maps of A into B and with the usual composition
law, forms a category Top. There are many categories in which all ob-
jects have some type of algebraic structure, such as the category Ab of
abelian groups (in which all morphisms are homomorphisms) or that of
vector spaces, or modules over a fixed ring, whose definitions are obvious.
For any category K , the opposite category K* is that having the same
objects as K, morphisms K*(A, B) = K(B, A), and the same composition
law as in K.
A morphism u : A --+ B in a category K is called an isomorphism if
there is a morphism v : B --+ A in K with uv = IE and vu = IA; the
morphism v is called the inverse of u , and is unique. Two objects A , B E K
are equivalent (written A ~ B) if there is an isomorphism u : A --+ B in K;
the relation is indeed an equivalence relation in K. These notions yield the
customary concept of isomorphism in Ens, Top, and Ab.
When several morphisms between various objects in a category are con-
sidered simultaneously, it is convenient to display the morphisms as arrows
§14. Singular Homology 371
in a diagram, such as
A~B
1)= II Iv
C~D
The diagram 1) is said to be commutative if uj = vg. The same terminology
applies to more complicated diagrams.
Let K, L be two categories. A covariant junctor T : K -+ L is a rule that
assigns to each object A E K an object T(A) ELand to each morphism
u E K(A , B) a morphism T(u) E L(T(A), T(B)) so that:
(a) T(lA) = IT(A) for each A E K,
(b) T(uv) = T(u)T(v) whenever uv is defined.
If K* is the opposite category, a functor T : K* -+ L is called a contravariant
functor (or briefly a cofunctor) on K; it can be interpreted as a functor on
K that reverses the direction of each morphism when sent to L.
A functor T : K -+ L transfers commutative diagrams in K to commu-
tative diagrams in L. Moreover, if u is an isomorphism in K , then T(u) is
an isomorphism in L; the converse is not necessarily true.
We list two simple but important examples:
(i) The functor F : Ens -+ Ab . For any set A , let F(A) be the free
abelian group generated by A. The defining property of free abelian
groups implies that if j : A -+ B is any function, then there is a
unique homomorphism Ff: F(A) -+ F(B) with (Fj)i = jj, where
i : A -+ F(A) and j : B -+ F(B) are the inclusions.
(ii) The functor SM : Top -+ Ens. For a fixed space M, we define
SM : Top -+ Ens by
SM(X) = Top(M, X) , X E Top,
and for j : A -+ B, SM(f) : Top(M, A) -+ Top(M, B) is given by
[SM(f)](U) = ju , u E Top(M,A).
Let 5, T : K -+ L be two functors. A natural transformation t : 5 -+ T
of 5 into T is a function that assigns to each A E K a morphism t A E
L(S(A) , T(A)) so that for all A , B, u in K , the diagram
S(A)~5(B)
t1
A
lt B
T(A) "T"{;;) T(B)
is commutative. The natural transformation t : 5 -+ T is called a natural

equivalence of the functors 5 and T if each t A is an isomorphism in L.
In the remaining part of this section our aim is to show that the singular
homology assigning to each space X an abelian group Hn(X), the nth ho-
mology group of X , and to each map f : X ~ Y of spaces a homomorphism
Hn(f) : Hn(X) ~ Hn(Y) of groups is, in fact, a functor , called the nth
singular homology functor from Top to Ab.
Singular simplices and singular chains

We begin the description of singular homology by defining the notion of a
singular simplex in a topological space. As preparation, for each dimension n,
we select a definite geometric simplex in Rn+l.
Given an integer i = 0, 1, ... , n, let ei = (0, . .. , 0, 1,0, . . . ,0) be the unit
point of the ith coordinate axis of Rn+l. The standard Euclidean n-simplex
Lln in R n+1 is the simplex spanned by the points eo, . .. , en. By definition,
n
Ll n = {(to, . .. , t n ) E R n +1 I L ti = I, ti ~ O}.
i=O
For each i = O,l, ... , n we let Lli = {(to , .. . ,t n ) E L1n I ti = O} be the

ith face of L1 n opposite the vertex ei. For points Po, ... , Pn (not necessarily
distinct) in L1 q, we let the symbol (Po . . . Pn) denote the unique affine map
L1n ~ [Po, ... ,Pn] sending ei into Pi. With this notation, for the identity
map id n from Lln to Lln we have id n = (eo . . . en).
(1.1) DEFINITION. Given a topological space Y, a singular n-simplex in
Y is defined as a continuous map T : Ll n ~ Y; the set T (Ll n) C Y is
called the support of T and denoted by ITI. A singular n-chain in Y is
a finite formal linear combination c = L: niTi of singular n-simplices
in Y with coefficients in Z; the set Icl = U{ITill ni =1= O} is called the
support of c. With addition of chains defined by adding coefficients,
the n-chains in Y form an abelian group Gn (Y). Precisely, the group
Cn (Y) is the free abelian group generated by the set of all singular
n-simplices in Y.
Note that a singular simplex in Y is a map into Y and not a subset of Y ,
although much of the development can be motivated by regarding T as a
simplex embedded in Y. Intuitively, an n-chain can be thought of as a kind
of n-dimensional surface embedded in Y and built up from simplices with
various multiplicities.
(1.2) DEFINITION. Let X and Y be two spaces, and f : X ~ Y continuous.
If T : Ll n ~ X is a singular n-simplex in X, then the composition
f 0 T : Ll n ~ Y is a singular n-simplex in Y denoted by fT. Forming
an n-chain c = L: niTi in Gn(X) and letting Gn(f)(c) = L: ni(fTi )
we get a homomorphism Gn(f) : Cn(X) ~ Gn(Y) induced by f.
Because C n (g 0 1) = C n (g) 0 C n (J) for any map g : Y --+ Z and C n (id x ) =

idCn(x), the assignments X 1-+ Cn(X), f 1-+ Cn(J) yield the singularn-chain
functor C n : Top --+ Ab.
Boundary homomorphism. The singular complex C*(X)

The next step is to introduce an algebraic operation on chains that will
represent in a natural way the geometric operation of taking the boundary
of a surface. This should agree with the idea that the boundary of a surface
is itself a closed surface. We already know from §8 what the boundary of the
standard simplex is, so it is reasonable to take the boundary of a singular
simplex T in Y to be the restrictions of T to the faces of Ll n. Unfortunately,
these are not maps of the standard (n - 1)-simplex Ll n-l , so we must transfer
them so that they can be regarded as such maps. To this end, for each
i = 0, 1, ... , n we define standard affine maps d i : Lln-I --+ Lln by setting
di(to, ... , tn - I) = (to , ... , ti-I, 0, ti , ... , tn-I).
Note that di maps Lln-I onto Lli\ the ith face of Lln opposite the vertex ei.
(1.3) DEFINITION. If T : Lln --+ X is a singular n-simplex, then the ith
face of T is the (n - 1)-dimensional singular simplex OiT = Td i :
Ll n-l --+ X. For each n 2 1, the boundary operator
a = an : Cn(X) --+ C n - 1 (X)
is the homomorphism defined on each generator T of Cn(X) by set-
ting
n
aT = anT = 2) -1)iOiT.
i=O
It is straightforward to verify that any composition anan+l is zero, which is
equivalent to the statement that 1m an+l c Ker an. Geometrically, this says
that the boundary of any (n + 1)-chain is an n-chain having no boundary.
It is this fundamental property that leads to the notion of the homology
group.
The kernel of an : Cn(X) --+ Cn-I(X) is denoted by Zn(X) and called
the group of singular n-cycles of X; note that Co(X) = Zo(X). The image
of an+1 : Cn+1(X) --+ Cn(X) is called the group Bn(X) of singular n-
boundaries of X, and the quotient group Hn(X) = Zn(X)/ Bn(X) is the nth
singular homology group of X. The elements of Hn(X) are called homology
classes, the coset z + Bn(X) being the homology class of the n-cycle z. Two
n-cycles z, z' belonging to the same homology class are called homologous;
this will occur if and only if z - z' = an+lC for some (n + I)-chain c. If the
homology group Hn(X) is finitely generated, its rank is called the nth Betti
number of X.
For a space X, the sequence C*(X) = {Cn (X) , 8 n In = 0,1 , 2, ... } is

called the singular complex of X and the sequence
is called the graded singular homology group of X.

For a continuous map f : X --+ Y, let H*(f) = {Hn(f) : Hn(X) --+
Hn(Y)} be the graded homomorphism of singular homology groups induced
by the chain map C*(f). The assignments X f-+ H*(X), f f-+ H*(f) define
the singular homology functor H* : Top --+ GrAb from the category of
topological spaces to the category of graded abelian groups.
Some examples
We calculate the singular homology of some simple spaces.
EXAMPLE 1. In contrast to the simplicial case, observe that if X #- 0, then
Cn(X) #- 0 for every n 2 o. However, we show that if * is a one-point
space, then Ho(*) ~ Z and Hi (*) = 0 for all i > O. For there is exactly
one singular simplex TP : LlP --+ * for each p 2 o. If p > 0 is even, then
8TP = TP-l, so that there are no p-cycles, and Hp( *) = o. If p > 0 is
odd, then 8TP = 0 and 8Tp+l = TP, so that every cycle bounds, and again
Hp( *) = O. In the case n = 0, we have Zo( *) = cyclic group generated by
TO and B o(*) = 8Cl (*) = 0; therefore H o(*) = Zo(*) = Z .
EXAMPLE 2. An easy modification of the proof in Example 1 shows that
Ho(X) = Z whenever X is path-connected.
EXAMPLE 3. Let Xc RP be a convex set. Then Ho(X) = Z and Hi(X) = 0
for all i > O. The first statement being evident from Example 2, we concen-
trate on the second. We will show that Hn(X) = 0 for n 2 1 by constructing
a chain homotopy D : Cn(X) -) Cn+l (X) (see §6); since Cn(X) is the free
abelian group generated by the singular n-simplices T, it is enough to define
DT E Cn+l(X) for each generator T: Lln --+ X.
Choose a point ~ E X; for each n > 0 and each T : Lln --+ X set
DT(xo , .. . ,Xn+l)
={
xo~ + (1- Xo)T(~,
1 - Xo
... , Xn+l ),
1 - Xo
Xo #- 1,
~; Xo = 1.
This is the analogue of the cone construction with vertex ~: on the face of
Lln+l opposite the vertex (1,0, ... ,0) , we are setting
DT(O, Xl, ... , xn+d = T(Xl , . .. , Xn+l) and DT(l , 0, . .. ,0) =~,
then mapping each line segment in Lln+l joining (1,0, ... ,0) to a point x
on the face of Lln+l opposite (1,0, ... ,0) linearly onto the segment in X
joining ~ to Tx. The continuity of DT : L1n+1 ~ X is clear from this

description; formally, DT is evidently continuous at all points except pos-
sibly (1,0, ... ,0), and the continuity at (1,0, . . . ,0) follows easily from the
boundedness of the given T.
By construction, we have
(6oDT) (xo, . .. , xn) = DT(O, Xo,··· , xn) = T(xo , ·· ., xn)·
Moreover, for i > 0, we have
= DT(xo, . .. , Xi-I, 0, Xi, . .. , Xn)
=Xo~+ (1-xo )T ( -Xl Xi-l Xi Xn )

- , ... ,--,0,--, ... , - -
1 - Xo 1 - Xo 1 - Xo 1 - Xo
and
=XO~+(l-XO)[T(~,
1 - Xo
... , Xi-l ,o,~, ... ,~)],
1 - Xo 1 - Xo 1 - Xo
so that 6iDT = D6i-IT for i > 0. Thus,
oDT = 60DT - 6lDT + '" ± 6n+lDT
= T - D60T + ... ± D6 nT = T - D(oT),
so T = oDT + DoT and e = oDe+ D8c for every e E Cn(X). If e is a cycle,
then oe = 0, so e = oDe and every cycle bounds. This completes the proof.
Relative groups. Long exact sequence

A somewhat more general notion is needed to develop a theory, namely,
that of relative homology. Here, chains on a certain subspace A c X are
identified with 0. Thus, to be a cycle of X mod A a chain must have a
boundary that is a chain on A, rather than have boundary zero. The groups
Zn (X, A) can be expressed directly in terms of chains in X: Let
Z (X A) = {{e E Cn(X) 18c E Cn-I(A)}, n > 0,
n, Cn(X), n = 0;
this is called the group of n-cycles of X mod A. Let
Bn(X, A) = Bn(X) + Cn(A)
= the subgroup of Cn(X) generated by Bn(X) and Cn(A);
this is called the group of bounding n-cycles of X mod Ai clearly, Bn(X, A) C

Zn(X, A), and the quotient group
Hn(X , A) = Zn(X, A)/ Bn(X, A)
is the nth homology group of X mod A . If the group Hn(X, A) is finitely
generated, then its rank, denoted by bn(X, A), is called the nth Betti num-
ber of (X, A). Let Cn(X, A) = Cn(X)/Cn(A)i note that if A = 0, then
Cn (X,0) = Cn(X).
Let A be a subspace of X . One of the characteristic features of homology
theory is a long exact sequence that relates the homologies of X, A and
X mod A. To define this interrelation, let
be induced by the inclusion i : A --f X , and

j* : Hn(X) --f Hn(X, A)
be induced by the inclusion j : (X,0) --f (X, A), specifically,
j* : [zn + Bn(X)] ~ [zn + Bn(X) + Cn(A)],
and let an : Hn(X, A) --f H n- 1(A) be the homomorphism
[c n + Bn(X) + Cn(A)] ~ [anc n + Bn-1(A)].
It is straightforward to verify
(1.4) THEOREM (Homology sequence of a pair). Let A be a subset of X.
Then the homology sequence of the pair (X, A),
. . . --f Hn(A) ~ Hn(X) ~ Hn(X, A) ~ Hn-1(A)

--f • . . --f Ho(A) --f Ho(X) --f Ho(X, A) --f 0
is exact. Moreover, a continuous map f : (X, A) --f (Y, B) induces a
homomorphism of the exact sequence of (X, A) into that of (Y, B),
meaning that in the diagram
... --- Hn(A) --- Hn(X) --- Hn(X, A) --- Hn- 1(A) ---" .
1(f IA). 1f • 1f • 1
(fIA).
'" --- Hn(B) --- Hn(Y) ~ Hn(Y, B) ~ Hn-1(B) ---'"

each square is commutative.
The proof uses the fact that if A c X, then the chain complex {Cn(A),a}
can be identified with a subcomplex of {Cn(X), a} , leading to the quotient
chain complex {Cn (X)/Cn (A),8} = {Cn (X,A),8}i this gives the relative
homology groups H * (X, A) and the long exact sequence of (1.4) (see A p-
pendix, Section D).
By regarding the exact sequence of (1.4) as arising from a chain complex
and a subcomplex, we are led to a generalization: Starting with spaces A c
B c X, we have the chain complex {Cn(X)/Cn(A)} and a sub complex
{Cn(B)/Cn(A)} ; the quotient complex is {Cn(X)/Cn(B)}, so we obtain
more generally the following result :
(1.5) THEOREM (Homology sequence of a triple). Let A c B c X be
topological spaces. Then there is an exact sequence
... --- Hn(B, A) --- Hn(X, A) --- Hn(X, B)
fj
--- Hn- 1(B , A) --- ... --- Ho(X, B) --- 0,
where all unlabeled homomorphisms are induced by inclusions and a
is the composition
Hn(X,B) ~ Hn-1(B) ~ Hn-l(B , A).

Moreover, a continuous map f : (X, B , A) --- (X, E, A) induces a
homomorphism of the exact sequence of the triple (X, B, A) into that
of (X, 13, A). 0
We remark that if A = (/) , then the exact sequence of (1.5) is precisely that
of (1.4).
REMARK . Within the framework of chain complexes, we can define, for a
space X, the singular homology groups over an arbitrary abelian group or
field G. For any such G , the finite formal linear combinations Cn = L giTi
of singular n-simplices in X with gi E G form an abelian group Cn(X; G),
which is a vector space whenever G is a field. The boundary homomorphism
On : Cn(X ; G) --- Cn- 1(X ; G) is defined by on(cn ) = L gioTi, and is a
linear map when G is a field. Again OnOn+l = 0, so that {Cn(X; G), on} is a
chain complex; the corresponding homology groups Hn(X ; G) are called the
singular homology groups of X with coefficients in G. If G is a field , then
Hn(X; G) (being the quotient of a vector space by a linear subspace) is a
vector space. We remark that in this terminology, Hn(X) is Hn(X; Z) , and
in fact, the chain complex {Cn(X;G) , on} is precisely {Cn(X) ® G,on ® 1},
where ® is the tensor product.
If (X, A) is a pair of spaces, the relative singular homology groups
Hn(X , A; G) are defined analogously, as the homology groups of the chain
complex C*(X, A) ® G.
We remark that singular homology with coefficients in a field will be
used in this chapter as a basic tool in Lefschetz theory.
378 v. The Lefschetz- Hopf Theory
We conclude this section by showing that singular homology has compact

supports. This property, expressed in terms of direct systems of abelian
groups (see Appendix), is given in the following:
(1.6) THEOREM. Let (X, A) be a pair of spaces, and let {(Ka, La)}aED
be the family of all compact pairs (Ka, La) C (X, A) ordered by in-
clusion. Then the family {H*(Ka , L a )} of groups, together with the
homomorphisms induced by inclusions , forms a direct system, and
PROOF. We first consider the absolute case, when we are given a space
X together with the collection {Ka} aED of all compact subsets of X. We
are going to show that H * (X) ~ ~ H * (Ka). For convenience we assume
that there is a one-to-one correspondence ex ...... Ka between the indices
in D and the compact subsets of X; we write ex ~ /3 whenever Ka C K/3,
which makes D a directed set. We form the direct system of chain cornplexe~
{C*(Ka ),ia/3}a ,/3ED, where ia/3 : C*(Ka ) --t C*(K/3), ex ~ /3, is the inclu-
sion. Let C*(X) be the singular complex of X , and fa : C*(Ka ) --t C*(X)
the inclusion. We note that the family {fa} is compatible and that both
conditions (i) and (ii) of Theorem (D.3)(II) in the Appendix are satisfied
(because the support of any chain in C*(X) is compact) . Thus, by that the-
orem, C*(X) ~ ~{C*(Ka),ia/3}. Now the asserted isomorphism follows
from the fact that the homology functor commutes with direct limits (see
Appendix, Theorem (D.7)).
The proof of the theorem in the relative case is analogous, and the details
are left to the reader. 0
2. Invariance of Homology under Barycentric Subdivision

In the singular homology of X mod A, chains on A are identified with O.
This suggests that removal of a set E C A should not affect homology, i.e.,
This fundamental property will be established in Section 3 under the condi-

tion E C lnt A; this is to guarantee that certain simplices can be dropped.
The technique consists in cutting down the size of the support of singular
simplices so that any element Z E Hn(X, A) is represented by a relative
cycle z, all of whose singular simplices have their support either in A or in
the complement of E. The part on A can then be identified to zero, so z is
represented by a relative cycle of X - E mod A-E. Cutting down the size
of the singular simplices is done by means of the barycentric subdivision /3
of the model ,::1n; again it is a question of identifying the members of /3(id n )
with singular simplices T : Lln --+ Lln, and the process has affinities with
barycentric subdivision of polyhedra.
In this section we establish the invariance of singular homology under
barycentric subdivision. This implies that to compute singular homology we
can confine ourselves to singular simplices with arbitrarily small supports.
Presentability of the functor C n

In presenting the technique of barycentric subdivision, it will be convenient
to use the notion of a presentable functor. Let T be any category and Ab be
the category of abelian groups. A functor F : T --+ Ab is called presentable
if there exists an object M in T and an element s E F(M) such that for each
X E T, the set {F(u)s I u E T(M, X)} is a basis for F(X) . In particular,
then, whenever F is a presentable functor, each F(X) must be a free abelian
group; and the presentability condition states that there is a canonical way
to specify a basis in each F(X); M is called the model object, and the couple
(M, s) is called a presentation of F .
(2 .1) PROPOSITION. The functor C n : Top --+ Ab is presentable and the
pair (Lln, id n ) consisting of Lln and id n E Cn(Lln) is a presentation
of Cn.
PROOF. Indeed, given any space X, we find for each T : Lln --+ X that
Cn(T)(id n ) = [T: Lln --+ Xl E Cn(X). Consequently, the set {Cn(T)(id n ) I
T E Top(Lln, X)} is precisely a basis for Cn(X). This means exactly that
C n is presentable and (Ll n , id n) is a presentation of C n . 0
Two important categorical properties of the functor C n are given in
(2.2) PROPOSITION . Let G : Top --+ Ab be any functor. Then:
(i) for each g E G(Lln) there is a unique natural transformation a :
C n --+ G determined by setting a Lln (id n ) = 9 and "transporting"
9 by aX Cn(T) id n = G(T)g,
(ii) given any two natural transformations a, {3 : C n --+ G, the condi-
tion a Lln (idn ) = {3Lln (id n ) implies that a = (3 .
Thus, to construct a natural transformation a : C n --+ G we need only define
a single element a Lln (idn ) E G(Lln); on the other hand, to verify that two
natural transformations a, (3 : Cn --+ G are identical, it is sufficient to show
that on the model Lln, we have a(id n ) = (3(id n ).
The proof of (2.2) , based on the presentability of Cn, is left to the reader.
Natural chain maps

Let an : Cn --+ Cn be a natural transformation, one for each n 2:: O. We
say that a = {an} is a natural chain map provided aan = an-Ia for each
n > 0; f) Cn -+ Cn - I is regarded here as a natural transformation of

functors .
(2.3) LEMMA. Let a =
{an} and f3 = {f3n} be two natural chain maps.
If a(id o) = f3(id o), then there exists a natural chain homotopy D =
{Dn} such that
(*) f)D n + Dn-If) = an - f3n.
PROOF. The method of proof goes by the name of "acyclic models" and is
due to Eilenberg-MacLane. Since a(id o) - f3(id o) = 0, it follows that (*)
holds for n = 0 with Do = o. Assuming inductively that Dk : C k -+ Ck+1
has already been found for all k < n with
we establish by induction the existence of Dn : C n -+ C n +! for which the

formula (*) holds. Consider the map "In : C n -+ C n given by
"In = an - f3n - Dn-If)
(which exists by the inductive hypothesis) and denote by Cn the chain in
Cn(Lln) given by Cn = "I~n(idn) ' where "I~n is the Lln component of "In.
Using the fact that a and f3 are chain maps and the inductive hypothesis
(under which (**) is true for k = n - 1), we get
fhn = 8a n - 8f3n - 8D n - 18
= 8a n - f)f3n - [an-If) - f3n-18 - D n - 2 8f)] = O.
From this we conclude that the chain C n is a cycle in C n (Ll n), and because
Lln is acyclic (as a convex set), it is a boundary, i.e., en = 8b n + 1 for some
bn + 1 in C n + 1(Lln). Letting now Dn(id n ) = bn + 1 E C n + 1(Lln), we observe,
by presentability of Cn , that Dn : C n -+ C n + 1 is defined (by transportation)
and it is a natural map. Then, from the formula
in view of naturality of the maps involved and again by presentability of Cn ,

we conclude that our assertion (*) is true for k = n. 0
Barycentric subdivision
We shall now construct for each n ?:: 0 a natural transformation f3n : C n -+

Cn, which for each space X replaces a chain in Cn(X) by a chain also in
Cn(X) with "smaller" simplices. Geometrically speaking, barycentric sub-
division will be constructed as the cone of the subdivided boundary. So we
begin by recalling the cone construction.
Let Ll q be the standard simplex in Rq+ 1, and {An (Ll q)} the sub complex
of {Cn(Llq)} generated by the affine singular simplices in Llq. Given a fixed
point b in Ll q, the cone operator x assigns to a generator (J = (POPI ... Pn)
in An(Llq) the affine simplex of one higher dimension,
x( (J) = b x (J = (bpOPI ... Pn) ,
and so determines (by linearity) a homomorphism x : An (Ll q) --+ An+ 1(Ll q).
A straightforward verification gives
We are now ready to define the subdivision operator (3 and prove its
properties.
(2.4) DEFINITION. We define (3 = {(3n} : {Cn} --+ {Cn} inductively:

(i) (30 = id;
(ii) if (3n-l : C n - 1 --+ C n - 1 is defined, then (3:;::'1 : C n - 1 (Lln) --+
C n - 1 (Lln) is also defined, and we let
(3~n(idn) = bn x (3n-l(8id n ),
where bn is the barycenter of Lln. Because C n is presentable, the
above formula defines a natural transformation (3n : C n --+ Cn·
For any integer r 2: 1 we define the r-fold iterate (3r by letting
(31 = (3 and (3r = (3 0 (3r-l for r 2: 2.
(2.5) THEOREM. The operations (3 and (3r have the following properties:
(i) (3r is a natural chain map for any r E N.
(ii) For each space X, (3r is naturally chain homotopic to the identity
map of the singular chain complex into itself.
(iii) For any space X, every cycle Z E Z(X) is homologous to the
cycle (3r(z).
(iv) For a given n E N and any 6 > 0 there exists an integer
sEN (depending on nand 6) such that the support of any
affine simplex Si appearing in the chain (3~ (idn ) has diameter
diam(lsil) ~ 6.
PROOF. (i) Because every functor C n is presentable, to show that (3 = {(3n}
is a chain map we simply need to verify that in the diagram
Cn(Lln) ~ C n _ 1 (Lln)
~n! !~n-l
Cn(Lln) ~ C n _ 1 (Lln)
id n E C n (Ll n) transports around commutatively. This being true for n = 1,

we use induction and (*) to find
on,8n(idn ) = on[bn x ,8n-lon(idn)]
= ,8n-lon(idn) - bn x on-l,8n-lOn(idn)
= ,8n-lon(idn) - bn x ,8n-lon-lOn(idn)
= ,8n-l on(id n ),
and the proof is complete. Since ,8 is a chain map, so is ,8r for any r 2': l.
(ii) Because ,8r = {,8~} and the identity id = {idn } are both natural
chain maps of {Cn} into itself and they agree in dimension 0, our assertion
follows from Lemma (2.3).
°
(iii) Let X be any space, n 2': a fixed integer, and Dr' a natural chain
homotopy joining the chain maps ,8T and id:
,8T,id: {Cn(Xn -+ {Cn(Xn.
Given any cycle z E Zn(X) we have z - ,8T(Z) = Droz + ODT Z = ODT Z;
thus z and ,8r(z) belong to the same coset of Bn(X), and our assertion is
proved.
(iv) This follows clearly from (8.2.3). 0
Small simplices
(2.6) DEFINITION. Let X be a space and V = {VA I A E A} a family
of subsets of X whose interiors f\\ I A E A} cover X. A singular
simplex T : Ll n -+ X will be said to belong to V (or to be V -small)
provided its support ITllies in at least one of the sets VA'
By confining our attention to singular simplices that are V-small, we can
introduce several notions which are strictly analogous to those of Section l.
We let C;/(X) be the subcomplex of C*(X) generated by the V-small
singular simplices. If A c X, we define CY(A) to be the sub complex
of CY (X) generated by the singular simplices that belong to V n A =
{VA n A} AEA, and CY (X, A) to be the quotient complex CY (X)/CY (A).
Thus associated with V are three chain complexes
CY(X), CY(A), CY(X, A),
and the corresponding graded homology groups
H; (X) = {H~ (Xn, H; (A) = {H~ (An, H; (X, A) = {H~ (X, An.
(2.7) THEOREM. Let (X, A) be a pair and V = {VA} a family of subsets
of X whose interiors cover X. Then the injection j : C; (X, A) -+
C*(X, A) induces an isomorphism j* : HY (X, A) -+ H*(X, A) of
homology groups.
PROOF. We first write the following commutative diagram of chain com-

plexes with exact rows:
(where i A , i X are the injections), and then the corresponding commutative

ladder of homology groups:
... --- Hi' (A) --- Hi' (X) --- Hi' (X, A) ~ Hi-I (A) --- Hi-I (X) --- ...
Ji~ Ji: J;. Ji: Ji:

... ~ Hq(A) - Hq(X) - Hq(X, A) ~ H q- 1 (A) --- H q- 1 (X) --- ...
We now observe that to establish our assertion it is clearly enough to consider
the absolute case. For once we have proved that i~ and i ; are isomorphisms,
the invertibility of j* will follow, with the aid of the 5-lemma, from the fact
that the above commutative diagram of homology groups has exact rows.
Thus we must show that
or, in equivalent geometric terms, that each homology class in H*(X) is

representable by a cycle having all singular simplices in V.
We first prove that
(*) if c is a chain in Cn(X), then there is an r EN such that all singular

simplices of the chain f3r(c) belong to V.
Clearly, it is sufficient to establish (*) for singular simplices.

Let T : L1 n ----+ X be a singular simplex in X. The family {T- 1 eVA)}
is an open covering of the compact set Lln, hence has a Lebesgue number
6 > 0: any set A c Ll n with diam A < 8 lies in one of the sets T- 1 n\). In
particular, if r is sufficiently large, then every affine simplex Si appearing in
the chain ,er(idn ) has its support ISil in one of the sets T-le~\). It follows
that the support of any singular simplex appearing in f3 r T (being the image
of a geometric simplex with diameter :S 6) will lie in a set of {VA}'
Now letting z be the given singular n-cycle, we can pick r so large that
f3r z has all simplices lying in V; in view of Theorem (2.5), this will be the
required representative. Thus we have proved that i; is surjective; the proof
that it is injective is left to the reader. D
3. Excision
As the main consequence of (2.7) we come to the following basic
(3.1) THEOREM (Excision theorem). Let (X , A) be any pair of spaces, and
let E c X be any subset such that E c lnt A (i. e., E is ''far from the
boundary"). Then the inclusion map i : (X - E, A - E) <---t (X, A)
induces an isomorphism in homology:
i* : H*(X - E, A - E) ~ H*(X, A).
PROOF. Consider the open covering V = {lnt A, X - E} of X.
(a) i* is epic. Let c be any cycle mod A; then c = "L,niTi' and by
Theorem (2.7), we can assume that each Ti is V-small. In particular, the
support of each singular simplex is then either entirely in lnt A, or entirely
in X - E, or possibly in both. We break up c into two parts: c = Cx -E + r
by collecting all the simplices of c whose supports lie entirely in X - E, and
letting r be the remaining part of c. We now claim that Cx -E is a cycle
mod A - E, and then ICX-E - ci = Irl c A, so c and CX-E are homologous
mod A-E. Indeed, since X - E c X - E, the supports of the singular
simplices of r cannot be entirely in X - E, and therefore Irl c lnt A c A.
Focusing on CX-E, we have aCX-E = ac- or. Now, since ICX-EI eX - E,
we know that l8cx - EI eX - E; but this must be equal to lac - arl, which
is contained in A. Thus, l8cx -EI cAn (X - E) = A - E , and therefore
Cx -E is a cycle mod A-E. Because Cx - E and c are homologous mod A,
it follows that i*([cx-e]) = [c] E H*(X,A), and thus i* is epic.
(b) i* is monic. Let Zx -E E Z* (X - E, A - E) be a cycle homologous to
zero in Z*(X, A); this says that ZX - E = aqX+QA, where we can assume that
all chains involved are V -small (by taking IF on both sides if necessary). As
before, we break up qx into two pieces qx = qx - E + r A , getting Zx - E -
aqx-E = or A + QA; the left side is in X - E, the right in A , so both are in
A-E. Thus, ZX-E is, in fact, bounding on X - E mod A - E, i.e., i* is
monic. 0
(3.2) DEFINITION. Let (A, B) be a pair of subsets of a space X with
X = AU B. We say that the pair (A, B) is excisive if the inclusion
(A, A n B) <---t (A U B, B) = (X, B)
induces an isomorphism in homology.
With this terminology, the excision theorem (3.1) can be put in another
equivalent form, which is sometimes formally easier to use and involves sets
whose interiors cover X (it resembles the usual group-theoretic isomorphism
theorem).
Below we write A for lnt A and CA for X - A.
(3.3) THEOREM. If A and B are any two sets with X = Au B = Au B,

then the pair (A , B) is excisive.
PROOF. Consider (X , B). The hypothesis gives X - A c B. Now, A = CCA,
so CA = CA c B. Thus, by (3.1), we can excise CA, and it suffices to note
that (X-CA , B-CA)=(A, AnB). 0
Conversely, (3.3) implies (3.1): suppose we have (X , A) with U c A.
Then X = A u (X - U)o. Indeed, (X - U)O = C[CCU] = CU, so X - A c
X - U = (X - U)O, proving the claim.
Thus, by (3.3),
H(X, A) = H(CU u A, A) ~ H(CU, (CU) n A) = H(X - U, A - U).
This says that whenever X = AU B, then for considering (X , B), we can
confine ourselves to A and remove all of B not in A.
EXAMPLES. (i) Let A c sn be closed nonempty and assume * E sn - A.
Then Hn(sn - A, *) = O. Indeed, consider the exact sequence of the triple
{*} c sn - A c sn:
... -* Hn+1(sn,sn-A)!... Hn(sn-A,*) -* Hn(sn , *) -* Hn(sn,sn-A)

-* Hn_1(sn - A,*) -* Hn_1(sn,*) -* ....
Choosing any pEA , we find a factorization sn - A c sn - {p} C sn of i :

sn - A "-+ sn; but sn - {p} is contractible, so i* is the zero homomorphism,
showing Hn(sn - A, *) = 8(Hn+l (sn , sn - A)). But H n+1(sn, sn - A) = 0
because dim sn = n , and the assertion follows.
(ii) Let A c sn be closed nonempty and * E sn - A. Then
Hn(sn, Sn - A) ~ Hn_1(sn - A, *) EB Hn(sn , *);
therefore:
(a) Hn(sn, sn - A) always contains an infinite cyclic group.
(b) If sn - A is contractible over itself (e.g. A = point), then we have
Hn(sn, sn - A) ~ Hn(sn, *).
Indeed, from the exact sequence in (i), and because we have Hn(sn-A, *) =
H n - 1(sn, *) = 0, we obtain the short exact sequence
0-* Hn(sn, *) .s Hn(sn, sn - A) -* Hn _1(sn - A, *) -* O.
We note that the diagram
Hn(sn,*) ~Hn(sn,sn - A)
~ lj*
H n(sn , sn - {p})
commutes; this implies that the above exact sequence splits, and our asser-
tion follows.
(iii) Let V c sn be open, and A c V non empty and compact . Then
inclusion induces an isomorphism
e: Hn(V, V - A) ~ Hn(sn, Sn - A) .
For write (sn, sn - A) = (V U (sn - A), sn - A); by excision, this has the
same homology as (V, V n (sn - A)) = (V, V - A).
4. Axiomatization
In order to get quickly to the essentials of the algebraic techniques we shall
now present the axiomatic approach.
There are many homology theories; the following description of what is
to be meant by a homology theory has been given by Eilenberg- Steenrod.
Each homology theory is defined on some category K whose objects are
pairs (X, A) of topological spaces such that A eX, and whose morphisms
are continuous maps of such pairs. The category K must contain the space 0,
and we denote a pair (X,0) simply by X.
(4.1) DEFINITION. A homology theory on K is a sequence h* = {h n },
n = 0,1 , ... , of functors from K to the category of abelian groups,
together with a family of natural transformations
one for each (X, A , n), such that the following axioms hold:
(1) (Homotopy) If fo, fr : (X, A) ---> (Y, B) are homotopic, then
hn(fo) = hn(fr) for all n.
(2) (Exactness) For each (X, A) E K, the sequence
. .. ---> hn(A) ---> hn(X) ---> hn(X, A)
~ hn- 1(A) ---> hn-1(X) ---> ... ---> 0
is exact, where all unmarked maps are induced by inclusions.
(3) (Strong excision) The inclusion e : (A, A n B) ---> (A U B , B)
induces an isomorphism
for all n.
For a homology theory h*, the graded group {h n ( *)}, where * is a one-
point space, is called the group of coefficients of the theory. By an ordinary
homology theory h* we shall mean one with h n (*) = 0 unless n = 0; if
moreover ho ( *) = G, then h* is called an ordinary homology theory with

coefficients in G.
The construction given in §8 shows that there exists an ordinary homol-
ogy theory on the category of finite polyhedra. For the singular homology
groups, because of (1.4), the exactness axiom is satisfied. The strong exci-
sion axiom is not valid for all A, B, but in view of (3.2), it does hold for all
excisive pairs (A, B); in particular (cf. (3.3)), the axiom is valid if A and B
are open subsets of some space X. It is somewhat more delicate to verify,
and will not be proved here, that if A, B are closed in A U B and A n B
is a strong neighborhood deformation retract in A, then the pair (A, B) is
excisive. The homotopy axiom can be verified in a manner essentially simi-
lar to that in (8.7.4) (for another proof see (D.3) in "Miscellaneous results
and examples"). Thus, singular homology is an ordinary homology theory
on suitable pairs of topological spaces.
Some consequences of the axioms

We now derive some properties that follow immediately from the axioms,
and are therefore common to all homology theories.
Recall that two pairs (X, A), (Y, B) are homotopy equivalent if there exist
maps f : (X, A) -+ (Y, B) and 9 : (Y, B) -+ (X, A) such that gf c:::: l(x,A)
and fg -:::: l(y,B)'
(4.2) PROPOSITION. If two pairs (X, A) and (Y, B) are homotopy equiv-
alent (in particular, homeomorphic), then h n (X, A) ~ h n (Y, B) for
all n.
PROOF. If f : (X, A) -+ (Y, B) is a homotopy equivalence with homotopy
inverse g, then go f -:::: id, so that g* 0 f* = id. Similarly, f* 09* = id. Thus
f* : hnCX, A) -+ hnCY, B) is an isomorphism with inverse g*. 0
(4.3) PROPOSITION. If A c X is a deformation retract of X, then
hn(X, A) = 0 for all n E Z .
PROOF. Because the sequence
is exact and X is homotopy equivalent to A, our assertion follows clearly

from (4.2). 0
(4.4) PROPOSITION. hn(X,X) = 0 for every X.
(4.5) PROPOSITION. If A is a retract of X, then
hn(X) ~ hn(A) EEl hn(X, A).
PROOF. Let r : X ---+ A be the retraction. Then roi = id , so that r* oi* = id;
from this we see that i* : hn(A) ---+ hn(X) is monic and r* : hn(X) ---+ hn(A)
is epic. Moreover, since i* is monic, the exact sequence
0---+ hn(A) ---+ hn(X) ---+ hn(X, A) ---+ 0
splits as hn(X) ~ 1m i* EB Ker r* ~ hn(A) EBKer r*. This shows that hn(X, A)
~ hn(X)/hn(A) = Kerr*, completing the proof. 0
(4.6) PROPOSITION. If X is the disjoint union X = Xl u··· U X k , then
hn(X) ~ EB7=1 hn(Xi)'
PROOF. We prove this for n = k = 2, the general case following by induction.
Assume that X = Xl u X 2 ; then Xl is a retract of X, so
h 2 (X) = h 2 (Xr) EB h 2 (X I U X 2 , Xr),
and by excision, the second term is isomorphic to h 2 (X 2 , 0) == h 2 (X 2 ). 0
Reduced groups
Let X be nonempty and r : X ---+ * the unique map to a one-point space
* EX. Our first task is to find a relation between h n (X) and h n (X , *).
(4.7) PROPOSITION . We have hn(X, *) = Ker[r* : hn(X) ---+ h n (*)], with
r * epic. In fact ,
PROOF. Since * is a retract of X, our assertion follows at once from (4.5).0

The groups hn(X, *) are easier to work with, and are called the reduced
homology groups of x. We have
(4.8) THEOREM (Reduced exact homology sequence). For any pair (X,A)
and * E A, the sequence
is exact.
PROOF. We consider
Since the squares commute,

. . {)
Ker a ~ Ker f3 ~ Ker '"Y ---+ Ker 8;
and since the top sequence is exact, we clearly have 1m c Ker at each stage
of the last sequence. The task is to show the converse, that Ker c 1m for
each pair.
(i) Let x E Ker,6, j(x) = O. Then there is an a E hn(A) with i(a) = x
because of exactness. We have to show a E Ker 0:. So, consider 0:( a); then
>..o:(a) = ,6i(a) = ,6x = 0, so o:(a) E Ker>.. = 0, and therefore a E Ker 0:.
(ii) Let ~ E hn(X, A) = Ker,)" f)~ = O. Then there exists x E hn(X)
with jx = ~. The problem is to pick such an x in Ker,6. Let us see how
far off we are with x. We find J.L,6(x) = ')'j(x) = 0, so ,6x E Ker J.L = 1m >..,
showing ,6x = >..(a') , and since a is surjective, ,6x = >..o:(a). Now consider
x - ia. We have j(x - ia) = jx = ~ because of exactness; and we have
,6(x - ia) = ,6x - ,6ia = ,6x - >..o:(a) = O. Thus, the sequence is exact at
hn(X,A).
(iii) Let ( E Kerb, i(() = O. Then there is a ~ with f)~ = (, and clearly
~ E Ker,),. 0
We now consider the reduced groups for the special case where the space
is contractible (i.e., id : X --'> X is homotopic, in X, to a constant map
F:X--,>*).
(4.9) PROPOSITION. Let X be contractible. Then hn(X, *) = o.

PROOF. We have X .!... * ~ X and clearly Pi = id*. But also iF c:::: id x be-
cause of the contractibility, and consequently, * being a deformation retract
of X, our assertion follows from (4.3). 0
(4.10) PROPOSITION. Let A c X be a subspace contractible in itself. Then
h n (X, A) S=! h n (X, * ) .
PROOF. 0 = hn(A,*) --'> hn(X,*) --'> hn(X,A) --'> h n - 1(A,*) = 0, and the
result follows. 0
The final global mechanism that we seek is the Mayer-Vietoris theorem.
(4.11) THEOREM (Mayer-Vietoris). Let A, B be any two spaces, and * E

A n B. Then there is an exact sequence
. , . --'> hn(A n B, *) (i~2) hn(A, *) EB hn(B, *) j:..±.L

2 hn(A U B, *)
8
--'> h n - 1 (A n B, *) --'> " ' ,
where iI, i 2 , j1, j2 are induced by inclusions, and f) is defined in the

proof.
PROOF. The excision')' : (A, A n B) --'> (A U B, B) induces a morphism of
the corresponding exact sequences:

-+hn+l(A,AnB)-+hn(AnB,*).i hn(A,*) ~ hn(A,AnB) ~hn-l(AnB,*)-+
, ~1 i21 ),1 ' ~1 1
-+hn+l(AUB,B)-+ hn(B,*) 2.;hn(AUB,*)~hn(AUB , B)-+ hn -l(B,*) -+
in which every fourth vertical arrow 'Y is an isomorphism. It is a general result

in the theory of exact sequences, easily established by diagram chasing (d.
the Whitehead- Barratt lemma in the Appendix), that in such a case the
sequence
. . . -t h n (A n B ,*) (i,,-i2)
-----t h n (A)
,* EEl h n ( B, *) ],+]2
-----t
h nUB,
(A *)
a hn_1(AnB,*)
-t - t '" -t 0
with 8 = 6,-lk2 is exact. o
Homology groups of spheres
We now give some applications and determine the homology of some simple
spaces:
(a) hq (Bn , *) = 0 in any homology theory.
(b) hq(sn, *) = {h q- n (*), q 2:: n,

0, q < n.
We start with sn = S"t uS"!:., where S"t, S"!:. are the "northern" and
"southern" closed hemispheres of sn. Then, by the Mayer- Vietoris theorem,
... -t hq (S~, *) EEl hq (S::', *) -t hq (S~ U s::. , *)
-t hq_l(S~ n S::., *) - t hq _ l(S~, *) EEl hq- 1(S::', *) -t ...
is exact. But S"t and S"!:. are contractible, and therefore their homology
groups are zero; so
hq(sn, *) ~ hq_dsn-l, *).
We repeat this again to find
hq_l(sn-l,*) ~ ... ~ ho(sn- q,*), q < n,
{
hq(sn, *) ~ hq(SO, *) , q = n,
hq-n(SO, *), q > n.
Now, ho(sn- q, *) = 0, for we have
*) EEl ho(S~-q, *) ~ ho(S~-q U s~-q, *) - t 0;
ho(S~-q,
since the direct sum is zero and a is onto, ho (sn- q, *) = o.

Next, hq-n(SO, *) = hq-n(p U *, *) ~ hq-n(p), and this proves the
assertion.
Thus, in any homology theory, h n (sn , *) ~ ho ( *), the coefficients, and

nonvanishing hq (sn , *) can occur only for q 2: n; for all q < n, we have
hq(sn, *) = o.
5. Comparison of Homologies. Kiinneth Theorem

In this section we derive a simple principle for the comparison of homology
theories when they are both applicable to some space X; being primarily
interested in polyhedra (where the simplicial homology is effectively com-
putable) we will require X to have a system of subsets, called a structure,
that behave as the subcomplexes of a complex. More precisely:
(5.1) DEFINITION. A structure S on a topological space X is a lattice of
subspaces (join is union, meet is intersection) containing 0, X and
satisfying the descending chain condition: each strictly decreasing se-
quence A1 :=J A2 :=J • .. is finite. An element S E S is called indecom-
posable if S =I- AU B, where A, B E S and A =I- S, B =I- S.
For example, if X is a finite polyhedron, then the set S of all sub complexes
of X is a structure, and the indecomposables are the closed simplices.
Further examples of structures are provided by the general
(5.2) LEMMA. Let S be a structure on X, and let p : Z --t X be any
surjection. Then p-l (S) = {p-l (A) I A E S} is a structure on Z
having {p - l (S) I S indecomposable} as its indecomposables.
The simple proof of this lemma is left to the reader.
Each structure S on a space X determines the structure category K(S)
in which (a) the objects are all pairs (E, A) with E, A E Sand E :=> A, and
(b) the set of morphisms (E, A) --t (F, B) consists simply of the inclusion
map if both E c F and A c B, and is empty otherwise.
The comparison theorem relates homology theories on a structure cat-
egory K(S); observe that due to the simple nature of the morphisms, the
homotopy axiom (4.1)(1) for a homology theory on K(S) is superfluous, and
a natural transformation of functors is required to commute with the images
of at most one morphism.
(5.3) THEOREM (Dugundji comparisonyrinciple). Let K(S) be a structure
category on a space X, and h, h two homology theorie~ on K(S).
Assume that there is a natural transformation t : h --t h such that
t(S) : h*(S) --t h*(S) is an isomorphism for each indecomposable
S E S. Then t(E, A) : h*(E, A) ~ h*(E, A) for every (E, A) E K(S),
and in particular, t(X) : h*(X) ~ h*(X).
392 v . The Lefschetz- Hopf Theory
PROOF. We argue by contradiction, supposing that t(E) is not an isomor-

phism for some E E S. Then there exists an A -=10 such that t(A) is not an
isomorphism, but t(B) is an isomorphism for every proper subset B c A.
Indeed, start with E; if there is some proper subset E1 c E with t(E 1) not
an isomorphism, replace E with E1 and repeat the process with E 1. This
gives a strictly descending chain E :::) E1 :::) E2 :::) . .. , which must be finite;
the final term A is a set having the specified properties; and A -=I 0 because
of (4.1)(2).
By hypothesis, A is not indecomposable, so A = B U C, where B , Care
proper subsets of A ; then B n C E S is also a proper subset of A, so we
conclude that t(B), t(C), and t(B n C) are all isomorphisms.
Using now the exact sequences for the homologies of (B , B n C) we have
the commutative diagram
.. . ~hn(BnC) ~ hn(B) ~hn(B , BnC) ~hn-l(BnC) ~hn-l(B) ~ .. .
It(Bnc) It(B) ltCB,Bnc ) It(Bnc ) It(B)

.. . ~ hn (B n C) ~ hn(B) ~ hn(B, B n C) ~ h n - 1 (B n C) ~ h n -l(B) ~ . . .
Since t(B) and t(B n C) are all isomorphisms, the 5-lemma shows that all
t(B, B n C) are isomorphisms. By strong excision and naturality, we find
from
that t(B U C, C) is an isomorphism. The 5-lemma applied to the exact se-

quences for (B U C , C) now shows that all t(B U C) are isomorphisms. But
this is a contradiction, because B U C = A.
Thus , every t(A) is an isomorphism, and in particular, t(X) : h",(X) ~
h*(X). Moreover, using the 5-lemma once again for the exact sequences
of any pair (E, A) shows all t(E , A) to be isomorphisms, and the proof is
complete. 0
As an immediate application, we give another proof of the fact that the
simplicial homology of a polyhedron depends only on the topology of the
carrier, and not on the particular triangulation used; thus any convenient
triangulation can serve for calculating the homology of a triangulable space:
(5.4) THEOREM (Topological invariance of simplicial homology). Let P
be a triangulable space and h*(P) its singular homology. Let H*(P)
denote the simplicial homology of P, using some triangulation. Then
H*(K) ~ h*(K) for every subcomplex K C P. Because singular ho-

mology is topologically invariant , simplicial homology is also topolog-
ically invariant, and in particular independent of the triangulation
used in its computation.
PROOF. Let S be the structure on P formed by the sub complexes in the
triangulation being used. By (8.9.3), H has the strong excision property,
and so also does h, since subpolyhedra are strong neighborhood deformation
retracts; thus both singular and simplicial homologies are homology theories
on K(S). On K(S), there is a natural transformation t : H -> h induced by
the chain transformation from simplicial to singular chains which sends each
generator a = Ipo, ... ,Pnl to the singular simplex Ta : ,1n --+ P given by
Ta(to, .. . ,t n ) = toPo + ... + tnPn· The indecomposables of S are the closed
simplices a, and we know that to(a) : Ho(a) ~ Z ~ ho(a) and Hn(a) =
0= hn(a) for n > O. Thus t(a) is an isomorphism on each indecomposable
of S, so by Theorem (5.3), t(E, A) : H*(E, A) ~ h*(E , A) for every pair
(E, A) E K(S). 0
We remark that in the same way as in (5.4) one can show that the
homology of ordered chains is isomorphic to the homology of oriented chains
on P.
K iinneth theorem and universal coefficients theorem e)

As another application of the comparison principle (5.3) we shall give a proof
of the Klinneth theorem concerned with the determination of the homology
of a Cartesian product K x L of two complexes in terms of the homology
of each factor. Although K x L is a complex, we will use singular homology
throughout: by (5.4), this theory is isomorphic to the simplicial homology,
and its use avoids working with an explicit triangulation of K x L.
Each singular simplex T : ,1n --+ K x L is completely specified by its
projections PKT,PLT into the two factors; moreover, the face operators 8i
also satisfy PK 8i T = 8i PK T and PL8i T = 8i PLT. Now, for each n 2 0,
consider the free abelian group C n = C n (K) x C n (L) generated by the
8 x T, where 8, T are singular simplices in K and L respectively; with the
boundary operator 8: C n --+ C n - 1 given by
8(8 x T) = (80 8) x (8 0 T) - (8 1 8) x (8 1 T) + ... ± (8 n 8) x (8 n T)
we obtain a chain complex C* = {Cn (K) x Cn (L), 8}. Since the correspon-
dence T 1-+ PKT xPLT yields an isomorphism Cn(K x L) ~ Cn(K) x Cn(L),
calculation of the homology H*(K x L) is reduced to that of C* .
(1) The reader may omit this subsection on a first reading.

We now consider the two chain complexes (Cn(K),a K ) and (Cn(L),a L )

separately. Their tensor product D* has the grading
n
Dn = EB Ci(K) ® Cn-i(L)
i=O
and the boundary operator a : Dn -? D n- 1 given by

a(Si ® Tn-i) = aKSi ® Tn- i + (-l)iSi ® aLTn- i .
The homology of the chain complex D* is denoted by H*(K ® L).
°
A chain transformation T : C* - ? D* can be constructed by setting, for
each n :2 and each generator S x T E Cn(K) x Cn(L),
T(S X T) = (h 0'" 0 onS ® T + 020'" OnS ® ooT
0
+ 03 0 '" 0 OnS ® 06T + . .. +S ® o~T.

Expressed directly in terms of maps, Ok+! 0 . . . 0 onS ® ogT is the tensor
product of the singular simplex A(to, . .. , tk) = S(to, .. . ,tk, 0, ... ,0), called
the front k-face of S, with B(to, . .. ,tn-k) = T(O, .. . ,0, to, ... ,tn-k), the
back (n - k)-face of T. This transformation is natural, being defined in
terms 01the face operators, and a straightforward computation shows that
aT = Ta, so that T is indeed a chain transformation.
Consider finally another chain complex E*, where
n
En = EBCi(K) x Hn-i(L)
i=O
and a: En - ? E n- 1 is a ® 1. Observe that since a ® 1: Ci(K) ® Hn-i(L) - ?

Ci-1(K) ® Hn-i(L) for each nand i, it follows from the definition of ho-
mology over an arbitrary abelian group that the nth homology of E* is the
direct sum
n
Hn(E*) = EB Hi(K, Hn-i(L)) .
i=O
To construct a chain transformation A : D* - ? E* we begin with the ob-

servation that because B n - 1 (L) c Cn - 1 (L) is free abelian, there exists a
homomorphism 0: making the diagram
Bn- 1
~ // 11
)t {)
C n - Bn - 1 - 0
commutative. Since aa.
= 1, this implies Cn (L) = 1m a. EB Ker = 1m a. EB a
Zn (L ), showing that the group of cycles is a direct summand of the group
of chains. Consequently, there is a homomorphism Wn Cn(L) ----+ Hn(L)

obtained by projection into Zn and then into the homology group. We now
define ,\ : D* ----+ E* by setting, for each n 2: 0,
n n
,\( L Si 0 Tn-i) = LSi 0 Wn - iTn-i.
i=O i=O
This is a chain transformation: for ,\8(Si0Tn-i) = ,\[8Si0Tn-i±Si08Tn-i],

and because W annihilates boundaries, we get '\8 = (801),\ as required.
We can now establish a version of the Kiinneth theorem:
(5.5) THEOREM. Let K and L be finite complexes. Then
n
('\7)*: Hn(K x L) ~ EBHi(K;Hn-i(L))
i=O
for each n 2: O.
PROOF. Let S be the structure in K x L determined by the sets {KJl xL},
where Kf.1 runs over the subcomplexes of K. Define
hn(E x L,A x L) = Hn(E x L,A xL) ,
n
hn(E x L, A x L) = L Hi(E, A; Hn-i(L)).
i=O
Clearly, h is a homology theory on K(S) , and so also is h, since it is a direct

sum of homology theories on K(S). The morphisms in K(S) being inclusions
j x 1, it follows that ('\7)* : h ----+ h is a natural transformation of homology
theories. We examine their behavior on the indecomposables of S, which are
the sets of the form (7n x L . We have hs((7n x L) = Hs((7n x L) ~ Hs(L)
because for any vertex Po E (7n the subspace Po x L ~ L is a strong de-
formation retract of (7n x L; and hs((7n x L) = $:=0 Hi ((7n ; Hs-i(L)) =
HO((7n; Hs(L)) = Hs(L). It is easy to see that ('\7)* establishes this isomor-
phism, so by (5.3), the proof is complete. 0
To get a more explicit form for the homology of K x L, we establish a
result in homological algebra:
(5.6) THEOREM (Universal coefficients theorem). If C is a free chain com-
plex and G is an abelian group, then
In particular , if Q is torsion-free or a field of characteristic zero,

then
PROOF. We factor the boundary homomorphism a : Cn -7 C n - I as C n ~

B n - I ~ Cn - I , where j is inclusion, and consider the commutative diagram
of boundary homomorphisms and inclusions. Because B n - I is free, there

is, as we have seen before, a homomorphism a with aoa = 1; since aa =
(jao)a = j , the diagram with a is also commutative. Now take the tensor
product of this diagram with G; the diagram is still commutative. Moreover,
since the long row is exact and E n - I is free , the tensored sequence remains
exact.
From (00 181 1) 0 (a 181 1) = 1, we see that a 181 1 is monic and
C n 181 G = Ker(ao 181 1) EEl Im(a 181 1).

From jao = a we find Ker(ao 181 1) C Ker(a 181 1) = Zn(C 181 G), so that
Zn(C 181 G) = Ker(ao 181 1) EEl [Im(a 181 1) n Ker(a 181 1)].
Because aoa = 0, we have Bn(C 181 G) = Im(a 181 1) C Ker(ao) so

Zn(C I8I G) Ker(ao I8l 1)
Hn(C 181 G) = E (C G) = ~ EEl [Im(a 181 1) n Ker(a 181 1)].
n 181 Im(a 181 1)
It remains to simplify the expressions for the direct summands. For the first
factor: by exactness, we have Ker(ao 181 1) = Im(i 181 1); moreover, Im(a 181 1)
= Im[(i I8l 1)o(k I8l 1)o(ao I8l 1)], which, because 00 181 1 is epic, gives Im(8181 1) =
(i 18I 1)[Im(k 181 1)]. Observing that i 181 1 is monic, we find
Ker(ao 181 1) Im(i I8l 1) ~ Zn l8l G

Im(a 181 1) (i 181 l)[Im(k 181 1)] - Im(k 181 1)"
k . k @1
Now, 0 - 7 En - 7 Zn - 7 Hn - 7 0 IS exact, so Bn l8l G --+ Z n l8l G - 7 H n 0 G-7
o is also exact, and therefore the first direct factor is H n (C) 181 G.
For the second factor , because 0: 0 1 and i 0 1 are monic, we have

Im(a 0 1) n Ker(a 0 1) = (0: 0 l)(Ker[(a 0 1) 0 (0: 0 1)])
~ Ker(j 0 1) = Ker[(i 0 1) 0 (k 0 1)]
~ Ker(k 0 1).
Now, as Zn-l is free, the exact sequence ~ B n- 1

when tensored with G, yields the exact sequence
° l Zn-1 ~ H n- 1 ~ 0,
°
~ Tor(Hn-1 ' G) ~ B n- 1
k0 1
0 G ---7 Zn-1 0 G ~ H n - 1 0 G ~ 0,
°
so that the second summand is ~ Tor(Hn - 1, G), and the proof is complete.
The second part is immediate, since Tor(A, Q) = whenever Q is torsion-
free , for any abelian A. 0
(5.7) COROLLARY (Klinneth formula). Let K , L be finite complexes. Then
n n
i=O i= 1
PROOF. Immediate, using (5 .6) to simplify the formula in (5.5). 0

EXAMPLE. By the Klinneth formula, the homology of SP x sq for p '# q is
Hn(8P x 8 q ) = {Z
° otherwIse.
if n = ~ , p , q or p + q,
Similarly, the homology of the torus 8 1 x 8 1 is
n = 0,
n = 1,
n = 2,
otherwise.
6. Homology and Topological Degree

In this section we illustrate the use of singular homology by presenting a
homological approach to topological degree.
We begin by a preliminary discussion which will lead us to an appropriate
definition.
One of the properties of the degree we have found is that it depends only
on the boundary values. So the question is: if we know the boundary values,
can we calculate the degree directly?
Let us start with the simple case of a map f : U ~ Rn, where U is
some convex body, and with f - 1 (0) = K c U , i.e. K n au = 0. We have
au = En - 1, an (n - 1)-sphere, and we can consider the map
7rf: E n- 1 ~ 8 n - \ where 7r(x) = x/llxll for x E R n - {O}.
398 V. The Lefschetz-Hopf Theory
Such maps have a well-defined degree, deg 1r f, and in order to define this,
we need a few preliminary remarks about orientation in Rn.
Recall that two orderings of the vertices of a simplex are called equivalent
if they differ by an even permutation. There are exactly two equivalence
classes, and each class is called an orientation of that simplex. The order in
which the vertices are written represents the selected orientation.
If (J' = (Po, PI, ... , Pn) is contained in Rn , then the orientation of (J' in-
d uced by the orientation of R n represented by (e I, ... , en) is that class
of orderings for which the unique affine map sending (Po, PI , ... , Pn) to
(0, el, ... , en) has positive determinant. This orientation of (J' depends, in
fact, only on the orientation of Rn, and not on the representation of that
orientation.
An orientation for sn-l is a definite generator b E H n- l (sn-l); since
H n- l (sn-l) = Z, a sphere has exactly two orientations, b and -b.
An orientation of Rn induces an orientation of each En-l c Rn as
follows:
(a) Regard En-l as the triangulated boundary of an n-simplex (J'.
(b) Take (J' = (Po, PI, ... ,Pn) with the orientation induced by Rn.
(c) The homology class b E Hn_1(En-l) containing 8(POPI . . . Pn) is the
induced orientation. .
Let f : En-l ---> sn-l be a map of oriented spheres, as considered above.
The degree of f is the unique number deg fEZ with f* (b') = (deg f)b.
Obviously, the degree is not uniquely determined until the orientations have
been specified; changing both orientations does not change the degree, but
changing only one of them does. However, if En-l and sn-l are always
both taken with the orientation induced by some orientation of Rn, then
the degree is uniquely determined, independently of the orientation chosen
in Rn, since the opposite orientation changes the sign of orientations of both
spheres.
Returning now to our map 1r f : En-l ---> sn-l, we find that it has a
definite degree, and it depends only on the boundary values of f.
It is instructive to calculate first the degree deg L of a nonsingular linear
map L : (Po, ... ,Pn) ---> (L(po), ... , L(Pn)). For this, we first need orienta-
tions of (po, ... , Pn) and (L(po), ... , L(Pn)).
Assume (Po, ... ,Pn) has the required orientation; then (L(po), ... , L(Pn))
must have the induced orientation, so that we obtain ±(L(po), . .. , L(Pn))
depending on whether the simplex has the same orientation as (Po, .. . ,Pn)
or not. Thus, (1rf)* sends the generator 8(po ... Pn) to 8(L(po) ... L(Pn)),
so we conclude that
deg L = signdet L = [Po, . .. , Pn] [L(po), . .. , L(Pn)] .
Therefore, as far as linear transformations are concerned, we find that
degL = d(L, B(O, 1)) as considered in §1O, and at least for such linear
maps, we have a determination of d(L, B(O, 1)) simply and directly from
the boundary values.
We now analyze the process more carefully, trying to see what can be
done if we are given 1 : U - t Rn, where U is not necessarily a convex body.
°
We assume that U is compact and tt 1(/JU); the set 1-1(0) n U = K is
therefore a compact subset of Int U.
We started off with V - K L Rn - {a} ~ sn-1, where V ::) K is a ball,
giving (7rJ)* : Hn-1(V -K) - t Hn_1(sn-1) in homology. Then we took the
boundary V C V - K to get
H n - 1( V.) i
-t H n - 1(V- - K ) (7r f).
--+ H n - 1(n-1)
S ,
and set deg 1 to be the coefficient of the generator of H n - 1(sn-1) in
(7rJ)*i(b) , where bE Hn-1(V) .
In terms of the original diagram, this can be interpreted as saying that
we have selected a distinguished element y = i(b) of Hn-1(V - K) and let
(7r J) * (y) determine the degree of f.
This distinguished element y came about easily because V is an (n - 1)-
sphere, and so has a unique basic cycle. We cannot find y so easily if V is
not a sphere, so we seek another way to get it.
For this purpose, we consider the commutative diagram
This is somewhat simpler, because the generator of Hn(V, V) is simply (In,

the top line is an isomorphism, so that i(b) = oj((Jn). Thus, the degree of 1
is determined by (7rJ)*oj((Jn). The distinguished element in Hn-1(V - K)
is oj((Jn), the image of the distinguished element j(lJn) in Hn(V, V - K).
Thus, our problem will be settled if we can find a distinguished element in
Hn(V , V - K). So we consider a further extension of the diagram:
Now, I is an isomorphism, because sn - V is contractible over itself, and e' is

an isomorphism because it is an excision, as is also e. By commutativity, we

find j(a- n ) = ek(b') , so that the degree of 1 is determined by (7f})*8ek(b') ,
and this form does not explicitly use the fact that V is a ball.
Indeed, if U is the closure of any open set and K c U is compact, then
For since K c U, we have Cu = CU c CK = lnt CK, so we can excise Cu to

obtain the above isomorphism in homology.
We are now prepared to define the degree using singular homology.
(6.1) DEFINITION. Let 1 ; U -----; Rn be continuous with 1-1(0) = K c U.
The homological degree of 1 is the integer degu (j, K) given by the
image of the generator bE Hn(sn) under the composition
Hn(sn) -----; Hn(sn, sn - K) -----; Hn(U, U - K)
-----; H n- 1 (U - K) -----; H,, - 1 (Rn - {O}) -----; H n - 1 (sn-l) = Z.
Thus degu(j,K) is given by (1ff)*8ek(b) = degu(j,K)· {J, where (J
is a generator of H n_ 1 (sn-l).
We note that the definition is formally applicable whenever the set 1-1 (0)
is replaced by a larger compact set, and when U is cut down to any nbd of
that set.
We now state an important localization property of the degree.
(6.2) THEOREM. II K c B eVe U, i.e., il K is enlarged and U made
smaller, then
degu(j, K) = degv(j, B).
PROOF. Since V c U and V -B c V -K c U - K, we have a commutative
diagram
Hn(sn , sn - B) --Hn(V, V - B) ~Hn-l(V - B)
t
Hn(sn)
t
H n_ 1 (Rn - {O})
t
Hn(sn, sn - K) ~ Hn(U, U - K) ~ Hn- 1
t
(U - K)
so the images of b across the top and across the bottom must be the same,
showing that degu(j, K) is independent of the choice of U and K. 0
Theorem (6.2) is a handy computational tool, showing that if two maps
agree on any nbd of 1- 1 (0) , then their degrees are the same. This tool will
now permit us to prove the homotopy invariance of the degree (enlarging
the compact sets is required here).
(6.3) THEOREM. Let 1, 9 : (U, aU) ---) (R n , Rn - {O}) be homotopic. Then

degu (f) = degu (g).
PROOF. Letting ht : (U,aU) ---) (Rn,Rn - {O}) be a homotopy joining 1
and g, set C = {x E U / h(x, t) = 0 for some t} = puh-1(0). This set is
compact, being the projection of a compact set. Moreover, 1- 1 (0) c C and
g-l(O) C C, so we can use U and C to compute the degree of both 1 and g.
Now, ht : U -C ---) Rn-{o} shows 1/(U -C) c:::: g/(U -C), and therefore
they induce the same homomorphism H n- 1 (U -C) ---) H n- 1 (Rn - {O}). This
Next, we show that the degree has the additivity property. This requires
cutting down open sets.
(6.4) THEOREM. Let U1 and U2 be disjoint open sets in U, and K =
1-1(0) = K1 U K2 with Ki CUi' Then
degu(f) = dcgu 1 (f/ud + degu2 (f/U2).
PROOF. Because we can cut down open sets containing K, we need only
consider 1 on U1 U U2 . Now,
H n - 1(U1 U U2 - (Kl U K 2)) = H n - 1((U1 - Kd U (U2 - K 2))
= H n - 1(U 1 - K 1) EEl H n - 1(U2 - K 2),
since these are disjoint . So we have to show that the split parts of the
distinguished element in H n - 1(U 1UU2-(K1UK 2)) are each the distinguished
elements. To see this, it suffices to consider the diagram
o
The next result follows at once from the definitions involved.
(6.5) THEOREM. II 0 E U and the map 1 : U ---) R n is the inclusion , then
degu (f) = 1. 0
The three theorems above indicate that if we assign to each 1 : (U , aU)
---) (R n , Rn - {O}) the integer degu (f), then the function 1 1-+ degu (f)
is precisely the same as the function 1 1-+ d(f, U) that we obtained in an
elementary fashion in Chapter IV. In particular, we infer immediately that :
(1) if J : U -+ Rn has isolated zeros, then the additivity reduces the

calculation of the degree to calculating it at each of those isolated
zeros;
(2) since we can use balls, the degree is particularly easy to calculate,
as just the degree of a map of spheres .
As a consequence, we obtain at once
(6.6) THEOREM (Poincare- Hopf). Let J : U -+ Rn have isolated zeros
aI , ... , an in U , where U is a convex body. Then
n
Ld(j,ai) = deg(7rJ: aU -+ sn-l) = d(j,U). o
i=l
Thus, for convex bodies we can get the degree as the sum of the individual
degrees, or directly from the boundary values (d. (E.2)(d) in §13).
A . Categories and functors

Throughout this section C stands for an arbitrary category and V for a directed set .
(A. I) Let '0= {a, ,8, . . . }. Show how to represent Vasa category.
[Regard elements a,,8, . .. as objects with one morphism a ---> ,8 if a :j ,8, and none
otherwise.]
(A.2) Identify all functors from a directed set V to a category C.
[Any such functor F : V ---> C (called a direct system in C) consists of (i) objects
F(a) = Fa in C , one for each a E V, (ii) morphisms F[(a ---> ,8)] = fa f3 : Fa ---> F{3 in C ,
one for each a :j ,8 in V, satisfying:
(i) faa = id,
(ii) fa, = f{3,fa{3 for a :j,8:j 'Y.]
(A.3) Let CD be the category (called the category of direct systems in C) whose objects
are functors from V to C and whose morphisms are natural transformations T : F ---> G
between such functors . Identify morphisms in the category CD.
(A.4) Let F : V ---> C be a direct system in a category C . Let {va: Fa ---> A} be a
family of morphisms in C indexed by 'O. Call such a family compatible if Va = v{3 fa{3 for
any a :j ,8 in 'O . A direct limit ~ F of F is a pair (F OO , { ua}) consisting of an object
F oo E C together with a compatible family {ua : Fa ---> F OO } of morphisms in C (called a
universal family) such that for any other compatible family {Va: Fa ---> A} of morphisms
in C there is a unique morphism VOO : F oo ---> A satisfying vooUa = Va for each a E 'O .
Show:
(a) If a direct limit of F exists, then it is unique up to isomorphism .
(b) A direct limit operation exists in Ab and is a functor from Ab D to Ab.
(A.5) (Adjoint functors) Given categories C and D consider two functors F : C ---> D,
G : D ---> C . We say that F is a left adjoint of G if there is a natural equivalence
D(FC),·) ~ C(' , G( ·))

of functors from C* x D to Ens, i.e., there is a bijective map
T/ = T/C,D : D(F(C), D) -> C(C, G(D))
which is natural in C and D (recall that C* is the opposite category of C).

Let F : Ens -> Ab be the free group functor, which associates with every set X the
free abelian group F(X) generated by Xi and let G: Ab -> Ens be the forgetful functor
which associates with every abelian group A its underlying set G(A) . Show: F is a left
adjoint of G.
[Given X E Ens and A E Ab, define a transformation
T/ = T/X,A : [F(X), A]Ab -> [X , G(A)]Ens
by assigning to a homomorphism A its restriction <PIX: X -> G(A). This
transformation is natural in both X and A, and the defining property of free abelian
groups implies that T/X ,A is bijective.]
(A.6) If D is a directed set, the constant functor X : C -> CD is defined as follows: X

associates with every A E C the functor X A : D -> C that takes each a E D to A and each
relation a :5 f3 to 1A, and with every f E C (A, BJ the obvious natural transformation
XA -> XB· Prove: The direct limit functor!!!!: : C -> C is a left adjoint of the constant
functor X : C -> CD .
[To show that the maps
T/ = T/F,A : [F OO , Alc = [!!!!: F, A]C ~ Nat[F, XAl
are natural and bijective, observe that each natural transformation v : F -> XA is just a
compatible family of morphisms {Va : Fa -> A}.]
(A.7) Given categories C and DIet F : C --t D be a left adjoint of G : D -> C . Prove:
F preserves direct limits, i.e., if HE CD is any functor such that limH
--->
exists in C, then
!!!!: F H = F(!!!!: H) .
[By definition , for all D in D, we have
[F(!!!!: H), DlD ~ [!!!!: H , G(D)lc.

Observe that a morphism!!!!: H --t G(D) corresponds to a compatible family of morphisms
{H(a) --t G(D)}, which, by naturality of adjointness, corresponds to a compatible family
{FH(a) --t D}. From this, using the universal property defining !!!!:FH , deduce that
!!!!:FH = F(!!!!:H).]
B. Functor-chains
°
(B.1) Let T be a category. A functor-chain C* = {Cn , 8n } on T is a sequence of covariant
functors C n : T --t Ab for n 2: together with natural transformations 8n : C n -> Cn-l
for n 2: 1 such that 8 n -18n = 0. For each X E T, we set
Hn(X) = Hn(C*(X)) = Ker8nx /Im8nx+l' n 2: 1,

Ho(X) = Co(X)/Im8r,
and call Hn(X) the nth homology group of C*(X). Prove: For each n 2: 0, the map
X I-> Hn(X) is the object function of a covariant functor Hn : T --t Ab.
(B.2) Define a natural transformation 00 : Co Ho to be, for each X E T, the projection

ot :Co(X)
-->
--> Co(X)/Imor. Show:
. .. --> Cn --> ... --> C1 ~ Co ~ Ho --> °

is also a functor-chain (called the augmented functor·-chain)C. : T --> Ab.
(B .3) A functor-chain is said to be n-acyclic at X if Hn(X) = 0. Show: For any functor-
chain C. : T --> Ab, the augmented functor-chain C. : T --> Ab is O-acyclic for all X .
(BA) Bya natural transformation T. : C. --> G. of two functor-chains from T to Ab is
meant a sequence of natural transformations
···~Cn~Cn-1~···~CO
Tnt
·· · ~Gn~Gn - 1~···-GO
tTn - 1 tTo
where each square commutes. Show:
(a) If S., T. : C. --> G. are two natural transformations of functor-chains, then so
are S. ± T. (the meaning is clear, since values can be added in Ab).
(b) R. 0 (S. - T.) = R. 0 S. - R. 0 T • .
(B.5) Two natural transformations S" T. : C. -+ G. of functor-chains are called chain
homotopic, written S. ~ T., if there exists a sequence Dn : C n -+ G n + 1 of natural
transformations such that Sn - Tn = dn+1Dn + D n - 10n. Show: The chain homotopy is
an equivalence relation in the set of natural functor-chain transformations from C. to G • .
(B.6) Let S" T. : C. -+ G. be such that S. ~ T •. Show: If R. : G. -+ G; and P. : C; -+
C. are any two natural transformations, then S. P. ~ T. P. and R. S. :::: R. T • .
(B.7) Let S" T. : C.
(a) For each n 2: ° G •.
-+ Show:
and X E T we have the induced homomorphism
Hn(S.)(X) : Hn(C.(X)) -+ Hn(G.(X)).
(b) If S. ~ T. , then Hn(S.)(X) = Hn(T.)(X) for all nand X.
C. The acyclic model theorem

(C. 1) Let G. : T -+ Ab be a functor-chain and C : T -+ Ab be any covariant functor.
Assume that:
(1) C is presentable with model (M, s),
(2) G. is q-acyclic at M , i.e., the qth homology group of G. (M) is zero.
Prove: If S : C ...... G q is a natural transformation with dq 0 S = 0, then there exists a
natural transformation S : C -+ Gq+1 such that S = dq+1 0 S.
[C being presentable with model (M, s), consider dq(M)S(M)s. Show that there is
g E Gq+ 1(M) with dq+1 (M)g = S(M)s and let S(M)s = g.]
(C.2) (Acyclic model theorem) Let C.,G. : T --> Ab be two functor-chains such that:
(1) for each n 2: 0, Cn is presentable with model (Mn, Sn) ,
(2) for each n 2: 1, G. is n-acyclic at Mn.
Prove:
(a) Every natural transformation S : Ho(C.) -+ Ho(G.) extends to a natural S.
C. -+ G •.
(b) Let S, T : Ho(C.) -+ Ho(G.) be two natural transformations such that S(Mo)[so]
= T(Mo)[soJ, where [so] E Ho(C.(Mo» is the class of So E Co(Mo) . Then any
extensions S. , T. are chain homotopic . In particular, any two extensions of a fixed
S are chain homotopic.
[Consider the augmented functor-chains
and construct first So using the fact that G. is O-acyclic for all X (see (B.3» . Then the
construction proceeds by induction. The proof of (b) is similar.]
D. Homotopy invariance of singular homology

(D. I) Let C. : Top -+ Ab be the singular complex functor-chain and G. : Top -+ Ab
any functor-chain . Show: To construct a natural transformation T. : C. -> C" we need
only specify Tn(Lln)sn E CnCLl n ) for each n in such a way that the following diagram is
commutative at Sn for each n :
Cn(Ll n ) ~ Cn_i(Ll n )
Tnt tTn - 1
Cn(Ll n ) ~ Cn-i (Lln)
(D.2) Let C. be the singular complex functor-chain and C. another functor-chain such
that for each n 2: I, G. is n-acyclic at Ll n . Show:
(a) To construct T. : C. -+ C" we need only specify T: Ho(C.) -+ Ho(C.) .
(b) Any two S , T : Ho(C.) -> Ho(C.) yielding the same value at [so] produce trans-
formations S., T. : C. -> C. such that S. c:= T •.
(D.3) (Homotopy invariance) Let C. : Top -+ Ab be the singular complex functor-chain.
Define another functor-chain C. : Top -+ Ab by
Cn(X) = Cn(X x I) , CnU) = CnU x id)

and two natural transformations ho., hh : C. -+ C. corresponding to the natural homo-
morphisms ho(X) , hi (X) : Cn(X) -+ C n + i (X x I) induced by the maps ho : x f-> (x,O)
and hi : x I-> (x, 1) of X into X x I. Show: ho. c:= hh.
(D .4) Let f, g : X -+ Y be homotopic maps . Show that the induced maps f., g. of singular
chain complexes are chain homotopic.
[Given a homotopy H : X x I -+ Y, observe that f = H 0 ho and g = H 0 hi , and
apply (D.3).]
E. Exact sequence of a triple
In this subsection the homology groups are taken with rational coefficients and are there-
fore considered as vector spaces over Q. Recall that given a pair (X , A), the Betti numbers
bn (X, A) are defined by
bn(X, A) = dim Hn(X , A) , n = 0, 1, 2, ... ,
and the Euler characteristic is given by
A pair (X, A) is said to be of finite type if the graded vector space {Hn(X , is of An
finite type. The Poincare polynomial pet, X , A) of such a pair is defined by pet, X , A) =
Lbn(X,A)t n .
Let (X , Y ,Z) be a triple of topological spaces , i.e., Z eYe X , and let
... -> Hn+1 (X , Y) ~ Hn(Y, Z) ~ Hn(X, Z) 1..::. Hn(X, Y) ~ Hn-I (Y, Z) -> .. .
be the corresponding long exact sequence of vector spaces. Let (!n(X, Y, Z) = dim 1m an .
(E.1) Let (X, Y,Z) be a triple. Establish the following relations between the vector spaces
appearing in the exact sequence of (X , Y,Z):
bn (Y, Z) = {!n+1 (X, Y, Z) + dim 1m i.,
bn(X, Z) = dimlm i. + dimlmj.,
bn(X, Y) = dimlmj. + i?n(X, Y, Z).
[Use the observation that if A ~ B .! C is an exact sequence of vector spaces, then
dimB = dimlma + dim Im,8.J
(E.2) Let Z e Y e X be a triple such that Z is a deformation retract of Y. Show:
Hn(X, Y) = Hn(X , Z) for all n 2: O.
(E .3) Let X cAe X' and Y C B C y' be two triples such that X' C Y. Assume that
X (resp . Y) is a deformation retract of X' (resp. yl). Show: bn(Y,X) ::; bn(B , A) for all
n 2: O.
(E.4) Let Z eYe X be a triple such that the pairs (X, Y) and (Y, Z) are of finite type.
Show:
(a) The pair (X , Z) is of finite type.
(b) bn(X, Y) + bn(Y, Z) = bn(X, Z) + i?n(X , Y, Z) + {!n+ l (X , Y ,Z) .
(c) bn(X, Z) ::; bn(X, Y) + bn(Y, Z) for all n 2: O.
(d) X(X, Z) = X(X, Y) + X(Y, Z) .
(e) pet , X, Y) + pet, Y, Z) = pet , X, Z) + (1 + t)Q(t, X , Y , Z) , where Q(t , X , Y, Z) =
Li?n+I(X, Y,Z)t n .
[For (e), use (E.1) and the fact that i?o(X, Y, Z) = O.J
(E.5) Let Xo C Xl C . . . C Xs be a finite increasing sequence of spaces such that each
pair (Xj , X j _ l ) (j = 1, .. . ,s) is of finite type. Show:
(a) bi(Xs, Xo) ::; Lj bi(Xj , Xj-I) for each i.
(b) X(Xs,Xo) = LjX(Xj,Xj - I ).
(c) Lj P(t,Xj,Xj _ l ) = P(t,Xs,Xo) + (1 +t)Q(t) , where Q(t) is a polynomial with
nonnegative coefficients.
F. A bstract critical point theory

Let X be a space and J : X -> R a real-valued function. For any a E R, we let
(J::; a) = {x E X I J(x) ::; a} , (J < a) = {x E X I J(x) < a}.
Below, the homology groups Hq are taken with rational coefficients and regarded as vector
spaces over Q. We say that J : X -> R is an h-function if:
(h.l) for any q E N and x E Hq(X), x f= 0, there exists c E R such that
x E Im[Hq(J::; c) -> Hq(X)) but x rt Im[Hq(J < c) -> Hq(X)),

(h.2) for any q E N, a E R and x E Hq(J < a) , x f= 0, there exists c < a such that
x E Im[Hq(J::; c) -> Hq(J < a)) but x rt Im[Hq(J < c) -> Hq(J < a)),
(h .3) for any q E N, any a E R and any x E Ker[Hq(J ::; a) -> Hq(X)), x f= 0, there
exists c' > a such that
x E Ker[Hq(J ::; a) -> Hq(J ::; c')) but x rt Ker[Hq(J::; a) -> Hq(J < c')) .
(F.l) (Critical levels) A level a E R is an ordinary level of J if Hn(J::; a, J < a) = for
all n E N. A level c is critical if it is not ordinary; it is q-critical for some q E N provided
°
Hq(J ::; c, J < c) f= 0.
Assuming that J is an h-function, show:
(a) If Hq(X) f= 0, then J admits at least one q-criticallevel.
°
(b) If Hq(J < a) f= for some a E R, then J admits at least one q-critical level c
with c < a.
(c) If Ker[Hq(J ::; a) -> Hq(X)) f=
(q + 1)-critical level c' with a < c'.
° for some a E R, then J has at least one
(F.2) (Type numbers of critical levels) If c E R is a q-critical level of J, then we let

mq(c) = dim Hq(J ::; c, J < c) and define the q-type number of J by Mq = Ec mq(c) .
Let q E N and assume that for each a E R the h-function J has only a finite number
of q-criticallevels c < a. Show: bq(X) ::; M q.
(F.3) (Morse inequalities) Assume that for any j = 0, 1, .. . , q+ 1 the h-function J admits
only a finite number of j-criticallevels. Show: If the type numbers Mo, MI,' . . ,Mq+l are
finite, then so are the Betti numbers bo(X), bl (X) , ... ,bq(X), and
q+l q q
2) -1)q-j Mj ::; 2:) -1)q- j bj (X) ::; L( -l)q-j Mj .
j=O j=O j=O
(F.4) (Critical points) Let J : X -> R be continuous and A eX. A deformation d :

A x I -> X of A into X is a J -deformation provided J(d(a, t)) ::; J(a) for all (a, t) E A x I .
A subset Z C X is said to be the set of critical points of J if:
(d . 1) Z is discrete in X,
(d.2) for any a E R, there exists a J-deformation d : (J ::; a) x I -> X satisfying
d(z,t)=z for z E Z n (J ::; a),

J(d(x, 1)) < J(x) for x E (J ::; a) n (X - Z),
(d.3) for each a E R there exists a f3 > a such that (J ::; a) is a deformation retract
of (J < (3) .
We say that J : X -> R is a d-function provided it is continuous and bounded from below,
the sets (J ::; a) are compact for all a E R, and J admits a nonempty set of critical points.
Assuming that J is a d-function, show:
(a) J is an h-function.
(b) For any z E X, let Xz = (J < J(z)) and mq(z) = dim Hq(Xz U {z},Xz ). Then:
(i) If mq(z) f= 0, then z is a critical point of J.
(ii) mq(c) = E{mq(z) I J(z) = c}.
[For (a), use the fact that singular homology has compact carriers: for any XE Hq(X ,A),
there is a compact pair (X', A') c (X,A) such that x E Im[Hq(X',A')-+Hq(X,A)J.J
(The above results are due to Eilenberg [1950J.)
G. Selected problems
(G.l) Let X be a space and A C X a closed strong deformation retract of some open nbd
U of A (over U). Show:
(a) Hn(X, A) S;' Hn(X/A , *).
(b) The above isomorphism is induced by the identification p: (X, A) -+ (X/A, *) .
[For (a), first from A cUe X and Hn(A) S;' Hn(U), using exactness and excision, deduce
that Hn(X, A) S;' Hn(X , U) S;' Hn(X - A, U - A) . Then, using (B.6) of §11, observe that
p. : Hn(X - A, U - A) S;' Hn(X/A - *, U/A - *), and thus
Hn(X,A) S;' Hn(X/A - *,U/A - *) S;' Hn(X/A,U/A) S;' Hn(X/A,*).

For (b), consider the diagram
i, ),
(X - A, U - A) - - * ) (X, U) ~<-- (X , A)
pt"
(X/A - *, U/A - *) ~ (X/A,U/A) ~ (X/A,*).J
(G.2) (Relative homeomorphisms) A map f : (X,A) -+ (Y, B) is a relative homeomor-

phism if f maps X - A homeomorphic ally onto Y - B.
Assume that (X, A) is a compact pair such that A is a strong deformation retract of
some closed nbd N of A and let f : (X, A) -+ (Y, B) be a relative homeomorphism, where
B is closed in Y. Show: f. : Hn(X , A) S;' Hn(Y, B) for all n.
[Let d : N x I -+ N be a strong deformation retraction of N onto A. Letting N =
feN) U B, prove that d: N x 1-+ N given by
deb , t) = b for b E B, tEl,

dey , t) = fdU-l(y), t) for y E feN) , tEl ,
is a strong deformation retraction of N onto B . Conclude the proof by showing the com-
mutativity of the diagram
Hn(X , A) ~ Hn(X, N) ~ Hn(X - A, N - A)
~l t~
Hn(Y, B) ~ Hn(Y, N) ~ Hn(Y - B, N - B).J
(G.3) (Mayer- Vietoris homomorphism) (a) Consider the commutative diagram of abelian
groups and homomorphisms
in which both horizontal and vertical lines are exact and kl and k2 are isomorphisms.
Show: il and jl are monic and G = il(Hl) EB h(Gl).
(b) Let (A, B) be an excisive pair and consider the Mayer- Vietoris homomorphisms
.1B : Hn(A U B) -+ Hn(A U B , B) ~ Hn(A, A n B) ~ Hn-l(A n B) ,

.1A : Hn(A U B) -+ Hn(A U B, A) ~ Hn(B , A n B) ~ Hn-l(A n B) ,
and the following commutative (hexagonal) diagram:
in which the diagonals are exact . Show: The homomorphisms from top to bottom along
the edges differ in sign, i.e. , .1B(a) = -.1A(a) for a E Hn(A U B) .
[First, using (a) , observe that
Hn(A U B , A n B) ~ Hn(A, A n B) EB Hn(B , A n B).
Then, taking a E Hn(A U B) , write the direct sum decomposition of its projection into
Hn(A U B, A n B); push that down into Hn-l(A n B) to get zero; then commutativity
gives the images along both sides.]
Singular homology
Singular homology in its present form is due to S. Eilenberg. The reader in-
terested in studying the theory in full detail may want to consult the books
of Dold [1980] and Vick [1973]. The axiomatic treatment of the ordinary
homology (and cohomology) theories is due to Eilenberg and Steenrod and
appears in their book [1952]. General homology and cohomology theories
were introduced by G.W . Whitehead [1962]; for details and other refer-
ences, the reader may consult Switzer's book [1975]. The reader interested
in historical details is referred to the book of Dieudonne [1989].
The comparison of homology principle given in Theorem (5.3) is due to
Dugundji [1966].
Cohomology theories
Cohomology can be axiomatized in the same way as homology. Let K be
a category whose objects are pairs (X, A) of topological spaces and whose
morphisms are continuous maps of such pairs.
A cohomology theory on K is a sequence h* = {h n In = 0, ±1, ±2, ... } of

contravariant functors h n : K - t Ab and a family of natural transformations
an : hn(A) -t hn+l(x, A)
such that the following axioms hold:
(1) (Homotopy) If fo , !I : (X, A) - t (Y, B) are homotopic, then hn(Jo)
= hn(Jd for all n.
(2) (Exactness) For each (X, A) E K, the sequence
.. , - t hn(x, A) -t hn(x) -t hn(A) ~ hn+l(x, A) -t hn+l(x) -t ...

(3) (Strong excision) The inclusion e: (A,AnB) -t (AUB,B) induces
an isomorphism
for all n.
For a cohomology theory h *, the graded group {h n ( *)}, where * is a one-
point space, is called the group of coefficients of the theory. By an ordinary
cohomology theory h* is meant one with h n (*) = 0 unless n = 0; if moreover
hO (*) = G, then h * is called an ordinary cohomology theory with coefficients
in G.
As in the case of ordinary homology, any two ordinary cohomology the-
ories with the same coefficient group coincide on the category of polyhedra.
Both the Cech cohomology theory and singular cohomology theory sat-
isfy the above axioms and are in fact ordinary cohomology theories on suit-
able pairs of topological spaces. These two cohomology theories differ for
some pairs (X, A).
For notational convenience we use the symbol H* to denote an ordinary
cohomology theory.
Singular cohomology
Let X be a space, C*(X) = {Cn(X), an} the singular chain complex of X ,
and G a fixed abelian group. Given an abelian group A, write Hom(A, G) for
the set of homomorphisms from A to G and note that the assignment A f--+
Hom(A, G) defines a cofunctor AC : Ab - t Ab. Just as in the construction of
singular homology H*(X; G) with coefficients in G, instead of using the ten-
sor product ® G, we can apply the cofunctor AC to the singular chain com-
plex C*(X) to obtain a cochain complex Hom(C*(X),G) = {Cn(X),(\"n},
where cn(x) = Hom(Cn(X) , G) and (\"n f E Hom(Cn+1 (X), G) is defined by
((\"nJ)(c) = f(a n+1 c), c E Cn+1 (X). The cohomology groups of this cochain
complex are by definition the singular cohomology groups of X with coef-

ficients in G and are denoted by Hn (X; G). In a similar way, one defines
the singular cohomology groups Hn(x, A; G) for a pair (X, A); it is in fact
a cofunctor from the category of pairs of spaces to the category of abelian
groups. Singular cohomology is an example of an ordinary cohomology the-
ory on suitable pairs of topological spaces.
Although the behavior of cohomology groups resembles that of homol-
ogy groups, cohomology in general has a considerable advantage over ho-
mology in that it is possible to define a product of elements of H*(X, A) =
EB Hq(X, A), and thus to convert H*(X, A) into a ring; in the context of
Lefschetz theory, this ring structure frequently permits one to obtain more
refined fixed point results than could be obtained without it.
tech homology and cohomology

We outline the Cech method of defining the homology and cohomology
groups of a space Y with coefficients in a group G. Let a = {U(i)}iEI
be an indexed open cover of Y. For each (q + l)-tuple s = (so, S1, . .. ,Sq) of
elements of the index set I we let la(s)1 = n{U(Si) Ii = 0, 1, ... , q} .
Let N(a) be the nerve of the cover a, i.e., the realization of an ab-
stract simplicial complex with q-dimensional simplices N q (a) = {s E Iq+l I
la(s)1 i- O} . The q-dimensional cochain group Cq(a) is {f If: Nq(a) -+ G},
and the usual coboundary operator from Cq(a) to C q+ 1 (a) defines the co-
homology groups Hq (a) of the cover.
The set D(Y) of all open covers of Y is directed by refinement: a cover
f3 = {V(j)}jEJ in D(Y) refines a if V(j) C U((2j) for some suitably chosen
function (2 : J -+ I. We call (2 a refining function. Being defined on vertices, (2
induces a refining map from Nq(f3) to Nq(a), which in turn induces refining
homomorphisms rj3a : Hq(f3) -+ Hq(a) and r aj3 : Hq(a) -+ Hq(f3). These
homomorphisms do not depend on the choice of the particular refining func-
tion (2. Using the directed system D(Y) we define the tech homology and
cohomology groups of Y with coefficients in G by
Hq(Y; G) = ~ {Hq(a) , Tj3a}, Hq(y; G) = lim {Hq(a), T aj3 }.
aEV(Y) aEV(Y)
A detailed exposition of the Cech theory can be found in Eilenberg-

Steenrod's book [1952].
Vietoris homology and cohomology groups

Let Y be a space and D(Y) the directed set of all open covers of Y, partially ordered by
refinement. With each cover a E D(Y), we associate an abstract simplicial complex V(a)
(called the Vietoris complex) defined as follows: the vertices of V( a) are the points of Y ,
and q + 1 points of Y form a q-simplex of V(a) if they are contained in a common open
set of a. The q-dimensional chain group Cq(V(a» is the free abelian group generated by
the ordered q-simplices of V(a); the boundary operator Oq : Cq(V(a» --; Cq-l(V(a» is
defined by
q
o((xo,···, Xq» = 2) -l)i(xo, ... , Xi, ... , Xq),
i=O
where (XO, . .. , Xi, ... , Xq) is the q-tuple obtained by deleting Xi. Then Hq (V( a» is defined
as the homology of the chain complex (Cq, Oq).
When a cover 13 E D(Y) refines another cover a E D(Y) (we write a ~ 13), then
V(f3) c V(a), so that the inclusion ia{3 : V(f3) --; V(a) induces a natural homomorphism
(ia{3)* : Hq(V(f3» --; Hq(V(a». The q-dimensional Vietoris homology group is defined as
the inverse limit
Hq(Y) = ~ {Hq(V(a» , (ia{3)*}.
aE1J(Y)
For compact metric spaces , this group was introduced by Vietoris [1927J.
To define the Vietor is cohomology of a space Y with coefficients in an abelian group e,
let a E D(Y). We define Cq(V(a» = Hom(Cq(V(a», e) and let the coboundary map oq :
Cq(V(a» --; cq+l(V(a» be defined by (oq n(c) = f(oq+lc), where f E Cq(V(a» and c E
Cq+l (V(a». The cohomology groups of this cochain complex are denoted by Hq(V(a) ; e).
If the cover 13 E D(Y) refines a E D(Y), then the inclusion Cq (V(f3» '-> Cq (V( a»
induces the dual homomorphism cq (V( a» --; cq (V(f3», and therefore the homomorphism
i~{3 : Hq (V( a); e) --; Hq (V(f3); e). The q-dimensional Vietoris cohomology group of Y
with coefficients in e is defined by
Hq(y; e» = lli!J {Hq(V(a); e) , i~{3}.
aE1J (y)
A special feature of the Vietoris cohomology is that it coincides with the Alexander-
Kolmogoroff cohomology (called also by some authors the Alexander- Spanier cohomol-
ogy); for details see the books of Spanier [1966J and Hilton- Wylie [1960J .
THEOREM (Hurewicz-Dugundji-Dowker [1948]). If a space Y is paracompact, then the
Vietoris and Cech cohomology groups of Yare isomorphic.
PROOF e). Let U be an open nbd of the diagonal L1 = {(y,y) lyE Y c Y x Y}. For
each X E Y, let Ux = {y E Y I (x, y) E U} be the x-slice of U and denote by U* the cover
{Ux I x E Y} ; we note that the space Y itself is the indexing set for the cover U*. Using
paracompactness of Y, one can prove that every open cover of Y has a refinement which
is of the form U*; in other words, the set of covers of the form U* is cofinal in the directed
set D(Y) of all open covers of Y. The class of open nbd's of L1 is directed by inclusion, and
we see that if U c V are such nbd's, then the cover U* is a refinement of V*; moreover,
there is a natural choice of the refining function which carries the index set Y of U* into
the index set Y of V*, namely, the identity. The set Nq(U*) of q-simplices of the cover
U* is in fact a subset of Nq(V*), and the induced refining map cq(V*) --; cq(U*) is
the restriction, that is, the image of f E cq(V*) is fINq(U*). It follows that the Cech
cohomology group Hq (Y) is isomorphic to the direct limit, under the homomorphisms
induced by restriction, of Hq (U*) for all neighborhoods U of the diagonal in Y x Y.
e) This proof is due to J .L. Kelley.

§15. Lefschetz Theory for Maps of ANRs 413
§15. Lefschetz Theory for Maps of ANRs

In this paragraph we return to the consideration of homological methods
that we first encountered in §9 devoted to the Lefschetz- Hopf theorem.
Now that we have singular homology available as a tool, we shall be able to
extend the Lefschetz-Hopf theorem to various classes of maps of ANRs.
We first establish a Lefschetz-type theorem for compact maps of ANRs:
this involves a suitable notion of the generalized Lefschetz number. The
relevant preliminaries are presented separately before we proceed to the
proof. In Sections 5- 7 we introduce and study four classes of noncompact
maps arising in asymptotic fixed point theory. For maps from each of these
classes, an asymptotic Lefschetz-type theorem is established.
In the last section we introduce the periodicity index of a map and using
this invariant we establish a version of the Lefschetz theorem that conveys
information about the existence not only of fixed points but also of periodic
points.
1. The Leray Trace

One of the main tools of Lefschetz theory is an algebraic refinement of the
factorization technique, based on the notion of the Leray trace and the
generalized Lefschetz number.
Let f : Y - t Y be a map and suppose f factors through a space P:
Y
;(l!
p-..I!.-y
Then, if af3 : P - t P has a fixed point, so also does f; this information is
conveyed by the commutative diagram
p-..I!.-y
a~l;( 1!
P-..l!.-Y
and the fixed point question for f is now thrown into the same question for
an associated map of another space.
Just as polytopes- specifically, maps into nerves- provide a bridge be-
tween algebraic and topological methods, so also the factorization technique
serves as a bridge in fixed point theory. For consider the case where P is a
finite polytope; then, for the above factorization, we know that af3 will have
a fixed point whenever its Lefschetz number )..(af3) is nonzero.
On the other hand, if we take singular homology over a field, then

H*(Y) = {Hq(Y)} need not be a graded vector space of finite type. So
our first task is to define the generalized Lefschetz number A(f) of f in
such a way that whenever the factorization exists, we have A(f) = )..(0:(3).
This requires a suitable definition of trace for appropriate endomorphisms
of arbitrary vector spaces.
We begin by recalling some properties of the ordinary trace that will be
needed. In what follows all the vector spaces are taken over a fixed field K.
For an endomorphism cp : E -) E of a finite-dimensional vector space E, we
let tr cp denote the ordinary trace of cp.
The following are the two basic properties of the trace function tr:
(a) (Commutativity) Let
E'~E"
~l;( l~
E/~E"
be a commutative diagram of linear maps of finite-dimensional vector spaces.

Then tr cp = tf'ljJ ; in other words, tr(f g) = tr(g 1).
(b) (Additivity) Let
be a commutative diagram of linear maps of finite-dimensional vector spaces

with both rows exact. Then tr cp = tr cp' + tr cp".
(1.1) DEFINITION. Let E be an arbitrary vector space. An endomorphism

cp : E -) E is called nilpotent if cpn = 0 for some n, where cpn : E -) E
is the nth iterate of cp; more generally, cp is called weakly nilpotent
provided for every x E E there is an integer nx (depending on x)
such that cpnx (x) = o.
(1.2) PROPOSITION. If dimE < 00 and the endomorphism cp : E -) E is

nilpotent, then tr cp = o.
PROOF. By assumption, Ker cpn = E for some n. Write the commutative

diagram
Ker <p ~ Ker <p2 ~ ... ~ Ker <pn-l ~ Ker <pn =E
~Ol /
Ker<p~Ker<p2~
1 ...
1/
~Ker<pn-l ~Ker<pn
~1
= E
in which all vertical arrows are contractions of the endomorphism <po Since
<Po = 0, by applying commutativity of the trace repeatedly, we see that the
trace of every vertical arrow is zero. In particular, tr <p = O. 0
The category of endomorphisms and the functor ii-"

We introduce some terminology to simplify the exposition of basic facts on
the Leray trace.
Denote by V the category of vector spaces and by End(V) = E the
category whose objects are pairs (E, <p) consisting of a vector space E and
an endomorphism <p : E ---+ E, and whose morphisms from (E', <p') and
(E", <p") are linear maps f : E' ---+ E" such that <p" 0 f = f 0 <p'. Let Emono
be the full subcategory of E whose objects are pairs (E, <p) with <p injective.
The category E (respectively Emono) is called the category of endomorphisms
(respectively the category of monomorphisms).
Let <p : E ---+ E be an endomorphism of a vector space E. The kernels
Ker <p C Ker <p2 C ... form an increasing sequence of <p-invariant linear
subspaces of E, and hence their union
N~ = UKer<pn = {x EEl <pn(x) = 0 for some n}

n21
is a <p-invariant linear subspace of E. Consequently, the formula
+ N~) = <p(x) + N~, x E E,

0(x
defines an endomorphism 0 :E ---+ E on the factor space E = E / N ~.
(1.3) PROPOSITION. For every <p : E ---+ E, the map 0: if ---7 if is injective.
PROOF. Clearly, it is sufficient to prove that <p-l (N~) = N ~. If x E <p-l (N~),
then <p(x) E N~, i.e., for some n, we have <pn(<p(x)) = 0 = <pn+l(x); hence
x E N~. Conversely, if x E N~, then <pn(x) = 0 for some n; thus <pn(<p(x))
= 0, and hence <p(x) E N~, i.e., x E <p-l(N~). 0
Thus, to each object (E, <p) in E we have assigned an object (E, <j5)
in Emono. We note that if f : (E', <p') ---+ (E", <p") is a morphism in E,
then f : E' ---7 E" maps N ~' into N ~", and therefore determines a linear
factor map 1: E' ---7 E" by x + N ~' f---t f (x) + N ~". It is easily seen that
1 0 0' = 0" 0 1, and thus 1 is a morphism from (E',0') to (E", 0") in E.
(1.4) PROPOSITION. The assignments (E, cp) t-t (E, cp) = (E, rp) and ft-t 1
define a functor "-,, from E to the subcategory Emono.
PROOF . An easy verification that - is a functor is left to the reader; the

fact that - sends arbitrary endomorphisms to monomorphisms was already
established in (1.3). 0
Using (1.4), the reader can easily verify the following
(1.5) PROPOSITION. Assume that the diagram
has exact rows and commutes. If dim E' < 00 , then the corresponding
diagram
O-E'~E~E"-O
0'1 _01 _0"1
O-E'~E~E"-O
has the same property. o
The Leray trace
(1.6) DEFINITION. Let E be an arbitrary vector space. An endomorphism

cp : E - 7 E is called ad,,!!:issibl.e whenever dim E < 00 . For such a cp,
the endomorphism rp : E -7 E is an isomorphism, and we define the
Leray trace Tr cp by putting Tr cp = tr rp.
We first show that the Leray trace is a generalization of the ordinary trace
function .
(1. 7) PROPOSITION . Let cp E -7 E be an endomorphism. If dim E

< 00, then Tr cp = tr cp.
PROOF . Write a commutative diagram with exact rows
O_N<p-E--E--O
<p'1 <p 01 j
O_N<p-E--E--O
By additivity of the trace, we have tr <p = tr <p' + tr:p. Since dim E < 00, we
have Ncp = Ker<pn for some n, i.e., <pn(Ncp) = {O}. From this we infer that
tr <p' = 0 (because <p' is nilpotent), and hence tr <p = tr:p = Tr <po 0
Two basic properties of the Leray trace are given in the following
(1.8) THEOREM.
(A) (Commutativity) Let
E'~E"
cplY~l
E'~E"
be a commutative diagram in the category of arbitrary vector
spaces. If one of <p, 'ljJ is an admissible endomorphism, then so
also is the other, and Tr <p = Tr 'ljJ.
(B) (Additivity) Let
O-E,-LE~E'I-O
cpr! cpl cp"!
O-E'-LE~E'I-O
be a commutative diagram in the category of vector spaces with
both rows exact and such that one of the following conditions
holds:
(i) <p is admissible,
(ii) <p' and <p" are admissible.
Then all three endomorphisms are admissible, and
Tr <p = Tr <p' + Tr <p" .
PROOF. In view of (1.4), property (A) follows from the commutativity of
tr; the proof of additivity of Tr, based on (1.5), is left to the reader. 0
We now give some examples of admissible endomorphisms:
(1.9) PROPOSITION. Every weakly nilpotent endomorphism <p : E --t E is
admissible and Tr <p = O.
PROOF. If <p : E --t E is weakly nilpotent, then E = Ncp, E = 0, and the
conclusion follows. 0
(1.10) PROPOSITION. Let <p : E --t E be an endomorphism, Eo C E an
invariant subspace, and assume that for each x E E there is a natural
nx such that <pnx (x) E Eo. Let <Po : Eo --t Eo be the contraction of <p.
If one of <Po, <P is an admissible endomorphism, then so also is the

other, and Tr <P = Tr <Po·
PROOF. Since Eo C E is invariant, we may write the following commutative
diagram with exact rows:
0--- Eo - - - E - - - E / Eo - - - 0
~o1 ~j ~11
0--- Eo - - - E - - - E / Eo - - - 0
Let x + Eo be an arbitrary element of E / Eo. By assumption there is an
integer n such that <pn (x) E Eo, and hence cpr
(x + Eo) = <pn (x) + Eo = Eo.
Consequently, by (1.9), <PI is admissible and Tr <PI = O. This, in view of
the additivity of the Leray trace, implies both of our assertions (i) and (ii),
because Tr E is admissible:
(i) dim<p(E) < 00,
(ii) dim<pn(E) < 00 for some n,
(iii) there is an invariant finite-dimensional subspace Eo C E such
that for each x E E there is an n with <pn (x) E Eo. D
2. Generalized Lefschetz Number

We recall that a graded vector space {Eq} is of finite type if (i) dim Eq < 00
for all q E Nand (ii) Eq = 0 for all sufficiently large q. We now consider
a class of graded endomorphisms of degree zero for which a generalized
Lefschetz number can be defined.
(2.1) DEFINITION. Let <p = {<pq} be an endomorphism of a graded vector
space E = {Eq}, and let lp = {lpq} be the induced endomorphism on
the graded v~tor space E = {E q }. We say that<p is a Leray endo-
morphism if E is of finite type. For such a <p we define the generalized
Lefschetz number A( <p) by
A(<p) = 2) -l)q Tr <pq 2) - l)q tr lpq,

=
q q
and the Euler number X( <p) by
X(<p) = X(E) = 2)-1)qdimEq.

q
If E = {Eq} is of finite type, then clearly A(<p) = A(<p).

§15 . Lefschetz Theory for Maps of ANRs 419
The following propositions express two basic properties of the generalized

Lefschetz number:
(2.2) THEOREM.
(A) (Commutativity) Let
E'~E"
~l;( l~
E'~E"
be a commutative diagram in the category of graded vector spaces.
If one of c.p, 'ljJ is a Leray endomorphism, then so also is the other,
and A(c.p) = A('ljJ).
(B) (Additivity) Let
O~E'~E~E"~O
~Il ~l ~lIl
O~E'~E~E"~O
be a commutative diagram in the category of graded vector spaces
with both rows exact and such that one of the following conditions
holds:
(i) c.p is a Leray endomorphism,
(ii) c.p' and c.p" are Leray endomorphisms.
Then c.p' , c.p, and c.p" are Leray endomorphisms, and
A(c.p) = A(c.p') + A(c.p").
PROOF . Clearly, this is an obvious consequence of the definitions and of the
additivity and commutativity of the Leray trace. 0
(2.3) THEOREM. Let a = {a q }, b = {b q }, c = {c q } be endomorphisms
of the graded vector spaces A = {Aq}, B = {B q } , and C = {Cq },
respectively, and assume that the following diagram in the category of
vector spaces is commutative and has exact rows:
~
Cq+l~
Oq + l A q~
iq B q~
jq Oq A
Cq~ q-l~'"
~C}::+~'+'> l:~l:,~t-~A}~:-~
If any two of a, b, care Leray endomorphisms, then so also is the
third, and A(c) = A(b) - A(a).
PROOF. Set
A~ = ImOq +l = Keri q , A' = {A~} ,
B~ = 1m iq = Ker jq, B' = {B~},
C~ = lmjq = Keroq, C' = {C~}.
By assumption, we have the following commutative diagrams with exact

rows:
O~A~~Aq~B~~O
1a~ la q lb~
O~A~~Aq~B~~O
O~B~~Bq~C~~O
lb~ lb q lc~
O~B~~Bq~C~~O
O~C~~Cq~A~_l~O
1c~ 1 Cq 1a~ - 1
O~C~~Cq~A~_l~O
In the above diagrams a~, b~, c~ are the evident contractions of aq, bq, cq,
respectively, and we let a' = {a~}, b' = {b~}, c' = {c~}.
By examining the above diagrams and taking into account Theorem
(2.2), we easily verify (i). To prove (ii), we note that from the first and
second diagrams we get, using additivity,
A(a) = A(a') + A(b'), A(b) = A(b') + A(c'),
and from the third (because of the shift in dimension) , A (c) = A (c') - A (a').
Consequently, A(c) = A(b) - A(a). 0
3. Lefschetz Maps and Lefschetz Spaces

Consider the category Top2 of pairs of topological spaces and continuous
maps, and let H* be the singular homology functor from TOp2 to the cat-
egory of graded vector spaces over K. Thus, for a pair (X, A) of spaces,
H*(X, A) = {Hq(X, A)} is a graded vector space, Hq(X, A) being the q-
dimensional relative homology group with coefficients in K. For a map
f : (X, A) -> (Y, B), H*(f) is the induced linear map f* = U*q}, where
f*q : Hq(X, A) -> Hq(Y, B).
A map f : X -+ X is called homologically trivial provided that the

induced homomorphisms f*q : Hq(X) -+ Hq(X) are trivial for all q 2': 1 and
Ho(X) ~ K, the scalar field. A space X is said to be acyclic if (i) Ho(X) ~ K
and (ii) Hq(X) = 0 for all q 2': 1.
Given a map f : (X, A) -+ (X, A) we denote by fx : X -+ X and
fA: A -+ A the evident maps defined by f.
(3.1) DEFINITION. A map f : (X, A) -+ (X, A) is called a Lefschetz map
if f* : H*(X, A) -+ H*(X, A) is a Leray endomorphism. For such an
f we define the generalized Lefschetz number AU) by AU) = AU*)
and the Euler number by xU) = xU*).
Clearly, the property of f to be a Lefschetz map depends only on the ho-
motopy class of f; and if AU) is defined and f c:::: g then AU) = A(g).
Some simple examples of Lefschetz maps are given in
(3.2) LEMMA. Let X be a pathwise connected space and f : X -+ X a map
such that for some n 2': lone of the following conditions is satisfied:
(i) fn : X -+ X is homologically trivial,
(ii) fn : X -+ X is nullhomotopic,
(iii) fn(x) is contained in an acyclic subset A of X,
(iv) X is acyclic.
Then f is a Lefschetz map and AU) = 1.
PROOF. (i) Let q 2': 1; since un)*q = 0, it follows that f*q is nilpotent,
and hence Tr f*q = 0 by (1.9). From this, because X is connected, we get
AU) = 1.
(ii) Because fn is homotopic to a constant map, f;:q = 0 for each q 2': 1,
and therefore AU) = 1 as in (i).
(iii) This case reduces to (i) by observing that r
factors as
j
X -+ A '---+ X,
and since j* = 0, we get f::q = 0, again giving AU) = 1; (iv) is obvious. 0
We are now ready to state the basic properties of Lefschetz maps and
generalized Lefschetz numbers:
(3.3) THEOREM.
(i) (Commutativity) Let
(X, A) ~ (Y, B)
9fl / lf9
(X, A) ~ (Y, B)
422 V. The Lefschet z-Hopf Theory
be a commutative diagram of pairs of spaces and maps. If one of

the composites go f, fog is a Lefschetz map, then so also is the
other , and A(g 0 f) = A(f 0 g).
(ii) (Additivity) Let f : (X, A) ----+ (X , A) be a map. If any two of
f , fx, fA are Lefschetz maps, then so also is the third, and
A(f) = A(fx) - A(fA) .
PROOF. To prove (i) , we apply the functor H* to the above diagram and
obtain the commutative diagram of graded vector spaces
Now our assertion follows clearly from the definitions involved and Theorem
(2.2).
To establish (ii) , write the commutative diagram with exact rows
... ~ Hq(A) ~ Hq(X) ~ Hq(X, A) ~ H q- 1(A) ~ ...

lUA).q lUX).q . If.q lUA).q-l
.. . ~ Hq(A) ~ Hq(X) ~ Hq(X , A) ~ Hq - 1(A) ~ ...
(= the endomorphism of the homology sequence of the pair (X, A) induced
by f). Now our assertion follows from the definitions involved and (2.3). 0
(3.4) DEFINITION. A map f : X ---+ X is called strongly Lefschetz provided
(i) A(f) is defined and (ii) A(f) #- 0 implies that f has a fixed point.
A space X is said to be a Lefschetz space if any compact map f :
X ----+ X is strongly Lefschetz.
With this terminology, we have two simple general results that are frequently
used:
(3.5) LEMMA . Let a : K ----+ X and j3 : X ----+ K. Then j3a : K ----+ K is
strongly Lefschetz if and only if so is aj3 : X ---+ X. In other words ,
given the commutative diagrams
and
we have: f is strongly Lefschetz {::} F is strongly Lefschetz.

PROOF. Our assertion follows at once from (3.3) and (0.4.1). o

(3.6) LEMMA. Let K be a compact space and assume that f : K -4 K
factors through a Lefschetz space X, i.e., there are maps 0: and (3
making the diagram
K
71f
X~K
commutative. Then f is strongly Lefschetz.

PROOF. This is an obvious consequence of (3.5) . o
We now describe two simple ways of forming new Lefschetz spaces from
old ones.
(3.7) THEOREM. If X is a Lefschetz space, then so is every retract of X.
PROOF. Let r : X - 4 A be the retraction and i : A -4 X the inclusion.
Consider a compact f : A - 4 A; then ifr : X - 4 X is also compact. Letting
0: = i : A - 4 X and (3 = fr : X - 4 A, we have 0:(3 = ifr and (30: = f.
Because 0:(3 is, by assumption, strongly Lefschetz, (3.5) implies that so is
(30: = f; since f was arbitrary, our assertion follows. 0
(3.8) THEOREM. Let K be a compact space such that every f : K -4 K
factors through a Lefschetz space. Then K is a Lefschetz space.
PROOF. This is an obvious consequence of (3.6). o
4. Lefschetz Theorem for Compact Maps of ANRs

The Lefschetz theorem for compact maps of ANRs, which will be established
in this section, includes several known fixed point results, both in topology
and in nonlinear analysis.
First, by combining the Lefschetz- Hopf theorem for polyhedra with the
approximation theorem (12.3.1) we obtain the following preliminary result.
(4.1) THEOREM. Any open subset of a normed linear space is a Lefschetz
space.
PROOF. Let U be open in a normed linear space E, and let f : U -4 U
be compact. We first show that f is a Lefschetz map. Applying (12 .3.1) to
the map f, choose a positive E < dist(f(U), aU) and an E-approximation
f~ : U - 4 U of f such that f~(U) C K~ c U , where K~ is a finite polytope
and f~ is homotopic to f.
To prove that f is Lefschetz, consider the commutative diagram
1;1/ lIe
Ke~U
Ke~U
with the obvious contractions of fe. Since H*(Ke ) is of finite type, f~ is

Lefschetz, and hence by (3.3), so also is fe, and A(f~) = A(fe). Because
f ~ fe' we infer that f is Lefschetz and
A(f) = A(fe) = A(f~).
Assume now that A(f) =I- O. Then A(fD =I- 0, and applying the Lefschetz-
Hopf Theorem (9.2.4) to f~ : Ke --t K e , we get a point Xo E U such that
Xo = f~(xo) = fe(xo)· Because Ilf(xo) - xoll = Ilf(xo) - fe(xo)11 < E, Xo is
an E-fixed point for f. Since f is compact and E was arbitrary, this completes
the proof. 0
(4.2) THEOREM.
(a) Let K be a compact metric space and suppose that f : K --t K
can be factored as K ~ X .! K, where X is an ANR. Then f
is strongly Lefschetz.
(ar Let X be an ANR and suppose that F : X --t X can be factored
as X .! K ~ X, where K is a compact metric space. Then F
is strongly Lefschetz.
PROOF. In view of (3.5), it is clearly enough to establish (a). To this end
consider the diagram
E~UE
I
I
where X is an ANR, E = l2 is the Hilbert space, and s : K --t R is a

homeomorphism of K onto R c E with inverse S-1 : R --t K . Since X is an
ANR, there is an extension <p : U --t X of the map as-I: R --t X over an
open nbd U of R in E, i.e., <pj = as- 1, where j : R --t U is the inclusion.
Now consider the composite
K~U~K.
We have ((3<p)(js) = (3(<pj)s = (3(o:s-l)s = (30: = f. Thus, in view of (4.1),

f factors through a Lefschetz space, and hence by (3.6), we infer that f is
a strongly Lefschetz map. 0
As a special case of (4.2)(a*) we obtain the first main result of this
paragraph:
(4.3) THEOREM. Any ANR is a Lefschetz space. o
(4.4) COROLLARY (Lefschetz). Any compact ANR is a Lefschetz space. 0
(4.5) COROLLARY (Browder- Eells). Any Banach manifold and more gen-
erally any Frechet manifold is a Lefschetz space. 0
As a direct consequence of (4.3) and (3.2) we have
(4.6) THEOREM. Let X be a connected ANR and, in particular, a con-
nected metric space in one of the following classes:
(i) finite-dimensional manifolds,
(ii) Banach or Frechet manifolds,
(iii) finite unions of closed convex sets in metrizable locally convex
spaces.
Assume furthermore that f : X -+ X is a compact map such that for
some n 2: 1 one of the following conditions is satisfied:
(a) fn : X -+ X is homologically trivial,
(b) fn : X -+ X is nullhomotopic,
(c) fn(x) is contained in an acyclic subset A of X.
Then AU) = 1, and f has a fixed point. 0
5. Asymptotic Fixed Point Theorems for ANRs

In Sections 5- 7 we develop some fixed point theorems for ANRs in which
the existence of a fixed point of a map f is established from assumptions
on the iterates fn of f. In the next section we shall define and study the
following four classes of locally compact maps arising in asymptotic fixed
point theory:
Xev = the class of eventually compact maps,
Xas = the class of asymptotically compact maps,
Xat = the class of maps of compact attraction,
£Ca = the class of compactly absorbing maps.
For convenience, any of these classes is called basic, and a map belonging to
a basic class is simply called a basic map. With this terminology, our goal is
to establish the following general Lefschetz-type theorem: If X is an ANR
and f : X -+ X is a basic map, then f is a strongly Lefschetz map.
We begin by introducing some terminology and notation.

Given a map f : X -+ X and a subset K c X, we let
Cf = n
n~l
fn(x) and OK = U fn(K);
n~ l
the set C f is called the core of the map f, and OK is said to be the orbit of
K under f. If K = {x} consists of a single point x EX , then Ox = OK is
the orbit of the point x. A set A c X is invariant if f(A) c A. Clearly, the
core C f and all the orbits OK, K c X, are invariant subsets for f.
(5.1) DEFINITION. Let f : X -+ X be a map, and let A and K be two

subsets of X. We say that:
(i) A absorbs K if fn(K) C A for all sufficiently large n,
(ii) A attracts a point x E X if Ox n A =F (/),
(iii) A is an attractor for f if it attracts all the points in X.
(i v) A is a stable attractor for f if:
(a) A is an invariant compact attractor for f,
(b) A admits arbitrarily small open nbds U :J A such that
f(U) C U and flU: U -+ U is a compact map.
(5.2) PROPOSITION. Let f : X -+ X be a map. If the orbit Ox of a
point x E X is relatively compact , then the core Cf is nonempty and
attracts the point x.
PROOF. Set K = Ox; since by assumption, K is compact, it follows that

f(K) C K. This, in turn, implies that K :J f(K) :J ... :J r(K) :J ...
is a descending sequence of compact sets, so nn ~ l fn(K) is nonempty and
contained in both K = Ox and C f. 0
(5.3) PROPOSITION. Let f : X -+ X b e amap and U an open invariant set

for f that absorbs every point in X. Then U absorbs every compact
set in X.
PROOF. By assumption, for each x E X there is an integer n(x) such that

fn(x)(x) E U. By continuity, there is an open neighbourhood Ux of x in
X such that fn(x) (y) E U for all y E Ux ' Let K be a compact subset
of X. Then there is a finite covering {UX1 " ' " UXl } of K. For n > N
max{n(xl), ... , n(xl)} and x E K we have fn(x) E U. 0
6. Basic Classes of Locally Compact Maps
We are now ready to describe the basic classes of maps Xev, £as, £at
and Xca.
A map f : X --'> Y between topological spaces is called locally compact

provided each x E X has a nbd Ux such that the restriction flUx: Ux --'> Y
is compact.
(6.1) DEFINITION. Let X be a regular space and f : X --+ X a locally

compact map.
(i) f is called eventually compact, written f E 1ev, provided the
iterate fn : X --+ X of f is compact for some n 2: 2.
(ii) f is called asymptotically compact, written f E Xas, provided the
core C f is relatively compact and all the orbits Ox are relatively
compact.
(iii) f is said to be of compact attraction, written f E Xat, if f has
a compact attractor.
(iv) f is called compactly absorbing, written f E £Ca, if there is an
open set U C X satisfying: (a) f(U) c U , (b) U absorbs compact
sets in X , (c) fv : U --'> U is a compact map.
We shall now establish several connections between the basic classes of

maps and the class X. These results, though more general than required in
the context of ANRs, are stated explicitly for future use.
To relate compact and eventually compact maps we need the following
(6.2) LEMMA. Let X be a regular space and f : X --+ X a locally compact

map such that j2 : X --'> X is compact. Then there is an open set
U C X satisfying:
(i) f(U) c U,
(ii) fv : U --+ U is a compact map,
(iii) j2(X) c U,
(iv) Fix(f) cU.
PROOF. We shall use the following elementary observation: if K c X is
compact and U is a nbd of K, then by the regularity of X there is a nbd W
of K such that W c W cU.
Consider the compact set K = j2(X) and note that f(K) C K, because
f(j2(X)) C f2(X) and by continuity f(K) = f(j2(X)) c j2(X) = K.
Since f is locally compact , there is a nbd Vo of K such that f(Vo ) = L is
compact. By the above observation we can find an open set Wo such that
K C Wo c Wo C Vo·
Letting VI = f-I(WO ), we observe that since K C f-I(K) and f2(L) cWo,
we have
f(Vt) c Vo, K U f(L) C VI.
We now choose an open set WI such that

KUf(L) C WI C WI C VI,
and letting V2 = f-I(W I ) we obtain, by a similar argument,
We define U = Va n VI n V2 and show that properties (i)- (iv) are satisfied:

indeed, using (*) and (**) we get
f(U) C f(Va ) n f(Vd n f(V2 ) C L n f(Vd n f(V2 )
C V2 n Va n VI = U,
and thus (i) and (ii) are established. From f2(X) eKe U, it follows that
(iii) and (iv) are also satisfied. 0
Repeated application of this lemma leads to a result relating compact

and eventually compact maps:
(6.3) THEOREM. Let X be a regular space and f : X ----) X an eventually

compact map. Then there is an open set U C X such that
(i) f(U) C U ,
(ii) fn(x) C U for some n 2: 2,
(iii) fu : U ----) U is a compact map,
(iv) Fix(J) c U. o
We relate maps of compact attraction and eventually compact maps in
(6.4) THEOREM. Let X be a regular space and f : X ----) X a map of

compact attraction. Then there is an open set U C X satisfying :
(i) f(U) c U,
(ii) U absorbs compact sets in X ,
(iii) fu : U ----) U is an eventually compact map.
PROOF. Let A be a compact attractor for f. Since f is locally compact,

there is an open set V containing A such that f(V) = K is compact. For
each x E X , there is a nbd U x and an integer n(x) such that fn(x)(y) E V
for all y E UX • Take a finite covering {UXll • •• ,UXk } of the compact set K
and put N = max{ n(xi) 11 ::; i ::; k}.
Now we define
U = V U f-I(V) U ... U f-(N-I)(V) U f- N (V).
Since for each y E K we have y E f-n(x)(V) for some n(x) with 0 ::; n(x)
::; N, we infer that K C U.
We show that U is the required open set: we have

f(U) c f(V) u V U f-l(V) u ... U f-(N-l)(V)
c K u V U f-l(V) U ... U f-(N-l)(V) c U.
Next, since U is invariant and V C U, it follows that U absorbs points in X;
consequently, by (5.3), U also absorbs compact sets.
Finally, in view of the inclusions
fN+l(U) C fN+l(V) U fN (V) U fN-l(V) U ... U f(V)
C fN (K) U ... UK c U,
we infer that fN+l(U) is contained in the union of a finite number of com-
pact sets, and hence fu is eventually compact. 0
As an immediate consequence of (6.3) and (6.4) we obtain
(6.5) THEOREM. Let X be a regular space and f : X -+ X a map of
compact attraction. Then f is compactly absorbing. 0
(6.6) COROLLARY. Let X be a regular space. Then every map f : X -+ X
of compact attraction has a stable compact attractor.
PROOF. Let Ao be a compact attractor for f. By (6.5) there is an invariant
open nbd U of Ao such that f(U) C U is compact. Letting A = Ao U f(U)
c U, we have f (A) c A; and if V c U is a smaller open nbd of A, then
f(V) C f(U) cAe V, thus showing that A is a stable compact attractor
furf. 0
We now summarize the preceding discussion in the following
(6.7) THEOREM. Assume that all topological spaces under consideration
are regular. Then the basic classes of maps and the class J(; are re-
lated by the inclusions
J(; C Xev c Xas C Xat C Xca.

PROOF. The second inclusion is obvious; the third follows from (5.2), which
implies that if f E Xas, then Cf is an attractor for f. Finally, the last
inclusion was already established in (6.5). 0
7. Asymptotic Lefschetz-Type Results in ANRs

The proof of the main result of this section relies on the following property
of Lefschetz maps:
(7.1) LEMMA. Let X be a space, A C X, and f : (X, A) -+ (X, A) a map
such that A absorbs compact sets in X. Then:
(i) f is a Lefschetz map with A(f) = 0,

(ii) if one of the maps fx, fA is a Lefschetz map, then so is the other,
and in that case A(fx) = A(fA).
PROOF. To prove (i), consider the induced endomorphism f*q : Hq(X, A) ---.
Hq(X, A) for some q 2: 0. Since A absorbs compact sets and singular ho-
mology has compact supports (see (14.1.6)), it follows that f*q is weakly
nilpotent , and hence by (1.9), Tr f*q = 0. This being true for every q 2: 0,
our assertion follows.
To establish (ii), assuming that one of fx and fA is a Lefschetz map we
conclude by (i) and (3.3) that so also is the other, and A(f) = A(fx)-A(fA).
Since A(f) = 0, the assertion follows. D
We are now ready to establish a general asymptotic fixed point theorem:
(7.2) THEOREM. Let X be an ANR and f : X ---. X a compactly absorbing
map. Then f is a strongly Lef~chdz map.
PROOF. Let U be as in (6.1)(iv). Since U is an ANR, it follows, because of
(6.1)(iv)(c) , that A(fu) is defined; consequently, by (7.1) , f is a Lefschetz
map and A(f) = A(fu). If A(f) -:f 0, then A(fu) -:f 0; since fu : U ---. U
is a compact map of an ANR, we get by (4.3) a point Xo E U such that
f(xo) = Xo· D
(7.3) COROLLARY (Browder) . Let X be an ANR, and let f : X ---. X be
asymptotically compact. Then f is a strongly Lefschetz map. D
(7.4) COROLLARY (Fournier). Let X be an ANR and f : X ---. X a map
of compact attraction. Then f is a strongly Lefschetz map. D
To give some applications , we first establish the following
(7.5) LEMMA. Let X be a pathwise connected space and f : X ---. X a map
such that one of the following conditions is satisfied:
(i) there exists an acyclic set A c X that absorbs all compact sets
KcX,
(ii) for each compact set K c X there exists an acyclic set AK C X
such that fn(K) C AK for all sufficiently large n.
Then f is a Lefschetz map and A(f) = 1.
PROOF. Since singular homology has compact supports, condition (i) implies
that for each q 2: 1 the map f*q is weakly nilpotent, so Tr f*q = 0, and
because f*o is the identity on Ho(X) ~ K, and hence Tr f*o = 1, the
conclusion follows.
The proof under assumption (ii) is left to the reader. D
With the aid of (7.5) and by taking into account general properties of
ANRs, we obtain a general result embracing numerous fixed point theorems.
§15 . Lefschetz Theory for Maps of ANRs 431
(7.6) THEOREM. Let X be a connected ANR and, in particular, a con-

nected metric space in one of the following classes:
(i) finite polyhedra,
(ii) finite-dimensional manifolds,
(iii) Banach or Fnichet manifolds,
(iv) finite unions of closed convex sets in metrizable locally convex
spaces.
Assume furthermore that f : X - t X is a basic map such that one of
the following conditions is satisfied:
(i) there exists an acyclic set A c X that absorbs all compact sets
KcX,
(ii) for each compact set K c X there exists an acyclic set AK C X
such that fn(K) C AK for all sufficiently large n.
Then AU) = 1 and f has a fixed point. 0
8. Periodicity Index of a Map. Periodic Points

In this section the singular homology groups are taken over the field Q of
rational numbers. Let X be a pathwise connected space and f : X - t X a
~efschet~ map. We recall that in th~ase we consider the automorphism
f* = {f*q} of the graded group H*(X) = {Hq(X)}, and the Lefschetz
number of f is ~ = A(]:), while the Euler number of f is xU) =
2:;;:0 (-l)q dim Hq(X).
We are concerned with the problem of detecting from f itself whether
some iterate of it has Lefschetz number different from O. We know that
AU) can be expressed using only the eigenvalues of the automorphisms f*q;
indeed, from (9.1.2) we find that each tr J.,q appearing in A(J.,) = AU) is
simply the sum of the (possibly complex) eigenvalues of J.,q. It is therefore
natural to introduce another algebraic invariant using only the number of
eigenvalues that each J.,q has (rather than their sum) and ask whether it
too has a bearing on the fixed point problem for f.
For this purpose, let
£f = {Aqi I i = 1, ... , n( q), q 2: O}
be the set of nonzero complex eigenvalues (counted with multiplicities as
roots of the characteristic polynomials) of all maps J.,q (where n(O) = 1 and
of course, A01 = 1). We find that
n(q)
2) -l)q L
00
AU) = A(J.,) = Aqi,

q=O i=1
or more generally that

n(q)
2) -l)q L
(Xl
A(r) = ).(1=) = ).~i·

q=O i=l
(8.1) DEFINITION. For each eigenvalue). in the set £f, let
ne().) = the number of times ). is an eigenvalue for an ~2i '

no().) = the number of times). is an eigenvalue for an ~2i+l'
and
f3(f) = card{)' E £f I ne().) - no().) i= O};
f3(f) is called the periodicity index of the map f.
We now extend Theorem (9.3.3) and prove a general result about exis-
tence of periodic points.
(8.2) THEOREM (Bowszyc). If the periodicity index f3(f) is nonzero, then
A(r) i= 0 for some n ::::: f3(f).
PROOF. We begin with the rational function
n(q) 1
L( -l)q L
(Xl
Lf(z) = 1 _ )'z
q=O i=l q2
=
1 [
1- z - 1 -
1
).l1Z + ... + 1 -
1]
).In(l)Z
+[ 1 + 1 + ... + 1 ] _ ....
1- ).21Z 1- ).22Z 1- ).2n(2)Z
It is clearly analytic around z = 0 (certainly for Izl < min(l/l).qil)), so it

has a power series expansion
(Xl (Xl (Xl
q=O n=l n=l

since n(q) = dimHq(X) = the number of nonzero eigenvalues in dimen-
sion q.
Now let us look at Lf(z) in another way, this time gathering terms
according to distinct eigenvalues, to get
with deg p < deg q = f3(f).

If j3(f) #- 0, then for at least one A, we have ne(A) - no(A) #- 0, so

L f (z) #- 0, because it has a pole at 1/ A and therefore at least one A (fn) #- O.
To estimate the least n with this property assume
Lf(z) = ao + A(fn)zn + .. . = ao + zn(r(z)) ,
where r is analytic and r(O) = A(fn) #- O. Then
p(z) - aoq(z) = znr(z)q(z);
the polynomial on the left has a zero of order n at z = 0, so since it is

nontrivial,
< {deg q if ao #- 0,
n - degp < deg q if ao = O.
Thus n ~ j3(f). D
We remark that the periodicity index is more efficient than the Euler
number in detecting periodic points. For although x(f) #- 0 clearly implies
that j3(f) #- 0, the converse is not true: the reader is advised to construct
a map f : s2n+l --* s2n+l of degree d(f) different from 0 and 1 for which
j3(f) #- 0 but x(f) = o.
We now draw a few consequences of Theorems (7.2) and (8.2) .
(8.3) THEOREM. Let X be a connected ANR and f : X --* X a compactly

absorbing map. If x(f) #- 0 or j3(f) #- 0, then f has a periodic point
with period n ~ 13 (f) . D
(8 .4) COROLLARY . Let Y be a connected ANR with all odd-dimensional

homology groups H 2n + 1 (X; Q) zero. Then every compactly absorbing
f : X --* X has a periodic point.
PROOF. We have x(f) 2: 1, since there are no offsetting negative terms. 0
(8.5) COROLLARY (Fuller). Let X be a connected compact ANR with Euler

characteristic X(X) #- O. Then:
(a) Every f : X --* X homotopic to the identity has a fixed point.
(b) Every homeomorphism h : X --* X has a periodic point.
PROOF. In case (a) we find A(f) = A(id) = X(id) = X(X) #- 0; in case (b)
we have X(h) = X(id) = X(X), which completes the proof. D
We conclude by presenting a simple reformulation of the Lefschetz the-

orem (obtained in a purely formal manner) that also conveys information
about the existence of periodic points. It involves the integral group ring
Z(C) of the additive group C of complex numbers.
We recall that Z (C) consists of the formal finite linear combinations

L:: ndAi], ni
E Z, Ai E C; addition in this ring is the usual addition of linear
combinations, and multiplication is defined by
We denote by E : Z (C) --. C the evaluation map defined by setting E( [Ai]) =

Ai on generators and extending by linearity.
(8.6) DEFINITION. Let f ; X --. X be a Lefschetz map, and let {Aqi I i =
1, ... , n(q)} be the set;?f all eigenvalues (counted with multiplicities)
of the endomorphism fq. We let
n(q)
[tq(f)] = I)Aqi],
i=l q
(8.7) THEOREM. Let X be a connected ANR and f : X --. X a compact

(or more generally a basic) map. Then:
(i) if [A(f)] i 0, then f has a periodic point of period at most the
length of [A(f)],
(ii) if [A (f)] rf. Ker E, then f has a fixed point.
PROOF. (i) We observe that
and this implies that the length of [A(f)] is equal to the periodicity index
{3(f). The assertion now follows from (8.3).
(ii) By definition of E we have E([A(f)]) = A(f) i 0, and thus f has a
fixed point by (7.2).
A. Formal power series
Throughout the first two subsections all vector spaces are taken over a fixed algebraically
closed field K . We denote by K[[xll the integral domain of all formal power series s =
L~=o anX n with an E K .
(A.I) Let s = L anxn be a formal power series. Show:

(a) s is invertible if and only if ao i= O.
(b) If s = 1 - AX , then s-l = L ~=o Anxn.
(A.2) Let K[x) C K[[x)) be the ring of polynomials and assume s = L anxn = uv- 1 ,
where u, v E K[x] , u, v i= 0 and deg u < deg v = k. Prove: There is no gap of length k in
L~=oanXn.
[Assume that there is such a gap: uv- 1 = lao + ... + asxS] + [as+k+lXs +k+1 + ... ];
letting ps = lao + ... + asx S ], observe that the polynomial u - vPs has 0 as a root of order
not less than s + k + 1, and thus deg(u - vPs) ::::: s + k + 1; from this get a contradiction
by showing that deg v ::::: k + 1.]
(A.3) Let d : K[[xll ---> K[[xll be the ordinary derivation, and for an invertible s E
K[[x]], let D(s) = s-ld(s) be its logarithmic derivative. Show: If Sl, ... , Sk, s E K[[xll are
invertible, then
k k
D( II Si) = L D(Si) and D(s-l) = -D(s).
i=l i=l
(A.4) Given a rational function s(x) define the conjugate s* of s by
Show:
(a) If s = uv- 1, where u = L:~:6 anxn, v = L:~=o bnx n , and bo, bk =J 0, then
k-l k
s * -_ (""'
~ anx k-l-n) ( ""'
~ nX
b k_n) - l .
n=O n=O
(b) If SI, ... ,Sm have conjugates, then so does their sum, and (L:~1 sd * = L:~ 1 s7·
B. The Lefschetz power series of a Leray endomorphism

Recall that for an endomorphism 'P : E ---> E of a vector space E we let rp : E ---> E be
induced by 'P on E = E/Ncp, where Ncp = Un >1 Ker'Pn; if'P is admissible (i.e., dimE
< (0), then rp is an automorphism, and we let w(rp) be its characteristic polynomial.
(B. 1) Show: 'P is admissible if and only if 'P n is admissible for some natural n.
(B.2) Let 'P : E ---> E be an admissible endomorphism. Show: All the roots AI, . .. ,Am
(m = dim E) of w(rp) are different from zero, and for any natural n we have
L Aj.
m
Tr('P n ) = tr(rpn) =
j=1
[Using Jordan's theorem , choose a basis in E in which rp has a triangular matrix form.]
(B.3) Let 'P = {'Pq} be a Leray endomorphism of a graded vector space E = {E q}; we
recall that in this case E = {Eq} is of finite type, the Lefschetz number A( 'P) of'P is A( 'P) =
L:~o(-I)qTr'Pq, and its Euler number X('P) is X('P) = X(E) = L:~o(-l)qdimEq.
Show:
(a) 'P is a Leray endomorphism if and only if so is 'P n for some n.
(b) If 'P is a Leray endomorphism, then X( 'P) = X( 'Pn) for all n.
(B.4) (Rationality of the Lefschetz power series) Let 'P = {'Pq} be a Leray endomorphism
of E = {Eq}. The Lefschetz power series L('P) E K[[xll of'P is defined by
= X('P) + L A('Pn)x n = L L [L( -l)q tr(rp~)]xn,

00 00 00 00
L('P) A(rpn)Xn =
n=l n=O n=O q=O
and the chamcteristic mtional function of ep is given by
II w~-l)q,
00
W = weep) =
q=O
where Wq is the characteristic polynomial of cpq. Show: L(ep) = (D(wC<p»)* = uv - 1 , where
u and v are some relatively prime polynomials with degu < degv (if u -# 0).
[Denote by Aqj (j = 1, .. . ,dim Eq) all the roots of the characteristic polynomial Wq
of cpq. Using (A.l)-(A.3) and observing that Wq = rIj(x - Aqj), establish and compare
r
the following formulas:
(Dw)* = (L( -1)q (x - Aqj )-1 = L( -1)q (1 - Aqjx) - l ,

qJ qJ
00 00 00
L(ep) =L A(cpn)Xn =L L(-I)qtr(cp~)xn

n=O n=Oq=O
00
=L L(-I)qA~jXn = L(-I)q(l- AqjX) - l .]

n=O q,j q,j
(B.5) Let ep = {epq} be a Leray endomorphism and L (ep) = uv -1 a rational representation

with relatively prime polynomials u and v as in (B.4) . Denote by peep) the degree of v .
Show:
(i) x(ep) -# 0 implies peep) -# o.
(ii) peep) -# 0 if and only if A(epn) -# 0 for some natural n .
(iii) If P( ep) = k -# 0, then for every natural m , one of A( epm+ 1), ... , A( epm+k) is
different from O.
(B .6) Let ep = {epq} be a Leray endomorphism and assume that the characteristic rational
function W of ep has the form W = yz-1, where y, z are relatively prime polynomials. Let
a and b be the numbers of different roots of y and z , respectively. Show:
x(ep)=degy-degz and P(ep)=a+b.
(The above results are due to Bowszyc [1969] .)
C. Lefschetz- type results for Len -spaces
Throughout this subsection only metric spaces are considered . A space X is n-locaUy
connected if for each x E X and each nbd U of x there is a nbd V C U of x such that
every f : 8 m -> V, m :S n, has an extension F : K m + 1 -> V. The class of n-Iocally
connected spaces is denoted by Len. We recall that for a space X , we write dim X :S n
if each open covering {U} of X has an open refinement {V} in which no more than n + 1
sets V have a nonempty intersection.
The proof of the main theorem in this subsection is based on the following results:
(Kumtowski- Dugundji theorem) For a space Y and some n 2: 0, the following properties
are equivalent:
10 Y E Len.
20 If A C X is closed and dim(X - A) :S n + 1, then each f : A -> Y can be extended
over a nbd U of A in X.
§I5. Lefschetz Theory for Maps of ANRs 437
(Bothe embedding theorem) For every n = 1,2, .. . there exists a compact (n + I)-dimen-
sional absolute retract X~n) such that every separable metric space of dimension::::; n has
an embedding into X~n).
[For a proof, see Dugundji [1963] and Bothe [1958].]
(C .1) Let K be compact with dimK ::::; n and assume that f : K -> K can be factored
as K ~ X !!... K , where X is an LOn-space. Prove: f is a strongly Lefschetz map .
[Using Bothe's theorem , embed K in the compact absolute retract X~n) with dim X~n)
= n + 1. Consider the diagram
where s : K -> K is a homeomorphism of K onto K c X~n) . Observe that since X is LOn

and dim(X~n) -K) :s n+I , the map as- 1 : R -> X extends (by the Kuratowski- Dugundji
theorem) over an open nbd U of K in X~n) to a map i{J : U -> X. Verify that f factors
through U, and conclude the proof using (3.5) and the fact that U (being an ANR) is a
Lefschetz space .]
(C.2) Let X be an LOn-space and suppose F : X -> X can be factored as X !!... K ~ X,

where K is a compact space with dim K ::::; n . Show: F is a strongly Lefschetz map.
(C.3) Let X be an LOn-space, and let F : X -> X be a compact map such that
dim F(X) ::::; n. Show: F is a strongly Lefschetz map.
The Leray trace and generalized LeJschetz number

The theory of generalized trace and generalized Lefschetz number is due to
Leray [1959]; using this generalization, Leray was able to extend his fixed
point index theory for convexoid spaces to compact subsets of such spaces
without requiring that the subsets have cohomology of finite type.
The presentation of the Leray trace theory given in the text is close to
that in the lecture notes [1969-1970] and [1980] of Granas. For the notion
and properties of the relative Lefschetz number, the reader is referred to
Bowszyc [1968]-
The Leray functor

We now briefly comment on some refinements of the Leray trace theory. Let E = End(V)
be the category of endomorph isms and Emono C E (respectively E iso C E) the subcat-
egory of monomorphisms (respectively isomorphisms) in V ; let >'1 : E -> Emono be the
functor - given in (1.4). Given a monomorphism <.p : E --t E, let I<p = n~=o <.pn(E) be the
generalized image of <.p and observe that <.p(I<p) C I<p . Given now a pair (E , <.p) in Emono , we
let A2( (E , <.p)) = (E, ip), where E is the generalized image of <.p and ip(x) = <.p(x) for x E I<p .
It is easily seen that ip is an isomorphism, and we define the Leray functor L : E --t Eiso
as the composition A2 0 AI.
The main property of the Leray functor (which can be regarded as an extension of
(1.8)) is given in the following:
THEOREM. Assume that we are given a commutative diagram as in (1.8), which can be
rephrased as the commutativity of the diagram
(E' , <.p') ~ (E" , <.p")

<p'~ y'<p"~
(E',<.p') ~ (E",<.p")
in the category E. Then L(f) and L(g) are invertible, and L(E',<.p') and L(EI,<.p") are
isomorphic.
The Leray functor appearing in Mrozek [1989] has found applications in the Conley
index theory (Mrozek [1989] and Mrozek-Rybakowski [1991]).
Lefschetz theorem for ANRs

Lefschetz [1937] extended the Lefschetz-Hopf theorem for polyhedra to com-
pact ANRs, and in his 1939 book also to the class of quasi-complexes, which
contains the compact ANRs.
F. La Salle, J . Hale, and S. Lefschetz, 1961

We give a direct and simple proof of the result for compact ANRs (as given in
Hurewicz's lectures), based on the fact that every compact ANR is c-dominated by a
finite polyhedron. Let (X , d) be a compact ANR, f : X -> X, and c > O. There is a
diagram
where Pc is a finite polyhedron, d(gk(x) , f(x)) < c for x E X , and f ':::' gk. Assuming
A(f) = A(gk) = A(kg) =f. 0, we have kg(p) = p for some p E Pc; hence gkg(p) = g(p) ,
and so d(f g(p), g(p)) < c, i.e. , f has an c-fixed point. Since c > 0 is arbitrary, the desired
conclusion follows.
The proof of the Lefschetz theorem for compact maps of ANRs given in
the text follows that of Granas [1967]; Jaworowski- Powers [1969] gave an
independent proof of the same result , similar to the above proof of Hurewicz.
Some more special but closely related results were established earlier by
G6hde [1964]' Browder [1965b], and Eells (see his survey [1966]).
Asymptotic fixed point theory
The first results in asymptotic fixed point theory are due to Leray [1945b],
Berstein [1957], Bourgin [1957], and Deleanu [1959]. Later, the theory was
developed by Browder [1970], [1974], Palais (unpublished), Nussbaum [1971],
[1972], Fournier [1975], and Eells- Fournier [1976]. The notion of the core
of a map in the context of compact spaces appeared for the first time in
Leray [1945] and was later used by Deleanu [1959]. The classes of eventually
compact and asymptotically compact maps were first studied by Browder
[1965], [1970], [1974]. Maps of compact attraction and the Lefschetz theorem
for such maps are due to Fournier [1975]; compactly absorbing maps are
implicit in the proof of the above theorem presented in Granas's lecture
notes [1980]. The presentation of the results in Sections 5-7 is close to that
of Fournier [1975] and of the above-mentioned lecture notes.
The notion of an attracting fixed point goes back to Schreier- Ulam (Stu-
dia Math. 5 (1935), p. 155) and that of a compact attractor to G6hde [1964].
The notion of a stable attractor was introduced by Nussbaum [1971].
Existence of periodic points
The periodicity index defined in (8.1) and Theorem (8.2) are due to Bowszyc
[1969]; Theorem (8.2) contains Theorem (9.3.3) as a special case. Theorem
(8.7) is due to the authors and appears here for the first time.
There exists a related approach to periodicity based on using the Lef-
schetz zeta function. Let X be a space and f : X -7 X a Lefschetz map. By
440 V . The Lefschetz- Hopf Theory
the Lefschetz zeta function (j of f is meant the formal power series
00 A(fn)zn)
(j(z) = exp (
~ n '
where A(r) is the generalized Lefschetz number of fn (we use the singular
homology with coefficients in Q).
THEOREM. If f : X --+ X is a Lefschetz map, then the Lefschetz zeta
function of f is a rational function, and
where {J:q} is the endomorphism induced by U*q} on the graded vector

space {Hq(X; Q)}, and n satisfies Hq(X; Q) = 0 for q > n.
For various versions and special cases of this result the reader is referred
to Smale [1967], Halpern [1968], Kelley- Spanier [1968], Franks [1980], and
Fadell's survey [1970].
Lefschetz theory and cohomology

If P is a polyhedron, then Hn(P; Q) and Hn(p; Q) are dual vector spaces
over Q. This implies that given a map f : P --+ P, we may use cohomology
with coefficients in Q to compute the Lefschetz number of f. In some cases,
to detect fixed points of a map, it is preferable to use cohomology rather
than homology, because the former has a ring structure.
Consider the complex projective space pn(C) with n even. With integer coefficients,
the cohomology of pn (C) can be shown to be a graded polynomial ring on a generator
(3 E H2(pn(c) ; Z) with (3n+l = O. Given a map f : pn(C) ~ pn(C) , there is an integer
b such that f*({3) = b{3 in H2(pn(C) ;Q). From the ring structure of H*(pn(C) ;Q) it
follows that
>.(f) = 1 + b + b2 + . .. + bn .
Since for n even, the polynomial 1 + x + x 2 + ... + xn has no real roots, we find that
>.(f) t=- 0, implying that f has a fixed point .
For more details and other examples the reader is referred to Lopez
[1967], Bredon [1971], and Fadell's survey [1970].
We remark that the main results of this paragraph remain valid if in
their formulation we use singular cohomology instead of singular homology.
Moreover, in any category where the tech and singular theories are naturally
equivalent- such as ANRs- the tech Lefschetz numbers and tech Lefschetz
spaces (defined using either the tech homology or cohomology) coincide with
the corresponding notions using the singular homology and cohomology.
§16. The Hopf Index Theorem

In Chapter IV we developed fixed point index theory in arbitrary ANRs.
Our aim in this paragraph is to complete the above theory by establishing
its relation to the Lefschetz number. Precisely, we are going to show that if
X is an ANR and f : X --+ X is a compact map, then its index I(f) is equal
to the generalized Lefschetz number A(f) of f. The general result will be
reduced to the special case in which X = K is the closure of a polyhedral
domain in some Rn and the map f has only isolated fixed points. The proof
of this special case will be based on the original approach of H. Hopf.
1. Normal Fixed Points in Polyhedral Domains
In this preliminary section we will deal only with a polyhedral domain U c

Rn and a continuous map f : U --+ Rn with Fix(fj8U) = 0. We have
I(f, U) = d(id - f, U). The approach to the index theorem we take requires
reduction to the case where f has isolated fixed points in U or, in other
words, id - f has isolated zeros.
Let p be an isolated fixed point of f, and let V cUbe an open set
containing p and no other fixed point of f.
(1.1) DEFINITION. The multiplicity I(f,p) of the fixed point p is given by
I(f,p) = I(f, V).
Clearly, by excision, I (f , p) is well defined.
As we have seen in (14.6.6), the use of spherical nbds of p gives:
(1.2) PROPOSITION. Let f : U --+ Rn have an isolated fixed point p, and
let V CUbe a closed ball centered at p and containing no other fixed
point of f· Then the multiplicity I(f,p) of p is the Brouwer degree
d(Fp) of the map Fp : 8V --+ sn-l given by
x - f(x)
Fp(x) = jjx - f(x)jj'
where 8V is the boundary of the ball V . o
Because we will use the notion of multiplicity for polyhedra, it is more
convenient to use simplices rather than balls. We shall denote a closed sim-
plex by V (with a dimension superscript if needed), its interior by V, and
its boundary by V.
Whenever the behavior of f around an isolated fixed point p satisfies
a mild condition called normality, I(f,p) can be calculated directly from
f itself rather than from the associated field, a matter important in our
subsequent work.
442 V. The LeE;chetz-Hopf Theory
We now first show that f can always be converted, by a small defor-

mation, to one having the required behavior around p, and then give two
methods for calculating I(j,p) for such maps.
(1.3) DEFINITION. An isolated fixed point p of f : U ------ Rn is called
normal if there is an n-simplex V c U with p E V and containing no
other fixed point of f, such that V n f(V) = 0.
Normality requires essentially that the vectors f(x) - x on V all point away
from V. A small deformation of f can always convert an isolated fixed point
to a normal fixed point without changing its multiplicity.
(1.4) PROPOSITION. Let f : U ------ Rn have an isolated fixed point p, and
let W be any open nbd of p. Let V c W be any n-simplex containing
p in its interior, with f fixed point free on V - {p}. Then there is a
homotopy ft : U ------ Rn of f such that:
(1) ft(x) = f(x) for all x E U - Wand tEl,
(2) p is an isolated fixed point of each ft (Fix(jt IV) = {p}),
(3) V n h(V) = 0 and I(j,p) = I(h,p).
PROOF. Let 0 be the diameter of V, and let >.(s) = Ilf(8) - 811 for 8 E V.
By hypothesis, >.(s) is never zero, so V being compact, hence closed in U,
Tietze's theorem assures that there is a continuous '(X), x E V,
0, x E {p} U (U - W).
Define ft : U ------ Rn by
ft(x) = [-t<p(x)]x + [1 + t<p(x)lf(x) ,
which pushes f(x) along the ray xf(x) away from x. Clearly fo = f and
ft(x) = f(x) for all t and all x E {p} U (U - W); in particular, ft(p) =
f(p) = p for all tEl.
Each ft is fixed point free on V - {p}: if ft (x) = x for some x E V and
tEl, then x = [-t<p(x)]x + [1 + t<p(x)lf(x), and therefore [1 + t<p(x)]x =
[1 + t<p( x)] f (x); since 1 + t<p( x) 2': 1, this shows that x = f (x), and therefore
x = p. Thus, ft is a homotopy of f that is fixed point free on V - {p}, so in
particular, (1.2) shows that I(j,p) = I(h,p).
To see that p is a normal fixed point of h, we note that if 8 E V, then
118 - p II :::; 15, so
Ilh(8) - pll 2': Ilh(s) - 811-118 - pll 2': (1 + <p(8))llf(8) - 811- 0
= [1 + 36/>.(8)]>.(8) - 6 2': >.(8) + 262': 26,
which shows h(8) tj. V. Thus, V n h(V) = 0, and the proof is complete. 0
If p is a normal fixed point for J : U ---. Rn, then an n-simplex V C U

with p E V such that (1) vnJ(V) = 0 and (2) J is fixed point free on V - {p}
is called a normal simplex for J at p. We give two ways for calculating I(j,p)
directly from the behavior of J itself on a normal simplex. The first involves
JIV:
(1.5) PROPOSITION. Let J : U ---. R n have a normal fixed point p, and let
V be a normal simplex Jor J at p. Let 7rpJ : V ---. sn-I be defined by
J(x) - P
7r pJ(x) = IIJ(x) _ pil ' x E V.
Then 1(j,p) = (-l)nd(7rpJ).
PROOF. Because J(s) tt V whenever s E V, we have J(s) i- (1- t)s + tp for
all s E V and tEl, so
P (x) __ [(1 - t)x + tpj - J(x)
t - 11[(1 - t)x + tpj- J(x)11
gives a homotopy P t : V ---. sn-l of Fp (see (1.2)) to -7rpJ. The degree
of the antipodal map a : sn-I ---. sn- I given by x f-+ -x is (_l)n. Thus
a 0 PI = 7rpJ , so from I(j,p) = d(Fp) = d(PI) = d(a)d(7rpJ) the conclusion
follows. 0
The second description of 1(j, p) on a normal simplex is more important
for our purposes; its formulation requires some preliminary notation.
Consider R n embedded as the hyperplane Xn+1 = 0 in Rn+l. Given an
n-simplex VeRn and a point p E V, let .1 be the cone over V with vertex
p* = (p, 1), so that V U .1 = En can be visualized as a space homeomorphic
to sn attached to Rn - V along the "equatorial (n - 1)-sphere V" . The map
of En into itself which, for each s E V, maps the segment ps linearly onto p* s
and the segment p* s linearly onto ps, is a homeomorphism (corresponding
to the reflection of sn in its equatorial (n - 1)-plane), and defined to be the
identity map on Rn - V, gives a homeomorphism Q : Rn U En ---. R n U En.
We also observe that the radial retraction l' : R n ---. V from p extends, by
letting it be the identity on .1, to a retraction
l' : R n U .1 ---. En = V u .1.
Now let J : U ---. Rn have a normal fixed point p, and let V(p) = V be
a normal n-simplex for J at p. Attaching the cone .1 to V, we have U U .1
open in Rn U .1, and we define the normal extension f: U U .1 ---. R n U .1
of J to be
f(x) = { Q-I J Q(x), x E .1,
J(x), x E U.
444 v. The Lefschetz-Hopf Theory
Since f(:~) rt V whenever x E V, the two definitions of f agree on L1nU = V,

so that f is continuous.
(1.6) PROPOSITION. Let f : U ----t R n have a normal fixed point p, let
1: U U .1 ----t R n uL1 be its normal extension, and let r : Rn U .1 ----t En
be the radial retraction from p. Then d(r JiEn) = d(7rp f).
PROOF. Let 1E = rJiEn. Using reduced homology groups, we first observe
that because Hi (.1) = 0 for i 2: 0, the homology exact sequence for (En, .1)
shows that j* : Hn(En) ~ Hn(En, .1); by excision we find that
Hn(En, .1) = Hn(V U .1, .1)::-' Hn(V, V n .1) = Hn(V, V),
C>I
and finally, again because Hi(V) = 0 for i 2: 0, we conclude that a

Hn(V, V) ~ Hn-1(V).
Now consider the diagram
Hn(En) ~ Hn(En, .1) ~-

Hn(V, V) ~
-
Hn-1(V)
(117)·1 . (iE)·l (iEIV)·l (h!V)·l

Hn(En) ~Hn(En,L1) ( ~ Hn(V, V) ~:> Hn-1(V)
Since all the horizontal isomorphisms are induced by inclusions or boundary
homomorphisms, this diagram is commutative. Note that if b is a generator
for Hn(En), then c = oe-1j*(b) is a generator for Hn-1(V); now the com-
mutativity shows that if (1E)*(b) = d·b, then (1EIV)*c = d·c, and therefore
d(1E) = d(r fIV). Letting cp : V ----t sn - l be the homeomorphism
x-p
x f-+ Ilx _ pil '
we have
7rp f = cp 0 (r fIV),
and so since d(cp) = 1, we find d(7r p J) = d(rfJV) = d(rJiEn). o
In view of (1.5) and referring to the definition of the degree of a map
sn ----t sn, this result permits an interpretation of ( -l)n /(1, p) as essentially
the algebraic number of times that f(V) covers a given point x E V - {p}.
2. Homology of Polyhedra with Attached Cones

Let U be a polyhedral domain in R n and K = U. Our approach to the
index theorem for a map f : K ----t K is based on an idea of Hopf; it relies
on enlarging K to a polyhedron Kc by attaching suitable cones and relating
the Lefschetz number of the given f to that of a suitably chosen extension

f e : Ke ---> Ke · In this section we derive the homological properties that will
be needed.
Let a = (po, . .. ,Pn) be a closed n-simplex in K. Choose a vertex p* in
Rn+l - K, and recall that the cone 1.::11 over lal consists of the simplices
{p* . oa} together with all faces of such simplices (see §8, Section 5) . The
simplicial complex K U 1.::11 is topologically IKI with a cone over lal; the
sub complex 1.::11 U lal is denoted by En and is homeomorphic to sn. Choose
a point p E 117"1; then the reflection En ---> En that interchanges (Ial ,p) and
(1.::11 , p*), defined as in the previous section, extends to a homeomorphism
(} : (K U En , En) ---> (K U En, En) by taking it to be the identity on K - En;
in fact , if a central subdivision of Ial with p as vertex is extended to a
subdivision of K , then (} is a simplicial homeomorphism of the resulting
complex.
Letting .::1 represent the chain p* . oa
in K U En, we have 0.::1 = oa -
p* .ooa oa, = so that the chain .1 - a
is an n-cycle in K U En.
In what follows, we work exclusively with homology over the rational
field Q; to simplify the notation, we denote H*(K; Q) simply by H*(K).
(2.1) THEOREM . Let K = K u En be the polyhedron obtained by attaching
a cone to K on the boundary of some n-simplex. Then
Hi(K) = {Hi(K),
Q,
=
~ n,
z - n.
Precisely , the homology class [.::1- a] of the cycle .::1- a is a generator
of Hn(K).
PROOF. Noting that
Hi(K U En, K) = Hi(K u 1.::11, K) ~ Hi (1.::11, 1.::11 n K) = Hi(I.::1I, ILlI)
'""
by excision, and that 1.::11 is homeomorphic to an n-ball, we deduce that
Hi (K U En , K) = 0 for i # n, and is generated by .::1 for i = n. The exact
homology sequence for the pair (K U En , K) therefore decomposes to
Hi(K U En) ~ Hi(K), i # n, n- 1,
and because Hn(K) = 0,
0---> Hn(K U En) ~ Hn(K U En , K)

~ Hn-1(K) ---> Hn - 1(K U En) ---> o.
Consider now [.::1 - a] in H n (K U En); since
j*[.::1- a] = (.::1- a) + [Bn(K U En) + Cn(K)]
= .::1 + [Bn(K U En) + Cn(K)]
and .<:1 generates Hn (K u En , K), it follows that j* is an isomorphism; hence

f) is the zero homomorphism and Hn-1(K) ~ Hn-1(K U En). 0
We now examine the behavior of certain maps on the generator [.<:1- a]
of Hn(K U En).
(2.2) COROLLARY. Let Q : K U En ---+ K u En be the reflection. Then

Q*[L1- a] = -[.<:1- a].
PROOF. We have already remarked that Q is simplicial if K is taken with

a suitable subdivision, SdK. Since Q*(.<:1- Sda) = Sda -.<:1, we conclude
that .9*[.<:1- a] = -[.<:1- a]. 0
To study the behavior of arbitrary continuous maps 9 : KUE n ---+ KUEn,
we begin by observing that because lal is an absolute retract, there is a
retraction K ---+ lal; this clearly extends, via the identity map on En, to a
retraction r : K U En ---+ En.
(2.3) COROLLARY. Let g: KUEn ---+ KUEn be any continuous map, and
let gE = glEn. Then
g*[.1- a] = d(rgE)[.<:1- a],

where d(rgE) is the degree ofrgE: En ---+ En.
PROOF. We certainly have g* [.<:1-a] = q[.<:1-a] for some q E Q. To determine

the value of q , consider the retraction r : KUEn ---+ En. We have r*[.<:1-a] =
[.<:1- a], since rl En = id. Thus, r *g* [.<:1- a] = qr * [.<:1- a] = q[.<:1- a], so that
q = d(rgE). 0
Repeated application of these results leads immediately to the main re-
sult, in the form we shall need.
(2.4) THEOREM. Let {Iaj I I j = 1, ... , N} be a pairwise disjoint family

of closed n-dimensional simplices in a polyhedron K. Choose a point
Pj E IUjl for each j, and let Ke = K U El u··· U EN be the space K
with cones attached on each ICrj I. Then:
(1) If .9j : E j ---+ E j is the reflection, then the map (! : Ke ---+ Ke
defined by
(!(x) = {(!j(X) , x E E j ,
x, x E K-UEj,
is consistently defined and continuous.
(2) For each i i= n , we have Hi(Ke) ~ Hi(K).
(3) The vector space Hn(Ke) has the basis {[.<:1 j -aj] I j = 1, ... ,N}.
(4) Foranyg: Ke---+Ke , if the endomorphismg*: Hn(Ke)---+Hn(Ke)
is expressed in this basis , then

N
g*[.1 i - ail = Ld(rjg!Ei )[.1 j - ajl,

j=l
where rj : Kc ~ E j is the retraction e). o
3. The Hopf Index Theorem in Polyhedral Domains
We are now ready to prove the basic

(3.1) THEOREM. Let K be the closure of a polyhedral domain U in Rn, and
assume that a map f : K ~ K has finitely many isolated fixed points
PI, ... ,Ps lying in different open simplices of dimension n. Then
s
>.U) = L TU ,pj)·
j=l
PROOF. According to (1.4) by a small modification of f confined entirely
to an arbitrarily small neighborhood in the simplex containing it , each Pj
can be enclosed in a small simplex normal for f at Pj, in such a way that
the family of those normal simplices is pairwise disjoint. Taking K with a
subdivision that does not disturb those simplices, we can therefore assume
that the family of simplices {a j} containing the {Pj} is pairwise disjoint,
each contains exactly one Pj, and each a j is a normal simplex for f at Pj·
For each Pj and aj, attach the cone .1 j to K, to get the space Kc =
K u L\ u ... u Es . Because each simplex is normal for f atYj, the map
f : K ~ K has a normal extension over each ,1 j, leading to f : K c ~ K c;
the only fixed points for 1 are the Pj and the vertices pj of the cones. Let
(2 : Kc ~ Kc be the reflection map of (2.4)(1); it follows that (21 has no
fixed points, and therefore >'((21) = O.
We now relate >'((21) to >'U). Because for all dimensions i < n we have
(2*i = idHi(K c )' and hence tri((2[) == tr[((21)*il = tri f, we need to worry
only about dimension n. By (2.4)(3), {[.1 1 - all, ... , [.1 s - as]} is a basis of
Hn(Kc).
By (2.4)(4), for each j = 1, ... , s,
((21)*[.1 j - ajl = d(rj(2JlEj )[.1j - ajl·
e) This retraction is the composite of the obvious retraction Kc -> K U E j and a

retraction Q from K U Ej onto Ej obtained by extending the radial retraction from Pj of
K onto 17j over K U Ej by letting QI.:1j = id,dJ.
Thus,
s s
tr n (gl) = Ld(rjgi1 17j) = Ld(rjgi1 17j).
j=1 j=1
Now, letting gj = g[17j : 17j -7 17j we have rjgi117j = gjrj l[17j , so this is
the composition
since d(gj) = -1 by (2.2), we find
d(rjgJj17j ) = -d(rji117j ).
Moreover, since 1 is a normal extension, (1.6) and (1.5) show that
s s s
tr n (gl) = - Ld(rjJj17j ) = - Ld(7rpj f) = _(_l)n L1(f,pj).
j=1 j=1 j=1
Thus, by taking the alternating sum of traces, we find
n-1
0= )..(gl) = L(-l)i tri (gl) + (-l)ntr n (gl).
i=O
We now claim that tri f = tri(gf) for i < n: indeed, if l : K <.......; Kc is the
inclusion and r : Kc ----t K the obvious retraction, it follows by (2.4) (2) that
l*i is an isomorphism. From rl = idK we get r *i = l:;,/, and from f = rgjl we
obtain f*i = r*i(gn*il*i = Z-:;/(gn* i l*i; thus the desired conclusion follows .
From this and because trn f = 0, we get
n s
0= )..(gJ) = L( _l)i tri(gl) = )..(f) - (_l)n( _l)n L 1(f,pj);
i=O j=1
this gives )..(f) = 1(f, K) = 1(f, U) = 2:;=1 1(f, Pj)· o
4. The Hopf Index Theorem in Arbitrary ANRs

We can now prove the basic normalization theorem, which we first establish
in the following form:
(4.1) THEOREM. Let U c Rn be open and F : U -7 U a compact map.
Then
I(F, U) = A(F) ,
where A(F) is the (generalized) Lefschetz number of F and I(F, U)
is the fixed point index of F.
PROOF. We begin by showing that A(F) is well defined. By taking a smaller

open set if necessary, we may assume that U is a polyhedral domain. Let
o < c < dist(aU, F(U)); we can then find a polyhedral domain V with
K = V such that B(F(U), c) eVe K cU. Let j : K'---7 U; then
I(F, U) = I[jF, U] (since U .!., K L U)

= I[Fj,j-l(U)] = I[FIK, K].
Moreover, because A(F) = A(jF) = A(Fj) = A(FIK) = A(FIK), A(F) is
defined.
For any 15 < c, every (j-approximation of F : K -. K has values in K.
Now, let f = id -F : K -. Rn. There is a (j-approximation fo of f having
finitely many zeros, and with dUo, K) = d[id -F, K] = I(F, K); we can
assume that the zeros of fo are all in the interiors of n-simplices of K.
Consider now Fo = id - fo; since Fo is a (j-approximation to F, we have
Fo : K -. K; and for sufficiently small 15, also Fo ':::::' F. Furthermore, by
definition
I(Fo, K) = d[id -Fo, K] = dUo, K) = I(F, K).
Now by (3.1) the assertion of the theorem holds for F o, so we get
I(F, U) = I(F, K) = I(Fo, K) = A(Fo) = A(FIK) = A(F). D
We are now ready to prove the main result.
(4.2) THEOREM. Let X be an arbitrary ANR and F : X -. X a compact
map. Then J(F, X) = A(F), where A(F) is the (generalized) Lefschetz
number of F and J(F, X) is the fixed point index of F.
PROOF. Assume first that X = U is an open subset of a normed linear
space E. Given a compact map F : U -. U let 0 < c < dist(F(U), aU), let
FE: : U -. U be a Schauder c-approximation of F with values in a finite-
dimensional subspace En of E, and let Un = un E; clearly, FE: is compact
and FE: ':::::' F.
Consider the following commutative diagram in which all the arrows
represent either the obvious inclusions or contractions of the map F:
/IF<
Un~U
F~l
Un~U
By the definition of the index, (4.1), and (15.3.2), we have J(F, U)

J(F;, Un) = A(F;) = A(FE:)' Since FE: ':::::' F, this gives J(F, U) = A(F), and
the proof is complete.
Assume next that X is an arbitrary ANR and F : X --) X is compact.

Then there is an open subset U of a normed linear space E and maps
r : U --) X and s : X --) U with rs = Ix . By definition, I(F, X) = I(sFr, U),
and by the above special case, I(sFr, U) = A(sFr); because A(F) = A(sFr),
the conclusion follows. D
5. The Lefschetz-Hopf Fixed Point Index for ANRs

In this section we return to the consideration of the fixed point index for
ANRs and examine the concept from the viewpoint of algebraic topology.
We summarize now the main results of Chapters IV and V, and state
the fundamental theorem on existence and uniqueness of the Lefschetz- Hopf
index for compact and compactly fixed maps.
(5.1) THEOREM. Let § be the class of maps defined by the condition:
f E § if and only if f E §(U, X), where f is compact, X is an
ANR, and U is open in X. Then there exists a unique index function
I : § --) Z assigning I(f) = I(f, U) to each f E §(U, X) and
satisfying the following properties:
(I) (Strong normalization) If U = X and f : X --) X is in §,
then I(f , X) = A(f).
(II) (Additivity) For f E § and any disjoint open V1, V2 C U , if
Fix(f) C V1 U V2 , then I(f, U) = I(f, Vd + I(f , V2 ).
(III) (Homotopy) If h t : U --) X is a compact and compactly fixed
homotopy, then I(ho , U) = I(h1' U).
(IV) (Commutativity) Let X, X' be ANRs , U c X, U' c X' open ,
and f : U --) X', g : U ' --) X continuous. Consider the maps
gf : V = f-1(U ' ) --) X, fg: V' = g-l(U) --) X'.
If both gf and fg are in § and f is compact, then I(gf, V) =
I(fg, V').
PROOF. The existence of I is an immediate consequence of (12.5.2) and (4.2).
We now show that the function I : § --) Z is in fact uniquely determined
by properties (I)- (IV).
Let Co denote the category of open sets of finite-dimensional normed lin-
ear spaces, and §o the class of all maps f E §(U, X) with X E Co and U C X
open. From Theorem (12.1.2) , it follows that the function 10: §o--)Z,
10 = II§o , is uniquely determined by properties (I)- (IV) (in fact, even by
properties (I)- (III)); consequently, 10 also has the excision and contraction
properties as in (12.2.1).
Let C1 denote the category of open subsets of normed linear spaces and
§1 the class of all maps f E §(U, X) with X E C1 and U C X open.
Assume that h : §l ---> Z has properties (I)-(IV). Since h has the excision
property (by additivity), it follows by commutativity that h also has the
contraction property (the argument is similar to that in Section 12.2). Since
every compact map is compactly homotopic to a finite-dimensional map, it
follows by homotopy, excision, and contraction that h is completely deter-
mined by its values on maps in §o. Thus, in view of the uniqueness of 10 ,
the function h must coincide with the Leray- Schauder index.
Lastly, let 1 be defined on § and have properties (I)- (IV). Let f E
§(U, X) (X is an ANR, U c X open), and let V be an open set in a
normed linear space that r-dominates X with s : X ---> V, l' : V ---> X,
rs = Ix. By commutativity applied to s : X ---> V, fr : r-l(U) ---> X (note:
fr and sfr are compact), we get
l(frs, s - l r- 1 (U)) = 1(f) = l(sfr, r-l(U)).
Thus, if 1 has the commutativity property, then it is completely determined
by its values on maps in §1. Consequently, if 1 also has properties (I)-(III) ,
it is necessarily the unique extension of the Leray- Schauder index from §1
to §. 0
We now state the main theorem on the index for ANRs in a closely
related and in fact equivalent setting of compact maps that are fixed point
free on the boundary.
(5.2) THEOREM. Let X be the class of maps defined by the condition:
f E X if and only if f E Xau(U, X), where X is an ANR and U
is open in X. Th en there exists a unique index function i : X ---> Z
assigning i(f) = i(f' U) to each f E Xau(U, X) and satisfying the
strong normalization, additivity, homotopy, and commutativity prop-
erties.
PROOF. This follows easily from (12.6.2) and (5.1); the details are left to
the reader. 0
6. Some Consequences of the Index

We give a few consequences and applications of Theorem (5.1).
Relative Lefschetz theorem for pairs of ANRs

Given a pair (X, A) of spaces, a map f : (X, A) ---> (X, A) is said to be
compact if both f x : X ---> X and fA: A ---> A are compact.
(6.1) THEOREM (Bowszyc). Let (X, A) be a pair of ANRs, and let f :
(X, A) ---> (X, A) be a compact map. Then:
(a) the relative Lefschetz number A(J) = A(J*) of f is defined and

A(J) = A(Jx) - A(JA) ,
(b) A(J) i- 0 implies that f has a fixed point in X-A.
PROOF. (a) follows at once from (15.3.3) and (15.4.3).
(b) Assume that A(J) i- 0 and f has no fixed points in X-A. Then
Fix(Jx) eX - X - A = U = Int A. By strong normalization and excision,
A(Jx) = I(Jx, X) = I(Jx, U).
On the other hand, because Fix(J) C u,
I(Jx, U) = I(JA, U) = I(JA , A) = A(JA).
Thus we get A(J) = A(Jx) - A(JA) = 0, a contradiction. D
(6.2) COROLLARY. Let X be an acyclic ANR, A = U~=l Ai a disjoint

union of ARs, all closed or all open in X, and f : (X, A) ---t (X, A)
a compact map. For each i E [nJ define r(i) by f(Ai) C AT (i) and set
k = card{i I r(i) = i}. If k i- 1, then f has a fixed point in X-A.
PROOF. Since A(J) = 1- k, the assertion follows from (6.1). D

(6.3) COROLLARY. Let X be an acyclic ANR , and U the union of open sets
U 1 , ... , Un, n 2: 2, whose closures are ARs and are pairwise disjoint.
Let f : X - U ---t X be a compact map satisfying f (aUi ) c Ui for
each i E [nJ. Then f has a fixed point.
PROOF. Let A = U~=l Ui . In view of (6.2.5) , there exists a compact map

9 : (X, A) ---t (X, A) such that g( x ) = f(x) for all x E X - U. Since
A(g) = 1-n i- 0, we infer from (6.1) that there is some x E X - A = X - U
such that x = g(x) = f(x). D
The mod p theorem
The second consequence is a version of a result due to Steinlein-Krasno-

sel' ski'l- Zabre'lko.
(6.4) THEOREM. Let X be an ANR, f : X ---t X a compact map, and p a
prime. Then
I(J, X) = A(J) == A(JP) = I(jP, X) mod p.
PROOF. In view of (5 .1) we need only show that A(J) == A(JP) mod p. As-
sume first that X = U is an open subset of a normed linear space E. Apply-
ing (12.3.1) to f, choose a sufficiently small c > 0 and an c-approximation
fe: : U ---t U of f such that fe:(U) C Pe: C U, where Pe: is a finite polytope
and fe is homotopic to f. Consider the commutative diagrams
and note that
by (15.3.3). Since )..(hJ == )..(ff) mod p by Theorem (9.3.4), this gives

AUe) == AU%) mod p,
and because f:::::, fe, the assertion follows in the special case U = X.
For an arbitrary ANR X, take an open set U in a normed linear space
that r-dominates X, and let s : X ~ U, r : U ~ X with rs = 1x . Observe
that by (15.3.5) we have
AU) = A(sfr) and A(fP) = A(sfPr) = A((sfr)P)
(since (sfr)P = (sfr) 0 . . . 0 (sfr) = sfPr). Now, because by the estab-
lished special case of the theorem, A(sfr) == A((sfr)P) mod p, the assertion
follows. 0
Repulsive and attractive fixed points

We now give two direct applications of the index to the study of repulsive
and attractive fixed points.
Given a space X and Xo E X, we let Y'(xo) denote the set of all open
nbd's of Xo in X.
(6.5) DEFINITION. Let f : X ~ X, Xo E FixU) and U E Y'(xo) . We say
that Xo is a repulsive fixed point of f relative to U iffor any V E Y'(xo)
there exists a positive integer no such that fn(x - V) C X - U
whenever n ~ no.
The main results in the remaining part of this section rely on
(6.6) LEMMA. Let X be a metric space , f : X ~ X a map, and A a closed
f-invariant subset of X (i.e., f(A) C A) . Assume that W is an open
nbd of A in X such that fm(w) C A for some m ~ 1. Then there
exists an open subset Y of X such that A eYe Wand f(Y) c Y.
PROOF. Choose open sets Vo, VI, .. . , Vm - I satisfying
A c Vm - I C Vm - I C ' " C VI C V I C Vo = W.
454 V. The Lefschetz - Hopf Theory
It is straightforward to verify that

Y = W n f-1(Vd n··· n (jm-l)-l(Vm_d
has the desired properties. D
(6.7) THEOREM. Let X be an ANR, Xo E X , and f : X - t X be compact.
Assume furthermore that:
1° Xo is a repulsive fixed point for f relative to U E l' (xo),
2° f is fixed point free on EJU,
3° there exists a V E l' (xo) with V c U such that the inclusion
j : X - V ' - t X induces an isomorphism j* : H* (X - V) - t H* (X)
(where H* is the singular homology with coefficients in Q).
Then:
(a) A(j) = i(j, X - U),
(b) i(j, U) = O.
PROOF. (a) We begin by reducing the problem. Take V E 1'(xo) as in 3°
and choose no E N such that
(1) fn(x - V) C X - U c X - V for all n 2: no.
Let A = (X - V)Uf(X - V)U·· ·Ufno - l(X - V) and note that A is closed
in X and f-invariant; since Xo E V n Fix(j), we see that Xo fj. A, and hence
there exists a nbd 0 E 1/(xo) such that 0 eVe U and A c X - O.
Furthermore, since Xo is repulsive, we can find a positive integer mo 2: no
such that
(2) fn(x - 0) eX - U c X - V cAe X - 0 for all n 2: mo.
Define W = X - 0 and observe that (since A C W, fn(w) C A for
n 2: mo, and f(A) C A) the assumptions of Lemma (6 .6) are satisfied for f.
Applying (6.6) to the compact map f : X - t X, we find an open subset Y
of X satisfying:
(i) X - V cAe Y c X - 0,
(ii) f(Y) c Y,
(iii) fy : Y - t Y is compact.
_ We can now start the proof. Choose a prime p 2: mo 2: no; denote by
fP : X - V - t X - V the map determined (in view of (1)) by fP. Observe
that by (1), (2), (i)- (iv), the following diagram of graded homology vector
spaces is commutative:
Because j * is an isomorphism and X, Yare ANRs, it follows that all three

vertical arrows in the diagram are Leray endomorphisms and
From this, in view of Theorem (6.4), we infer that for every sufficiently large
prime p ,
A(f) == A(fP) = A(f~) == A(fy) mod p ,
implying that
A(f) = A(fy).
Now, by strong normalization and excision, we get
A(fy) = i(fy, Y) = i(fY ' X - V) = i(f' X - V) = i(f' X - U) ,
and thus A(f) = i(f, X - U).
To complete the proof, we observe that (b) follows from (a). 0
Attractive fixed points

(6.8) DEFINITION. Let X be a space, f : X -7 X , Xo E Fix(f) , and
U E Y(xo). We say that Xo is an attractive fixed point of f relative
to U if for any V E Y(xo) there exists a positive integer no such that
r(U) c V for all n 2: no.
(6 .9) THEOREM. Let X be an ANR , Xo E X, and f : X - 7 X a compact
map. Assume furthermore that:
1° Xo is an attractive fixed point of f relative to U E Y (xo) ,
2° f is fixed point free on aU,
3° there exists W E Y(xo) with W c U and an acyclic subset K of
X such that W eKe U.
Then i(f' U) = 1.
PROOF . We begin by reducing the problem. Take W as in 3° and choose
V E Y(xo) with V c Wand a positive integer no so that fn(u) c V for all
n 2: no; observe that fn(w) c V c W by 3°, and therefore fn : W - 7 W is
compact . Let 0 = V n f - 1 (V) n ... n f - no (V) and note that 0 E Y (xo) and
r(O) c V for all n 2: o. Using 1° and 3°, select a positive integer mo 2: no
such that
Let A = 0 and observe that A is closed in X and f-invariant . Moreover,

since fn ( 0) C V for n 2: 0 and V C W , we see that A C W , and therefore
by (*) ,
fn(w) cO c A for all n 2: mo .
Now, applying Lemma (6.6) to the compact map f : X ~ X we find an

open subset Y of X satisfying:
(i) A eYe W,
(ii) f(Y) C Y,
(iii) fy: Y ~ Y is compact.
We can now start the proof. Choose a prime p 2: rno 2: no. Because
fP(K) eWe K, fP(W) eYe W, fP(Y) C Y and fP(K) C Y, we have
the commutative diagram
---- fk' ffr are determined by fP· Because K is acyclic and ffr
where fk' =
(fy)P, where jy : Y ~ Y is the contraction of f, we have
1 ---- = A(f~) = A(ffr) == A(fy) modp.

= A(fk)
This being true for all sufficiently large primes p, it follows that A(fy) = 1,
and hence i(fy, Y) = 1 by strong normalization. Lastly, by excision, we
obtain i(f, U) = i(fy , Y) = 1, and the proof is complete. D
A. Some applications of the Mayer- Vietoris functor
Throughout this subsection X is a metrizable space, d = {Ai liE [n]} is a family of

subsets of X, and A = U~=l Ai. We denote by M(d) the smallest lattice of sets containing
all members of d, and by N(d) the nerve of d.
Given a multi-index J = (jl, .. . ,jk) with jl < . .. < jk and IJI = k :::; n, we let
AJ = Ajl n ... n A jk . If f : A ---4 A is a map such that f(Ai) C Ai for all i E [n], we let
/J : AJ ---4 AJ be the obvious map determined by f. We say that the family dis excisive
if for any Xl, X2 in M(d), the pair {Xl, X2} is excisive (d. (14.3.2)).
(A. 1) Let d be an excisive family, f : A ---4 A a map with f(Ai) C Ai for all i E [n], and
assume that for each multi-index J with IJI :::; n the map f J : AJ --> AJ determined by f
is a Lefschetz map. Prove: f is a Lefschetz map and A(J) = LJ( _1)IJ I+l A(JJ).
(A.2) Let X be an ANR and d = {Adi=l an excisive family of closed subsets of X such
that all members of the lattice M(d) are ANRs. Let f : (X, A) ---> (X, A) be a compact
map satisfying f (Ai) C Ai for i E [n], and denote by f x : X ---4 X and fA: A ---> A the
maps determined by f. Prove:
(i) A(J) = A(Jx) - LJ(-I) IJI+lA(/J).
(ii) If each AJ is either empty or acyclic, then A(J) = A(Jx) - X(N(d)).
(iii) A(J) i= 0 implies that f has a fixed point in X-A.
(A.3) Let X be an ANR and szI = {Ad~1 a family of open subsets of X. Let f :
(X, A) -> (X , A) be a compact map such that f(A;) C Ai and each f J : AJ -> AJ is
compact. Prove:
(i) A(f) = A(fx) - LJ(-1)IJ I+ 1A(fJ) .
(ii) If each AJ is either empty or acyclic, then A(f) = A(fx) - X(N(szI)).
(iii) A(f) f= 0 implies that f has a fixed point in X-A .
(A .4) Let X be an AR and A = UZ:1 Ai (n ~ 2) a disjoint union of ARs that are either
all open or all closed in X. Let f : (X , A) -> (X , A) be a map such that (a) f(A i ) C Ai
for all i E [nJ and (b) fx : X -> X and all the fJ : AJ -> AJ are compact. Show: f has
a fixed point in X - A.
[Observe that A(fx) = 1 and X(N(szI)) = n , and hence by (A.2) or (A.3) , A(f) =
1 - n f= 0.]
(A.5) Let X be a compact AR and U the union of n ~ 2 open sets Ui such that ~ =0 nE0
and each Vi is an AR. Assume further that f : X - U -> X is a map satisfying f(8Ui) C Vi
for all i E [nJ. Prove: f has a fixed point.
B . Common fixed points
Let X be a space. A family § X = {f} of maps f : X -> X is divisible if for any

fl ,12 E §x there exists h E §x such that fl = hn , and 12 = h n2 for some nl , n2 E Z+ .
(B.1) Let §X = {f} be a divisible family of compactly fixed maps, each having a fixed
point. Show: n{Fix(f) I f E § x} f= 0.
[Prove that the family {Fix(f) I f E § x} has the finite intersection property.]
(B.2) Let X be a space. A semifiow on X is a continuous family of maps {ft : X -> X} t> o
such that (a) it, +t2 = it, 0 ft2 for all t1, t2 E R+ ; (b) fo = Ix · A fixed point for
the semiflow {ft} is a point Xo E X such that ft(xo) = Xo for all t ~ O. Show: If
ft : (X , A) -> (X, A) , t E R+, is a semiflow, then (i) ft, is homotopic to ft2 for all
t1, t2 ~ 0; (ii) the family of those ft indexed by positive rationals is divisible.
(B.3) Let (X, A) be a pair of ANRs such that A is either open or closed in X, and let
ft : (X , A) -> (X , A) , t E R +, be a semiflow such that ft is compact for all t > O. Prove:
If the Euler characteristic X(X, A) is finite and different from zero, then the semiflow {ft}
has a fixed point in X - A.
C. The Shub - Sullivan theorem
In this subsection we will use the following theorem of Shub- Sullivan [1974] : Let M be a
smooth compact manifold and f : M -> M a C 1 map . If Xo is an isolated fixed point for
allr (n EN), then the sequence {J(fn, xo)} of indices is bounded.
(C.2) Given a map f : X -> X, we let Pn(f) denote the number of fixed points of fn .
Prove: If f : 8 2m -> 8 2m , then P2(f) > O.
(C.3) Let f : 8 m --+ 8 m have Id(f)1 ~ 2. Prove: )..(fn) grows exponentially with n .
(C.4) Let M be a smooth compact manifold and f : M -> M a C 1 map such that
limsuPn-+oo )..(fn) = 00 . Show: f has infinitely many periodic points.
(C.5) Let f : 8 m --+ 8 m be a C1 map. Prove: If Id(f)1 :2: 2, then f has infinitely many
periodic points.
F. Hirzebruch , P. Alexandroff, and H. Hopf, Moscow, 1966
The Hopf index theorem

There are various ways to prove this result. One is an elegant method due to
Dold [1965], described in his book [1972] and in R.F. Brown's book [1971]
and in several articles of Dold [1974]' [1975] extending the theory, with
some simplifications suggested by Bowszyc. There are also two approaches
by Hopf, one of which (Hopf [1928]) is fairly elegant and deserves to be better
known (the other is presented in Alexandroff-Hopf's book [1935]). In this
paragraph, we describe Hopf's original approach. It has the advantage of not
dealing interminably with simplicial maps and their simplicial modifications;
instead, cones are attached over simplices, and reflections in these cones are
used to eliminate fixed points.
The Lefschetz-Hopf fixed point index

The Hopf index theorem (4.2) can be regarded as the algebraic supplement to
the Leray-Schauder index theory developed in §12. We remark that Theorem
(5.1), which combines (4.2) and (12.3.4) , brings also a natural extension of
the Lefschetz- Hopf index theory for compact ANRs. Therefore, it would be
appropriate to call this result the Leray- Schauder- Lefschetz- Hopf theorem.
However, to keep the terminology clear, we call the index given in (5.1)
the "Lefschetz- Hopf index", and its "geometric part" given in (12.3.4) the
"Leray- Schauder index".
There are two general methods for handling the Lefschetz- Hopf index.
The first one is based on the chain approximation technique, and more
precisely, on finding and applying appropriate algebraic analogues of the
properties of the fixed point index for chain mappings. This method was used
by several authors: Leray [1945], O'Neill [1953], Browder [1960], Fournier
[1978], and also Eilenberg- Montgomery [1948]' where the Lefschetz- Hopf-
type coincidence theorem is established; the use of the chain approximation
method in the context of the fixed point index for set-valued maps will be
discussed later on.
The chain approxima tion method originated and evolved from the work of Vietoris
[1927]; in that article (where the Vietoris homology groups for compacta appeared in fact
for the first time) the following theorem was proved (upon a suggestion of Brouwer, as
Vietoris remarks in a footnote) : II X and Yare compacta and I : X --+ Y is surjective
with acyclic fib ers (with respect to Vietoris homology with coefficients in a field) , then I
induces an isomorphism of the corresponding Vietoris homology groups . The proof of this
theorem was based on constructing a chain map from the Vietoris chains of Y to those of
X, which is (in a natural sense) an "approximation" of the inverse 1- 1 : Y --+ X.
The second method , based on considerations on the level of homology

groups, was discovered by Dold [1965] in the context of the index theory for
ENRs; a closely related co homological method in the context of the index
for manifolds was found by Nakaoka [1969]. All the above methods utilize
elaborate apparatus of algebraic topology.
Theorem (5.1) , which is the central result of Chapters IV and V, was
established in Granas [1972] on the basis of Dold's index theory for ENRs.
Significant applications of the "geometric part" of the index theory have
already been given in §13 (bifurcation theory, nonlinear PDEs).
We now briefly comment on some applications of the Lefschetz- Hopf
index.
The relative Lefschetz theorem for pairs of ANRs, due to Bowszyc [1969],
was initially established for pairs (X , A), where A is either open or closed
in X; the proof was based on the relative Lefschetz theorem for polyhedra.
The proof given in the text and using the index is due to Kucharski [1975],
where the same type of argument was used to establish the relative Lefschetz
theorem for set-valued maps. Applications of the index to the study of re-
pulsive and attractive fixed points, given in Section 6, are due to Peitgen
[1976b] . For more general results and other applications, the reader is re-
ferred to Nussbaum's lecture notes [1985] and also to Fenske- Peitgen [1976],
Fournier- Peitgen [1977], [1978], and Benci-Degiovanni [1990].
The mod p theorem

Steinlein [1972] and independently Zabrelko-Krasnosel'skil [1971] estab-
lished the following property of degree in Rn: Let U c R n be open, 1 :
U ----+ R n continuous, and V an open subset of U such that 1m is defined
on V, where m = pt andp is a prime. Assume that S = {x E V I fm(x) = x}
is compact and f(S) C S. Then d(I - f m , V) == d(1 - f, V) modp. For the
proof, the reader is referred to Nussbaum's lecture notes [1985].
Theorem (6.4) is a special case of the following result of Steinlein [1980],
extending the above Steinlein-Zabrelko-Krasnosel'skil theorem to the set-
ting of the index in ANRs: Let X be an ANR, U c X open, f : U ----+ X
continuous, and V an open subset of U such that fm is defined on V, where
m = pt and p is a prime. Assume that S = {x E V I fm(x) = x} is com-
pact (possibly empty), f(S) C S, and f is compact on some nbd of S. Then
1(jm, V) == 1(j, V) modp.
Vector fields on manifolds with boundary
Let M be a smooth manifold with boundary 8M; for p E M we let Tp(M) denote the
tangent space to M at p. If p E 8M, then Tp(8M) determines two closed half-spaces
T/(M) and T;(M) of Tp(M) with Tp(8M) = T/(M) nT;(M). The tangent vectors in
T/ (M) (respectively in Tp- (M)) are called outward (respectively inward) directed. Let
~ = {~phEM be a smooth vector field on M and assume that on each component of
8M, either (i) all ~p are outward directed, or (ii) all ~p are inward directed. Denote by A
(respectively B) the union of the components of 8M of type (i) (respectively (ii)). Using
the relative Lefschetz theorem, Bowszyc [1969] established the following generalization of
the Hopf theorem: If the relative Euler- Poincare characteristic X(M, A) is nonzero, then
the vector field {~p hEM vanishes at some point p EM; the same holds if x( M, B) i= o.
Lefschetz formula and critical point theory

We describe briefly the connection between the Lefschetz formula and the theory of critical
points. Let f : M -+ R be a Coo function on a compact Coo manifold M, and let p be
a critical point of f. Then the second differential d 2 f (p) (the Hessian of f at p) is a well
defined symmetric bilinear form on the tangent space TpM of vectors tangent to M at
p; if this form is nonsingular, then p is called a nondegenerate critical point of f. The
dimension of the maximal subspace of TpM on which the Hessian is negative-definite is
called the index of the critical point p and is denoted by mp(f) = mp.
We call f a Morse function if all its critical points are nondegenerate; for such an f
(which has only a finite number of critical points) we let Af (t) = L-p: dfp=O tmp and call
it the Morse polynomial of f; it satisfies the following
THEOREM (Morse inequality). Let g'JM(t) = L-i biti be the Poincare polynomial of M ,
where bq = dim Hq(M; Q) is the qth Betti number of M. Then there exists a polynomial
Q(t) with nonnegative coefficients such that
A basic technique in the theory of critical points is that of gradient flows . Assume that
M is equipped with a Riemannian metric and that I is a Morse function . Then the negative
gradient vector field of I determines (via the differential equation dx / dt = - 'V I (x)) a flow
'Pt : M -; M such that the value of f along any path t >--> 'Pt(p) , PE M, is never increasing.
We observe that
(a) { 'VIp = 0 {=> P E Fix('Pt) for all t,

'Pt (p) =I- P for t =I- 0 =? 'V I p =I- 0,
and if p is a nondegenerate critical point , then
(b) { J('PI'P) = (_l)k, where J('PI,p) is the local index of 'PI at p, and
k is the index of the critical point p.
From (a), (b), it follows that the Lefschetz formula coincides with the "Morse equality"
asserting that the Euler characteristic X(M) = 2:(-l)k bk equals 2:(-l)k'Yk, where 'Yk is
the number of critical points of f of index k . (Observe that "Morse equality" follows from
"Morse inequality", by taking t = -1 in (*) above.) This implies that the Morse theory,
when applicable, contains more information than the Lefschetz formula. On the other
hand, the Lefschetz formula has a wider range of applications to maps not homotopic to
the identity, which do not appear in the deformation theory of critical points.
For more details the reader is referred to Smale [1967], Pitcher [1971J, and also to
Franks [1980J and Bott [1982], where some further references can be found .
Historical note
The sum of the indices of the fixed points of a given map, which, since
Brouwer's first proofs of fixed point theorems, has been the object of many
special investigations, was completely determined for maps of arbitrary man-
ifolds by Lefschetz [1926]. For M a closed triangulable manifold and a map
f : M ---) M having a finite number of fixed points Xl , ... ,x s , with the "local
index" if (x j) E Z for each j E [s], Lefschetz established the relation
s
L if(Xj) = )..U),
j=l
where )..U) is the Lefschetz number of J. Hopf [1929]' using the local index
for isolated fixed points (defined with the aid of the Brouwer degree for
self-maps of spheres), extended the Lefschetz formula to arbitrary finite
polyhedra. These results can be regarded as the beginning of the fixed point
index theory.
An early presentation of the fixed point index for polyhedra (using the
tools of simplicial homology and due to H. Hopf) was given in the treatise
of Alexandroff- Hopf [1935]. After the appearance of that book and also of
Leray- Schauder's memoir [1934], the problem of generalizing and extending
the Leray- Schauder theory and the fixed point index arose in a natural way.
In the forties, Leray succeeded in developing an index theory that was ap-
plicable to quite general topological spaces. This required a new homology
(or more precisely cohomology) theory, which he developed in [1945a,b] for
the category of "convexoid" spaces. A compact connected space X is called

convexoid if any open cover {Uoj of X has a finite closed refinement {D,6}
such that any nonempty intersection D,61 n ... n D,6k has trivial cohomol-
ogy. These spaces can be regarded as generalizations of simplicial complexes,
and Leray cohomology can be viewed as an extension of de Rham theory,
expressing cohomology of smooth compact manifolds as the cohomology of
the algebra of exterior differential forms. Leray's paper [1945c] generalizes
the Leray- Schauder theory to the framework of convexoid spaces and of the
new cohomology.
Let X be convexoid, U c X open, and let C au (U, X) be the set of all
maps f : U - 7 X such that Fix(j18U) = 0. Leray [1945c] established:
THEOREM. To any f E Cau(U,X) there corresponds an integeri(j,U) (the
index of fixed points of f belonging to U) with the following properties:
(i) (Strong normalization) If U = X and the cohomology of X is
finitely generated, then i(j, U) = A(j).
(ii) (Homotopy) If h t : U - 7 X is a homotopy without fixed points on
8U , then i(ho, U) = i(h 1 , U).
(iii) (Additivity) If U1 , U2 c U are open and disjoint and Fix(j) C
U1 U U2 , then i(j, U) = i(j, Ud + i(j, U2 ).
(iv) (Contraction) If Xo C X is a convexoid subspace of X and f(U) C
X o , then i(j, U) = i(j, Un Xo).
Leray established a form of the commutativity property of the index and
the following result: If n~=l r(X) = A 1= 0 and A(jIA) is defined , then
A(j) is also defined and A(j) = A(jIA).
In his unpublished 1948- 1949 lectures at the College de France (for a
summary, see Leray [1950]), using the degree, J. Leray developed the index in
locally convex spaces. By showing that this theory extends to nbd retracts of
locally convex spaces, he also outlined the index theory for compact (metriz-
able and nonmetrizable) ANRs. The axioms of the index for polyhedra were
studied for the first time in O'Neill's thesis, written under W . Hurewicz
in 1952 (see O'Neill [1953]); O'Neill rederived-for the category of compact
polyhedra- the principal results of Leray's theory (as well as Hopf's results),
and moreover proved that the fixed point index is uniquely determined by
the axioms. Bourgin [1955b], using Cech cohomology and O'Neill's results,
introduced the index for compact (nonmetrizable) ANRs. Deleanu [1959]
extended the Leray index to retracts of convexoid spaces. Browder [1960]
formulated the axioms for the index on the category of compact spaces, and
extended the index theory to "semicomplexes" by finding appropriate alge-
braic analogues of the properties of the fixed point index for chain mappings .
All these results use definitions of the fixed point index based on certain
induced chain mappings.

This paragraph begins with a version of the index theory that is useful in
problems dealing with globally defined maps of ANR's. Sections 2 through 6
are concerned with various extensions of the Lefschetz theory to wider classes
of maps and spaces.
1. Local Index Theory for ANRs
In this section we describe a somewhat different version of the index theory

for ANRs, which turns out to be useful in various problems. This version,
called a "local index theory" , can be regarded as a local form of the Lefschetz
theorem (A(f) may be regarded as a "global index").
For a given class szI of self-maps of ANRs, let szI* denote the class of
all triples (X , f , U), where f : X --- X belongs to szI, U C X is open, and
Fix(f18U) = 0. We call szI admissible if for each f E szI:
(i) f is compactly fixed,
(ii) f is a Lefschetz map (for homology with coefficients in Q).
We will call szI* admissible if szI is admissible.
(1.1) DEFINITION . Let szI* be an admissible class of triples . Then a lo-
cal index on szI* is a function i : szI* --- Z satisfying the following
conditions:
(I) (Strong normalization) If a map f : X --- X belongs to szI,
then
A(f) = i(X, f , X).
(II) (Homotopy) If h t : X --- X is a homotopy and U C X open
such that the map H : X x I --- X xl given by (x, t) 1-+ (ht(x) , t)
belongs to szI and (X x I, H , U x I) E szI*, then
i(X, ho, U) = i(X, hI, U).
(III) (Additivity) If (X, f, U) E szI* and VI, V2 are disjoint open sub-
sets of U such that Fix(!) C VI U V2 , then
i(X, f, U) = i(X, f, VI) + i(X, f , V2 ).
(IV) (Commutativity) If one of the maps f : X --- Y , g : Y --- X
is locally compact and both (X , gf,U) and (Y,fg,g - I(U)) are
in szI*, then
i(X, gf, U) = iCY, fg , g-I(U)).
(V) (Excision) If (X, f, U), (X, g, U) E szI* and flU = glU, then
i(X, f , U) = i(X, g, U).
As an immediate consequence of Theorem (16.5.1) we have

(1.2) THEOREM. Let S2f be the class of all compact maps f : X --t X,
where X is an ANR. Then there exists a local index i : S2f* --t Z with
properties (I)- (V), provided that in (IV) it is assumed that either f
or 9 is a compact map. 0
As an obvious corollary we obtain
(1.3) THEOREM. Let S2f be the class of all continuous maps f : X --t X,
where X is a compact ANR. Then there exists a local index i : S2f* --t Z
with properties (I)- (V). 0
We now establish the existence of the local index for compactly absorbing
maps.
(1.4) DEFINITION. Let S2f be the class of all compactly absorbing maps
f :X --t X, where X is an ANR, and let S2f* be the corresponding
class of triples. Given (X , f, U) E S2f*, let W c X be open such that

flW: W --t W is compact and W absorbs compact sets in X under
the map f. The local index i(X, f, U) is defined by
(*) i(X,f, U) = i(W, flW, W n U),
where the right hand side is the index of the compact map f IW, given
in Theorem (1.2); this definition does not depend on the choice of W.
We are now in a position to state the main result of this section.
(1.5) THEOREM. Let S2f denote the class of all compactly absorbing maps
f : X --t X, where X is an ANR. Then the function i : S2f* --t Z
defined by (*) is a local index with properties (I)- (V).
PROOF. The properties of the local index for compact maps given in Theo-
rem (1.2) yield in a straightforward way the corresponding properties (I)- (V)
of the index for compactly absorbing maps. As an example, we give the proof
of commutativity. Let X, Y be ANRs, and let f : X --t Y , 9 : Y --t X be
maps such that f is locally compact and gf : X --t X is compactly absorb-
ing. We first show that f 9 : Y --t Y is also compactly absorbing. To this
end, choose V c X open such that:
(i) V absorbs compact sets in X under the map gf,
(ii) gflV : V --t V is compact.
Using local compactness of f, cover the compact set gf(V) C V by a finite
number of open sets 0 1 , ... , On C V such that each f(O i ) is compact , and
let 0 = U~= l Oi C V. Since
gf(O) C gf(V) cO c V,
it follows that 0 is invariant under gj, the restriction gjlO : 0 ~ 0 is

compact, and 0 absorbs compact sets in X.
Let W = g-l(O), and let K be a compact subset of Y. Since 0 absorbs
compact sets under the map gj, there exists a positive integer m such that
(gf)mg(K) = g(fg)m(K) cO,
and hence (fg)m(K) C g-l(O) = W. This implies that W absorbs compact
sets in Y under the map jg. On the other hand, the inclusion gj(O) C 0
and compactness of gjlO imply that g(f(O)) C 0, and therefore j(O) c
g-l(O) = W. Hence
jg(W) = jg(g-l(O)) C j(O) C W,
and thus jglW : W ~ W is a compact map. Using Definition (1.4) and
commutativity for compact maps, we obtain
i(X, gj, U) = i(O, gj, UnO) = i(W, jg, g-l(U no))
= i(W, jg, g-l(U) n W) = i(Y, jg, g-l(U)),
and thus the proof of commutativity is complete. The proof of the remaining
properties is similar and is left to the reader. 0
(1.6) COROLLARY. Let PI be the class oj maps j : X ~ X oj compact
attraction, where X is an ANR. Then the junction i : PI* ~ Z
defined by (*) in (1.4) is a local index with properties (I)-(V).
2. Fixed Points for Self-Maps of Arbitrary Compacta

In this section, by concentrating on the nature of the map rather than on
that of the underlying space, we determine fairly broad classes of self-maps
of compacta for which the Lefschetz theorem remains valid . The results
established embrace numerous fixed point theorems.
(2.1) DEFINITION. A map j : X ~ Y is called a NES(compact metric)-
map if for any pair (Z, A) of compacta and any 9 : A ~ X there
exists a nbd U of A in Z and a map 'P : U ~ Y such that 'PIA = jg;
the class of all such maps is denoted by NES(compact metric).
A space X is called a neighborhood extensor space jor compact metric
spaces if Ix E NES(compact metric); the class of all such spaces is
denoted by NES(compact metric).
We remark that the class of metric NES(compact metric) spaces contains
all the ANRs.
Some simple properties of NES( compact metric)-maps are given in
(2.2) PROPOSITION.
(i) For any maps X L y .!!.c. Z, the composite gf : X -> Z is a
NES( compact metric)-map provided either f or g is aNE.S( com-
pact metric)-map.
(ii) If either X or Y is a NES( compact metric) space, then any f :
X -> Y is a NE.S(compact metric)-map.
PROOF. The straightforward verification is left to the reader. o
(2.3) THEOREM. Let K be a compactum and f : K -> K a NES( compact
metric)-map. Then f is strongly Lefschetz, that is, A(f) is defined
and A(f) i- 0 implies that f has a fixed point.
PROOF. Embed K into the Hilbert cube ['Xl and consider the diagram
1°°~U~K
'i~,
K~K
where 8 : K -> K is a homeomorphism with inverse S-1 : K -> K. Consider

the pair (1 00 , K) of compacta and the map g = 8 - 1 : K -> K. In view
of Definition (2.1), and because f E NE.S(compact metric), there exists an
open nbd U of Kin 1 00 and a map cp : U -> K such that cpj = cplK = f 8- 1 .
Because cp(js) = (cpj)8 = (fs-l)S = f and U is an ANR, we see that
f factorizes through a Lefschetz space, and hence in view of (15.3.6), our
conclusion follows. 0
(2.4) THEOREM.
(a) Let K be a compact metric space and suppose f : K -> K can be
factored as K ~ X ~ K, where X is a NES( compact metric)
space. Then f is strongly Lefschetz.
(a)* Let X be a NES (compact metric) space and suppose that F :
X -> X can be factored as X ~ K ~ X, where K is a compact
metric space. Then F is strongly Lefschetz.
PROOF. By (2.2), (a) is an immediate consequence of (2.3); and (a*) follows
from (a). 0
(2.5) COROLLARY. Any metric NES( compact metric) space is a Lefschetz
space. 0
(2.6) DEFINITION. A map f : X -> Y is said to be an approximate
NE.S( compact metric)-map if for any pair (Z, A) of compacta and any
g : A -> X the following condition is satisfied: for each c > 0 there
exists a nbd Uc: of A in Z and 'Pc: : Uc: ----; Y such that 'Pc: IA and 9 i
are E-close and homotopic. The class of approximate Nt'S(compact
metric)-maps is denoted by ANt'S(compact metric).
(2.7) THEOREM. Let K be a compactum and i : K ----; K an approximate
Nt'S ( compact metric)-map. Then i is strongly Leischetz.
PROOF. Embed K into the Hilbert cube l= and consider the diagram
l=~Uc:~K
~<i~
K~K
where s : K ----; K is a homeomorphism with inverse s-l : K ----; K. Consider

the pair (l=, K) of compacta and the map 9 = s-l : K ----; K, fix n EN,
and set E = l/n. By Definition (2.6), there exists an open nbd Uc: of K
in l= and a map 'Pc: : Uc: ----; K such that 'Pc:j = 'Pc: IK and is -1 are
E-close and homotopic; hence so are ic: = ('Pc:j)s and (js-l)8 = i, and ic:
factorizes through a Lefschetz space Uc:. We have thus found a sequence of
maps in : K ----; K such that i and in are (l/n)-close and homotopic, and
each in factorizes through a Lefschetz space. Because in is a Lefschetz map
by (15.3.6), i c:::: in implies that so also is i, and A(j) = A(jn) for all n. If
A(j) i- 0, then A(jn) i- 0, and therefore Fix(jn) i- 0 by (15.3.6). Letting
Xn = in(x n ), we see that Xn is a (l/n)-fixed point of i, and the conclusion
follows from the compactness of K. 0
3. Forming New Lefschetz Spaces from Old by Domination
In this section we turn to general Lefschetz-type results for compact maps

in nonmetrizable spaces.
We first recall some terminology and notation. If Y is a space and KeY,
we denote by Covy(K) the set of all open coverings of Kin Y. Given a, (3 E
Covy(K) we write a ~ {3 if (3 refines a. Clearly, ~ is a preorder relation
converting Covy(K) into a directed set; we write Covy(Y) = Cov(Y). Let
i, 9 : X ----; Y be two maps, and let a E Cov(Y) be an open covering of Y. We
say that i and 9 are a-close if for each x E X there exists a Ux E a containing
both i(x) and g(x). We say that i and 9 are a-homotopic (written i ~ g)
if there is a homotopy h t : X ----; Y (0::; t ::; 1) joining i and g such that for
each x E X the values ht(x) belong to a common Ux E a for all tEl.
Let i : X ----; X and a E Cov(X). A point x E X is said to be an a-fixed
point for i provided x and i(x) belong to a common Ux E a. Clearly, if
CY, {3 E Cov(X) and a refines {3, then every a-fixed point for f is also a
{3-fixed point for f.
(3.1) LEMMA. Let f : X --) X be a map and K = f(X). The following
statements are equivalent :
(i) f has a fixed point,
(ii) there is a cofinalfamilyTJ C Covx(K) such that f has an a-fixed
point for every CY E TJ.
PROOF. (i)=}(ii) is evident. To prove (ii)=}(i), assume that f has no fixed
points. Then for each x E X there are neighborhoods Vx and Uf(x) of x
and f(x), respectively, such that f(Vx ) C Uf(x) and Vx n Uf( x) = 0. Setting
{3 = {Vx } , we get a covering of X such that f has no {3-fixed point. If a E TJ
refines {3, then f has no a-fixed point, contrary to (ii). 0
(3.2) LEMMA. Let f : X --) X be a map, K = f(X), and let TJ C Covx(K)
be a cofinal family of coverings of K. Assume that for each CY E TJ
there is an fo : X --) X with the following properties: (i) f and fo
are a-close; (ii) fo has a fixed point. Then f has a fixed point.
PROOF. Because by (i) a fixed point for f is an a-fixed point for f, our
0
assertion follows at once from (3.1) . 0

(3.3) DEFINITION. Let K be a compact space, f : K --) K a map, and
TJ = Cov(K). A family {jo}oED of maps fo : K --) K is called
an approximating family for f provided for each a E TJ the maps
f, fo : K --) K are a-close and homotopic.
With this terminology we have the following useful property of Lefschetz
maps:
(3.4) LEMMA. Let K be a compact space and f : K --) K a map. Assume
that {jO}OED is an approximating family for f such that one of the
following conditions is satisfied:
(a) each fo is strongly Lefschetz,
(b) each f 0 factors through a Lefschetz space.
Then f is a strongly Lefschetz map.
PROOF. In view of (15.3.5) and (15.3 .6), this is an obvious consequence of
the definitions involved. 0
Domination
(3.5) DEFINITION. A space P dominates a space X if there are maps
X ~ P ~ X such that rs c:::: Ix. If a E Cov(X), we say that P
a-dominates X if there are maps X ~ P ~ X such that r oso ~ Ix.
Though domination is weaker than homotopy equivalence, it permits some

transfer of information from P to X; for example, since every compact ANR
is dominated by a finite polytope (cf. (7.14)), the singular homology of such
an ANR is of finite type.
Let !!J> be a class of spaces. We denote by ~(!!J» the class of spaces
defined as follows : X E ~(!!J» provided for each a E Cov(X) there is a
space P a E !!J> that a-dominates X.
(3.6) THEOREM. Let!!J> be a class of Lefschetz spaces. Then any space in
the class ~(!!J» is a Lefschetz space.
PROOF. Let X E ~(!!J» and f : X --t X a compact map. Fix (3 E Cov(X)
and let a = {f-l(V)}VE,6. Take a Lefschetz space that a-dominates X with
maps X ~ Pa ~ X satisfying raSa g, 1 and consider the commutative
diagram
By compactness of f, both vertical maps are also compact. Since Pa is a

Lefschetz space, (15.3.5) shows that the vertical maps are Lefschetz and
A(safra) = A(frasa) · Since f ~ frasa, we infer that f is a Lefschetz map
and
°
Assume that A(f) # O. Since Pa is a Lefschetz space, (*) shows that
Fix(safra) # 0, and hence Fix(frasa) # (see (0.4 .1)). To complete the
proof, observe that by the choice of a , the relation raSa g, 1 implies f g
frO/sa, and therefore, since Fix(frasO/) # 0, the map f, being {3-close to
frasa, has a {3-fixed point. Because (3 E Cov(X) was fixed arbitrarily, we
conclude by (3.1) that f has a fixed point. 0
REMARK. Denote by Pol the class of infinite polyhedra with the weak
topology (cf. Section 7). From the properties of these spaces and from
the Lefschetz- Hopf fixed point theorem (9.2.4), it follows easily that every
X E Pol is a Lefschetz space. Because ANR C ~(Pol), Theorem (3.6) gives
another proof that every ANR is a Lefschetz space (see (15.4.3)).
4. Fixed Points in Linear Topological Spaces

This section develops some fixed point results for subsets of linear topolog-
ical spaces. We first show that every open subset of an admissible linear
topological space in the sense of Klee is a Lefschetz space.
Let E be a linear topological space and U a nbd of the origin in E. We

say that U is shrinkable provided for all x E U and 0 < .A < 1 the point .Ax
lies in U. It is known (see Klee [1960]) that the shrinkable neighborhoods
form a base of the topology of E at O. It follows that for every nbd W of 0
there is a shrinkable nbd V of 0 such that V + V c Wand every interval
[x , y] with x and y in V is entirely contained in W. This clearly implies
(4.1) PROPOSITION. Let E be a linear topological space and U c E open.
Then for each a E Cov(U) there exists a refinement {3 E Cov(U) such
that any two {3-close maps of any space into U are a-homotopic. 0
(4.2) DEFINITION. A linear topological space E is called admissible if for
every compact K C E and a E Cov(E) there is a map 7ra : K ~ E
such that (i) 7r a (K) is contained in a finite-dimensional subspace of
E and (ii) 7ra is a-close to the inclusion i : K'-7 E.
In view of Theorem (13.5.3) every locally convex linear topological space is
admissible.
(4.3) THEOREM. Any open subset of a locally convex and, more generally ,
of an admissible linear topological space E is a Lefschetz space.
PROOF. Let E be admissible, VeE open, and f : V ~ V a compact map
sending V into a compact subset K of V. Let a E D = Cov(V) be given;
take 7ra : K ~ E satisfying 7r a (K) C En C E and a-close to the inclusion
i : K'-7 E. Define a compact map fa : V ~ V by setting fa(x) = 7r a f(x).
Clearly, we have the commutative diagram
VnEn~v
~1 / l
VnEn~v
fo
with the obvious inclusions and compact contractions. Since V n En is a

Lefschetz space, (15.3.5) shows that fa is a Lefschetz map and A(!a) =
A(fa). In view of (4.1) we may assume without loss of generality that f is
homotopic to fa for each a; consequently, f is a Lefschetz map and A(f) =
A(fa). Now, if A(f) i- 0, then A(fa) i- 0 for each a E ~; as V n En is a
Lefschetz space, we deduce that each fa has a fixed point, and hence f has
a fixed point by (3.2), completing the proof. 0
Open sets in Tychonoff cubes

We next show that an open subset of a Tychonoff cube is a Lefschetz space.
Given a linear space E and a subset K C E, we denote by L(K) the linear
span of K, i.e., the smallest linear subspace of E that contains K.
(4.4) LEMMA. Let E be a linear topological space, and let K c E be

compact. Then the linear span L(K) is paracompact.
PROOF. For any mEN let Xm = [-m, m]m x Km and define fm : Xm ---+ E
by the assignment
L aixi·
m
(al,' . . ,am, Xl,· .. ,X m ) f--+
i=l
Since fm is continuous, Km = fm(Xm) is compact. By observing that any

element L ajxj of L(K) belongs to Km for some m, we see that L(K) =
U~l K m , i.e., the set L(K) is (I-compact. Because L(K) is regular, the
assertion readily follows. 0
(4.5) THEOREM. Any open subset of a Tychonoff cube is a Lefschetz space.
PROOF. Let I"N be a Tychonoff cube, and let U C I"N be open. We first
show that U is r-dominated by an open subset of a locally convex linear
topological space. Let E be a product of real lines that contains I"N and
note that E equipped with the product topology is a locally convex linear
topological space. We claim that I"N is a retract of L(I"N): to see this, consider
the diagram
By (4.4), L(I"N) is paracompact, hence normal. By the Tietze theorem,

1p ' : I"N ---+ I"N admits an extension r : L(I"N) --t I"N, which is the re-
quired retraction. In particular, U is a retract of V = r-l(U), and since the
latter is an open subset in a locally convex space, we conclude the proof by
applying (4.3) and (15.3.7). 0
5. Fixed Points in NES(compact) Spaces

The main class of spaces introduced in this section is that of approximate
NES(compact) spaces. For this class the most general Lefschetz-type theo-
rems will be established.
(5.1) DEFINITION. A space Y is called a neighborhood extensor space for
compact spaces if for any compact pair (X, A), every map f : A --t Y
has an extension F : U --t Y over a nbd U of A in X; the class
of neighborhood extensor spaces for compact spaces is denoted by
NES (com pact).
We list some basic properties of NES (compact) spaces:
(i) An open subset of a NES(compact) space is NES(compact).

(ii) A neighborhood retract of a NES(compact) space is NES(compact).
(iii) The product of a finite family of NES (com pact) spaces is NES (com-
pact).
(iv) Every paracompact local NES(compact) space is NES(compact).
(v) Every ANR is a NES(compact) space.
(5.2) THEOREM.
(a) Let K be a compact space and suppose f : K ~ K can be
factored as K ~ X ~ K, where X is a NES(compact) space.
Then f is strongly Lefschetz.
(a)* Let X be a NES( compact) space and suppose that F : X ~ X
can be factored as X ~ K ~ X, where K is a compact space.
Then F is strongly Lefschetz.
PROOF. In view of (15.3.5), it is enough to establish (a). To this end consider
the diagram
where X is a NES(compact) and s : K ~ R is a homeomorphism of K onto

a subset R of a Tychonoff cube [N. Since X is NES(compact), there is an
extension <p : U ~ X of the map US-I: R ~ X over an open nbd U of R
in [N, i.e., <pj = US-I, where j : R ~ U is the inclusion. Now consider the
composite
K~U~K.
We have (v<p)(js) = v(<pj)s = v(us-1)s = VU = f. Thus, in view of (4.5), f
factors through a Lefschetz space, and hence by (15.3.6), we infer that f is
a strongly Lefschetz map. 0
(5.3) THEOREM. Any NES( compact) space is a Lefschetz space. 0
(5.4) DEFINITION. A space Y is called an approximate neighborhood ex-
tensor space for compact spaces if for any compact pair (Z, A), any
map f : A ~ Y, and each a E Cov(Y) there exists a nbd Ua of A in
Z and a map <Pa : Ua ~ Y such that the maps <pIA, f : A ~ Yare
a-homotopic; the class of approximate neighborhood extensor spaces

for compact spaces is denoted by ANES(compact).
We list some properties of ANES(compact) spaces:

(i) Any open subset of an ANES(compact) space is ANES(compact) .
(ii) Any retract of an ANES(compact) space is ANES(compact).
(iii) Any convex set in a locally convex space is ANES(compact).
We are now ready to prove a general Lefschetz-type result containing as
special cases many previously established fixed point theorems.
(5.5) THEOREM.
(a) Let K be a compact space and suppose f : K -+ K can be
factored as K ~ X ~ K, where X is an ANES( compact) space.
Then f is strongly Lefschetz.
(a) * Let X be an ANES ( compact) space and suppose that F : X -+ X
can be factored as X ~ K ~ X, where K is a compact space.
Then F is strongly Lefschetz.
PROOF. In view of (15.3.5) , it is enough to establish (a) . To this end , we

first define for f an approximating family {JaJaECov(K) such that each f a :
K -+ K factors through an open subset of a Tychonoff cube. We embed K
into a Tychonoff cube I~, fix a E Cov(K), and consider the diagram
where s : K -+ R is a homeomorphism onto R c I~, and Ua and 'Pa

are defined in the proof below. Consider the map us -1 : R -+ X and
the covering (3 = v- 1 (a) of X. As X is ANES(compact) , there exists for
(3 = (3(a) an open nbd Ua of R in I~ and a map 'Pa : Ua -+ X such that
'Pa). , us -1 : K~ -+
X are (3-homotopic.
It follows that the maps fa = v'Pajs and f = vus- 1 s from K to K are a-
homotopic. Since a E Cov(K) is arbitrary, it is clear, in view of the definition
of fa , that {Ja}aECov(K) is the desired approximating family for f. Now,
since open sets in Tychonoff cubes are Lefschetz spaces, our assertion follows
at once from Lemma (3.4) , and thus the proof is complete. 0
As an immediate consequence, we obtain

(5.6) THEOREM. Any ANES(compact) space is a Lefschetz space. 0
6. General Asymptotic Fixed Point Results

This section develops the asymptotic fixed point theory for spaces more
general than ANRs.
(6.1) DEFINITION. Let.A be a class of maps and X a space. We say that
X is a Lefschetz space for the class .A if every f : X -----) X belonging
to .A is a strongly Lefschetz map. The collection of all Lefschetz
spaces for the class .A is denoted by L.4 .
Recall (see (15.6.1)) that by a basic class of locally compact maps is meant
any of the following classes: .
Xev = the class of eventually compact maps,
Xac = the class of asymptotically compact maps,
Xat = the class of maps of compact attraction ,
fca = the class of compactly absorbing maps.
(6.2) THEOREM. Let X be a regular space and assume that every nonempty
open subset of X is a Lefschetz space. Then X is a Lefschetz space
for any of the basic classes of locally compact maps.
PROOF. Because Xev C Xac C Xat C fca, it is clearly enough to consider
the case of the class fca of compactly absorbing maps. So let f : X -----) X
be in fca; we are going to show that f is strongly Lefschetz.
By (15.6.1), there exists an open f-invariant subset U of X such that
U absorbs compact sets in X and fu : U -----) U is compact. Because by
assumption, U is a Lefschetz space, fu is a Lefschetz map, and therefore so
is f by (15.7.1) , and A(J) = A(Ju). If A(J) = A(Ju) =I- 0, then (again by
assumption) Xo = fu(xo) = f(xo) for some Xo E U, which completes the
proof. 0
From (2.4), (5.2), (5.3), and (6.2), we obtain the following general asymp-
totic fixed point theorem:
(6.3) THEOREM. The following classes of spaces are Lefschetz spaces for
compactly absorbing maps:
(i) metric NES( compact metric) spaces,
(ii) regular NES( compact) spaces,
(iii) regular ANES( compact) spaces. 0
As immediate consequences we obtain
(6.4) THEOREM (Generalized Schauder- Tychonoff theorem). If C is a

convex subset of a locally convex linear topological space, then any
compactly absorbing map f : C --) C has a fixed point.
(6.5) THEOREM. Let U be an open subset of a locally convex linear topo-
logical space, and let f : U --) U be a compactly absorbing map. If f
is nullhomotopic, then f has a fixed point. D
7*. Domination of ANRs by Polytopes

Our aim in this section is to prove that every ANR is dominated by a
polytope with the weak topology. We first discuss in some detail the concept
and properties of infinite polyhedra and polytopes.
Infinite polyhedra are constructed by pasting together simplices along
common faces. Precisely,
(7.1) DEFINITION. An infinite polyhedron K is a space that can be repre-
sented as the union of an infinite family X = {a} of simplices, where
X and the topology of K satisfy the following conditions:
(1) Each face of a a E X is also a member of X.
(2) If a, T E X have a nonempty intersection, then anT is their
common face.
(3) The space K = U{ a I a E X} has the weak topology determined
by the family X: A c K is closed if and only if A n a is closed
in a for each a EX.
The family X is called the family of simplices of K; the dimension dim K
of K is the supremum of the dimensions of its simplices; K is locally finite if
each vertex belongs to at most finitely many simplices. By a subpolyhedron of
K is meant the union of any subset of its simplices that forms a polyhedron.
The union of all simplices of dimension :S n is called the n-skeleton of K
and denoted by Kn; it is clearly a subpolyhedron, as are the boundary of
any simplex of K and any simplex of K together with all its faces.
Because of the weak topology, every sub polyhedron of K is closed in K;
in particular, since the set KO of vertices, and every subset of KO, is a
subpolyhedron, it follows that KO is a discrete closed set. Moreover, we
have the following characterization of compact subsets of a polyhedron:
(7.2) PROPOSITION. A closed subset A c K is compact if and only if it is
contained in a finite subpolyhedron of K.
PROOF. Since the union of finitely many compact spaces is compact, the "if"
part is obvious. Conversely, if A is not contained in a finite subpolyhedron,
choose an a E A n a for each a meeting A; then {a} is an infinite discrete
closed subset of A, so A cannot be compact. D
We shall need some open sets. For any vertex p E KO, define C (p) =
U{O' E X I p tj O'}; C(p) is clearly a subpolyhedron of K, and Stp =
K - C(p) is an open set containing p, called the star of p. It is useful to
observe that
(*) ns
i=O
St Pi "# 0 if and only if [Po, Pi,· .. ,Ps] is a simplex of K.
Indeed, it is enough to note that n

St Pi = 0 if and only if U C(Pi) = K,
and the latter equality can occur if and only if for each 0' E X there is at
least one Pi tj 0', i.e., if and only if there is no simplex in K having all the
Po,··· ,Ps as vertices.
Because of the weak topology, a map f of K into any space Y is contin-
uous if and only if flO' is continuous for each simplex 0' of K; and similarly,
a map H : K x I ---+ Y is continuous if and only if HIO' x I : 0' X I ---+ Y is
continuous for each 0' EX.
(7.3) DEFINITION. A map f : K ---+ L of a polyhedron K into a polyhedron
L is called simplicial if:
(1) for each simplex [Po, PI,' .. ,Pn] of K, the points [J(po) , f(pd, .. . ,
f(Pn)] are vertices of a (possibly lower-dimensional) simplex of L,
(2) if x = ~ AiPi, then f(x) = ~ Ai! (Pi) , i.e., f is "linear" on each
simplex.
A simplicial map f : K ---+ L is therefore uniquely determined by its values
on KO; and being continuous on each 0' E X, it is always continuous.
A homeomorphism of a space X onto a polyhedron is called a triangu-
lation of X.
(7.4) DEFINITION. A space X together with a triangulation h : X ---+ K is
called a polytope (or a triangulated space) and is denoted by (X; h , K).
The sets h- 1 (O') are called simplices of the polytope (X; h, K), and
for each sub polyhedron L c K, the set h- 1 (L) is called a subpolytope of
(X; h, K). It is clear that h- 1 (O') ~ 0' for each simplex 0' of K, and that
X has the weak topology with respect to the family {h -1 ( 0') I 0' EX}. In
general, a triangulable space has many triangulations; when there is no am-
biguity about the particular triangulation, we denote the polytope (X; h, K)
simply by X, and call K the triangulation of X.
Abstract complexes. Vertex schemes

Definition (7.1) suggests that a polyhedron can be described by prescribing
its vertices and those sets of vertices that span its simplices. Since this
method of definition is used frequently, we describe it in detail.
(7.5) DEFINITION. An abstract complex £ is a set PI of elements (called

"vertices") together with a family ~ of finite subsets of PI (called
"simplices") which satisfies the condition that if s E §, then every
subset of s also belongs to §.
To each polyhedron K, there corresponds an abstract complex called

its vertex scheme: PI is the set KO of vertices of K, and ~ consists of
those subsets of KO that span simplices of K. Any polyhedron with vertex
scheme £ is called a realization of £. In these terms, each polyhedron is
a realization of an abstract complex. We now show that, conversely, each
abstract complex £ has a realization: Let L(£) be a real vector space with
basis {Pa I a E PI} which is in a fixed one-to-one correspondence with the
vertices of £, and with the weak topology determined by the Euclidean
topology on each finite-dimensional flat. Then the polyhedron
1£1 = U{Conv(Pao , '" ,Pa,,) I (ao , .··, an) E~}

with the subspace topology is a realization of £, called the standard real-
ization.
It follows from this description of 1£1 that each x E 1£1 is uniquely
representable as x = L Aa(X)Pa, where for each x almost all Aa(X) are
zero, all satisfy 0 :::; Aa (x) :::; 1, and L Aa (x) = 1; in fact , the system
{Aa(x) I a E PI} is simply the coordinates of x in L(£), and so each
Aa : 1£1 ---+ I is continuous. The system of functions {Aa(X) I a E PI} is
called the barycentric coordinate system for 1£1; note, in particular, that
St(Pa) = {x E 1£11 Aa(X) > O}.
The justification for considering vertex schemes, which also indicates the
force of the weak topology, is given in the following
(7.6) THEOREM. Any two realizations of an abstract complex are simpli-

cially homeomorphic.
PROOF. If Kl and K2 are two realizations of £, there is a one-to-one

correspondence Pa f-+ qa, in which a set {Pa;} spans a simplex of Kl if
and only if the corresponding {qa;} span a simplex of K 2 . We can therefore
define a simplicial map 1 : Kl ---+ K2 by setting J(Pa) = qa and extending
linearly over each simplex. This map is clearly bijective, and since both 1
and 1-1 are continuous on each simplex, both maps are continuous, so 1 is
a homeomorphism. 0
It now follows that one can define a polyhedron essentially uniquely by

simply specifying its vertex scheme. Observe that because of (8.4.2) and the
standard realization, a finite subpolyhedron L of any polyhedron is simpli-
cially homeomorphic to a polyhedron in RS, where s = card LO .
Contiguous maps into polytopes

Let K be a polyhedron and Y an arbitrary space. The continuity of an
h : K ---) Y being equivalent to that of hlO" for each 0" E K, we next seek
conditions under which a map ! : Y ---) K is continuous. Clearly, if ! is
continuous, then so also is '\" 0 ! : Y ---) I for each barycentric coordinate
function .\,,; but without some restriction on K, such as local finiteness, the
converse need not be true. It is therefore convenient to introduce another
topology in the set K that does not have this drawback. If {A a I a E a'}
are the barycentric coordinate functions for K , the function d : K x K ---) R
given by d(x, y) = l:a IAa(x) - Aa(Y)1 is easily seen to be a metric, and K
with the topology induced by this metric (called the strong topology of K)
is written Km. Each Aa : Km ---) I is continuous; and because Xn ---) x in
Km if and only if Aa(xn) ---) Aa(x) for each a , it follows that! : Y ---) Km is
continuous if and only if each Aa! is continuous.
The relation between the strong and weak topologies on K is discussed
in the following
(7.7) PROPOSITION. The identity map i : K ---) Km is a homotopy equiva-
lence; and if K is locally finite, then i is in fact a homeomorphism.
PROOF. The map i : K ---) Km is continuous, being continuous on each
simplex. To construct a homotopy inverse, note that the family {St Pa I
a E a'} is an open covering of the metric space K m , so has a subordinate
partition of unity {K: a I a E a'}. Define K:: Km ---) K by K:(x) = 2: K:a(x)Pa·
This is actually a map into K: for if K:o, ... ,K:n are all the finitely many
functions K:a that do not vanish at a given x E K m , then x E n~=o supp K:i C
n~=o StPi, so by (*), (Po, ... ,Pn) is a simplex of K , and K:(x) belongs to
that simplex; in fact , both x and K:(x) belong to the same simplex of the
underlying set K. Moreover, K: is continuous: each x E Km has a nbd U on
which at most finitely many K:a are not identically zero, so that the image of
U lies in a finite subpolytope L of K; since L is simplicially homeomorphic
to a subspace of some RS , and since addition is continuous in RS, it follows
that K: is continuous on U, and therefore at x.
N ow let {A a } be the barycentric coordinate system of K , and for (x , t) E
K x I let
Each H(x, t) lies on the line segment joining x to K:(x) , so that H maps
K x I into K.
Regarded as a map Km x I ---) K m , H is continuous, since the barycentric
coordinates vary continuously; because H(x,O) = i 0 K:(x) , we find that H :
i 0 K: ~ id.
Regarded as a map K x I ---) K , H is also continuous, because HI(T is

continuous for each (T; since H(y, 0) = K,oi(y), this shows that H : K,oi ~ id.
Thus, i is a homotopy equivalence with inverse K,. The proof that i - I is
continuous whenever K is locally finite is left to the reader. 0
Continuous maps of a space into K can therefore be constructed as
mappings into Km followed by K,; this will be illustrated in the following
definition.
(7.8) DEFINITION. Two maps f, 9 of a space X into a polytope K are
called contiguous if f(x) and g(x) belong to a common simplex (T(x)
of K for each x E K.
(7.9) THEOREM. Let K be a polytope and X an arbitrary space. If f, 9 :
X ---) K are continuous contiguous maps, then f ~ g.
PROOF. It is no restriction to assume that K is a standard polyhedron. Let

i : K ---) Km be the identity map, and K, a homotopy inverse . Because i 0 f
and i 0 9 are contiguous in K m, the function
maps X x I into K m and is continuous because the barycentric coordinates

vary continuously. This shows that i 0 9 ~ i 0 f. Thus, K, 0 i 0 9 ~ K, 0 i 0 f,
and since K, 0 i ~ id, the proof is complete. 0
Maps into nerves

Information about the structure of a space can be obtained by studying
the nature of polyhedra "approximating" the space in a sense we now make
precise.
(7.10) D EFINITI 0 N. Let X be a topological space and A = {Ax I a Ed}
any indexed family of subsets of X. Let K be the abstract complex
with the set d as vertices and with {ao, .. . ,an} E § if and only if
Aa:o n· . . nAa: n =f. 0. The standard realization of K is called the nerve
of the family {Aa: I a E d} and is denoted by N(A).
The intuitive idea is that the nerves of open coverings of a space X are poly-
hedra approximating the space, with a finer covering giving rise to a "better"
approximation. Note, in particular, that if K is a polyhedron, then because
of (*), the open covering by the stars of its vertices has the same vertex
scheme as K itself, so by (7.6), the nerve of this covering is homeomorphic
to K.
For paracompact spaces, the relation of the space to the nerves of its
open covers can be given in more concrete terms:
(7.11) THEOREM. Let U = {Ua I 0: E d} be an open covering of a para-

compact space Y. Then there exists a continuous map K, : Y ---. N(U)
such that K,-1(Sto:) C Ua for each vertex 0: of N(U).
PROOF. Let Pa I0: E d} be a partition of unity subordinate to the covering
{Ua I 0: Ed}, and let
Then K, is a map of Y into N (U): for if Aao ' ... ,Aa n are all the (finitely
many) functions that do not vanish at a given Y E Y, then yEn supp Aai C
n Uai , so that (0:0,"" O:n) is a simplex of N(U), and y and K,(Y) belong to
that simplex. The map K, is continuous at each Yo E Y: for Yo has a nbd
V meeting at most finitely many sets supp Aa , so that K, maps V into a
finite subpolyhedron L of N(U); since L is simplicially homeomorphic to a
polyhedron in some RS, and since addition is continuous on R S , the map
K, is continuous on V, and therefore at Yo. Finally, since K,(Y) E St 0: if and
only if Aa(Y) > 0, we find that K,-1(Sto:) C Ua . 0
These simple maps are called the standard maps of Y into N(U); they
have the universal property that any continuous map of Y into any polytope
factors up to homotopy through a standard map. Precisely, we have
(7.12) THEOREM. Let Y be paracompact, and let h : Y ---. P be a con-
tinuous map into some polytope. Then h can be homotopy factored
through a standard map into the nerve of an open covering. In fact, if
{Ua I 0: E d} is any open refinement of the open cover {h -1 (St p) I
p E pO} , then h ~ /-l 0 K" where K, : Y ---. N(U) is the standard map
and /-l : N(U) ---. P is a simplicial map.
PROOF. For brevity, set N = N(U). If Pal is a partition of unity subordi-
nate to {Ua }, the standard map K, : Y ---. N is given by K,(Y) = L Aa(y)o:.
To construct /-l, for each Ua select an h- 1(Stp) such that Ua C h - 1(Stp)
°
and define /-l : NO ---. pO by /-l(0:) = p. Note that if (0:0,"" O:n) is a simplex
of N, then uaon .. ·nUan -t= 0, so -t= nih-1(St/-l(O:i)) = h-1(niSt/-l(O:i)),
and hence niSt/-l(O:i) -t= 0, which implies that (/-l(o:o), ... ,/-l(O:n)) is a sim-
plex of P. The linear extension over each simplex defined by
therefore determines a simplicial map /-l : N ---. P.

We now have /-l0 K,(Y) = La Aa(Y)/-l(O:)· This expression shows that
if Y belongs (only) to supp Aai (i = 0, ... , n), then /-l 0 K,(Y) belongs to
(/-l(0:0) , .. , , /-l(O:n)); and since Y E n~=o Uai C h-1(n~=0 St/-l(O:i)), the point
h(y) lies in some simplex having /-l(0:0) , ... ,/-l(O:n) among its vertices. Thus,
J.L 0 K, and h are contiguous as maps of Y into P, so by (7.9) they are homo-
topic. 0
Applications
(A) Let Y be para compact with covering dimension dim Y S; n. Then any
continuous map 1 : Y --> P, where P is any polytope, is homotopic
to an I' : Y --> pn C P.
PROOF. Since {h- 1 (Stp)} has a refinement {Uo< I a E d} of order S; n, it
follows that dimN(U) S; n. Now 1 ~ J.L 0 K" where J.L is simplicial; and a
simplicial map cannot increase dimension. Thus, J.L maps into pn, and the
(B) Let Y be paracompact with dim Y < n. Then every 1 : Y --> sn is
homotopic to a constant.
PROOF . Regard sn is a polytope. By (A), 1 can be deformed into (sn)k
for some k < n. Choosing a point ~ in the interior of an n-simplex and
contracting sn - {O along great circles to the antipode C completes the
proof. 0
(C) Let Y be paracompact and A c Y closed. If dim A < n, then every
continuous 1 : A --> sn can be extended over Y.
PROOF. Since dimA < n, we have 1 ~ 0 by (B). But sn is NES(para-
compact), so by Borsuk's theorem, extension is a problem in the homotopy
category. Since the constant map is extendable over Y, so also is 1. 0
Domination
Topological information is transferred by maps. We have seen that we can,
to an extent, transfer information from a space to polytopes "relatively
accurately" in the paracompact case. We now wish to transfer information
from a polytope to a space; again the map used must be "accurate" in some
sense- the constant map back, for example, says very little for an arbitrary
space. In general, this cannot be done. But for ANRs it is indeed possible:
specifically, for every ANR Y we can construct a polytope P and maps
Y ~ P ~ Y such that g 0 K, ~ id. This leads to the expectation that the
algebraic properties of ANRs will be analogous to those of polytopes.
(7.13) LEMMA. Let Y be a locally convex set in a normed linear space. Then
there is a polytope P and continuous Y ~ P ~ Y such that gOK, ~ id
(we say that Y is dominated by P).
PROOF. Cover Y by convex open sets {Co< I a Ed}; this has a nbd-finite
refinement {Wj3 I {3 E ~} such that for each y, St(y, {Wj3}) is contained in
some Ca (a barycentric refinement). Let N be the nerve of {W,6 } , and let
be the standard map into the nerve.

We now construct g : N ---. Y . In each W ,6 choose a point y,6' Define g
as follows:
g (L ~,6;3) = L ~,6y,6.
,6 ,6
This g is indeed a map of N into Y: for if (;30, . .. , ;3n) is a simplex of N, then
W ,6o n· .. n W,6n =f. 0, so by the barycentric refinement property, U~=O W,6i is
contained in some C a , and every linear combination of points of C a lies in
C a C Y. Moreover, g is continuous, since it is continuous on each simplex.
It remains to show that go", ::::::' id. Fix y E Y; then St(y, {W,6}) is
contained in some C a , and because
is a linear combination of points in C a , we find that go ",(y) also lies in Ca.

Thus,
(y, t) f-+ ty + (1 - t)g 0 ",(y)
provides a homotopy Y x I ---. Y showing that go", ::::::' id. o
(7.14) THEOREM. Every ANR is dominated by a polytope.
PROOF. Let Y be an ANR; embed it as a closed subset of a normed linear
space L. Then there is a retraction r : V ---. Y of some open subset VeL;
we can assume that V is a union of balls, all having their centers in Y, so
in particular, V is locally convex. By (7.13), we have the maps
i K 9 r
Y ---. V ---. P ---. V ---. Y,
where i is inclusion and go", ::::::' id. Therefore,
(r 0 g) 0 ('" 0 i) = r 0 (g 0 "') 0 i ::::::' r 0 i = id. 0
More precise information about the nature of this domination- in fact ,
all such dominations-can be obtained from the following
(7.15) LEMMA. Let Y be a paracompact space dominated by a polytope P.
Then each open cover {Ua I 0' E d} of Y has a refinement {V,6 I
;3E ~} such that Y is dominated by the nerve of {V,6} , as well as
by the nerve of any refinement of {V,6}.
PROOF. We are given Y ..!!... P ~ Y with go h ::::::' id. Consider any refinement
of {h-1(Stp) n Ua} , say {V,6} . This {V,6} refines {Ua}; but it also refines
{h-1(Stp)}, so by (7.12), we have a diagram

y h )op~y
~l~
N(V)
with h ':::::' J-L 0 K,. Thus (g 0 J-L) 0 K, = 9 0 (J-LK,) ':::::' 9 0 h ':::::' id. o
(7.16) THEOREM. Let Y be a pam compact space dominated by a polytope.
Then Y is dominated by the nerve P of a suitable open covenng.
Moreover:
(a) If Y is LindelOf, then P can be assumed countable.
(b) If Y is compact, then P can be assumed finite.
(c) If dim Y :S n, then P can be assumed of dimension :S n.
PROOF. This is a direct consequence of (7.15). o
A . Neighborhood extensor spaces
In this subsection Q stands for any subclass of JV = normal spaces; frequent ones will be:
.'!J! = paracompact spaces, X = compact spaces, Al = metric spaces, X Al = compact
metric spaces. A space Y is called a neighborhood extensor space for the class Q [written:
Y is a NES(Q)] if for each X E Q and every closed A C X, each continuous f : A --> Y is
extendable over some open nbd U of A.
(A.1) Establish the following properties of NES spaces:

(i) If Q c Q' , then NES( Q') c NES( Q).
(ii) If Y is a NES(Q) , then so is every open subset of Y.
(iii) If Y is a NES(Q) and BeY is a retract of some open nbd in Y , then B is also
a NES(Q).
(iv) A finite cartesian product n
Y k is a NES(Q) if and only if each Y k is a NES(Q).
(A.2) (Kumtowski lemma) Let Y be a space that can be represented as a union Y =

Y1 UY2, where Y1 , Y2 and Y1 nY2 are NES(Q) for some class Q C JV. Let X E Q, A C X
closed, and let f : A --> Y. Prove: If the entire space X can be represented as the union
Bl U B2 of two closed sets such that f(A n Bll c Y1 , f(A n B 2 ) c Y2 , then f is extendable
over a nbd of A in X.
[Follow the proof of (11.4.1).]
(A.3) Let Y be a space with Y = Yl U Y2, where Yl, Y2 are closed. Prove: If Yl, Y2 , and
Y1 n Y2 are NES(Al) , then Y is a NES(Al).
[Let X E Al, A C X closed, and f : A --> Y be given. Define
Bl = {x I dist(x, rl(YIl) :S dist(x , r 1 (Y2))},
B2 = {x I dist(X , r 1 (Y2)):S dist(X,r1(Yl))} .

Show that X = BI U B2 with each Bi closed in X and f-I(Yi) = An Bi (i = 1,2) ; and

apply (A.2).]
(A.4) Let Y be any NES(..4l) and BeY a closed NES(..4l) subset . Show:
(i) Y x {O} U B x I is a NES(.4l) .
(ii) Any finite union of closed convex sets in a locally convex space is a NES(..4l).
(A.5) Let Y = UI U U2, where UI , U2 are open. Show: If UI , U2 are NES(Q) for some
Q c JV , then Y is a NES(Q).
[Let X E JV , A C X closed, and f : A - 7 Y be given . Consider the disjoint closed sets
H = A- f-I(Ud, F2 = A- f- I (U2) in X and choose A: X --> I with AIPI = 1, AIP2 = O.
Then for the closed sets BI = {x E X I A(X) ::; 1/2}, B2 = {x E X I A(X) ~ 1/2} with
X = BI U B2 , show f(A n B i ) C Ui (i = 1, 2). Apply the Kuratowski lemma (A.2) .]
(A.6) (Michael theorem) Let Y be a topological space. A property H of subsets of Y (or

equivalently a subset H C 2 Y ) is called G-hereditary whenever it satisfies the following
three conditions:
(a) If A E H and if We A is open in A, then WE H.
(b) If U, V are open, and if U, V E H , then U U V E 11..
(c) If {Ua I a E A} is any family of pairwise disjoint open sets in Y , and if each Ua
is in 11., then UaEA Ua E 11..
Let Y be a metric space, and let 11. C 2Y be a G-hereditary property. Prove: If each
y E Y has an open nbd U E 11., then Y E 11.. (This result , due to E .A. Michael, is also
true for any paracompact space Y.)
[Let {U(y) l yE Y} be an open covering of Y with each y E U(y) E 11.. Take a (]"-
discrete open refinement {Ua ,n I (a, n) E A x Z + } of {U(y) l yE Y}, where for each fixed
n, the family {Ua ,n} is pairwise disjoint (cf. Appendix). Letting Vn = U{Ua ,n I a E A} ,
conclude that Y = U Vn with each Vn E 11.. Next assuming, without loss of generality,
that Vn C Vn + I and Y =I Vn , for all n , shrink the covering {Vn } to an open covering
{Wn}, where Wn = {y E Y I dist(y , Y - Vn ) > 1/2n} for n ~ 1. Then prove successively
that each of the following sets belongs to 11.:
(1) Each W n , n ~ 1.
(2) Each Rn = Wn - W n - 2, n ~ 1, where Wi = 0 for i::; o.
(3) Y = (UR2n) U (UR2n - I).]
(A.7) (Hanner theorem) Let Q C 9 . Prove: A metric space Y is a NES(Q) if and only if
Y is locally a NES(Q). (This result, due to Hanner [1952]' is also true for any paracompact
space Y.)
(A.8) Show: Every ANR is a NES(compact).
B . Relative Lefschetz theorem for NES( compact) spaces
Throughout this subsection we use the notation and terminology of (15 .3.1). Let (X , A)
be a pair of spaces and f : (X, A) --> (X, A) a map. Then:
(i) f is a Lefschetz map if the Lefschetz numbers AU), AUx) and AUA) are defined ,
(ii) f is compact if f X and f A are com pact ,
(iii) f is partially extendable if f is compact and fA extends to an fA E X(U, A),
where U C X is open and A C U. (In what follows , given such a partially
extendable f, we always writei: A'--> U for the inclusion, so that fA = fA oi .)
(B. 1) Let (X , A), (Y, B) be two pairs and assume that the diagrams
(Y,B) (X,A)
(X, A)
7~ (Y, B)
~f Yk
(Y, B) ~ (X, A)
are commutative. Show:

(a) If there exists a map r : Y ---t X sending homeomorphically Fix(,8o:) onto Fix(o:,8)
and r - 1 (A) = B, then
r[Fix(f) n Y - B) c Fix(F) n X - A.
(b) If 0:- 1 (A) = Band ,8-1 (B) = A , then the sets Fix(f)nY - Band Fix(F)nX - A
are homeomorphic .
(B.2) (Allowable pairs) By an allowable pair is meant a pair (X, A) such that each par-
tially extendable f : (X, A) ---t (X, A) is a Lefschetz map, and A(f) #- 0 implies that f
has a fixed point in X - A. Prove: If r : (Y, B) ---t (X, A) is a retraction, B = r- 1 (A) and
(Y, B) is an allowable pair, then so also is (X , A) .
[Take a partially extendable f : (X , A) ---t (X,A) with extension fA E X(U, A).
Consider the commutative diagram
(X , A) ~ (Y, B)
f1 /~=fr /' 1f3fr =F
(X, A) ~ (Y, B)
and observe that ,80: = ,8 f r is partially extendable (since r - 1(U) :::> B is open in Y
and ,8fAr : r-1(U) ---t B extends ,8frlB : B ---t B). By (15.2.2) and the assumption,
A(f) = A(o:,8) = A(,8o:). If A(f) #- 0, then because ,80: is partially extendable, Fix(,8o:) n
Y - B #- 0. Using (B.l)(a), conclude that Fix(o:,8) n X - A #- 0.)
(B.3) Let X be an open subset of a locally convex space E , and let A C X be arbitrary.
Show: (X , A) is allowable.
[Let f : (X , A) ---t (X , A) be partially extendable with extension fA E X(U, A) ;
using the index I for compactly fixed maps in E, observe that (i) I(ifA , U) = A(ifA) =
A(fAi) = A(fA), and (ii) A(f) = A(fx) - A(fA), because A(fA)' A(fx) are defined, and
so also is A(f) by (15 .2.3) . To conclude, assume Fix(f) n X - A = 0; then I(fx,X) =
I(ifA,U) by excision and A(f) = I(fx , X) - I(ifA,U) = 0, by (i), (ii), and strong
normalization.J
(B.4) Let X be an open subset of a Tychonoff cube IN , and let A C X be arbitrary.
Show: (X , A) is allowable.
[Prove that there exists a retraction r : (Y, B) ---t (X, A) , where Y is open in a locally
convex space, B = r- 1 (A), and then apply (B .3) and (B.2) .J
(B .5) Let X be a NES(compact) space, and let A C X be arbitrary. Show: (X,A) is

allowable.
[Given a partially extendable map f : (X, A) ---t (X, A) with extension fA E X(U, A),
let (K, L) be a compact pair such that f factorizes as (X , A) L (K, L) 2, (X, A) and L
contains fA (U). Embed K into a Tychonoff cube IN and consider the diagram
where: (i) h is a homeomorphism; (ii) j, s are inclusions and 0: is an extension of jh- 1 :

K - t X over Y open in IN (existing since X E NES(compact)); and (iii) B = o:-l(A)
and (3 = shi Observe that

0:(3 = o:(shf) = jh - 1 hf = j f = f
and that hfAO: E £(o:-l(U),B) extends ((3o:)IB : B - t B over an open nbd o:-l(U)
of B in Y. Thus , (30: : (Y, B) - t (Y, B) is partially extendable, and since Y is open
in a Tychonoff cube, we have A((3o:) = A(o:(3) = A(f) by (B.4) and (15.2.2); together
with (15.2.3), this implies that f is a Lefschetz map, since A(fx) is defined. Assuming
A(f) = A((3o:) i= 0, we obtain Fix((3o:) n Y - B i= (/) by (B.4), and (since o:-l(A) = B)
the desired conclusion follows from (B.1)(a) with r = o:.J
f : (X, A) °
(B .6) (Lefschetz pairs) By a Lefschetz pair is meant a pair (X, A) such that each compact
- t (X, A) is a Lefschetz map, and A(f) i= implies that f has a fixed point
in X - A. Prove: If r : (Y, B) - t (X, A) is a retraction , r- 1 (A) = B , and (Y, B) is a
Lefschetz pair, then so also is (X , A).
(B.7) Let E be a locally convex space and (Y, B) a pair of open sets in E. Show: (Y, B)
is a Lefschetz pair.
(B.8) Let (X, A) be a pair of NES(compact) spaces. Show: (X, A) is a Lefschetz pair.
[Let f : (X, A) - t (X, A) be compact; choose a compact pair (K, L) such that
(f(X),f(A)) C (K , L) C (X,A) and an extension] : W - t A of j : L ' - t A over an
open nbd W ~ L in K , which exists because A E NES(compact). Letting V C K be open
with LeV eVe Wand U = f - 1 (V), observe that fA =] 0 f : U - t A is a compact
extension of fA over U, since fA (U) C ](V) and ](V) is compact. This shows that f is
partially extendable, and the conclusion follows from (B.5).J
(B.9) Let X be a NES(compact) space, and let A C X be open. Show: (X, A) is a
Lefschetz pair.
(B.1O) Let (X,A) be a pair of metric NES(compact metric) spaces. Show: (X,A) is a
Lefschetz pair.
(The above results are due to C. Bowszyc.)
C. Lefschetz-type results for self-maps of compact spaces

This group of problems is concerned with certain general classes of maps of compact spaces
for which the Lefschetz-type theorem holds.
(C.1) (N£S(compact)-maps) We say that f : X - t Y is a N£S(compact)-map if for
any compact pair (Z, A) and any g : A - t X there exists a nbd U of A in Z and a
map <p : U -. Y such that <pIA = f9; the class of all NES(compact)-maps is denoted by
NES(compact). Prove:
(i) X E NES(compact) {:} Ix E NES(compact) .
(ii) go f E NES(compact) whenever either f or 9 is a NES(compact)-map.
(iii) If either X or Y is a NES(compact) space, then every f : X -. Y is a NES(com-
pact)-map.
(C.2) Let K be a compact space and f : K -. K a NES(compact)-map . Show: 1 is
strongly Lefschetz.
[Embed K into a Tychonoff cube if'/., and then prove that 1 factors through an open
subset of IN . Because U is a Lefschetz space, conclude using (15.3.5).J
(C.3) (Approximate NES(compact)-maps) We say that 1 :X --+ Y is an approximate

NES(compact)-map if for any compact pair (Z,A) and any 9 : A --+ X, the following
condition is satisfied: for each a E Cov(Y) there exists a nbd Ua of A in Z and a map
<pa : Ua -. Y such that <paIA, Ig : A --+ Yare a-homotopic; the class of all approximate
NES(compact)-maps is denoted by ANES(compact). Prove:
(i) X E ANES(compact) {:} Ix E ANES(compact).
(ii) 9 0 1 E ANES(compact) whenever either f or 9 is an ANES(compact)-map.
(iii) If either X or Y is an ANES(compact) space, then every 1 : X ---> Y is an
ANES(compact)-map.
(C.4) Let K be a compact space and f : K ---> K an ANES(compact)-map. Show: f is

strongly Lefschetz.
[Show that f admits an approximating family {Ja}aECov(K) (d. (3.3)) such that each
fa factors through an open subset of a Tychonoff cube. Conclude the proof using (3.4) .J
(C .5) Show: Theorems (5 .3) and (5 .6) are special cases of (C.4).
(The above results are due to Gauthier-Granat; [2003J.)
D. Fixed point classes and the Nielsen number
Throughout this subsection (X, d) is an ANR and f : X -. X is a compact map.

Given xo, Xl E Fix(J), we say that Xo and Xl are f-equivalent (and we write Xo '" f xd
if there is a path p = {xdtEI from Xo to Xl that is homotopic to the path lop =
{J(Xt))}tEI by a homotopy keeping Xo and Xl fixed. The relation "'f is an equivalence
relation on Fix(J) , and its equivalence classes are called fixed point classes of f .
(D .1) Given a homotopy ht : X --+ X , we let hex, t) = (ht(x) , t) for (x, t) E X x I. Thus
h: X x I -. X x I. Prove: (x, t) and (y, t) are in Fix(h) and are h-equivalent if and only
if x and yare in Fix(ht) and are ht-equivalent.
(D.2) Let x E Fix(J) , and let <P(x) be the fixed point class of 1 containing x . Prove: <P(x)
is open in Fix(J) .
[Use the Arens-Eells embedding and show that there exists a 8 = 8(x) > 0 such that
whenever x' E Fix(J) and d(X , X') < 8, then x "'f x'.J
(D .3) Prove: 1 has a finite number of compact fixed point classes.
(D.4) Let <P be a fixed point class of f . Show:
(a) There exists an open subset U c X such that <P c U and Un Fix(J) = <P.
(b) The index i(<P) of of f essential if i(if» i= O. The Nielsen number NU) of
f is defined to be the number of essential fixed point classes of f. Prove: f has at least
NU) fixed points.
(D .6) Let h : X x I --+ X be a compact homotopy and $ a fixed point class of the compact
map h : X x I --+ X x I; denote by $t = {x I (x , t) E $} the t-slice of $ for tEl . For
each given tEl , prove:
(a) $t is either empty or a fixed point class of ht : X --+ X,
(b) if if> is a fixed point class of ht , then it is the t-slice of a (unique) fixed point class
$ of h.
(D .7) With the notation of (D.6) , prove: i($o) = i($d , where i($t) = 0 if $t = 0.
[(i) Fix rEI . Choose an open U C X x I with $ c u , un
Fix(h) = $ and observe
that $r cUr, Ur n Fix(hr ) = $r and i($r) = i(hrIUr , Ur ).
(ii) Use the general homotopy invariance (12.6.3).]
(D.8) Let h: X x I --+ X be a compact homotopy. Prove: N(ho) = N(hl) .

[Observe, using (D .6) and (D.7) , that if a given fixed point class of ho is the O-slice
of a fixed point class $ of h, then i($o) = i($d ; this implies N(ho) :::: N(hll . A similar
argument gives the reverse inequality.]
(The above results are due to R .F . Brown [1969] .)
Fixed points for ~* -maps of ANRs

Let X be a space, U C X open, and f : U --* X a map. We say that f is
an ~* -map if f is compactly fixed and for some nbd V c U of Fix(f) the
restriction flV : V --* X is compact. In a similar way, we define the notion
of ~*-homotopy and we let §*(U,X) denote the set of all §*-maps from
U to X.
Let now X be an ANR, and let U c X be open. Given a map f E
~*(U, X) , we define the index Ind(f) of f by
Ind(f) = Ind(f, U) = I(fIV, V) ,

where V c U is a neighborhood of Fix(f) such that flV is compact; by the
excision property of I, Ind(f) is independent of the choice of V.
With this definition, we have the following generalization of (16.5 .1) (cf.
Granas [1972]):
THEOREM . Let ~* be the class of maps defined by the condition: f E ~*
if and only if f E §*(U, X), where X is an ANR and U c X is open. Then
the index function Ind : §* --* Z assigning Ind(f) to each f E ~*(U, X)
has the following properties:
(I) (Strong normalization) If U = X and f : X --* X is a compactly
absorbing map , then A(f) = Ind(f, X).
(II) (Additivity) For f E §*(U, X) and every pair of disjoint open

VI, V2 C U, if Fix(f) C VI U V2 , then
Ind(f, U) = Ind(f, Vd + Ind(f, V2 ).
(III) (Homotopy) If h t : U ---+ X is an §* -homotopy, then
Ind(ho, U) = Ind(hl' U).
(IV) (Commutativity) Let X, Y be ANRs , let U C X, V C Y be open,
and let f : V ---+ X , 9 : U ---+ Y be two maps. Assume that the set
Fix(gJ) = {x E f-l(U) I x = gf(x)} C V
is compact and that for some neighborhood W C V of Fix(gJ) the
restriction flW : W ---+ X is compact. Then:
(i) Fix(fg) = {y E g-I(V) I y = fg(y)} is compact,
(ii) both gf : f-l(U) ---+ Y and fg : g-I(V) ---+ X are §*-maps,
(iii) Ind(gf,f - l(U)) = Ind(fg , g- I(V)).
For various extensions of this theorem to more general classes of maps
see Nussbaum [1977], [1993], and also his lecture notes [1985].
Various extensions of the Lefschetz theorem

The presentation of the results in Section 2 is close to that of Gauthier-
Granas [2003]; for more general related results, see "Miscellaneous Results
and Examples" (subsection B). For (3.1) and (3.2), see Dugundji's book
[1965], p. 414, and also Fournier- Granas [1973]. Theorem (3.6) is due to
Jaworowski-Powers [1969]. General results of the type of those in Sections
4 and 5 can be found in Granas [1967], Fournier- Granas [1973], and the
lecture notes of Granas [1980]. For (4.3) and (4.5), see Granas [1967] and
Fournier- Granas [1973]. Lemma (4.4) is due to J.H. Michael [1957]. Exten-
sions of the Lefschetz theorem to various classes of NES-spaces, in particular
Theorem (5.3), are due to Fournier- Granas [1973] . We remark that it is not
known whether all NES(metric) spaces are Lefschetz spaces; for some partial
results see Fournier- Granas [1973]. Approximate NES(compact) spaces and
Theorem (5.6) are discussed in the lecture notes of Granas [1975].
A good exposition of Lefschetz-type results in the context of Cech ho-
mology is given in Gauthier [1983]; in particular, the reader will find there
Lefschetz theorems for approximate ANRs in the sense of Noguchi [1953]
and Clapp [1971]. Some further extensions of the Lefschetz theorem, due to
K. Borsuk and J. Dugundji, will be given in §20.
Cauty [2002] established recently that any compact equiconnected space
has the fixed point property (and more generally, any compact locally equi-
connected space is a Lefschetz space).
Fixed points for differentiable maps

We now give a few examples of results showing that frequently one gets more
refined fixed point assertions by assuming that the map f is continuously
differentiable.
THEOREM (Cartan [1986]). If M is a en Banach manifold and f : M --7 M
is a en map such that f 0 f = f, then Fix(J) is a submanifold of M.
THEOREM (Eells-Fournier [1975]). Let M be a e 1 Banach manifold and
f : M --7 M a C 1 map such that fn : M --7 M is compact for some n :::: 2.
Then A(J) is defined and A(J) i= 0 implies that f has a fixed point e).
For similar and more general results the reader is referred to Eells-
Fournier [1976] and Nussbaum [1977].
Degree for self-maps of manifolds and topological entropy

Let (X, d) be a compact metric space and f : X --7 X a map. Define a
sequence {dO~=l of metrics on X by d~(x, y) = maxO<i<n-1 d(Ji(x), fi(y))
and let Bf(x,E,n) = {y E X I d~(x,y) < d. A set A-eX is called (n,E)-
spanning if X = UaEABf(a,E,n). We let Sd(J,E,n) denote the smallest
cardinality of an (n, E)-spanning set, and let
1
hd(J, E) = limsup-logSd(J,E,n).
n ...... oo n
The quantity hd(J) = limc: ...... o hd(J, E) (depending only on the topology of X)
is the topological entropy of f and is denoted by htop(J); this invariant
describes the dynamical complexity of a given map.
Let M be an n-dimensional compact connected orient able manifold with-
out boundary, f : M --7 M a map, and f* : Hn(M; Z) --7 Hn(M; Z) the
induced homomorphism. Fix an orientation on M, i.e., an isomorphism
Hn(M; Z) ~ Z. Then the degree d(J) of f is d(J) = f*(l) E Z. When
M = sn, this coincides with the Brouwer degree described in §9.
THEOREM (Misiurewicz- Przytycki [1977]). If M is a smooth compact con-
nected orientable manifold and f : M --7 M is a C 1 map, then
log Id(J)1 ::; htop(J).
This result ensures that a map with Id(J)1 :::: 2 is dynamically complex.
(1) We remark that the following problem remains open: Let E be a Banach space
and f : E --> E a map such that fn is compact for some n ;::: 2. Does f have a fixed point?
VI.
Selected Topics
This chapter is concerned with a few selected topics related to the Leray-
Schauder theory. It presupposes on the part of the reader some knowledge
of the Cech homology and cohomology theory; occasionally, an important
background theorem is included without proof, whenever such a theorem is
needed.
§18. Finite-Codimensional Cech Cohomology

Let E be a fixed infinite-dimensional normed linear space. The Leray-Schau-
der category associated with E is the category ~E having closed bounded
subsets of E as objects and compact fields as morphisms. This paragraph
is concerned with extending some basic notions and results of algebraic
topology to the framework of the category ~E. The main method to be
developed here is that of "finite-codimensional cohomology" . We will show
that with this new tool, one can efficiently handle certain geometric problems
which previously seemed inaccessible by application of the Leray- Schauder
degree theory.
Throughout the paragraph we assume that the Leray-Schauder category
~ = ~E associated with the normed linear space E is equipped with the
relation of homotopy of compact fields .
By a finite-codimensional cohomology theory (or simply a cohomology
theory) Hoo - * on ~2 is meant a sequence {Hoo - n (X, A)} ~=1 of contravari-
ant functors from pairs (X, A) in ~2 to abelian groups together with a
sequence of natural transformations t5 oo - n : Hoo - n(A) ~ Hoo - n+l(X,A)
satisfying the following conditions:
(1) (Homotopy) If j, g : (X, A) ~ (Y, B) are compact fields homotopic in~,
then
492 VI. Selected Topics
(2) (Exactness) For each pair (X, A) in £, the sequence
• " ----+ Hoo-n(X, A) ----+ Hoo-n(x) ----+ Hoo-n(A) o~n H oo - n +1(X, A) ----+ ...
is exact, where all unmarked homomorphisms are induced by inclusions.

(3) (Strong excision) The inclusion e : (A , A n B) ----+ (A U B , B) induces an
isomorphism
for all n.
The coefficient group of this theory is defined to be the graded group
{Hoo-n(S)}~=l' where S is the unit sphere in E. In this paragraph we
construct one such cohomology theory which corresponds to ordinary Cech
cohomology for compact spaces and whose coefficients satisfy Hoo- 1 (S) = G
and Hoo-n(s) = 0 for n I- 1.
1. Preliminaries
After some preliminary definitions, we first assemble the basic categories
that will enter later on in our study of cohomology theories. The remaining
part of the section is concerned with a review of Cech cohomology theory
for compact spaces.
h-categories
(1.1) DEFINITION. An h-category (K, "') is a category K such that for each
pair of objects A, Bin K, the morphism set K(A, B) is equipped with
an equivalence relation '" (called homotopy) satisfying the following
(compatibility) condition:
h rv 12, gl rv g2 ::::} glh rv g212
whenever the compositions are defined.
A morphism f E K(A, B) is called homotopy invertible (or simply
h-invertible) if there exists agE K(B , A) such that gf '" lA and
fg'" 1B; we then say that the objects A and B are homotopy equiv-
alent (or simply h-equivalent).
We say that an h-category (L,~) is an h-subcategory of (K, "') if L
is a subcategory of K and f ~ 9 in L implies f rv 9 in K.
A functor A from an h-category (K, rv) to an h-category (L, ~) is
called homotopy invariant (or briefly an h-functor) if f '" 9 implies
AU) ~ A(g).
REMARK. We always consider Ab as an h-category with the trivial homo-

topy relation f rv g {:} f = g.
The categories ('c, rv) and ('co,~)
We shall use the terminology and notation pertaining to compact fields as

in (6.7.1) and (6.7.3).
Recall that whenever a compact field between two subsets of E is denoted
by a lowercase letter, as in f : X --+ Y, the compact map x f-+ x - f(x)
is denoted by the corresponding capital letter, i.e., F(x) = x - f(x); we
then call F : X --+ E the compact map associated with the given field.
Compact fields are further described by the terminology used for compact
maps: thus the field f is finite-dimensional if the associated compact map
is finite-dimensional.
We now list the main h-categories that will appear in our study of the
Cech cohomology theory Hoo-*.
1° The category of compact fields (It, rv). This category has as its objects
all subsets of E, and as its morphisms all compact fields (It(X, Y) = the set
of compact fields from X to Y); the relation rv is the homotopy of compact
fields.
2° The category (Ito, ~). This category is obtained from It by restrict-
ing the morphisms to be the finite-dimensional fields (lto(X, Y) = the set
of finite-dimensional fields from X to Y) , and ~ is the relation of finite-
dimensional homotopy between finite-dimensional fields. Thus (lto,~) is a
dense e) h-subcategory of (It, rv).
3° The Leray- Schauder category ('c, rv). Here the objects are all closed
bounded subsets of E, and the morphisms are all compact fields between
the objects ('c(X, Y) = the set of all compact fields from X to Y); the
relation rv is the homotopy of compact fields . Thus ('c, rv), being obtained
from (It, rv) by restricting the type of objects under consideration, is a full
h-subcategory of (It, rv).
4° The category ('co, ~). This category has as objects all closed bounded
subsets of E and as morphisms all finite-dimensional fields ('co (X, Y) =
the set of all finite-dimensional fields from X to Y); the relation ~ is the
finite-dimensional homotopy between morphisms. Thus, ('co , ~) is a dense
h-subcategory of ('c, rv).
We remark that the h-categories described in 2°, 3°, and 4° are all h-
subcategories of the category (It, rv).
(1) A subcategory L of K is called dense if it has the same objects as K ; and it is

called full if it has the same morphisms as K , i.e. , L(X, Y) = K(X, Y) for all X, Y in L.
In what follows, when there is no risk of misunderstanding, we use the

following abbreviations:
The Leray-Schauder category C~, "') is of our primary interest: we shall

be concerned with those properties of its objects that remain invariant under
equivalences and homotopy equivalences in 'c.
The directed set L E and the categories ('ca, '" a)

We denote by L = LE = {La, L(3, Ly, ... } the directed set of all finite-
dimensional subspaces of E with the natural order relation :::S defined by
La :::S L(3 ¢} La C L(3. For notational convenience, we assume that there is
a one-to-one correspondence a +-+ La between the symbols a, fJ, T, ... and
subspaces La, L(3, L"'(, . .. , and in formulas to occur, we frequently replace
one kind of symbol with the other; thus we write, for example, a :::S (3 instead
of La :::S L(3.
Given a E L, we let d(a) = dimL a . If Xc E is nonempty, we denote by
LX the cofinal subset of L consisting of those a E L for which Xa = X n La
is nonempty. If X, Y c E and f : X ------) Y is a map such that f(Xa) C Ya,
then we denote by fa : Xa ------) Ya the contraction of f to the pair (X a , Ya).
(1.2) DEFINITION. Let X and Y be subsets of E, and let a E L.
(i) A field f E <to (X, Y) is called an a-field if the finite-dimensional
map F associated with f sends X into La.
(ii) Two a-fields f, 9 : X ------) Yare called a-homotopic (written f "'a g)
if there is a homotopy h t : X ------) Y with ho = f, hI = 9 such that
h t (x) = x - H (x, t), x EX, tEl,
where H : X x I ------) E is finite-dimensional and H(X x I) C La.
(1.3) PROPOSITION.
(a) For each a E L, there is an h-category ('ca, "'a) having as objects
all closed bounded subsets of E and as morphisms all a-fields
('ca(X, Y) = the set of all a-fields from X to Y); the relation "'a
is the a-homotopy of a-fields.
(b) ('ca, "'a) is a dense h-subcategory of ('co,~) for each a E L , and
if a :::S (3 then ('ca, "'a) is a dense h-subcategory of ('c(3, "'(3)'
(c) For any objects X and Y in 'co,
,co (X, Y) = U{'ca(X, Y) I a E L},
and given f E £a(X, Y), 9 E £(3 (X, Y), we have

[j ~ g] ::::} [j "''''( 9 for some T ~ a, (3].
PROOF. The verification of these statements is straightforward and is left

as an exercise to the reader. 0
Preliminaries on tech cohomology

In what follows, our study is largely based on Cech cohomology for compact
spaces. The details of construction of the Cech cohomology theory do not
concern us here, but we shall describe explicitly its general properties and
also some special results that will be needed.
Let K be the category of compact pairs and G an abelian group. The
tech cohomology theory on K is a sequence H* = {Hn }nEZ of cofunctors
Hn : K -7 Ab together with a family of natural transformations
on : Hn(A) -7 Hn+l(x, A),
one for each n, such that the following properties hold:
(1) (Homotopy) If the maps j, g : (X, A) -7 (Y, B) are homotopic, then
Hn(J) = Hn(g).
(2) (Exactness) If (X, A) is a compact pair, then the cohomology sequence
... -7 Hn-l(A) ~ Hn(X,A) -7 Hn(x) -7 Hn(A) ~ Hn+l(x,A) -7'"
of (X, A) is exact, where the unmarked homomorphisms are induced by

inclusions.
(3) (Strong excision) If (X; A, B) is a triad e) and
e : (A, A n B) "--+ (X, B)
is the inclusion, then Hn(e) : Hn(x, B) ~ Hn(A, A n B) for all n.
(4) (Dimension) If Po is a point, then
( ) {0 for n =I 0,
H n Po = G for n = O.
(5) (Continuity) If {(X a, Aa)} is a system of compact pairs in some space,
downward directed by inclusion, and X = X a, A = n
A a , then the n
inclusion maps ia : (X, A) "--+ (Xa, Aa) induce an isomorphism
Hn(x, A) ~ li!!}{ Hn(Xa, Aa), i~,(3},
a
where i a,(3 : (X,(3, A,(3) "--+ (Xa, Aa) is the inclusion for a j /3.
(1) By a triad is meant an ordered triple T = (X; Xl, X2) of compact spaces such that
X = Xl U X2, and by a map f: (X;X1,X2) ...... (Y;Y1, Y2 ) of triads a map f : Y x ...
that sends Xi to Yi for i = 1,2.
Given a triad (X; Xl, X 2) with A = Xl n X 2, denote by

jOl : A'--t Xl , j02 : A '--t X 2,
i 1 : Xl '--t X, i2 : X 2 '--t X,
jl : X '--t (X, Xl) , j2 : X '--t (X , X2)
the corresponding inclusions. The Mayer- Vietoris cohomology sequence of
the triad (X; Xl, X 2 ) is the sequence of abelian groups
... -+ Hn - l(A) ~1 Hn(x) :£." Hn(Xd EEl H n (X 2) !.. Hn(A) -+ . . ,
in which <.p and 'I/J are given by

<.ph) = (iih),i;h)) for,,( E Hn(X),
'l/Jhl + "(2) = j3l hI) - j32(2) for "(i E Hn(X i ) (i = 1,2) ,
and the Mayer- Vietoris homomorphism
Ll n- l : Hn - l(A) -+ Hn(x)
is defined by
;\n-l -_.*
.::...l Jl 0
(k*) - l .rn - l
0 u ,
where k* is the isomorphism induced by the excision k : (X2' A) '--t (X, Xd

and tS n - l is the coboundary homomorphism of the pair (X2' A). When there
is no risk of confusion, we shall frequently omit the superscript n on Lln.
The cohomology sequence of a triple B cAe X with inclusions
k i j
A'--t (A, B) '--t (X, B) '--t (X, A)
is the sequence of abelian groups
... -+ Hn-l(A, B) ~ Hn(x, A) ~ Hn(x , B) £. Hn(A , B) -+ ...

in which the coboundary homomorphism tS is defined as the composite
Hn-l(A, B) ~ Hn-l(A) ~ Hn(x , A).

The following results are deduced from the axioms by purely formal
arguments.
(1.4) THEOREM . The Mayer- Vietoris sequence of a triad is exact. If f :
(X; Xl, X 2 ) -+ (Y; Y 1 , Y 2 ) is a map of triads, then f induces a ho-
momorphism of the corresponding Mayer- Vietoris sequences. 0
(1.5) THEOREM. The cohomology sequence of a triple is exact. If f :
(X, A, B) -+ (X', A', B') is a map of triples, then f induces a ho-
momorphism of the corresponding cohomology sequences. 0
Let To = (A; AI , A2 ) and T = (X; Xl, X 2 ) be two triads. Then To is said

to be a subtriad of T , written To C T , if A c X and Ai C Xi for i = 1,2;
To is said to be a proper subtriad of T , written To <s T , if Ai = A n Xi for
i = 1,2.
If To <s T, then clearly To C T and Ao = Al n A2 = An X o , where
Xo = Xl n X 2 ; moreover, the inclusions
are excisions.
(1.6) DEFINITION. Given triads (A; AI, A 2 ) <S (X; Xl , X 2), we define the
relative Mayer- Vietoris homomorphism
Ll : Hn - I(X o , Ao) -t Hn(x, A)
to be
Ll = j* 0 (k*) - l 080 (q*)-l,
where
8 : Hn-l(xo U A 2 , A 2) -t Hn(X2' Xo U A 2)
is the coboundary homomorphism of the triple (X2 ' Xo uA 2, A 2 ) and
j : (X, A)'-+ (X , Xl U A) is the inclusion.
The following proposition is an immediate consequence of the definitions

involved:
(1.7) PROPOSITION. To a commutative diagram of triads
corresponds the following commutative diagram of abelian groups:

Hn-l (Yo , Bo) ~ Hn(y, B)
~! 1f "
Hn - l(xo , Ao) ~ Hn(x , A)
where Yo = YI n Y2 and Bo = BI n B 2 . o
Consecutive pairs of triads
Given a triad T = (X; Xl, X 2 ), let -T = (X ; X2, XI) and denote by Lln(T) ,
or simply Ll(T), the Mayer- Vietoris homomorphism
Ll(T) : H n(XI n X 2 ) - t Hn+1(x)
of the triad T. We note that
(*) Ll(T) = -Ll(-T).

(1.8) DEFINITION. Let To = (Y; Yl , Y2 ) and T = (X; Xl, X 2 ) be two triads.
The pair (To, T) is called a consecutive pair of triads if
Yl u Y2 = Y = Xl n X 2 ;
we then write To ::::} T and say that the pair (To, T) starts at Yl n Y 2
and ends at Xl U X 2 .
Observe that for every consecutive pair of triads (To, T) we may form the
composition
of the corresponding Mayer~ Vietoris homomorphisms.
(1.9) LEMMA. Assume that in the diagram
To===? T
j j
T~ ====? T'
the consecutive pairs

(To, T) = ((Y; Yl , Y2 ), (X; Xl, X 2 )),
(T~,T') = ((Y';Y{ , Yn,(X';X~,X~))
both start at Yl n Y2 = Y{ n Y; and end at X = X'. Then

.1(T) 0 Ll(To) = Ll(T') 0 Ll(T~).
PROOF. This is an immediate consequence of Theorem (1.4). o

(1.10) LEMMA. Let ((Y; Yl , Y2), (X; Xl, X 2)) and ((Z; Zl, Z2), (X; W l , W 2))
be two consecutive pairs of triads, both starting at
and ending at X. Assume, moreover , that
Zi = Z n Xi and Ii = Y n Wi for i = 1,2.

Then
PROOF e). Consider the following triads:

TI = (Y; YI , Y2 ) , T2 = (X; Xl, X 2),
T3 = ((WI n X 2) U Y2; WI n X 2, Y2), T4 = (X;XI U W I ,X2 ),
T5 = (Y2 U Z2; Z2, Y2) , T6 = (X; Xl U WI, X 2 n W 2),
T7 = ((Xl n W 2) U Z2; Xl n W 2, Z2), Ts = (X ; Xl U WI , W2),
Tg = (Z; Zl, Z2) , T10 = (X; WI, W2).
We claim that every pair (T2i - l , T 2i ) for i = 1,2,3,4,5 is a consecutive

pair of triads starting at Y n Z and ending at X.
For i = 1 and i = 5, this is true by assumption. Assume now that i = 2.
Since Y2 = Y n W 2 c X 2 and YI C WI, we have
(WI n X 2) n Y2 = WI n Y2 = WI n W 2 n Y = Z n Y,
(X l uWdnx2 = (X l nX2)U(Wl nX2) = YU(Wl nX2) = Y2 U(Wl nX2),
proving the statement for i = 2. For i = 4, the proof is analogous.
Finally, for i = 3 we have
Z2 n Y2 = (Z n X 2) n (Y n W 2) = (Z n W 2) n (Y n X 2) = Z n Y,
(Xl U Wd U (X2 n W 2) = (Xl U WI U X 2) n (Xl U WI U W 2) = X ,
(Xl U WI) n (X2 n W 2) = (Xl n X 2 n W 2) U (WI n X 2 n W 2)
= (Y n W 2) U (Z n X 2 ) = Y2 U Z2,
completing the proof of the claim. Now, by taking into account the inclusions
T I , T5 C T 3, T 2, T6 C T 4 , -T5 , Tg C T 7, T 6, T10 C T s ,
the various relations between the triads may be exhibited in the diagrams
TI =:> T2 Tg ~ T10
Letting .1i = .1(Td for i = 1, .. . ,10, we apply Lemma (1.9) and property
(*) to obtain
.12.11 = .14.1 3 = .16.15 = -.18.17 = - .11O.19,
and thus the proof of the lemma is complete. o
e) The reader may skip this proof on first reading and return to it when necessary
for the proofs of consequences of (1.10).
2. Continuous Functors
The basic constructions of this paragraph depend essentially on the conti-
nuity property of the functors under consideration. This section develops
the above property, and its main result is that every continuous h-cofunctor
>'0 : £0 ---t Ab defined on the subcategory £0 of £ admits a unique extension
over £.
Throughout this section we let >'0 denote a homotopy invariant cofunctor
from the category £0 = (£o,~) to the category of abelian groups; £0 being
dense in £ , we let
>'(X) = >'o(X) for X E £0
and
1* = >'0(J) : >'(Y) ---t >'(X) for f E £o(X, Y).
Approximating sequences
We now describe some technical tools that will be needed for the proof of
the main result of this section.
Given an object Y in £ and kEN, we let
y(k) = {x EEl d(x, Y) :S 11k}.
To a sequence {Xd of objects we associate the enlarged sequence {i\} by
setting
Xk = xt) = {x EEl d(x,Xk):S 11k}.
(2.1) DEFINITION. Let Y be an object of £. An approximating sequence
{Yn } for Y is a descending sequence Y1 ::J Y 2 ::J ... of objects in £
such that Y = n~l Yk.
Some useful properties of approximating sequences are collected in
(2.2) PROPOSITION. Let {Xd and {Yd be approximating sequences for
X and Y, respectively, and let f : Xl ---t E be a compact field. Then:
(i) {Xk U Yd is an approximating sequence for X U Y,
(ii) {Yd is an approximating sequence for Y,
(iii) for every a ELy, {Yk n LahEN is an approximating sequence
for Y a ,
(iv) {f(X k )} is an approximating sequence for f(X).
PROOF. Properties (i)- (iii) are evident. To establish (iv), it is sufficient to
show that n;;'=lf(X k ) C f(n~l Xk). Let y E n~l f(X k ); we have y =
Xk -F(Xk), where Xk E X k . Since F is compact, we may assume without loss
of generality that limk-too Xk = x and consequently y = limk-too f(Xk)
f(x). Since x E n~=l X k , this completes the proof. 0
We are now ready to formulate the definition of continuity for the co-
functor AO : (..co,~) ---+ Ab.
Let Y be an object of ..c. Take an approximating sequence {Yd for Y
and consider the homomorphisms
ikn = Ao(ikn) : A(Yk) ---+ A(Yn ),
jZ = AO(jk) : A(Yk ) ---+ A(Y) ,
induced by the inclusions ikn : Y n <:.......t Y k , k < n , and jk : Y <:.......t Y k . Taking
into account the obvious commutativity relations in Ab,
** = znm
zkm .*
0
.*
zkn for k < n < m ,
.* .* .* for k < n ,
Jk = I n 0 zkn
we see that {A(Yk ), i kn } is a direct system of abelian groups and {jZ :
A(Yk) ---+ A(Y)} is a direct family of homomorphisms.
(2.3) DEFINITION. A functor AO : ..co ---+ Ab is said t.o be continuous if for
each object Y and any approximat.ing sequence {Yd for Y the direct
limit
~jZ : ~{A(Yk) ' i kn } ---+ A(Y)
k k
is an isomorphism.
Approximating systems
The proof of the main theorem of t.his section requires some preparatory con-
siderat.ions concerning a suit.able refinement of t.he approximat.ion technique
for compact fields.
(2.4) DEFINITION. Let. f E ..c(X, Y) be a compact field. A sequence {Yk , ik}
of objects Y k in..c and fields fk E ..co (X, Y k ) is called an approximating
system for f if:
(i) {Yd is an approximating sequence for Y,
(ii) fk rv jkf in ..c, where jk : Y <:.......t Y k is the inclusion,
(iii) ik ~ iknfn in ..co , where ikn : Y n <:.......t Y k is the inclusion (k ::; n).
(2.5) PROPOSITION. Let f E ..c(X, Y) be a compact field . Then for every
kEN there is a field ik E ..co (X, y(k)) such that
Ilf(x) - ik(x)11 ::; 11k for all x E X;
moreover, {y(k), fd is an approximating system for f . 0
In what. follows, any syst.em {y(k) , ik} as in (2.5) will be called a standard
approximating system.
In the rest of t.his sect.ion we assume that t.he cofunct.or AO : ..co ---+ Ab is
continuous.
Let f E £(X, Y) be a compact field and {Yk , fd an approximating

system for f. In view of (2.4)(iii), every h-commutative diagram in £0
x
where k ::::: n, yields a commutative diagram in Ab:
A(X)
Consequently, {fi;} is a direct sequence of homomorphisms, and therefore
we have the map
UQ; fi: : UQ;{A(Yk ), i kn } --> A(X).
k k
(2.6) PROPOSITION. Let {Yk , fk}, {17k , id be two approximating systems

for a compact field f E £(X, Y), and let j'k : A(Yk ) --> A(Y) and
Yk : A(17k ) --> A(Y) be induced by inclusions. Then
(*) (UQ;fn 0 (UQ;jZ)-l = (UQ;in 0 (UQ;JZ)-l.
PROOF. The proof will be carried out in three steps.
STEP 1. 1.ssume first that Y k c Y k for each k, and !k = lk
~ ~
0 fk' where
lk : Y k '-7 Y k is the inclusion. Since for each k the diagram
Yk
Y Yj~ X lk
~~~
Y k
commutes in £0 , its image under AO in Ab is also commutative:

By considering the corresponding commutative diagram in the category of

direct systems of abelian groups and by applying to it the direct limit functor
we obtain the following commutative diagram of abelian groups:
Now by the continuity of AO the two arrows on the left are isomorphisms, so
~fk = (~ik) 0 (~Jk)-l 0 ~jk'

and this implies (*).
STEP 2. Next, we suppose that the systems {Yk, fd , {Yk, id have the same
approximating sequence {Yd for Y. Consider the enlarged sequence {Wd ,
where Wk = Yk for kEN, and define gk , gk E '£o(X, Wk) by gk = lk 0 fk'
gk = lk01, kEN, where lk : Yk --* Wk is the inclusion. We claim that
(**) {Wk,gd , {Wk ,gd are approximating systems for f and

(~gk) 0 (~(ldk)*) - l = (~gk) 0 (~(ldk)*)-l .
Fix kEN. In view of the homotopy relations fk rv jkf rv 1

in £ , we
can find a homotopy h~k) : X --* Yk in .£ joining ik, ik E '£(X, Yk). Take a
finite-dimensional homotopy h~k) : X --* E such that
Ilh~k)(X) - h~k)(x) 1 1 ::; 11k for all (x, t) E X x I.
Clearly, h~k) may be regarded as a homotopy h~k) : X --* Wk in £0, and

from the evident homotopy relations gk ~ h6k), gk ~ hik) we get gk ~ gk .
This implies gk = gk for each kEN, and thus (**) follows.
STEP 3. Finally, assume that {Yk , ik} , {yk ,1} are two arbitrary approx-
imating systems for f. For each kEN, set Wk = (Yk U yk)(k) and define
gk, gk E '£o(X , Wk) by gk = lk 0 ik , gk = lk 0 1,
where lk : Yk '-+ Wk,
lk: Yk '-+ Wk are the inclusions. In view of (**) , {Wk,gd , {Wk ,gd are
both approximating systems for f, and because each of the pairs {Wk, gk} ,
{Yk , fd and {Wk ,9i.:}, {Yk , h} satisfies the assumptions of Step 1, we get
(~fn 0 (~jk)-I = (~gk) 0 (~(ldk)*)-I,
(~1n 0 (~Jk) - I = (~gk) 0 (~(ZkJk)*)-I.
Now our assertion follows from (**) of Step 2, and the proof is complete. 0
(2.7) DEFINITION. Given a compact field f E £(X, Y), let {Yk , fk} be an
approximating sequence for f and let j k : Y <-t Yk be the inclusion.
We define the induced homomorphism f* : '\(Y) ~ '\(X) by
r = (~fk) 0 (~jk) - I.
In view of Proposition (2.6), the definition of f* does not depend on the

choice of the approximating system {Yk , fk} for f.
We now establish the main properties of f*:
(2.8) PROPOSITION. If the fields f , 9 E £(X, Y) are homotopic in £, then

f* = g*.
PROOF. Let h t : X ~ Y be a homotopy in £ joining f = ho and 9 = hI. For
each kEN, using an argument as in (2.5), choose a homotopy h~k) : X ~ Y k
in £0 such that
Ilh~k)(x) - ht(x)11 ::; 11k for all (x, t) E X x I
and define ik, gk E £o(X, Y k ) by fk = h~k), gk = h~k). We note that {Yk, fd

and {Yk , gd are approximating systems for f and g, respectively, and since
ik ~ gk in £0 for each kEN , we get fk = g'k, and hence f* = g*. 0
(2.9) PROPOSITION. The induced homomorphism f* has the following
properties:
(a) Ix = l A(x),
(b) (g 0 f)* = f* 0 g*.
PROOF. Property (a) is evident. The proof of (b) is carried out in two steps.
STEP 1 (Special case: g E £0). Given f E £(X, Y) and 9 E £o(Y, Z), let
h = 9 0 f; we shall prove that
h* = f* 0 g*.
Let {y(k), fd be a standard approximating system for f. The Tietze
theorem gives a finite-dimensional extension g : y(l) ~ E of 9 over y(1).
For each kEN let Wk = g(y(k») U Z and note that both {Wk } and {Wd
are approximating sequences for Z.
In the diagram
define 9k E £o(y(k), W k ) by 9k(Y) = 9(Y) for Y E y(k) and let gk = 9k 0 ik,

hk = 9k 0 fk ' where ik : Y <:.......t y(k) and jk : Z <:.......t Wk are the inclusions. Since
for each kEN both fk and gk are finite-dimensional, we have g'k = i'k o?/k,
h'k = fk o?/k, and therefore
lli!th'k = (lli!tfk) 0 (lli!t9k) = (lli!tfk) 0 (lli!ti'k)-l 0 lli!tgk'
and thus
~ ~
We also remark that {Wk ' hk} and {Wk' gd are approximating systems
for hand g, respectively. This together with the last formula implies that
h* = 1* 0 g*, and the proof is complete.
STEP 2 (General case). Let f E £(X, Y) and 9 E £(Y, Z) be arbitrary
fields and h = 9 0 f. We shall prove that h* = 1* 0 g*. Let {Z(k), hd
and {Z(k), gd be standard approximating systems for hand g, respectively.
From the inequalities
Ilhk(X) - h(x)11 ::; 11k for all x E X,
Ilgk 0 f(x) - h(x)11 ::; 11k for all x E X ,
we infer that for every kEN the fields gk 0 f, hk : X ---- Z(k) are homotopic
in £. In view of (2.8) this implies that h'k = (gk 0 1)* , and therefore, because
gk is finite-dimensional, we get (gk 0 1)* = 1* 0 gk by Step 1, and thus
lli!;h'k = lli!;(J* 0 giJ = 1* 0 lli!;g'k.
This implies h* = 1* 0 g* and completes the proof. o
Now define a function A from the Leray- Schauder category £ to the
category Ab by putting A(X) = AO(X), A(J) = 1* . Observe that if the field
f is in £o(X, Y), then it is clear (by taking {Yk , ik} with Y k = Y, fk = 1)
that A(J) = Ao(J), i.e., A extends Ao over £.
We can now summarize the preceding discussion in the following
(2.10) THEOREM. Let AO : £0 ---- Ab be a continuous homotopy invariant
cofunctor. Then AO admits a unique extension over £ to a homotopy
invariant cofunctor A : £ ---- Ab. 0
3. The Cech Cohomology Groups Hoo-n(x)

This section is concerned with setting up some algebraic invariants of ob-
jects X of the category "c, called the finite-codimensional cohomology groups
Hoo-n(x). Throughout this section, and in fact throughout the rest of this
paragraph, the following notation will be used. Let G be a fixed abelian
group. We denote by H* = {Hq, on} (respectively H * = {Hq, on}) the Cech
cohomology (respectively the reduced singular homology) with coefficients
in Gi when no confusion can arise, the graded Cech cohomology (respec-
tively reduced singular homology) of a space X over G is denoted simply by
H*(X) (respectively H*(X)).
A lemma on Alexander- Pontrjagin duality

The main results of this paragraph are based on the Alexander- Pontrjagin
duality theory in Rn. We now describe explicitly some special results of the
theory that will be needed.
Given a compact subset X c Rk , we let Dk denote the Alexander-
Pontrjagin isomorphism
Dk : Hk-n(x) --+ Hn_1(R k - X)
determined by the standard orientation of Rk (see Spanier's book [1966],
p. 296). Let Xo = X n R k- 1, i : R k- 1 - Xo '-+ Rk - X be the inclusion and
.1 the Mayer- Vietoris homomorphism of the triad (X; X n Ri , X n R~).
From the definition of D k , it follows that the following diagram is sign-
commutative:
Hk-1-n(xo) _--=.1_---*:> Hk-n(x)
Dk-1l lDk
that is, Dk 0 .1 = akni* 0 D k - 1, where akn = ±l.

We now let bkn , k 2: n, be defined inductively on k by
bnn = 1,
Define the isomorphism
V k : Hk-n(x) --+ H n - 1(Rk - X)
by V k = bknDk.
From the above property of Dk and the definition of V k we obtain
(3.1) LEMMA. For X C Rk+l compact, let Xo = X n Rk, and let .1 be the
Mayer- Vietoris homomorphism of the triad (Xi xnRi+ 1 , xnR~+l).
Then the following diagram is commutative:
Ll :> Hk-n+l(X)
l
Vk + 1
Hn_l(R k - Xo) ~Hn_l(Rk+l - X)
where i : Rk - Xo ~ Rk+l - X denotes the inclusion. o

Orientation in E and the cohomology groups Hoo-n(X)
Denote by Roo the linear space of all real sequences x = (Xl, X2, .. . ) with
finitely many nonzero terms each, normed by Ilxll = (2: X;)1/2, and set
Rk = {x E Roo I Xi = 0 for i 2 k + I},
R~ = {x E Rk I X k 2 O},
R~ = {x E Rk I x k ~ O}.
Call two linear isomorphisms 11 ,1 2 : La --+ Rd(a) equivalent if II 0 1:;1 E
GL+(d(a)) , i.e., the determinant of the corresponding matrix is positive.
This equivalence relation decomposes the set of linear isomorphisms from
La to Rd(a) into two equivalence classes, called orientations of La.
For each a E L, choose an orientation Oa of La; we call the family 0 =
{Oa} an orientation of E. Given a relation a ~ f3 in L with d(f3) = d(a) + 1
(for brevity such relations will be called elementary) , and la E 0 a , there
exists 1{3 E O{3 such that 1{3ILa = la, and we let
d({3»).
{3 = l-l(R
L- {3 - ,
t
we note that the definition of L and L ~ depends only on the orientation of
La and L{3, and so these orientations determine the triad (L{3; Lt , L~) with
La = L t n L ii. This implies that given an object X in ,£ and an elementary
relation a ~ f3 with a, f3 E Lx, the orientations of La and L{3 determine the
triad (X{3; X;, Xii), where
X; = X n Lt, Xii = X n L~ , Xa = X; n Xii·

Moreover, if f E '£a(X, Y), then f{3 : X{3 . . . . . Y{3 maps the triad (X{3; X;, Xii)
into (Y{3, Y{3+ , Y{3-).
Let n 2 1 be an integer, X an object in '£, and U = E - X. First we
fix an orientation 0 = {O a} in the space E and choose an la E 0 a for each
a E L. For any a E Lx with d(a) > n, define
Va : Hd(a) - n(xa ) --+ H n - 1(Ua )
to be the Alexander- Pontrjagin isomorphism transferred from Rd(a) to La
via lo{) i.e., the map that completes the diagram
Hd(a)-n(x n ) ~ Hd(n)-n(la(X a ))
Va l lVd(a)
Hn-I(Un ) (La).) Hn-l(la(Ua ))
From the definition of Va and Lemma (3.1) we obtain

(3.2) LEMMA. For an object X in £, U = E - X, and an elementary
relation a ::; (3 in LX (i. e., with d((3) = d( a) + 1), let iaf3 : U a '---t U f3
be the inclusion, and let
.1nf3 = .1~1 :Hd(n)-n(xa ) --+ H d(f3)-n(Xf3)
be the Mayer- Vietoris homomorphism of the triad (Xf3; xt, X,6).

Then the following diagram is commutative:
Hd(n)-n(x a ) ~ H d(f3)-n(Xf3)
Val lv~
Hn-l (U)
n
(ia~).
)
H n-l (U)
f3 o
Now for any relation a ::; (3 in LX we define a homomorphism
.1af3 : Hd(a) - n(xn ) --+ H d(f3) - n(Xf3)
as follows: if a = (3, we let .1af3 be the identity; if a ::; (3 is elementary, we

let Llnf3 be the Mayer- Vietoris homomorphism defined above.
In order to define .1~1 for an arbitrary relation a ::; (3 in LX , we need
(3.3) LEMMA. Let X be an object in £, and a ::; (3 a relation in LX such
that d((3) = d( a) + 2. Then for any chains a ::; 'Y ::; (3, a ::; ;Y ::; (3 of
elementary relations joining a and (3, we have
PROOF. This follows at once from Lemma (3.2). A direct proof of (3.3) is
given at the end of this section. 0
(3.4) DEFINITION. Let a ::; (3 be an arbitrary relation in LX, and let
a = ao ::; ak+l = (3 be a chain of elementary relations in
al ::; ... ::;
LX joining a and (3. We define
.1af3 = .1 nk f3 0 ... 0 .1 a1a2 o.1 aa1
as the composition of the corresponding Mayer- Vietoris homomor-
phisms.
It follows from Lemma (3.3) that the definition does not depend on the
choice of the chain joining a and (3.
For an object X in ,.C, consider the abelian groups Hd(a) - n(xo,) together
with the homomorphisms Lla,6 for all a :::S {3 in Cx . It follows from Lemma
(3.2) that {Hd(a) - n(xa ), Lla,6}aELx is a direct system of abelian groups,
which we call the (00 - n) -cohomology system of X corresponding to the
orientation 0 of E.
(3.5) DEFINITION . For an object X in ,.C, we define an abelian group
Hoo - n(X) = !i!!} {Hd(a)-n(x a ), Lla,6}
aELX
to be the direct limit over C x of the (00 - n )-cohomology system

of X.
(3.6) THEOREM (Alexander- Pontrjagin duality in E) . For any object X
in ,.C, we have an isomorphism
Hoo-n(X) ~ Hn-1(E - X) .
PROOF. In view of Lemma (3.2) the (00 - n)-cohomology system of X is
isomorphic to the direct system {Hn-1(Ua ), (ia,6)*} of singular homology
groups, where U = E - X.
Consider the direct family of homomorphisms
(io,)* : Hn-1(Ua ) --+ Hn - 1(U),
where ia : Ua ~ U are inclusions. We are going to show that
is an isomorphism.
(a) i* is epic: Let c E Zn-l(U) and denote by lei the compact support
of c. Using (6.2.3) take a finite-dimensional E-approximation ie: : lei --+ U of
the inclusion map i : Icl ~ U , where E < dist(lel, aU). Because the maps
i,fe: : lei --+ U are homotopic, the cycles C n - 1(fe:) (c) and c represent the
same homology class in H n - 1 (U). Since the support of the former cycle lies
in some Ua, this proves that i* is an epimorphism.
(b) i* is monic: Suppose that a cycle b E Zn - l (Ua ) is the boundary
of some singular chain c in U. Let ie: : lei --+ U be a finite-dimensional
E-approximation of j : lei ~ U with ie:(lel) c L,6, where L,6 :=> La and
E < dist(lel, aU). Because j , ie: : lei --+ U are homotopic and Cn(fe:)(e) is
a chain in U,6, we infer that the cycle b represents in H n - l (U,6) the same
homology class as the cycle
and thus this homology class is zero. This implies that i* is a monomorphism,
and the proof of (3.6) is complete. 0
Direct proof of Lemma (3.3)
We shall use the following notation:
Qk+l = {x E Rk+2 I xk+l = O},
Q~+l = {x E Qk+l I xk+2 2: O},

Q~+l = {x E Qk+l I xk+2 :::; O} ,
p!+2 = {x E Rk+ 2 I xk+l 2: O} ,
p~+2 = {x E Rk+2 I Xk+l :::; O} .
Letting k = den), we have d~l) = de::;) = k +1 and d((3) = k + 2. Define a linear
isomorphism IJr : Rk+2 -> Rk+ by
(Xl, ... , xk, Xk+l, Xk+2) 1--+ (Xl, ... ,Xk> Xk+2, Xk+l)
and choose linear isomorphisms la : La -> Rk , l, : L , -> R k + l , l:; : L:; -> R k + l sllch
that la E Oa, l, EO" l:; EO:;, and
la(x) = l, (x) = l:;(x) for all x E Lo..
There is a unique isomorphism l : L(3 -> R k +2 such that

l,(x) for all x E L"
lex) ={ IJr 0 l:;(x) for all x E L:;.
Consider the following triads:

TI = X n l -I( R k +\ R~+l, R~+l),
T2 = X n l -I( Rk+2; R~+2 , R~+2) ,
T3 = X n l - I(Qk+I ; Q~+ l, Q~+l),
T4 = X n l- I(R k + 2; p!+2, p~+2) .
By straightforward computation, (TI, T2), (T3, T4) are consecutive pairs of triads satisfying
the assumption of Lemma (1.10), and therefore
(1)
There are two cases to consider: either l E 0(3 or not. We show that in both cases we
obtain the desired conclusion (*) of Lemma (3.3).
If l E 0 (3, then IJr 0 l rt 0 (3, and we have
.:1a , = .:1(TI), .:1,(3 = .:1(T2),

.:1a:; = .:1(T3) , .:1:;(3 = -.:1(T4) .
Thus, in view of (1), we obtain (*) . If l tt 0 (3, then IJr 0 l E 0(3 , and we have
.:10., = .:1 (TI), .:1,f3 = - .:1(T2) ,
.:1 a:; = .:1 (T3), .:1:;f3 = .:1(T4) ,
and (*) follows again, completing the proof of Lemma (3.3). o
4. The Functor H= - n : (£, '"'-') ---+ Ab
In this section, given any n 2: 1 we construct an h-cofunctor H~ - n from

(£o,~) to the category of abelian groups. Then, using the continuity of Cech
cohomology and an algebraic lemma on interchanging double direct limits,
we show that the functor H~-n is continuous. Finally, applying Theorem
(2.10), we obtain the unique extension H= - n of H~-n over (£, '"'-'). The
section ends with the Alexander- Pontrjagin invariance theorem.
The induced homomorphism f*

Having defined the Cech cohomology groups Hoo-n(x) , we now proceed to
define, for a finite-dimensional field f, the homomorphism f* induced by f.
Let f E £ao (X, Y) be an o:o-field, where 0:0 E Lx. Given a relation
0: ::5 f3 in Lx with 0:0 ::5 0:, consider the diagram
Hd(a) - n(ya ) ~ Hd(a) - n(xa )
(V) Llal>l * 1Llal>

Hd(f3)-n(Yf3) ~ H d(f3)-n(Xf3)
and observe that if d(f3) = d(o:) + 1, then ff3(xt) c Y/' ff3(Xj;) c Yf3- '
and hence the above diagram commutes by the functoriality of the Mayer-
Vietoris homomorphism. Therefore, in view of the definition of Lla.B ' we see
that (V) in fact commutes for any relation 0: ::5 f3 in Lx. Consequently, f
induces the map
between the corresponding (00 - n )-cohomology systems.

For f E £o(X, Y), we now define the induced homomorphism
f* = lliQ f~ : Hoo-n(y) ---+ H= -n (x)
aELy
to be the direct limit over Ly of the family U;}.

Let H= - n be the function assigning to an object X of £0 the cohomology
group H= - n(x) and to a field f E £o(X, Y) the induced homomorphism
f* : H=-n(y) ---+ Hoo-n(x).
(4.1) THEOREM. H~-n is an h-cofunctor from the category (£0, ~) to the
category of abelian groups.
PROOF. This follows readily from the definitions involved with the aid of
the Mayer- Vietoris homomorphism. 0
Continuity of the functor Hg:'-n

Let Y be an object in ..c, and {Yd an approximating system for Y. Denote
by
(k :::; l)
the inclusions and consider the direct system {Hd(a)-n(yk ), i~l} over N
together with the direct family of homomorphisms j'k : Hoo-n(yk ) ->
Hoo-n(y).
(4.2) THEOREM . The map
lli:!;j'k : lli:!;{H=-n(yk ), i~l} -> Hoo-n(y)
k k
is an isomorphism ; in other words , the functor Hg:'-n : (..co, >:::::) ->
Ab is continuous.
PROOF. For any a E Ly and kEN, let Y; = Y k n La and denote by
(k :::; l)
the corresponding inclusions. Now for any pair of relations k :::; l and a :::::; (3
in Nand Ly, respectively, consider the diagram
Hd(a)-n(y;) ~ Hd(a)-n(y~)
41~~1 141~~
Hd((3 )-n(Y$) (ifl): H d((3)-n(YJ)
In view of Definition (3.4), the above diagram commutes, and consequently,

the groups Hd(a)-n(y;) together with the homomorphisms (i kl )* and .::1~(3
determine a double direct system of abelian groups over N x LY. Further-
more, by taking into account the commutativity relations between the vari-
ous inclusions involved, we see that the family {j'ka} of homomorphisms jka :
Hd(a)-n(y;) ->Hd(a)-n(yk ) maps the double direct system {Hd(a)-n(y;)}
to the direct system {Hd(a)-n(ya )}.
Now, for each a ELy, by continuity of Cech cohomology, the map
lli:!;k jka is an isomorphism, and therefore so is the map
lli:!; lli:!; j'k a .
a k
In view of the lemma on interchanging double direct limits (cf. Appendix,

Theorem (D.8)) , the map
lli:!; j'k = lli:!; lli:!; j ka
k k a
is also an isomorphism, and the proof is complete. o
In view of Theorems (4.2) and (2.10), we summarize the preceding dis-

cussion in the following
(4.3) THEOREM. The functor Hgo- n extends uniquely from (£0, >:::::) to an
h-functor Hoo-n : (£, rv) - t Ab. 0
(4.4) COROLLARY. If the objects X and Yare equivalent or homotopy
equivalent in (£, rv), then HOO-n(X) ~ Hoo-n(y) for each n 2: 1. 0
(4.5) THEOREM (Alexander- Pontrjagin invariance in E). Let X and Y be
equivalent or homotopy equivalent objects in (£, rv). Then the singular
homology groups
Hn-1(E-X;G) and Hn-l(E-Y;G)
are isomorphic for any n 2: 1 and any group G of coefficients.
PROOF. This is an immediate consequence of (3.4) and (4.4). 0
(4.6) COROLLARY (Leray- Alexandroff invariance theorem). Let X and Y
be equivalent or homotopy equivalent objects of the Leray- Schauder
category (,.C, rv). Then the complements E - X and E - Y have the
same number of components. 0
5. Cohomology Theory on £
Having defined the absolute cohomology functors H oo - n , we now turn to
the case of relative cohomology. Throughout the section we let F = E EB R
°
be the direct product of E and the real line R, and we regard E as a 1-co-
dimensional linear subspace of F; we let y+ = (0,1), where E E, 1 E R.
The relative cohomology functor Hoo-n

We begin by fixing an orientation {Oa} in the space E. Denote by LE
{a, ,8, T', ... } and L F = {&,,8,;:y, ... } the directed sets of finite-dimensional
linear subspaces of E and F, respectively, and let La = {L,6 ELF I y+ E L,6} ;
clearly, La is co final in L F. For a E L E, we denote by a' the element of La
given by La' = La EB Ry+ .
Starting with the orientation {Oa} in E we define an orientation {O cd
in F by the following rule:
(i) If & E LE, we let Oa = Oa.
(ii) If & rt LE and & rt La, we define Oa arbitrarily.
(iii) If & rt LE and & E La, we first take a ,8 E LE such that ,8' = &;
then we choose a representative l = (it, . . . , lk) : L{3 - t Rk in 0{3,
where k = d(,8), and define a linear map I : La - t Rk+l by
l(x) = { (0, h(x), ... , lk(X)) for x E L{3,
(1,0, . .. ,0) for x = y+.
We let 06: be the orientation of L6: determined by I. Thus, we have defined

an orientation {O 6:} in F, which we call an extension of { 06:} from E over
F. From now on, we assume that such an orientation {06:} in F is fixed.
Next, consider the categories £E = £(E), £p = £(F), and observe that
£E and £o(E) are h-subcategories of £p and £o(F), respectively. We will
denote by £~ and £} the corresponding h-categories of pairs.
Let C :£E ---t £p be the cone functor given by
CA = {{x E F I x = ta + (1 - t)y+, (a, t) E A x I} for AcE, Ai- 0,

(/) for A = O.
and
C f(x) = tf(a) + (1 - t)y+, xE CA,
for any f : A ---t B in £E. The reader will easily verify that:
(i) C is well defined.
(ii) C sends £o(E) to £o(F).
(iii) C is homotopy invariant with respect to r'V.
(iv) C!£o(E) is homotopy invariant from (£o(E),~) to (£o(F), ~).

Now, given (X, A) in £~, let Q(X, A) = Xu CA, and for f : (X, A) ---t
(Y, B) in £E let Q(J) = i:

Xu CA ---t Y u CB be defined by
i(x) = { C f(x) for all x E CA,
f(x) for all x E X.
(5.1) PROPOSITION. The assignments (X, A) f----> XuCA, f f----> f determine

an h-functor Q from £~ to £F such that Q(£6(E)) C £o(F). 0
Now, for (X, A) in £~, we shall define the relative groups Hoo-n(x, A).
To this end, for a E £E such that Ale = An Lo. i- 0, let
eO. : (Xo., Ao.) ---t (Xo. u CAo., CAo.) ,
jo. : Xo. u CAo. ---t (Xo. u CAo., CAo.),
io. : GAo. ---t Xo. U GAo.
denote the corresponding inclusions. Because eO. is an excision, the induced
map
is an isomorphism. Writing the exact sequences
. . . ---t Hn(xo. u CAo., GAo.) ~ Hn(xcx u CAcx) S Hn(GAcx) ---t . . .
of the pair (Xcx U CA cx , GAcx) and taking into account that CAcx is con-
tractible, we see that i~ is epic and j~ is an isomorphism for n ~ 1.
Let Tla : Hn(Xa, Aa) -+ Hn(Xa U CAa) be given by Tla = j~ 0 (e~)-l;

clearly, Tla is an isomorphism for n :2: 1, and we note that the sequence
H n (Xa, Aa) ~ H n (Xa U C Aa) .s H n (C Aa)

is exact.
Let a ~ /3 be an elementary relation in I: E and suppose that Aa is
nonempty. Then (A,6,At,A~) is a proper subtriad of (X,6;xt,Xi), and
we let
Ll a,6 -- Ll(n) a -+ H d(,6)-n(x,6, A)
a,6·. Hd(a)-n(x a, A) ,6
be the corresponding relative Mayer-Vietoris homomorphism. Note that

(X u CA)a' = Xa U CAa. Let Ll a,,6' denote the Mayer-Vietoris homomor-
phisms of the triads ((X U CA),6'; (X U CA)t, , (X U CA)~,) and ((CA),6';
(C A) t, , (
C A) ~, ). Clearly, we have the following
(5.2) LEMMA. The following diagram commutes:
Hd(a)-n(x a , Aa) ~ Hd(a) - n(Xa U CAa) ~ Hd(a)-n(CA a )
Lla(31 Lla' 1.
(3' 1
Ll Q , (3'
H d(,6)-n(x,6, A,6) ~ Hd(,6l-n(x,6 U CA,6) ~ H d(,6)-n(CA,6) 0
Assume now that a ~ /3 is an arbitrary relation in I:A and let a = ao ~

al ~ ... ~ ak+l = /3 be a chain of elementary relations joining a and /3.
We define
Lla,6 = LJ ak ,6 0 . . . 0 LlaaJ
as the composition of the corresponding Mayer- Vietoris homomorphisms.
In view of (3.3) and (5.2) and since Tla, TI,6 are isomorphisms, the above
definition does not depend on the choice of the chain. Furthermore, the
groups Hd(a)-n(xa , Aa) together with the homomorphisms Lla,6 form a
direct system of abelian groups over I:A, which we will call the (00 - n)-
cohomology system of the pair (X, A) coresponding to the orientation {O a}
in E.
(5.3) DEFINITION. For n E N we define the relative cohomology group
Hoo-n(X, A) = lli!: {Hd(a)-n(xa , Aa), Lla,6}
aELA
as the direct limit of the (00 - n )-cohomology system of the pair
(X,A).
Evidently, this definition extends that of the absolute group Hoo-n(X) given
in Section 3.
Now we apply the construction of the previous section to the space F

and denote by Hoo-n : £F -----; Ab the functor corresponding to H* and the
orientation {Oa} in F.
In view of Lemma (5.2), we see that the family {7]aJ of isomor-
phisms is in fact a direct family of maps from {Hd(a) - n(Xcn Ac,), Ll~]} to
{Hd(a )- n-l((X U CA)a')' Ll~~;,1)} , and consequently the direct limit map
l
7] = lli!} 7]a : Hoo-n(X, A) -----; H oo -(n+l)(x U CA)

is an isomorphism. Moreover, the sequence
in which i : CA <:.......t X U CA denotes the inclusion, is exact.

(5.4) For f : (X, A) -----; (Y, B) in £~ we define the induced
DEFINITION.
map 1* = Hoo-nU) by imposing commutativity of the following
diagram:
Hoo - n(y, B) : " Hoo-n - l(y U CB)
1H oo- nU) 1
HOO-n - l(J)
Hoo-n(x, A) :" Hoo - n-l(X U CA)
Since both arrows denoted by 7] are isomorphisms, the induced map

1* is well defined.
(5.5) PROPOSITION. The assignments (X, A) Hoo-n(X, A) and f
I--) 1* I--)
define an h-cofunctor H oo - n from the category £~ to the category of

abelian groups. Moreover, 7] is a natural equivalence from the functor
Hoo-n to Hoo-(n+l) 0 g.
PROOF. This follows from the definitions involved and Theorem (4.3) . 0
The homomorphism o~
We now establish some results that will be used in defining the coboundary
transformation ooo-n. Recall that for an object A in £E we write £A
{a E £ E I Aa :f: Q)}.
(5.6) DEFINITION. For (X, A) in £~ and a E £A let
o~ : Hd(a) - n-l (Aa) -----; Hd(a) - n(xa , Aa)
be given by o~ = (-l)d(a)O(xQ, A Q), where O(XQ ,A Q) is the coboundary

homomorphism of the pair (Xa, Aa) .
(5.7) LEMMA. If (X, A) is in £~, then for every relation 0: :::S f3 in LA the
following diagram commutes:
PROOF. Assume first that 0: :::S f3 is elementary. Let

J~ : Hd(a)-n-l(AaJ ~ Hd(a) - n(Xa U CAa) = Hd(a')-n-l((x U CA)a')
be the Mayer- Vietoris homomorphism of the triad (Xa U CAa; CA a , Xa).
Evidently, we have
Next, by observing that the consecutive pairs of triads

(Xa U CAa; CA a , Xa), ((X U CA){3'; (X U CA)t" (X U CA)~,),
(A{3; At, A~), (X{3 U CA{3; CA{3, X{3)
satisfy the assumptions of Lemma (1.10), we have
/dn) ~n _ _ ~n /dn+l)
i....l a '{3' oUa - u{30i....la{3 .
Now we consider the diagram
The composition of the top row homomorphisms equals (_l)d(a)J~, and

the composition of the bottom row is (-1 )d({3) J~. Since the right square is
commutative by (5.2), we have
o8an = ,d(n) 0 In
'/a o8a = (_l)d(a) ,d(n)
n 0 ,d(n) n
0 n
'1{3 a{3 a'{3' a'{3' a
= (_l)d({3)J{3n 0 ,d(n+l)
a{3
= n o8 n o,d(n+l)
'1{3 {3 a{3'
From this, since rt{3 is an isomorphism, we get ,d~1 0 8~ = 8~ 0 ,d~~+l), and
the proof is complete. 0
The next two results follow at once from the definition of 8~ .

(5.8) PROPOSITION. Let (X, A) be in £i-. Then, for every a E CA, the
sequence
8n + 1
... -t Hd(n)-n(x n ) -t Hd(n)-n(A n ) ~ Hd(n) - (n+l)(x n , An) -t ...
is exact, where all unmarked maps are induced by inclusions. 0
(5.9) PROPOSITION. Let (X, A), (Y, B) be in £i-, and f : (X, A) - t (Y, B)
an ao-field. Then, for any a E CA such that ao :5 a, the following
diagram commutes:
The co boundary transformation 8oo - n

Let (X,A) be in £i-. From (5.7) it follows that the family {8~} is a direct
family of homomorphisms, and we define the coboundary homomorphism
8 oo - n . Hoo-n-1(A) - t Hoo-n(X A)
(X , A) . ,
by
£oo - n .\"n
u(X,A) = l'..!.!!fun'
n
We let the homomorphism

J'oo-n . HOO - n-1(A) -t Hoo - n- 1(X U CA)
(X ,A) .
be given by J'~~;) = TJ 0 8~~;).

We let 19 : £2 (E) - t £2 (E) denote the functor defined by
19(X, A) = (A, 0) = A for (X, A) in £2(E),
19(f) = flA : A -t B for f : (X, A) -t (Y, B) in £2(E).
(5.10) PROPOSITION. The family 8°o-n = {8~~;)} indexed by (X, A) zn
£i- is a natural transformation from Hoo- n - 1 019 to Hoo - n.
PROOF. Given f : (X, A) -t (Y, B) in £2(E), consider the diagram
Hoo - n-1(B) 8 00 - : Hoo-n(y, B) ~ Hoo-n-1(y U CB)
(fIA)-l lr 11-
Hoo-n-1(A) ~ Hoo-n(X, A) ~ Hoo-n-l(x U CA)
Assume first that we have proved 1*o8°o-n = 8oo - no(f IA)*. Then, because
the right-hand square is commutative, we have
7) 0 1* 0 Joo - n = 1* 07) 0 Joo - n = 8°o-n 0 (fIA)* = 7) 0 Joo-n 0 (f I A)*,
and since 7) is an isomorphism, this implies 1* 0 Joo - n = Joo-n 0 (f I A)*.
Thus in order to prove our assertion it is enough to show that for a field
f: (X, A) - t (Y, B) in £~ the following diagram commutes:
Hoo - n-1(B) 8 00
-; Hoo-n - l(y U CB)
U IA)* 1 _ 1f *
HOO-n-1(A) ~ Hoo-n - l(X U CA)
To this end, assume first that f is finite-dimensional. In this special case, we

pass to the direct limit in the commutative diagrams of (5.7) and (5.9), and
then observe that the desired conclusion follows from 8~~.l\ = "1 0 J~~;).
Consider now the general case and take an approximating system f(k) :
(X, A) - t (Yk, B k ) for f. The definition and the proof of the existence of
such a system are similar to those in the absolute case and are omitted. It
follows from (5.1) that the~sequence Pk) : Xu CA - t Y k U CB k forms an
approximating system for f : X U C A - t Y UC B.
Consider the inclusions
ikl : Yi U CB l '----' Yk u eBk, i~l: Bl '----' Bk (k:S; l) .

By the special case of our assertion, the following diagram commutes for
each pair k :s; l:
520 VI. Select ed Topics
Applying the direct limit functor to the corresponding commutative diagram

in the category of direct systems of abelian groups, we obtain the following
commutative diagram:
Hoo-n-l(A) 6~~~\ HOO - n- 1(X U CA)
I
:>
~k(f~k)* r~k(JCk))*
lli!}k HOO-n-1(B k ) - l l i ! } k Hoo-n - 1(Yk U CB k )
~k(j~)*l l~dk
1 6(y~B) -
Hoo-n- (B) :> Hoo-n-l(y U CB)
By Theorem (4.2) the homomorphisms lli!} (jU* and lli!} (jk)* are invertible.
This, in view of the definition of the induced map, implies our assertion, and
thus the proof is complete. 0
We summarize the preceding discussion in the following
(5.11) THEOREM. H oo -* = {Hoo-n,b oo - n } is a cohomology theory on £2.
Moreover, HOO-l(8) ~ HO(point), i.e., the coefficients of the theory
H oo -* coincide with those of the theory H* .
PROOF. (i) The exactness axiom follows from (5 .8) and the definition of
Hoo- n by passing to the limit with o.
(ii) The homotopy axiom has already been established.
(iii) To show that the excision axiom is fulfilled, let (X; A, B) be a triad
in £ , i.e. , AU B = X; if k : (A , A n B) ---+ (X , B) is the inclusion , then so
is k : Au C(A n B) ---+ X u ~CB. SincejkoJ* is an isomorphism for each
0, it follows that so also is k* lli!}o: k~. From this, by considering the
commutative diagram
Hoo-n(X, B) : :> Hoo-n-l(x U CB)
fl",o-n(k) 1 1k*
Hoo-n(A, A n B) ~:> Hoo - n- l(A U C(A n B))
we infer that Hoo-n(k) is an isomorphism, and the proof of strong excision
is complete.
(iv) To show that the dimension axiom is satisfied take the (00 - 1)-
cohomology system {H d (0:)-1(80:); L10:,i3} of the unit sphere 8 in E; note that
if 0 :::5 f3 is elementary, then L10:,i3 coincides with the suspension isomorphism.
Consequently, for sufficiently large 0, we have H oo - 1 (8) ~ Hd(o:)-l (80:)' and
our assertion follows. 0
(5.12) COROLLARY. If (X, A) and (Y, B) are two equivalent (or more gen-
erally, h-equivalent) pairs in £~ then for every n > 1 we have an
isomorphism Hoo-n(X, A) ~ Hoo-n(y, B). 0
A. The functor H oo - I and the Lemy- Schauder degree
Let Ar,R = {x EEl r :s: IIxll :s: R}, 0 < r < R. Clearly, HOO-I(Ar ,R; Z) ~ Z. We
identify the above groups with Z by isomorphisms compatible with those induced by the
inclusions Ar,R C Ar1 ,R 1 for 1"1 :s: r < R:S: Rli we let 1 denote the generator of Z .
(A.l) Let X be in £'E , UI, Uz , . . . be the (finite or transfinite) family of all bounded
components of E - X, Xi E Ui, and let fi : X --> Ar,R for some R > r > 0 be given by
fi(x) = x - Xi for x E X . Show:
(a) ft does not depend on Xi .
(b) H OO -I(X; Z) is a free abelian group with generators {ai = Jt(l) Ii = 1,2, .. .}.
(c) If g : X --> Ar,R is a compact field , then g* (1) = L7=I njaij '
(A.2) Let U be an open bounded subset of E. Show: To each compact field f : (D, aU) -->
(E, E - {O}) corresponds an integer deg(j) with the following properties:
(i) (Normalization) If Xo E U and f : (D, aU) --> (E, E - {O}) is given by f(x) =
x - xo, then deg(f) = 1.
(ii) (Homotopy) If the fields f,g E ([((D , au), (E , E - {OJ»~ are homotopic, then
deg(j) = deg(g).
(iii) (Additivity) If VI, V2 are two open disjoint subsets of U such that Z(f) C UI UU2,
then deg(f) = deg(fWI) + deg(fW2).
(A.3) Show: The integer deg(f) coincides with the Leray- Schauder degree.
B. Compact fields and ex-fields

We use the terminology and notation of Section 1. Given an object X in £', we set Lx =
{ex ELI X a f 0}. By 7r : £, E --> Ens we denote the cofunctor assigning to X in £, the
set 7r(X, E - {O}) of homotopy classes of compact fields f : X --> E - {OJ. We use the
following notation:
([(X) = ([(X , E - {O}) , 7r(X) = 7r(X, E - {O}),

([a(X) = ([a(X, E - {O}), 7r", (X) = 7r",(X, E - {O}) ,
([(Xa) = ([(X""L", - {OJ) , 7r(X",) = 7r(X"" L", - {OJ) .
(B .l) Let l' be a map in ([(X",). Show: There exists an ex-field f E ([",(X) such that
f", = fiX", = f'.
(B .2) Let f , g be two ex-fields in ([",(X), and assume that h~ : X", --> L", - {OJ is a
homotopy joining f", and g",. Show: There exists an ex-homotopy ht : X --> E - {OJ in
([",(X) joining f and g, such that htlX", = h~ for tEl .
(B.3) For X in £, and ex E Lx, let T", : 7r",(X) --> 7r(X", ) be given by [f]", f-> [f",]. Show:
The map Ta is bijective.
(B.4) Let f,g : X -t E - {O} be two fields such that f ~ 9 in <t(X). Show: There exist
an a and a-fields 1,9 E <ta(X) satisfying (i) 1 ~a 9 in <ta(X); (ii) 1 ~ f, 9~ gin <t(X).
(B.5) Let f E <ta(X) and 9 E <t,e(X). Show: If f ~ 9 in <t(X) , then there exists a l' E Lx
with a ::5 1', (3 ::5 l' such that f ~, 9 in <t,(X).
(B.6) (Inessential fields) Let X be an object in £. We say that a field f in <t(X) (respec-
tively in <ta (X)) is inessential if for any Y in £ containing X, there exists an in <t(Y) 1
(respectively in <ta(Y)) such that 11x = f. Show:
(i) Any <t(X) (respectively <ta(X)) contains an inessential field (respectively a-field).
(ii) Any two inessential fields (respectively a-fields) 1', f" : X - t E - {O} are homo-
topic (respectively a-homotopic) in <t(X) (respectively in <ta(X)).
(B.7) Let A and B be two objects in £, and f : A - t B a compact field. Show: If a field
'P: B - t E - {O} is inessential, then so also is the composite 'P 0 f : A - t E - {O}.
(B.8) Denote by 7r : £ - t Ens the cofunctor assigning to an object X in £ the set

7r(X) and to a compact field f : X - t Y the induced map 7r(f) : 7r(Y) - t 7r(X). Show:
7r : £ - t Ens' is an h-cofunctor from £ to the category Ens' of based sets.
[Let 0 denote the zem homotopy class in <t(X) consisting of all inessential fields, and
consider 0 as the base point in 7r(X) . Prove that if f : X - t Y is a field , then 7r(f)(0) = 0.]
(B .9) Prove: The cofunctor 7r : £ -t Ens' is continuous.
In this subsection X stands for a fixed object in £.
(C.l) For each a E L regard 7ra(X) as a based set with the Oa-homotopy class a.s the base
element. For any relation a ::5 (3 in Lx , let ia,e : 7ru(X) - t 7r,e(X) be given by [f]a f--> [f],e.
Prove: The family {7ra(X),ia,e} is a direct system of based sets over Lx.
(C.2) For each a E Lx let iu : 7ra(X) - t 7r(X) be defined by [flu f--> [fl. Show:
(i) The family {i a } is a direct family in Ens' over Lx.
(ii) The direct limit map
i' = ~ia : ~{7ru(X),ia,e} -t 7r(X)

a a
is invertible in Ens' .
(C.3) For each relation a ::5 (3 in Lx , define ja,e : 7r(Xa) -t 7r(X,e) in Ens' to be the
composite
where the first map is the inverse of the bijective based map rg :7ra(X,e ) -t 7r(Xa) given
by [f]a f--> [fa], and the based map ig :
7ra(X,e) - t 7r(X,e) is defined by [f]a f--> [fl. Prove:
The family {7r(Xu),ja,e} is a direct system in Ens' over Lx.
(C.4) For an object X in £ , let 7i'(X) = ~a{7r(Xa),ja,e} and for a field f : X - t Y in £0

define the based map 7i'(f) = 1: 1
7i'(Y) - t 7i'(X) by = ~a f;, where {fa : Xa - t Ya I
f(Xa) C Yu for a ~ 1'} and l' are determined by f. Prove: 7i' is an h-cofunctor from
(£o,~) to Ens'.
(C.5) For X in £ and Q E Lx, let TOiX : 7rOi(X) -; 7r(XOi ) be given by [f]Oi ...... [fOi], and
for any relation Q ::S (3 in £x consider the commutative diagram
Define a family T = {TX} of based maps TX : 7ro(X) -; 1f(X) by TX = ~Oi TOiX. Prove:
(i) TX is a bijective based map for each X in £.
(ii) T: 7ro -; 1f is a natural equivalence of the cofunctors 7rO , 1f : £0 -; Ens* .
(The above results are due to G~ba-Granas [1965a], [1965b] .)
Finite-codimensional Cech cohomology

The main results of this paragraph are due to G~ba-Granas ([1965a,b],
[1967a,b], [1969], [1972]). The H= - * theory generalizes the Leray- Schauder
degree (cf. "Miscellaneous Results and Examples") and provides a conve-
nient tool for the treatment of various infinite-dimensional problems. G~ba
[1978] showed that H=-* cohomology can be used to give an "algebraic"
proof of the basic bifurcation results in Banach spaces (Theorem (13.1.10)).
Some other uses of H=-* cohomology and related results may be found
in Colvin [1982]' Gel'man [1975], and Dawidowicz [1994]. For some refine-
ments and extensions of the H=-* theory the reader is referred to Szulkin
[1992] and Abbondandolo [1997]. For finite-codimensional cohomology and
duality results on Banach manifolds, see Eells [1961]' Mukherjea [1970], and
also Eells's survey [1966] and Namioka [1965].
Historical comments
In a letter sent to J. Schauder in 1935, J. Leray asserted the possibility of
extending to infinite dimensions Betti groups etc. (cf. Schauder [1936]); the
details, however, never appeared in print. The first attempts of extending
to the infinite-dimensional case the topological invariants other than the
Brouwer degree were made by L. Lusternik.
In the early 1930s, L. Lusternik observed that many problems of the
"calculus of variations in the large" can be reduced to the study of the
topological properties of "locally linear spaces" e)
(Banach manifolds).
Furthermore, soon after the discovery, in 1935, of cohomology groups, he
e) These spaces, presently known as Banach manifolds, were introduced in Lavren-

tiev- Lusternik [1935]; the notion was also familiar to Schauder [1936].
became aware that these groups provide an effective tool for the study of
"(00 - k )-dimensional cycles" in locally linear spaces. Given a locally lin-
ear space M, Lusternik [1943a] defines its length Long(M) e)
and proves
that Long(M) ::; Cat(M) -1, where Cat(M) is the Lusternik- Schnirelmann
category of 111.
Consider now the (locally linear) space Mab of rectifiable arcs joining two points a
and b of 8 2 . Using cohomology, Lusternik [1943a], [1943b] outlines a method for showing
that Long(Mab) = 00, and as application proves the existence of infinitely many geodesics
joining two given points of 8 2 . For details concerning the method (which could, in fact,
also be applied to other similarly defined spaces), see Lusternik's tract [1947].
Around 1954, the first author of this book learned from his Ph.D. super-
visor L. Lusternik the following:
PROBLEM (Lusternik). Is it possible to construct the "(00 - k)-dimensional
homology groups" in a Banach space within the framework of the Leray-
Schauder theory?
This problem (especially on the technical side) turned out not to be
evident. We now describe the main consecutive steps which have led, over a
number of years, to a positive solution of the Lusternik problem.
L. Lusternik, 1950
In the 1930s and 1940s, K. Borsuk discovered that a number of geomet-

ric results concerning the topology of R n can be developed by using only
simple notions of homotopy theory. To this circle of ideas belonged Borsuk's
e) For finite-dimensional manifolds, the notion of length was introduced by Froloff-

Elsholz, Mat. Sb. 42 (1935), 637-643.
approach to the disconnection theory in Rn based on describing the struc-
ture of the cohomotopy group 7rn-l(x) of a compactum X eRn. Granas
[1959], [1962] showed that some of these ideas and results can be extended
to the framework of compact fields in Banach spaces.
The techniques developed in those papers (and based on the homotopy
extension theorem for compact fields) provided tools for extending Borsuk's
cohomotopy groups to infinite dimensions.
Let E be a nOfmed linear space, X a closed bounded subset of E, and
let 7r(X) = 7r(X, E - {O}) denote the set of homotopy classes [f] of non-
vanishing compact fields f : X -+ E - {O}. We first consider two special
finite-dimensional cases.
(a) The case dim E = 2. In this case, E = C , and 7r(X) can be identified
with the set 7rl(X) of homotopy classes of maps f : X -+ C - {O}. Observe
that 7rl(X) is an abelian group with multiplication [I][g] = [I. g].
In Eilenberg's 1935 thesis, the following result was established:
THEOREM (Eilenberg). Let X c C be compact, U1 , U2 , . . . the sequence

(finite or infinite) of all bounded components of C - X, and Zi E Ui . Then
for any f : X -+ C - {O} we have
f(z) :::::: (z - ZiJkl . .. (z - Zim)k m
for some integers k 1 , ... , k m that do not depend on the choice of Zi in Ui . In

other words , the homotopy classes [(z-zdIX]' [(z-z2)IX], ... are generators
of the free abelian group 7rl(X).
(b) The case dim E = n. In this case, E = R n , and 7r(X) coincides with
the set 7r n- 1 (X) of homotopy classes [I] of maps f : X -+ Rn - {O} . Given
f,g: X -+ Rn - {O} such that for each x E X, either f(x) = 1 or g(x) = 1
(where 1 denotes the point (1,0, ... ,0) of Rn), the product f(x) ·g(x) is well
defined if we assume the obvious rule 1· p = P = p. 1 (for each p E Rn) ; thus,
in this particular case, f and 9 are "multipliable". By a theorem of Borsuk
[1936], for each pair f,g : X -+ Rn - {O}, there exists a pair of multipliable
maps 1, "9 such that [I] = Lfi
and [g] = ["9]. We set [I] . [g] = [j'"9]; this
definition does not depend on the choice of j, "9 and in this case, as was
shown by Borsuk, 7rn-I(X) becomes an abelian group.
The following extension of the Eilenberg theorem due to Borsuk [1950]
describes the structure of the cohomotopy group 7rn-I(X).
THEOREM (Borsuk). Let X c R n be compact , UI , U2 , . .. the sequence

(finite or infinite) of all bounded components of Rn - X , and Xi E Ui .
Then the homotopy classes [(x - xdIX ], [(x - x2)IX], '" are generators of
the free abelian (cohomotopy) group 7r n - 1 (X) .
(c) The case dimE = 00. In this case 7r(X) is the set 7r oo - 1 (X) of
homotopy classes of compact fields f : X ---) E - {O}.
The following result (Granas [1962]) extends Borsuk's theorem to the
framework of compact fields:
THEOREM (Granas). Let X c E be closed and bounded, U1 , U2 , ... the
sequence (finite or transfinite) of all bounded components of E - X, and
Xi E Ui . Then
(i) 7r oo - 1 (X) admits the structure of an abelian group,
(ii) the homotopy classes [(x-xl)IX], [(x-x2)IX], ... are the generators
of 7r oo - 1 (X).
The last theorem suggested the study of "the groups 7roo-n(x)" and
provided a starting point for constructing the first full-fledged infinite-dim-
ensional cohomology. In his 1962 thesis, K. G~ba constructed in fact such a
theory by extending to Banach spaces the theory of cohomotopy groups of
Borsuk as well as the Spanier- Whitehead duality.
To describe the main results of this theory (G~ba [1962]' [1964]), we intro-
duce some notation. Let E = EOO be an infinite-dimensional normed linear
space together with a sequence {E oo - n EEl En} of direct sum decompositions
of E such that
(i) EO c El C E2 C ... ,
(ii) Eoo ::J E oo - 1 ::J Eoo- 2 ::J ... ,
(iii) codim Eoo-n = dim En = n.
Let 0 = {O Q} be a fixed orientation in E. For each n 2 1 choose an
isomorphism In : En ---) Rn representing the orientation of En such that
In(x) = In+l (x) for x E En, and let uoo-n = E - En-I, oo - n = E - v
l;;: 1 (R:jJ .
THEOREM (G~ba). Let £ = £E be the Leray- Schauder category associated
with E.
1° There exists a sequence {7r oo - n } ~=l of contravariant functors 7r oo - n :
£2 ---) Ab such that 7r oo - n (X, A) is the set of homotopy classes of
compact fields f E <t((X, A) , (u oo - n , v oo - n )).
2° There exists a family of natural transformations 6oo - n : 7r oo - n (A) ---)
7r oo - n+1(X, A) such that the following properties hold:
(i) (Homotopy) If the fields fa, !I : (X, A) ---) (Y, B) are homotopic,
then 7r oo - n (fo) = 7r oo - n (!I).
(ii) (Exactness) For each (X, A) in £2, the sequence
(j oo-n
... ---) 7r oo - n (X, A) ---) 7roo(X) ---) 7r oo - n (A) -----+ 7r oo - n+ 1 (X, A) ---) ...
(iii) (Strong excision) The inclusion e (A, A n B) --t (A U B, B)

induces an isomorphism
7r oo - n (e) : 7r oo - n (A U B, B) --t 7r oo - n (A , A n B)
for all n = 1,2, ....
3° The graded group {7roo-n(S)}~=l' where S = {x EEl Ilxll = I},
is {L'm+n- l (sm)} ~= l ' where L'm+n-l (sm) is the stable homotopy
group of sm.
The technique used in the proof of this theorem suggested how to pro-
ceed with the construction of the HOO - * theory; in the joint work of G~ba
Granas between 1967 and 1969, the solution of the Lusternik problem was
completed.
Generalized degree
Let K denote a closed ball in E with center 0, let S = oK be its boundary,

and u oo - k = E - Ek - l.
For each n = 1,2, ... we define the class \ten) of compact fields by the
condition f E \ten) if and only if f : (K, oK) --t (Eoo-n, E oo - n - {O}) . If
1
f E \t(n) , we let = flS : S --t Eoo-n - {O} and j : Eoo -n - {O} --t u oo - n
be the inclusion.
DEFINITION. Let f be in \t(n). We define the generalized degree DEG(J) of
f as the element of the G~ba cohomotopy group 7roo- n(s) given by
DEG(J) = [jjj,
where [j jJ is the homotopy class of the field j 1: S --t uoo - n .
THEOREM. Let f be in \t(n). If DEG(J) is a nontrivial element of the group
7r oo - n , then Z(J) # 0.
Since the group 7roo - n(s) ~ L'oo-n(s) is isomorphic to the stable ho-
motopy group of spheres L'm+n_ l(sm) , the above theorem can only be of
interest when the latter is nontrivial (this is known to be the case, for ex-
ample, for n = 1, 2,3,4,7,8 , but not for n = 5,6).
For some applications of the generalized degree to nonlinear problems
see Nirenberg [1970] .
General infinite-dimensional cohomology theories

Let'£ = '£E be the Leray- Schauder category. By a cohomology theory h oo -*
on'£ is meant a sequence {h oo - n }~=l of contravariant functors h oo - n : ,£2 --t
Ab together with a sequence of natural transformations 8oo - n : hoo - n(A) --t
hoo - n +1 (X, A) satisfying the homotopy, exactness, and strong excision ax-
ioms; the graded group {h oo - n - 1 (S)}, where S is the unit sphere in E, is
the group of coefficients of the theory. A systematic and unified treatment
of such theories, based on the important work of G.W. Whitehead [1962]'
can be found in G~ba-Granas [1973].
We list some of the central results of the general cohomology theory.
(I) THEOREM. To any cohomology theory h* on the category of polyhedra
corresponds a cohomology theory h oo -* on'c with the same group of coeffi-
cients; moreover, the assignment h* 1----+ h oo -* is natural with respect to the
theories.
Thus, in particular, to any spectrum e)
it. in the sense of G.W. White-
head corresponds a theory {h oo -*, it.} called the cohomology theory on ,c
with coefficients in it.. If it. = JK( 7r) is the Eilenberg-MacLane spectrum,
then we get the "ordinary Cech cohomology" Hoo-*(.; 7r) on ,c (which was
described in §18) with coefficients in 7r. If it. is the sphere spectrum §, then
the corresponding theory, denoted by 2)00-*, is called the stable cohomotopy
on 'c. The Hopf-Hurewicz map h : § -----+ JK(Z) between the spectra induces
a natural transformation h* from 2)00 - * to Hoo-*(.; Z).
(II) THEOREM. There exists a natural equivalence between the functors
7r oo - nand 2)oo-n from,C2 to Ab.
This theorem implies that the stable cohomotopy theory 2)00-* can be
in fact identified with the cohomotopy theory 7r 00 -*.
(III) THEOREM (Duality theorem in E). Let it. be either the spectrum of
spheres § or the Eilenberg- M acLane spectrum JK( 7r) and let h oo-n (-; it.) (re-
spectively h n (-; it.)) be the cohomology (respectively homology) with coeffi-
cients in it.. Then
(i) for each pair (X, Y) in'c and V = E - Y, U = E - X there exists
a duality map
e) Let CW * be the category of based CW-complexes. By a spectrum It is meant a

sequence {An} of objects of CW * together with a sequence of maps an : EAn ----> An+l in
CW *, where E is reduced suspension. The simplest example is provided by the spectrum
of spheres § = {Sn, an}, where an : E Sn --t Sn+ 1 is the natural identification. To any
spectrum It there corresponds a homology h* (.j It) and cohomology h* (.j It) on CW * with
coefficients in It. If It = JK( 11") is the Eilenberg- MacLane spectrum corresponding to an
abelian group 11", then h* (-; JK( 11")), h * (-; JK( 11")) are naturally isomorphic to the singular
homology H* (' j 11") and singular cohomology H* ej 11") with coefficients in 11". The homology
and cohomology theories with coefficients in § arc isomorphic to the stable homotopy and
cohomotopy theories, respectively. For details see G.W. Whitehead [1962] and Switzer's
book [1975] .
(ii) D maps the cohomology sequences of a triple (X, Y, Z) into the ho-
mology sequences of the complementary triple (W, V, U) = (E - Z,
E - Y, E - X), i.e., the following diagram commutes:
. . . ",,* hoo-n(X, Y;A)",,* hoo-n(X, Z; A)""* hoo-n(y, Z; A)",,* hoo-n+1(X, Y;A)""*'"
iD iD iD iD
' " -hn(V, U ;A) ~ hn(W, U ;A) -----?hn(W, ViA) --hn-l(V, U;A) _ ...
(iii) D is natural with respect to the Hopf- Hurewicz map of spectra h :

§ ----+ lK(Z), i.e., the following diagram commutes:
Eoo-n(X, Y) ~ HOO-n(X, Y; Z)
Dl lD
En (V, U) h.) Hn(V, U; Z)
The duality combined with the Hurewicz theorem in §-theory yields the
following:
(IV) THE HOPF THEOREM. For any pair in £ the first nonvanishing stable
cohomotopy group is isomorphic to the first nonvanishing cohomology group
over Z. More precisely , we have
(i) 7T oo - q(X, Y) ~ Eoo-q(X, Y) = 0 ¢:} HOO-q(X, Y; Z) = 0 for any
o ':S q < n,
(ii) if 7T oo - q(X , Y) ~ Eoo-n(x, Y) = 0 for 0 ':S q < n, then the Hopf
map h* : Eoo-n(x, Y) ----+ Hoo-n(x, Y; Z) is an isomorphism.
Codimension
Let Y be a closed bounded subset of E, and let U c E be open. Call U an

extension object of Y provided given any closed subset A of Y, any compact
field f E <r(A, U) admits an extension f E <r(Y, U). We let
£(u oo - k ) = {Y E £ I u oo - k = E - Ek- 1 is an extension object for Y}.
Let X c E be closed and bounded, and let Hoo-*( ; G) be the cohomology
theory on £ with coefficients in an abelian group C. We say that:
(a) the codimension of X with respect to E is equal to n (we write
Co dim X = n) if:
(i) X E £(UOO - k ) for each k E [n - 1],
(ii) X rt £(UOO- k ) for k = n;
(b) the cohomological codimension of X with respect to E is equal to n
(we write Co dime X = n) provided n is the smallest integer such
that Hoo-n(x, A; G) I- 0 for some closed subset A of X.
We note that:
(i) if X and Yare two equivalent objects of the category 'c, then
Codim X = Co dim Y and Co dime X = Co dime Y,
(ii) in the finite-dimensional case the definition of co dimension coincides
with a theorem of P. Alexandroff characterizing the dimension of
compacta by maps into sn.
The main theorems of the previous subsection yield the following result:
THEOREM. Let X be an object of the Leray-Schauder category 'c.
(a) Co dim X = Codimz X.
(b) If Co dim X 2 2, then bo (E - X) = 0 e), i. e., X does not disconnect
the space E .
(c) (Phragmen- Brouwer theorem) If (Y; Y1 , Y 2 ) is an additive triad in
,C and Codim(Yl n Y 2 ) 2 2, then
bo(E - Y) = bo(E - Y1 ) + bo(E - Y 2 ).

We remark that (a) is analogous to the well known "fundamental theorem
in dimension theory" due to Alexandroff.
L. Lusternik [1940a,b], in the context of his studies on variational problems in "locally
linear spaces" (= Banach manifolds) , introduced the notion of codimension. Let M be a
Banach manifold . A submanifold N C M is said to be of codimension k (or dimension
00 - k) if N can be locally determined by a system of equations <Pi (x) = 0, i E [kJ, with
linearly independent differentiable functionals <PI, .. . , <P k.
Fix n ~ 1 and consider the differential equation
y" + 'P(x , y ,y') = AY, y(a) = y(b) = 0, lab l(x) dx = 1,
where 'I' is continuous and 'P(x, y , z) = -'P(x, - y, -z).

If 'I' == 0, there exists a A for which (*) has a solution that vanishes exactly n times
°
inside [a , b]. In 1941, L. Lusternik gave a procedure that allows extending this result to
the case 'I' t and established the following
THEOREM (Lusternik [1941]). Under suitable growth conditions on '1':
(i) there exists a countable sequence AI , A2, . " of eigenvalues of (*),
(ii) to each eigenvalue Ak there corresponds an eigenfunction Yk that vanishes exactly
n times inside [a, b].
Lusternik's proof of this theorem was based on using the continuation method in conjunc-
tion with the following important property of codimension: If M is a connected Banach
manifold and N C M a submanifold with CodimN ~ 2, then N does not disconnect M.
e) Here bo(E - X) denotes the number of bounded components of E - X.

§19. Vietor is Fractions and Coincidence Theory 531
§19. Vietoris Fractions and Coincidence Theory
Given two maps f,8 : r --+ X between spaces r and X, by a coincidence

point for the pair f,8 is meant a point Yo E r for which f(yo) = 8(YO)' In
this paragraph, using Cech homology and the well known Vietoris theorem
as the main tools, we establish a general coincidence theorem which includes
the Lefschetz fixed point theorem for compact maps of ANRs given in §15.
The paragraph ends with applications to the fixed point theory of set-valued
maps.
1. Preliminary Remarks
Throughout the entire paragraph only metrizable spaces are considered, and
we always use Cech homology with compact supports over the rationals Q;
when no confusion can arise, the Q will be omitted in the notation, so that
the graded homology of X over Q is denoted simply by H*(X) = {Hn(X)}.
In this section we gather the relevant facts of the Cech theory that will be
needed.
Given two spaces X and Y, we say that a map 8 : X --+ Y is inverse
acyclic if the fiber 8- 1 (y) is acyclic e)
for each y. Note that an inverse
acyclic map is necessarily surjective.
The main results of this paragraph rely heavily on the following theorem:
(1.1) THEOREM (Vietoris). Let 8 : X --+ Y be an inverse acyclic map
between compact metric spaces X and Y. Then the induced homo-
morphism 8* : H*(X) --+ H*(Y) is an isomorphism. 0
Assume that r is a compact metric space, P a finite polyhedron, and

let f : r --+ P, 8 : r --+ P be continuous maps with 8 inverse acyclic. We
first note that 8; 1 : H * (P) --+ H * (r) is well defined, in view of the Vietoris
theorem, and therefore f*8;1 : H*(P) --+ H*(P). We define the Lef8chetz
number ),[(J,8)] of the pair (J,8) by
),[(J,8)] = ),(J* 8:; 1 ),

where ),(J*8; 1) is the ordinary Lefschetz number of the endomorphism
f* 8; 1; clearly the latter is defined, because the homology of P is of finite
type.
With this terminology, we are now in a position to state the basic coin-
cidence theorem:
e) Recall that X is acyclic if: (i) X is nonempty, (ii) Hq (X) = 0 for q :2: 1, (iii) the
reduced Oth homology group Ho(X) is O.
(1.2) THEOREM (Eilenberg- Montgomery). Let r be a compact metric

space, P a finite polyhedron, and let f : r - - -) P, s : r - - -) P be
continuous maps with s inverse acyclic. If A[(J,s)] i- 0, then the
maps f and s have a coincidence. 0
The original proof of the Eilenberg- Montgomery theorem is quite ele-
mentary and closely analogous to the proof of the Lefschetz-Hopf theorem
given in §9; it uses, however, the notions of Vietoris cycles and the chain
approximation technique, which are not discussed in this book.
Observe that if we take in (1.2) r = P and s = id, then the integer
A[(J, s)] coincides with the Lefschetz number A(J); thus Theorem (1.2) in-
cludes the Lefschetz- Hopf fixed point theorem for polyhedra.
It is our objective in this paragraph to extend the Eilenberg- Montgomery
theorem to wider classes of maps and spaces. We now describe the approach
and the main steps of our discussion:
(a) Using the concept of a Vietoris map, we first enlarge the category of
metrizable spaces by adding new morphisms (Vietoris fractions).
(b) We extend the Cech homology functor over this larger category of
Vietoris fractions.
(c) Assuming the Eilenberg- Montgomery coincidence theorem for poly-
hedra to be known, we derive the main coincidence results by using essen-
tially the same algebraic and factorization techniques that were previously
employed in the Lefschetz fixed point theory for compact maps.
2. Category of Fractions
We begin by collecting some simple notions of category theory that will be
needed.
(2.1) DEFINITION. Let T be a category and )/ a family of morphisms in
T such that
(F.1) the identities of T are all in )/,
(F.2) if s : X -----) Y and t : Y -----) Z are in )/ , then so is ts,
(F.3) any diagram in T
with s in )/ can be completed to a commutative diagram in T

§19. Vietoris Fractions and Coincidence Theory 533
where s' is in 1/ and s' , l' is a pull-back of the pair s , f (for

the definition of pull-back, see Appendix).
When (F.l)- (F.3) are satisfied, we say that the family 1/ admits a
calculus of fractions.
Given objects X and Y in T , let ~(X, Y) denote the set of pairs (j, s)
of morphisms
X~o~Y,
where the morphism s "in the wrong direction" belongs to 1/. Given two
pairs (j, s), (g , t) in ~(X, Y), we write (j , s) rv (g , t) if there exists a com-
mutative diagram
o
X
,/
with an invertible morphism u in T.
/~ Y
o
u
It is clear that rv is an equivalence relation in ~(X , Y) ; the equivalence

class of (j, s) is denoted by fls. We let g-(X, Y) denote the corresponding
set of equivalence classes; its elements are called fractions from X to Y.
(2.2) DEFINITION. We now define a new category 1/(T) as follows:
(i) the objects of 1/(T) coincide with those of T,
(ii) given X and Y in 1/(T) , the set of morphisms from X to Y in
1/(T) is defined as the set g-(X , Y) of fractions from X to Y,
(iii) the composition law
g-(X , Y) x g-(y, Z) -+ g-(X , Z)
is given by [glt][fls] = g1'lst' , where t' E 1/ and t', l' is a pull-
back of the pair t , f making the following diagram commutative:
t,~-Lr~z
,[--L Y
X
Conditions (F.l)- (F.3) imply that the composition law is well defined
and makes 1/ (T) a category, called the category of fractions of T by 1/.
3. Viet oris Maps and Fractions

Let now T denote the category of metrizable spaces. In this section we
introduce a family 1/ of morphisms in T (called Vietoris maps) that admits
a calculus of fractions and consider the corresponding category of fractions .
(3.1) DEFINITION . Given X and Y in T , we say that s : X ----) Y is a
Vietoris map (we write s : X =} Y) if (i) s is proper and (ii) s is
inverse acyclic; we denote by 1/ the family of Vietoris maps.
The following theorem asserting that the family 1/ admits a calculus of
fractions is of fundamental importance.
(3.2) THEOREM. The family 1/ has the following properties:
(F.1) the identities of T are in 1/,
(F.2) if s : X ----) Y and t : Y ----) Z are in 1/, then so is ts : X ----) Z,
(F.3) the pull-back of a Vietoris map is a Vietoris map.
PROOF. (F.1) is obvious.
(F.2) : Assuming that sand t are in 1/, we note that ts is proper. To
prove that (ts) - 1 (z) is acyclic for each z E Z, note that since s is inverse
acyclic and sends S-1(C 1(Z)) = (tS)-1(Z) to C 1(z), the restriction map
s= SIS - 1(t-1(Z)) induces an isomorphism s* : H*((tS)-1(z)) ----) H*(C 1(z))
by (1.1). Since C 1 (z) is acyclic, the required conclusion follows.
(F .3): We have to complete in a suitable manner the diagram
0- - ~ r'
: ~s
}~Y
Let
r Xy r' = {(x,y) E r x r/ I f(x) = s(y)}
be the fiber product of f, s , and let the pair of maps f' : r Xy r' ----) r' and
s' : r Xy r' ----) r given by f'ex, y) = y , s/(x , y) = x for (x, y) E r Xy r/ be
the pull-back of the pair (j, s). It can be easily seen that the diagram
r xyr'L- r ,
s'~ ~s
r f)o Y
commutes and also that s' is proper and inverse acyclic. o

Using the terminology and notation of Section 2, we let 1/(T) denote
the category of Vietor is fractions of T by 1/, and given two spaces X and
Y we denote by §(X, Y) the set of Vietoris fractions from X to Y .
To compose two Vietoris fractions 'P = fls E §(X, Y) and 7jJ = glt E
§(Y, Z) we write a commutative diagram:
rxyr'L---r'~Z
t'~ f }
r .. y
s~
X
in which r Xy r' is the fiber product of f, t, and j', t' is the pull-back of
f, t. Now the composite 'P = (glt)(fls) is equal to gf'lst'.
In what follows we regard the category T of metrizable spaces as a
subcategory of the Vietoris fractions 'Y(T).
In order to define a homomorphism of homology groups induced by a
fraction , we need to extend Theorem (1.1) to abitrary Vietoris maps.
(3.3) THEOREM (Vietoris mapping theorem). Let s : X ---4 Y be a Vie-
toris map between spaces X and Y in T. Then the induced map s* :
H*(X) ---4 H*(Y) is an isomorphism.
PROOF. We recall the definition of the Cech homology functor with com-
pact supports. Given X in T, let Vx = {XoJ denote the set of all compact
subspaces of X partially ordered by inclusion. Assigning to each such Xo:
its graded tech homology H*(Xo:) and to each pair Xo: C X(3 the homo-
morphism (io:(3)* : H*(Xo:) ---4 H*(X(3) induced by inclusion, we obtain the
direct system {H * (X0:), (i0:(3) *} of graded vector spaces.
Given s : X ---4 Y in T and letting V y = {Y.>.} denote the partially
ordered set of all compact subspaces of Y, we see that the assignment Xo: f--t
s(Xo:) determines an order preserving map Vx ---4 Vy. This implies that the
family {so:}, where So: : Xo: ---4 s(Xo:) is defined by s, determines a map of
direct systems
The functor H from T to the category GrVect of graded vector spaces is

defined by taking direct limits:
H(X) = lli!} {H*(Xo:), (iO:(3)*} for X in T,
o:E'Dx
H(s) = s* = lli!} (so:)* for s : X ---4 Y in T.
o:E'Dx
We now start the proof and assume that s : X ---4 Y is in 1". We will
show that s* = lim (so:)* is an isomorphism. To this end, for each Xo: E Vx
~
let Xex = S-1S(Xex) and observe that s sends each Xex onto s(Xex); moreover,
since the restriction map Sex = slXex from Xex onto s(Xex) is inverse acyclic,
the induced map (sex)* : H*(X ex ) --> H*(s(X ex )) is an isomorphism by the
Vietoris theorem (1.1).
Next we note that the set fj = {Xex I Xex E Dx} is cofinal in Dx and this
gives s* = lli!} (sex)* = lli!} (sex)*. Now because each (Sa)* is an isomorphism,
the conclusion follows. 0
4. Induced Homomorphisms and the Lefschetz Number

(4.1) DEFINITION. Let X, Y be in T, and let rp = fls E §(X, Y) be a
fraction. The homomorphism induced by rp is defined as the composite
H*(X) s;; H*(r) b H*(Y), and we write f*s-;1 = H*(rp) = rp*.
It is easily seen, by considering the commutative diagram (*) appearing in
the definition of the equivalence relation rv in D(X, Y), that the definition
of rp* = (fls)* : H*(X) --> H*(Y) does not depend on the choice of a
representative fls of rp, and thus the above definition makes sense; we also
note that if rp = fl id x = f, then f* = rp*.
We now define a function H * : 1"(T) --> GrVect by
H*(X) = H*(X) for X E 1"(T),
H*(rp) = rp* for rp E §(X, Y) E 1"(T).
(4.2) PROPOSITION. The function H* : 1"(T) --> GrVect is a functor

extending the tech homology functor H* : T --> GrVect.
PROOF. Let rp = fls E §(X, Y) and 'IjJ = glt E §(Y, Z) be two fractions.
Clearly to establish our assertion we need only show that ('ljJrp) * = 'IjJ* rp*. To
this end consider a commutative diagram
rxyr/~r'~z
t'~r f
~
}
Y
s~
X
By definition of the homomorphism induced by a fraction we have
('ljJrp)* = [(glt) (fls)] * = (g I' Ist/)* = (g 1')* (st/) -;1 = (g* f~) (t/)-; 1 s-;1
= [gA-;1] 0 [I*s-;1] = [(glt)*] 0 [(f18)*] = 'IjJ*rp*. 0
Using the functor H we now define for the Vietoris fractions some notions
analogous to those introduced for ordinary maps in §15.
(4.3) DEFINITION . Let X, Y be in T, and let !.p = fls E §(X, Y) be a
fraction. We say that !.p = fls E §(X, X) is a Lefschetz fraction if
the induced map!.p* : H*(X) --+ H*(X) is a Leray endomorphism; for
such a !.p we define its generalized Lefschetz number by A(!.p) = A(!.p*).
With this terminology, we have the following simple general result that is
frequently used:
(4.4) LEMMA. Let a E §(K,X) and {3 E §(X,K) be two fractions.
Then {3a E §(K, K) is a Lefschetz fraction if and only if so is a{3 E
§(X, X). In other words, given commutative diagrams
and
in fI'(T) , if one of!.p, P is a Lefschetz fraction, then so also is the

other, and A(!.p) = A(p).
PROOF. Applying the functor H* : fI'(T) --+ GrVect to the above diagrams
we obtain the commutative diagrams of graded vector spaces
and
Now the desired assertions follow at once from the definitions involved and
(15.2.2)(A). 0
5. Coincidence Spaces
(5.1) DEFINITION. Let r, X be in T , and let f : r --+ X, s : r --+ X be
two maps. Given E > 0, a point y E r is called an E-coincidence point
for the pair (j, s) if d(j (y), s(y)) < E, where d is a metric in X.
(5.2) LEMMA. Let f, s : r --+ X be two maps such that s is proper and f
is compact. If for each E > 0 there exists an E-coincidence point for
(j, s), then the pair has a coincidence point.
PROOF. The proof is strictly analogous to that of (6.3.1) and is left to the
reader. 0
Let <p = fls E §(X, X) be a Vietoris fraction, and (j, s), (g, t) two
representatives of <po We let
Coin(j, s) = {y E r I f(y) = s(y)}, Coin(g, t) = {y E r' I g(y) = t(y)},
and observe that if tu = sand ug = f for some homeomorphism u : r - t r',
then u maps homeomorphic ally Coin(g, t) onto Coin(j, s). Thus, up to hom-
eomorphism, we can assign to each Vietoris fraction <p E §(X, X) its coin-
cidence set Coin (j Is).
We say that a fraction <p = fls E §(X, X) has a coincidence if the set
Coin <p is nonempty.
(5.3) LEMMA. Assume that each of the diagrams
X Y
;/l~ and
Yl~
Y---r X X~Y
is commutative in the category of fractions j / (T). Then
<p has a coincidence ¢:? P has a coincidence.
PROOF. Consider the following two commutative diagrams, which appear in

the definition of <p = {3a and P = a{3:
f
rxyr'L-r'~X
I
r'xxr~r~Y
,,~
r
f
..
~,
y
"~r' 9
..
~
X
s~ t~
X Y
The reader can now verify that if (x, y) E r x y r' is a coincidence point
for (g1', st'), then (y, x) E r' Xx rand (y, x) is a coincidence point for
(j g', ts'); this clearly yields the desired conclusion. 0
We call a fraction <p = fls E §(X, Y) compact if the map f is compact.
We remark that if a = fls E §(X, Y) and {3 = glt E §(Y, Z) are two
Vietoris fractions, then their composite {3a E §(X, Z) is compact whenever
either a or {3 is compact. This clearly follows from the definitions involved.
(5.4) DEFINITION. We say that X is a coincidence space if:
(i) any compact <p = fls E §(X, X) is a Lefschetz fraction,
(ii) A( <p) =1= 0 implies that <p = fls has a coincidence.
We describe two simple ways of forming new coincidence spaces from old
ones.
(5.5) LEMMA. If X is a coincidence space, then so also is every retract A
ofX.
PROOF . Let r : X ---+ A be the retraction and i : A '---+ X the inclusion. Given
a compact Vietoris fraction <.p = fls E §(A, A), consider the commutative
diagram
A~X
~1:/ li~r
A~X
and note that the fraction 1/J = i<.pr E §(X, X) is also compact. Now the
desired assertion follows from (4.4) and (5.3). 0
If K is compact , the existence of a coincidence for a fraction <.p : K ---+ K

can sometimes be determined by factorization.
(5.6) LEMMA. Let K be a compact metric space and assume that a fraction
<.p E §(K, K) factors through a coincidence space X, i.e., there are
maps a and (3 making the diagram
;/ 1~
K
X~K
commutative. Then <.p is Lefschetz, and A( <.p) i= 0 implies that <.p has
a coincidence.
PROOF. This is an obvious consequence of (4.4) and (5.3). o

(5.7) LEMMA. Let K be a compact metric space such that every fraction
<.p = fls E §(K, K) factors through a coincidence space. Then K is
a coincidence space. 0
6. Some General Coincidence Theorems
Using the Eilenberg- Montgomery coincidence theorem for polyhedra we first

establish a preliminary result.
(6 .1) THEOREM. Every open subset of a normed linear space is a coinci-
dence space.
PROOF. Let U be open in a normed linear space E, and let
 °and an E-approximation fc : r ----7 U of f such that fc(r) c Pc c U,
where Pc is a finite polyhedron and fc is homotopic to f. To prove that <P
is Lefschetz, consider the fraction
<Pc = {U ¢= r ~ U} E §(U, U)
and the commutative diagram
where the fractions <p~ and 'Pc are determined by <Pc' Since the homology
H*(Pc ) is of finite type, the fraction <p~ is Lefschetz, and by (4.4), so also is
the fraction <Pc, and A(<p~) = A(<pc). Because f ~ fc we infer that A(<p) is
defined, and moreover,
A(<p) = A(<pc) = A(<p~).
Assuming now that A( <p) "# 0, we have A( <p~) "# 0, and hence by the
Eilenberg- Montgomery theorem (1.2), the fraction <p~ : Pc ----7 Pc has a
coincidence. From this, in view of the commutativity of the above diagram
and (5.3), we infer that also <Pc has a coincidence, and thus fe;(xo) = s(xo)
for some Xo; this shows that Xo is an E-coincidence point for the maps f
by (5.2) that f and s have a coincidence.

°
and s. Since f is compact, s is proper, and E > was arbitrary, it follows
0
Recall that a space Y is called a NES( compact metric) space if for any
pair (X, A) of compacta e)
and any f : A ----7 Y there exists a nbd W ~ A
and an extension F : W ----7 Y of f. Our aim now is to show that any metric
NES(compact metric) space is a coincidence space.
Using the terminology of (4.3) and the factorization technique, we first
establish the following preliminary result:
(6.2) THEOREM.
(a) Let K be a compactum and assume that a fraction <p : K ----7 K
can be factored as
f (3
K ----7 X ----7 K ,
e) Recall that a compactum is a compact metric space.

where X is a metric NES( compact metric) space , f3 is a fraction,

and f is an ordinary single-valued map. Then : X --+ X can be factored as
(3 f
X --+ K --+ X,
where K is a compactum, f3 is a fraction , and f is an ordinary
map. Then q> is Lefschetz, and A(q» i- 0 implies that q> has a
coincidence.
PROOF. In view of (4.4) and (5.3) , it is clearly enough to establish (a). To

this end consider in j/ (T) the diagram
j ) ~
H~UE
~~
1
91 K
l/l~
X~K
where h : K --+ R is a homeomorphism of K onto a subset R of a Hilbert
space H. Since X is a NES(compact metric) , there is an extension 9 : U --+ X
of the ma~fh-1 : R --+ X over an open nbd U of R in H , i.e., gj = fh- 1,
where j : K --+ U is the inclusion. Consider now the composite
K..i.!!:....U.!!.!!....K.
We have ((3g)(jh) = f3(gj)h = f3(1h- 1)h = f3 f = <p, which shows that <p
factors through an open set U c H . Now because U is a coincidence space
by (6.1) , we conclude by (5.6) that the fraction <p is Lefschetz, and A(<p) i- 0
implies that <p has a coincidence. 0
As an obvious consequence of (6.2)(a)* we obtain at once the desired
extension of the Eilenberg- Montgomery theorem:
(6.3) THEOREM. Any metric NES(compact metric) space, and in particu-

lar , any ANR, is a coincidence space.
(6.4) COROLLARY (Eilenberg- Montgomery). Let r be a compact metric

space, X a compact ANR, and f : r --+ X , 8 : r --+ X two maps,
with 8 inverse acyclic. If ).[(1, 8)] = ).(1*8;1) i- 0, then the maps f
and 8 have a coincidence. 0
7. Fixed Points for Compact and Acyclic Set-Valued Maps

We now return to the study of fixed points for set-valued maps. The results
of Section 6 are applied to obtain some fixed point theorems for set-valued
maps analogous to those in §15.
In the remainder of this paragraph the set-valued maps are denoted by
capital letters; for convenience, we write S : X ---7 Y instead of S : X ---7 2Y .
(7.1) DEFINITION. Let X and Y be two spaces, and let S : X ---7 Y be a
set-valued map. Then:
(i) S said to be acyclic if S is upper semicontinuous (u.s.c.) and e)
has acyclic values.
(ii) S is called compact if the image S(X) = U{Sx I x E X} is
contained in a compact subset of Y.
Let X be a space and S : X ---7 X be an acyclic map. Let r = {( x, Y) E X xX I
y E S(x)} be the graph of S, and let f : r ---7 X and s : r ---7 X denote
the natural projections given by (x , y) y and (x,y)
f----) x, respectively.
f----)
Because s - 1 (x) is homeomorphic to S (x) for every x E X and s is proper,

we see that the projection s : r ----+ X is a Vietoris map, and hence in view
of the Vietoris mapping theorem, we may form the endomorphism
(7.2) DEFINITION. We say that S : X ---7 X is a Lefschetz map if S*

H*(X) ----+ H*(X) is a Leray endomorphism. For such a map S the
integer A(S) = A(S*) is called the Lefschetz number of S.
Note that whenever X is of finite type, then any acyclic S : X ---7 X is a
Lefschetz map and A(S) coincides with the ordinary Lefschetz number '\(S)
of S.
We now prove a general fixed point theorem for compact acyclic maps.
(7.3) THEOREM. Let X be either a metric NES( compact metric) space
or an ANR, and S : X ---7 X a compact acyclic map. Then S is a
Lefschetz map , and A(S) =/=- 0 implies that S has a fixed point.
PROOF. Clearly, it is enough to prove the assertion in the case where X is
a metric NES (compact metric) space. To this end let r be the graph of S,
and let
 Y is upper semicontinuous if (i) S(x) is

compact for each x E X and (ii) for any open V C Y the set {x E X I S(x) c V} is open.
(i) 8* = CP*, where Cp* = f*s-:;1 is induced by cpo

(ii) f is compact, and therefore so is cpo
(iii) A(8) = A(cp*) is defined by (6.3).
Assume that A(8) = A(cp*) i- O. Then, by (6.3), the maps f, s : r -+ X
have a coincidence, i.e., for some pair (xo, Yo) with Yo E 8(xo) we have
f(xo, Yo) = s(xo, Yo); now because f(xo, Yo) = Yo and s(xo, Yo) = xo, this
gives Xo E 8(xo), and the conclusion follows. D
As obvious consequences, we obtain the following results:
(7.4) COROLLARY (Eilenberg- Montgomery). Let X be a compact ANR
and 8 : X -+ X an acyclic map such that )",(8) i- O. Then 8 has a
fixed point. D
(7.5) COROLLARY. Assume that X is one of the following:

(i) an acyclic metric NES( compact metric) space ,
(ii) an acyclic ANR ,
(iii) a metric ES (compact metric) space ,
(iv) an AR,
(v) a convex (not necessarily closed) subset of a locally convex met-
rizable space.
Then any compact acyclic map 8 of X into itself has a fixed point.D
Observe that (7.5)(v) represents a generalization of fixed point results for

compact Kakutani maps in (7.8.4).
Now, as an immediate corollary of (7.5), we shall establish some results of
the Leray-Schauder type for compact acyclic maps in normed linear spaces.
Let E be a normed linear space; given a bounded subset AcE we let
IIAII = sup{llalll a E A}.
(7.6) THEOREM (Nonlinear alternative). Let E be a normed linear space,
and let KQ be the closed ball {x EEl Ilxll :S g}, where g > O.
Then each compact acyclic map T : KQ -+ E has at least one of the
following two properties:
(a) T has a fixed point ,
(b) there are x E IJKQ and)", E (0,1) such that x E )"'Tx.
PROOF . Let r : E -+ KQ be the standard retraction given by
for Ilyll :S g,
r(y) ={ ~Y/IIYII for Ilyll > g,
and consider the composite map E .!:., KQ ~ E. Since Tor is compact

and acyclic, we infer by (7.5)(v) that it has a fixed point, i.e. , x E Tr(x)
for some x E E; this obviously implies that y = r(x) is a fixed point for
rT: Ke -----t K e , i.e., y E rTy.
We now examine two possible cases: (i) IITyl1 ::::; {! and (ii) IITyll > {!.
In case (i), rTy = Ty, and therefore y E Ty, i.e., property (a) holds. In
case (ii), there exists a z E Ty with IIzll > (! and y = r(z), and hence, in
view of (*), we get
and z = My E Ty.
Q
This gives y E >..Ty with>" = {!/lIzll < 1. Thus, property (b) holds, and the
Several fixed points for compact acyclic maps can be derived from (7.6)
by imposing conditions that prevent the occurrence of the second property.
(7.7) THEOREM. Let T : Ke -----t E be a compact acyclic map and assume
that for all x E 8Ke one of the following conditions is satisfied:
(i) IITxll::::; max{lIxll, IIx - Txll},
(ii) IITxll ::::; (lix - Txll2 + IIxIl 2)1/2.
Then T has a fixed point.
PROOF. The routine verification that property (b) in (7.6) cannot occur is
left to the reader. 0
Let T : E -----t E be an acyclic map. We say that T is completely continuous
if it is compact on bounded subsets of E.
Theorem (7.6), applied to completely continuous acyclic maps , yields
(7.7) THEOREM (Leray- Schauder alternative). Let T : E -----t E be a com-
pletely continuous acyclic map, and let
£(T) = {x EEl x E >..Tx for some 0 < >.. < I}.
Then either £(T) is unbounded, or T has a fixed point.
PROOF. Assume that £(T) is bounded, and let Ke be a ball containing £(T)
in its interior. Then TIKe : Kg -----t E is a compact acyclic map, and since
no x E 8Kg can satisfy the second property in (7.6), the map T has a fixed
point, and the proof is complete. 0
A. Degree mod 2 for set-valued acyclic maps
Throughout subsections A, B, C, only metric spaces are considered. By H* (X) we denote

the Cech homology of X with Z2 coefficients and with compact supports. Set-valued
maps are denoted by <.p, 1jJ, . .. , and single-valued maps by f, g, ... ; for convenience we
write <.p : X -> Y instead of <.p : X -> 2Y . With <.p : X -> Y we associate the diagram
p q
X +--- r Y
in which r = r Y is called acyclic if <.p is u.s.c. and <.p(x) is acyclic for each x E X;
for such a <.p, the sets p-l(x) are also acyclic, and by the Vietoris theorem, p induces an
isomorphism p. : H.(r) ~ H.(X). The homomorphism <.p. = q.p;l : H.(X) -> H.(Y)
is said to be induced by <.p.
Let <.p : Sn -> Rn+l_ {O} be an acyclic map. Since Hn(Sn) ~ Hn(R n +1 - {O}) ~ Z2,
we may identify <.p. with an integer mod 2. This integer is called the degree mod 2 of <.p
and is denoted by d( <.p); for any YO E Rn+l - <.p( Sn), we let d( <.p, YO) = d( 1jJ), where
1jJ(x) = <.p(x) - YO.
(A.l) Show: If <.p: (Kn+l,Sn) -> (Rn+l,Rn+l - {O}) is an acyclic map with d(<.pISn)
i- 0,then 0 E <.p(xo) for some xo E Kn+l.
[Supposing the contrary, consider the commutative diagram
where i, j are inclusions and Pi, qi are the natural projections of the respective graphs;
to get a contradiction, apply the Vietoris theorem to show that d(<.pISn) = 0.]
(A.2) Define the relation of acyclic homotopy between acyclic maps and show:
(a) If the acyclic maps <.p,1jJ : Sn -> Rn+l - {O} are acyclically homotopic, then
d(<.p) = d(1jJ) .
(b) If f : Sn -> R n +1 - {O} is a selector of an acyclic map <.p : Sn -> Rn+l - {O},
then d(cp) is equal to the ordinary degree mod 2 of the map f.
(A.3) (Generalized Brouwer theorem) Let <.p : K n -> K n be an acyclic map. Show: <.p has
a fixed point.
B. Antipodal theorem for acyclic maps
Throughout this subsection M is a compact space with H.(M) = H.(Sn).

(B.l)* (Generalized Borsuk theorem) Let h : M -> M be a fixed point free involution.
Show: If a map f : M -> Sn satisfies f(x) i- f(h(x)) for all x E M, then f. : Hn(M) ->
Hn(Sn) is nontrivial (Jaworowski [1955]).
(B.2) A set-valued map if> : M -> M is called a set-valued involution if y E if>(x) implies
x E cP(y) for all (x, y) E MxM. Let cP: M -> M be an involution and <.p : M -> Rn+l_{O}
an acyclic map satisfying the following condition:
(* ) no ray starting at 0 E Rn+l intersects both <.p( x) and <.p( if> ( x)) for any x EM.
Show: The homomorphism <.p. : Hn(M) -> Hn(R n+ 1 - {O}) is nontrivial.

[Consider the commutative diagram
where pn+l = R n +1 - {OJ ,
Z = {(x , y,u ,v) I u E <p(x), v E <p(y) , x E <li(y)} eM x M x pn+l X pn+l ,
p , q are natural projections and s, f ,r are given by
s(x,y,u,v) = x, r(u) = u/llull, f(x,y,u ,v) = u - v.
Prove that Z is compact and establish successively the following assertions: (i) f is well
defined; (ii) r* and p. are isomorphisms; (iii) s is the composition of the maps (x, y, u , v) f-->
(x,y,u) f--> (x , y) f--> x, having counterimages homeomorphic to <p(y), <p(x), and <li(x) ,
respectively; (iv) s* is an isomorphism, and thus H*(Z) ~ H*(S"). Letting h: Z -+ Z be
the involution (x,y,u , v) t--+ (y,x ,v, u) , observe that the map 9 = rf : Z -+ Sn satisfies
g(z) 1= g(h(z)) for each z E Z . Using (B.l), conclude that g. : Hn(Z) -+ Hn(Sn) is
nontrivial, and hence so is <p •. ]
(B.3) Let <p : (Kn +l, Sn) -+ (R n +1 , R n +1 - {O}) be an acyclic map such that no ray
starting at the origin intersects both the sets <p(x) and <pC -x) for any x E Sn. Show:
o E <p(xo) for some Xo E Kn+l.
(B.4) (Generalized Borsuk-Ulam theorem) Let <p : Sn -+ R n be an acyclic map . Show:
There exists a point Xo E Sn such that <p(xo) n <pC -xo) 1= 0.
C. Invariance of domain for acyclic maps
(C .I) Let A C R n + 1 be compact, and a E A. Show: a E lnt A if and only if there exists
an acyclic map <p: Kn+l -+ A such that <p(Sn) C A - {a} and d(<pISn , a) 1= o.
[For sufficiency, first show that a E lnt M ¢} Ker [Hn (A - {a}) -+ H n (A)] 1= 0; then
observe that the above kernel contains <p.(Hn(Sn)) which is nonzero by assumption .]
(C.2) A set-valued map <p : X -+ Y is called an c-map if <p(xIl n <p(X2) 1= 0 implies

d(Xl,X2) < c for all Xl,X2 E X . Let <p : K n +1 -+ R n +1 be an acyclic I-map and
7f; = <pISn. Show: For any Yo E <p(0) we have d(7f;, YO) 1= O.
[Letting rp(x) = <p(x) - yO and ;j; = rplSn, note that 0 E rp(O). Let
W = r;;, = {(x ,u) I x E Sn , u E rp(x)},
Z = {(x , y) E Kn+l x K n+1 I (2(x , y) = I},

M = {(x , y ,u,v ) I (x,y) E z, u E rp(x), v E rp(y)},
Y = {(x , y , u,v) EM I y = OJ.
Observing that (x,u) f--> (x , O,u,O) defines a map i : W -; Y , consider the commutative
diagram
where p, q are the natural projections, j is the inclusion, and s, t , h, and f are defined by
s(x,y,u,v) = (x,y), h(x,O,u , v) = x ,
t(x,O,u , v) = (x,O) , f(x,y,u , v) =u - v .
Then establish successively the following assertions: (i) t and f are well defined; (ii) s is
the composition of the two Vietoris maps (x,y , u , v) >-> (x,y , u) >-> (x , y) ; (iii) s* , t* , h*
are isomorphisms; (iv) i* and j* are isomorphisms and hence H*(M) """ H*(Sn). Define
k : M ---> M by (x , y,u,v) >-> (y , x , v , u), and note that k is an involution such that
fk(z) = -J(z) for z E M. Applying (B.2) with k taken for <l> and f for <p, find that
f* =f. 0, implying that q* =f. 0, and thus d(1f; ,yu) =f. 0 .]
(C.3) (Lemma on E-maps) Let E > 0 and K c(xo) = {x E R n + 1 Illx - xoll : : : E}. Show: If
 R n + 1 an acyclic map
such that <p(xI) n <p(X2) = 0 for any Xl =f. X2 in U. Show: <p(U) is open in Rn+l.
(For the results of subsections A, B , C ,see Granas-Jaworowski [1959].)
Vietoris fractions and coincidence theory

The idea of using "Vietor is fractions" in the context of the fixed point theory
of set-valued maps is due to Calvert [1970j. The present sharp formulation
of the method was first conceived by Granas in an unpublished work and e)
further developed in joint publications with L. G6rniewicz (cf. G6rniewicz-
Granas [1981]' [1989], where the Vietoris fractions appear under the name of
"morphisms") . An appropriate coverage of the theory of Vietoris fractions
would require a separate volume. In this presentation, we are content to
develop the theory to the point where it can serve as a convenient tool in
the study of fixed points of set-valued maps.
Here we remark that as shown in G6rniewicz- Granas [1981]' the principal
notions and main results of this paragraph extend to nonmetrizable spaces;
using the Cech homology H*(·, Q) with compact supports and the Vietoris-
Begle theorem (cf. Begle [1950]), the main Lefschetz-type fixed point results
(1) The main results of this work were presented in Granas's lectures at the University
of Bonn in 1975.
548 Vi. Selected Topics
of §17 can be extended to the framework of coincidence theory. Thus, for

example, we have the following generalization (G6rniewicz- Granas [1989])
of the Eilenberg- Montgomery coincidence theorem:
THEOREM. Let r be a space, X an ANES( compact) space, and f, s : r ~ X
two maps such that f is compact and s is proper and inverse acyclic. Then:
(i) the Lefschetz number AU, s) = AU*S;:-l) is defined,
(ii) if AU, s) =I- 0, then the maps f and s have a coincidence.
Fixed points for acyclic maps

The fixed point theory for acyclic maps was founded in 1946 by S. Eilen-
berg and D. Montgomery. Using the Vietoris mapping theorem (and also the
chain approximation technique, which appears in the original proof of the
above theorem by Vietoris [1927]), Eilenberg- Montgomery [1946] extended
the Lefschetz-Hopf theorem to set-valued acyclic maps. It soon became
clear that the same method can be used to extend to acyclic maps other
known topological results. Thus, the Borsuk antipodal theorem, the invari-
ance of domain, and the mod 2 degree were extended to acyclic maps (see
Jaworowski [1956], [1957]' Granas- Jaworowski [1959], and "Miscellaneous
Results and Examples"). Theorems (1.2) and (6.4) are due to Eilenberg-
Montgomery [1946]. Theorem (7.3) represents an extension to acyclic com-
pact maps of the Lefschetz fixed point theorem for ANRs given in §15; the
proof of this result in the special case where X is a topologically complete
ANR was found by Powers [1970] and independently by G6rniewicz- Granas
[1970]. We remark that (7.3) yields in particular the generalized Schauder
theorem for compact acyclic maps of ARs.
For other results on acyclic maps the reader may consult the survey of
Borisovich et al. [1980].
Lefschetz theorem for maps having acyclic decompositions

Let & be the class of set-valued maps such that 5 : X ~ X is in & if
and only if X is a compact ANR and for some sequence <p = (5 k , . . . ,51)
of acyclic maps 5 i : Xi ~ Xi +1 , i E [k] (where Xl = Xk+l = X), 5 =
5 k o .. '°51 ; any such <p is called an acyclic decomposition of 5. If 5: X ~ X
is in & and <p = (5k , . .. , 51) is an acyclic decomposition of 5 , we let A(<p) =
A(<p*), where <p* = (5k )* °... °(51 )* : H*(X) ~ H*(X), and call A(<p)
the Lefschetz number of <p; clearly, different acyclic decompositions have in
general different Lefschetz numbers.
The class & was introduced by M. Powers [1972] to whom the following
extension of the Eilenberg-Montgomery theorem is due.
THEOREM (Powers). Let 5 : X ~ X be a map in &. If for some acyclic
decomposition <p of 5 we have A( <p) =I- 0, then 5 has a fixed point.
Set-valued maps determined by fractions

Let X be a space and 'P = fls E §(X, X) a fraction. We say that a set-
valued map S : X ........ X is determined by 'P if S(x) = f(s-1(x)) for x E X
(G6rniewicz- Granas [1981]; see also Jankowski [1975]).
We say that S: X ........ X determined by fls is a Lefschetz map if f*s;1 :
H* (X) ........ H* (X) is a Leray endomorphism; for such an S we define its
Lefschetz number A(S) by A(S) = A(J*S;1).
Because any set-valued map determined by a fraction is upper semicon-
tinuous, the general coincidence result stated at the beginning of this section
implies (cf. G6rniewicz-Granas [1981]' [1991]) the following
THEOREM. Let X be an ANR, or more generally an ANES( compact) space,
and assume that S : X ........ X is a set-valued map determined by a compact
fraction. Then S is a Lefschetz map, and A(S) i- 0 implies that S has a
fixed point.
Because any composition of acyclic maps is determined by a fraction,
this theorem implies the above theorem of Powers and a number of other
Lefschetz-type results for compact set-valued maps that admit acyclic de-
compositions.
For details and more general or related results, see Powers [1972]' Gor-
niewicz [1976], Dzedzej [1985], Kryszewski [1994]' and Gorniewicz's book
[1999], where further references can be found.
The local index for acyclic maps of polyhedra

Let J21* be the class of all triples (X, 'P, U), where 'P : X ........ X is an acyclic
self-map of a compact polyhedron X, U c X is open, and Fix('P18U) = 0.
The following result was established by H. Siegberg and G. Skordev.
THEOREM. There exists on A* a local index (X, 'P, U) f--+ i(X, 'P, U) with val-
ues in Q satisfying the properties: (i) strong normalization; (ii) homotopy;
(iii) additivity; (iv) excision; and (v) commutativity.
This index is developed through the use of chain approximations (not
necessarily induced by simplicial approximations). The same technique per-
mits one in fact to extend the above index to maps in the class & and
to prove the mod p property of the index. For details and more general or
related results the reader is referred to Siegberg-Skordev [1982]' Skordev
[1984]' von Haeseler -Skordev [1992]' and Kryszewski [1996].
Homotopy method
We now briefly comment on the study of fixed points for set-valued maps
that is based on homotopy considerations and relies only on using elementary
tools of geometric topology.
In 1958, Granas asked the following question: Given a compactum X in

Rm and an acyclic map <p : X --+ sn,
does there exist an acyclic homotopy
joining <p to a single-valued map?
Brahana- Fort- Horstmann [1965] gave an affirmative answer to this ques-
tion, assuming that the maps and the homo to pies under consideration are
cellular e) . A similar result (as shown by Kucharski [1988]) also holds for
the class of strongly acyclic maps: Any strongly acyclic map <p : X --+ is sn
homotopic via a strongly acyclic homotopy to a single-valued map.
We remark that the first (respectively second) result implies that the
Brouwer degree for maps sn
--+ sn
can be extended to cellular (respectively
strongly acyclic) maps.
We mention two other noteworthy results obtained by the homotopy
method:
(i) (The index for Z -acyclic maps of ENRs) Using the properties of
s~ongly acyclic maps, Bielawski [1987] established the following r~lt: Let
§ be the class of set-valued maps defined by the condition: <p E § if and
only if <p : U --+ X is compactly fixed and Z -acyclic (i. e., each <p( x) has
Z-acyclic Cech cohomology) , where X is an ENR and U c X is open. Then
there exists a unique function I : § --+ Z satisfying the same properties as
the index for single-valued maps of ENRs.
(ii) (The index for Ro-maps of compact ANRs) Let X be a compact
ANR, U c X open, and let 'e'&u(U , X) denote the set of all Ro-maps
<p : U --+ X with no fixed point on aU . A homotopy {xd between members
of 'e'&u(U, X) is understood to consist of Ro-maps with no fixed point on
aU. We denote by 'e'8U [U, X] the corresponding set of homotopy classes, and
by C&u[U , X] the set of homotopy classes of single-valued maps f : U --+ X
with FixUI8U) = 0. G6rniewicz- Granas- Kryszewski [1991] constructed a
bijection between 'e'8U [U , X] and C&U [U, X ]. This implies the existence of
the fixed point index for Ro-maps of compact ANRs with the usual proper-
ties.
We remark that from the above index theory for Ro-maps it follows that the Hilbert
cube 1 00 is a fixed point space for Ro-maps . This in turn (by using the factorization
technique) implies a broad generalization of the Schauder theorem: If X is an AR , then
any compact Ro-map of X into itself has a fixed point.
For details and related results the reader may consult Kryszewski [1996]
and also the book of G6rniewicz [1999].
(1) Let Sn be an u .s.c. set-valued map. Then: (i) <p is cellular if each <p(x) is
the intersection of a descending sequence of topological n-cells; (ii) <p is strongly acyclic if
the homotopy groups 7rk(Sn - <p(x)) vanish for all x E Sn and k = 0, 1, . .. (cf. Kucharski
[1988]); (iii) <p is an Ro-map if each <p(x) is a n Ro-set , i.e., an intersection of a descending
sequence of compact ARs.
§20. Further Results and Supplements 551
§20. Further Results and Supplements

This paragraph is concerned with three topics not closely related to one
another but each having points in common with the Leray- Schauder theory.
The "Notes and Comments" end with a concise overview of a few important
areas of the fixed point theory that were not treated in the book.
1. Degree for Equivariant Maps in Rn
Topological degree in R n has been extended to various classes of equivari-

ant maps. Our aim in this section is to outline one such extension, in a
simple setting which does not require knowledge of representation theory
and equivariant topology.
Throughout this section, we let U denote an open bounded subset of
Rn. For the convenience of the reader, we first recall some definitions and
relevant results.
Let f : U ----t Rk be a smooth map e). We say that Xo E U is a regular
point of f if the differential D f(xo) E !£(Rn, Rk) is surjective; otherwise,
Xo is called a critical point. The images of critical points are critical values.
An element y E Rk is a regular value if it is not a critical value.
With this terminology, we can state the following special case of the Sard
theorem:
(1.1) THEOREM. If f : U ----t Rn is a smooth map, then the set of regular
values of f is dense in Rn. 0
Let KeRn be compact, {U1 , ... , Ud an open covering of K , and
U = U~=l Ui . By a smooth partition of unity subordinate to {Ud7=1 is meant
a family Pd7=1 of smooth functions '\i : U ----t I such that:
(i) SUPp'\i c Ui for i E [kJ,
(ii) I:~= l '\i(Y) = 1 for all y EU.
Using the well-known fact that such a partition of unity always exists, we
now show that if KeRn is compact, then any continuous map f : K ----t Rn
can be uniformly approximated on K by smooth maps.
(1.2) THEOREM. Let KeRn be compact and f : K ----t Rn continuous.
Then for each E > 0 there exists a smooth map g : K ----t R n such that
Ilf - gil < E, where I I is the supremum norm.
PROOF. Let E > 0 be given. Since K is compact , uniform continuity of
f gives a 6 > 0 such that Ilf(x) - f(y)11 < E whenever Ilx - yll < 26.
e) Given X C R n , a map f : X - 7 Rk is called smooth if there exists an open V ::> X

and a Coo map g : V - 7 Rk such that glX = f.
This implies that there exists a finite subset {Xl, ... , Xk} of K and an open
covering {Ui}f=l of K by balls Ui = B(Xi' 8) such that Ilf(x) - f(y)11 < c
whenever x, y E Ui , i E [k).
Take now a smooth partition of unity {Ad subordinate to {Ud and
define a smooth map 9 : U ---t R n by
k
g(x) = L Ai(X)f(Xi) , XE U.
i=l
Then for any X E K,

k k
Ilf(x) - g(x)11 :S L Ai(X)llf(x) - f(Xi)11 :S L Ai(X)c = C. 0
i=l i= l
Admissible maps and homotopies

A map f : U ---t R n is called admissible if flU: U ---t R n is smooth and
f(x) f- 0 for x E aU. We let S21(U) denote the set of all admissible maps .
A map f E S21(U) is called generic if 0 is a regular value of flU. By an
admissible homotopy is meant a homotopy h : U x I ---t R n such that
hlU x I is smooth and h(x , t) f- 0 for (x , t) E aU x I; the set of admissible
homotopies is denoted by S21 £(U).
(1.3) DEFINITION. Two maps f, 9 E S21(U) are said to be homotopic in
S21(U) (written f rv 9 in S21(U)) if there exists an admissible homotopy
hE S21 £(U) joining f and 9 (i.e., such that h(x, 0) = f(x), h(x, 1) =
g(x) for x E U).
(1.4) THEOREM. For each f E S21(U), there exists a generic map 9 E S21(U)
homotopic to f in S21 (U) .
PROOF. Given f E S21(U), choose a> 0 with a < inf{llf(x)111 x E aU}. By
Theorem (1.1) there exists a regular value Yo E Rn of f with IIYol1 < a. Set
g(x) = f(x) - Yo, x E U,
and
h(x, t) = (1 - t)f(x) + tg(x), (x, t) E U x I.
Clearly, 9 is generic, and (since Ilh(x, t) - f(x) II :S tllYo II < a) h is the desired
admissible homotopy joining f and g. 0
Let f : U ---t R n be generic. By the inverse function theorem, the set

f- l (0) is finite:
We let
k
CY(f,U) = LsgndetDj(xi)
i=l
and observe that CY(f, U) = d(f, U).
Equivariant maps and homotopies

From now on, we deal with a fixed Euclidean space Rn equipped with a
splitting Rn = RPfBRq, where p, q are fixed natural numbers with p+q = n.
For x ERn, we write x = (u, v) with u E RP, v E Rq and we let
T( u , v) = (u, -v) for (u , v) E Rn.
Clearly, the map T : Rn ---> R n is a linear isomorphism and an involution,
i.e. , T2 = idRn.
A set X c R n is called T-invariant if T(X) c X; clearly if X is T-
invariant, then T(X) = X and TIX : X ---> X is an involution on X.
Let X C Rn be T-invariant. A map j : X ---> R n is called equivariant if
j(T(x)) = T(f(x)) for x E X.
If we write j = (iI, h) , where iI : X ---> RP, 12 : X ---> Rq, then equivariance
of j means that iI(u , -v) = iI(u , v) and 12(u,-v) = -12(u , v) for all
(u , v) EX.
For convenience, call U C Rn allowable if it is open, bounded, and T-
invariant; then U is also T-invariant. Let U be a fixed allowable subset of Rn.
A map j : U ---> Rn is called T-admissible if j E d'(U) and j is equivariant;
we denote by g d'(U) the set of all T-admissible maps. A homotopy h :
U x I ---> Rn is called T -admissible if hE d' £(U) and each h t is equivariant ,
i.e., h(Tx, t) = T(h(x , t)) for (x, t) E U x I. The set of all T-admissible
homotopies is denoted by g d' £(U).
(1.5) DEFINITION. Two maps j , 9 E g d'(U) are called homotopic in
gd'(U) (written j "-' 9 in gd'(U)) if there is a T-admissible ho-
motopy hE gd'£(U) joining j and g.
Clearly, homotopy is an equivalence relation in g d'(U); we let [J] be the
homotopy class of j E g d'(U) and denote by g d'[U] the set of all such
classes .
Generic equivariant maps

Our aim now is to show that under suitable conditions every homotopy
class in g d'[U] contains a generic equivariant map. We first establish some
lemmas .
(1.6) LEMMA (Homotopy extension lemma). Let (U, Uo) be a pair of open
bounded T -invariant subsets of R n , and let fo , go E g J1'(U 0) be ho-
motopic in gJ1'(U o). Assume that fo extends to a map f E gJ1'(U).
Then there exist 9 E g J1'(U) and an open T -invariant set V C Uo
such that:
(i) f rv 9 in g J1'(U) ,
(ii) g(x) = f(x) for all x E U - Uo ,
(iii) gol(O) n Uo = g-I(O) n Uo c V,
(iv) g(x) = go(x) for all x E V.
PROOF . Let kEg J1' £(U o) be a T-admissible homotopy joining fo and go .
Choose an open T-invariant e)
subset V of Uo such that V c Uo and
k(x, t) =J 0 for all (x, t) E (U o - V) x I and then choose an open T-invariant
subset VI of Uo such that V C VI C VIC Uo. Let >. : Rn - t I be a smooth
T - invariant function such that
>. (x) = {Io E

fur x V,
for x E Rn - VI.
Letting now
h( t) = {f(X) for x E U - VI , g(x) = h(x, 1) for x E U ,

x, k(x, >.(x)t) for x E Uo, '
we obtain a map 9 and a T-admissible homotopy h : U x I -t Rn joining f
and 9 and satisfying the assertion of the lemma. D
To state the next lemma, we need some terminology.
Let K be a compact T-invariant subset of R n , and k a positive integer.
Bya (T, k)-simple covering of K is meant a family {Ud~= 1 of open subsets
of Rn such that:
(i) Ui n T(Ud = 0 for each i E [kJ,
(ii) K C U7=1 (Ui U T(Ui )).
A compact KeRn is said to be (T, k)-simple whenever it has a (T, k)-
simple covering.
In what follows, given f E g J1'(U) , we let
R(f) = {x E f - 1(0) I Df(x) is an isomorphism}
denote the set of regular zeros of f.
In the remainder of this section we let U denote an allowable subset of
R n such that T acts freely on U (i.e., Tx =J x for all x E U, in other words,
UnRP = 0).
e) Observe that if V c Uo is open, then V = V u TV c Uo is also open and

moreover T-invariant; similarly, given a smooth Urysohn function>: : R n - 7 I, the function
A : R n - 7 I defined by A = ~ (>: + >: 0 T) is a smooth T-invariant Urysohn function.
(1. 7) LEMMA. Let f E g S21(U), where U is (T, s )-simple for some s 2: 2.

Then there exists agE g S21(U) such that:
(i) f rv 9 in g S21(U),
(ii) the compact set g- l(O) - R(g) is (T, s - I)-simple .
PROOF . Assume that {Udi=l is a (T, s)-simple cover of U. Set
s
K = U - U(Ui U T(Ui ))
i=2
and observe that:

(i) K is a compact subset of U1 U T(Ud ,
(ii) K = K1 U T(Kd, where K1 = K nUl.
Take a regular value Yo of flU n U1 such that Ilyoll < inf{llf(x)111 x E aU}
and choose a smooth function>. : Rn ---+ I with >.(x) = I for x E K1 and
>.(x) = 0 for x E Rn - U1 .
The reader can nuw verify that 9 : U ---+ Rn given by
f(x) - >,(x)Yo for x E U1 n U,
g(x) = { f(x) - >.(Tx)Tyo for x E T(Ud n U,
f(x) for x E U - (U1 U T(U1 )) ,
has the desired properties. o
(1.8) LEMMA . Let f E gS21(U) and assume that the set f- 1 (0) - R(f) is
(T, s) -simple for some s 2: 1. Then there exists agE g S21 (U) such
that:
(i) f rv 9 in g S21 (U) ,
(ii) the compact set g- l(O) - R(g) is (T, s - I)-simple.
PROOF. Since by assumption, f- 1 (0) - R(f) is (T, s)-simple, there exists an
open T-invariant set Uo c U such that:
(i) f- 1 (0) - R(f) c Uo,
(ii) R(f) c U - U o,
(iii) U o is (T, s)-simple.
Set now fo = flU o : Uo ---+ Rn and observe that fo E gS21(U o). By Lemma
(1.7) , there exists a homotopy h E gS21£(U o) joining fo to some go such
that the compact set gol(O) - R(go) is (T, s - I)-simple. By the homotopy
extension lemma, there exists agE g S21(U) with f rv 9 in g S21(U) such that
the compact set g- l(O) - R(g) = gol(O) - R(go) is (T,s -I)-simple. 0
By an inductive procedure, Lemma (1.8) leads immediately to
(1.9) THEOREM. Let U c Rn be allowable and such that T acts freely on U,
and let f E g S21 (U). Then there exists a generic map g E g S21 (U)
such that f rv 9 in gS21(U).
Normal maps and homotopies

Let U be a fixed allowable (i.e., T-invariant open bounded) subset of Rn =
RP EEl Rq, p + q = n. For any f : U --+ Rn, we write f = (11,12), where
11 : U --+ RP, 12 : U --+ Rq.
Given E > 0, we let
U(E) = {x = (u,v) E U Illvll < E}
and call a map f E g d(U) E-normal if
x=(u ,V)EU(E) * 12(u,v)=v.
A map f E g d(U) is called normal if it is E-normal for some E > 0. More
generally, a homotopy h E g d £(U) is normal if there exists an E > Osuch
that each h t : U --+ R n is E-normal. We let
JV g d(U) = {f E g.rzI(U) If is normal}.
(1.10) DEFINITION. Two maps f,9 E JVgd(U) are called homotopic in

JVgd(U) (written f :::::: 9 in JVgd(U)) if there exists a normal
homotopy h E g d £(U) joining f and g.
Clearly, homotopy is an equivalence relation in JV g d (U); we let [J] be the
normal homotopy class of f E JV g d(U) and denote by JV g d[U] the set
of all such classes.
The construction of the degree for maps in g d(U) relies on the following
(1.11) THEOREM. If U is an allowable open subset of Rn , then the map

T : JV g d[U] --+ g d[U], [J] f-7 [f],
is bijective.
PROOF . (i) T is surjective: Let f = (11 , 12) E g d (U) be given. We have
°
to find agE JV g d(U) such that f rv 9 in g d(U). We first note that
h(u,O) =
°
for all (u,O) E U, because f is equivariant. Letting s =
inf{llf(u,v)111 (u,v) E aU} > 0, choose an E > so that for all (u,v) E u,
Ilvll < 2E * Ilh(u , v)11 < s.
To establish our assertion, let ,X : R -+ I be a smooth function such that
,X ( t) = {I° for t < E,

for t > 2E,
and define a homotopy h : U x I -+ Rn by setting
h(u, v, t) = (11(u, v), t,X(llvll)v + (1 - t'x(llvll))h(u , v))
for (u, v, t) E U x I. It can now be easily verified that h is a homotopy

in cf:szI(U) joining f(u,v) = h(u,v,O) and g(u,v) = h(u,v,l) . Clearly, 9 is
normal, which proves the surjectivity of T.
(ii) T is injective: Given f,g in JVcf:szI(U) with f rv 9 in cf:szI(U) , we
need to show that there exists a normal homotopy joining f and g. The
proof is analogous to that in (i) and is left to the reader.
Equivariant degree
We first define the degree for maps in JV cf: szI(U). As before, let U c Rn be
allowable and f = (h, h) E JV cf: szI(U). Set Uo = Un RP and, assuming
Uo f= 0, define go: Uo ~ RP by go(u) = h(u,O); clearly, go E szI(U o )·
We now let
°
do = { d(go, Uo) if Uo f= 0,
if Uo = 0.
Because f is normal, there exists an E °
> such that the formula
gl (x) = f (x) for x E U - U (E)
defines a map gl in cf: szI (U d, where U1 = U - U (E). Since T acts freely
on U 1 , there exists an integer d 1 such that d(gl' Ud = 2d 1 e) ·
We now define the T -equivariant degree degT(f, U) of f by setting
degT(f, U) = (do, dd E Z EEl Z.
(1.12) THEOREM. Let JV denote the class of all maps f E JV cf: szI(U), where
U is an allowable subset of Rn. Then there exists a function
degT : JV ~ Z EEl Z
assigning a degree degT(f, U) to each f E JV cf: szI(U) and satisfying:
(1) (Existence) If degT(f, U) f= 0, then Z(f) f= 0.
(2) (Excision) If Uo C U is an open T-invariant subset of U such
that Z(f) C Uo , then degT(f, U) = degT(fIUo , Uo ).
(3) (Additivity) If VI, V 2 are two disjoint open T-invariant subsets
of U such that Z(f) c VI U V2 , then
degT(f, U) = degT(fIVI , Vd + degT(f1V2 , V2).
(4) (Homotopy) If h is a homotopy in JV cf: szI (U), then degT (ht, U)

does not depend on tEl.
e)This follows from the fact that if gl is generic and g1 Cxa) = 0, then also g1 (Txa) = 0,
and sgndetDg1(Txa) = sgndetg1(xo) (because gl = Tog1 oT and detT = ±1 imply
detDg1(TxO) = detD91Cxo)) ·
We remark that for a map f E JV g .9I(U) the "ordinary" degree d(j, U)

is determined by the pair (do, d 1 ) of integers via the formula
d(j, U) = do + 2d1 and do = d(j, U(E)).
The extension of the degree to arbitrary maps in g .9I(U) relies on The-
orem (1.11). Starting off with f in g .9I(U), we select a map gin JV g .9I(U)
with [g] = [f] and define
DegT(j, U) = degT(g, U).
By the above theorem, DegT (j, U) is independent of the choice of g. 0
As a consequence of Theorem (1.12), we obtain the main result:
(1.13) THEOREM. Let g denote the class of all maps f E g.9l(U), where U
is an allowable subset of Rn, n 2: 2. Then f 1---7 DegT(j, U) defines a
function DegT : g ---) Z EEl Z satisfying:
(1) Existence
(2) Excision
(3) Additivity
(4) (Homotopy) If h is a homotopy in g.91 (U),
does not depend on tEl.
2. The Infinite-Dimensional E+ -Cohomology

Let E be an infinite-dimensional normed linear space and H';-* the cor-
responding finite-codimensional Cech cohomology. Let VeE be a closed
linear subspace of finite codimension m, and Sv the unit sphere in V. The
dimension axiom for H';:-*, together with the other Eilenberg- Steenrod
axioms, implies that
for each q E Z.
Therefore, the theory H'; - * distinguishes spheres according to their codi-
mension, exactly as the usual Cech cohomology distinguishes them according
to their dimension.
But in an infinite-dimensional space, a sphere may have both infinite
dimension and infinite codimension. The aim of this section is to outline the
construction of a cohomology theory that can distinguish between such ob-
jects. For technical reasons we will describe this construction in the context
of real Hilbert spaces.
Relative dimension
Let E be a fixed infinite-dimensional Hilbert space over R, and G(E) the
Grassmannian of E, i.e., the collection of all closed linear subspaces of E.
We set
G*(E) = {V E G(E) I dim(V) < oo},
G*(E) = {V E G(E) I codim(V) < oo}.
If V E G(E), we let V.l denote its orthogonal complement , and P v the
orthogonal projection of E onto V.
In order to compare two different elements of G(E) we need the following
(2.1) DEFINITION. Two linear subspaces V, W E G(E) are said to be
commensurable (written V rv W) if the linear operator P v - P w is
completely continuous. Commensurability is an equivalence relation
in G(E) , and if V rv W , the relative dimension dim(V, W) of V with
respect to W is the (possibly negative) integer defined by
dim(V, W) = dim(V n W.l) - dim(V.l n W).
Note that the subspaces V n W .l and V.l n Ware finite-dimensional, being
the sets of fixed points of the completely continuous operators
PW .L 0 P v = (Pv - Pw ) 0 Pv , PV .L 0 Pw = (Pw - Pv ) 0 P w ,
respectively.
We list a few simple examples and properties of commensurability:
(i) Any V, WE G*(E) are commensurable, and
dim(V, W) = dim V - dim W.
(ii) Any V, WE G*(E) are commensurable, and
dim(V, W) = codim W - codim V.
(iii) If Wr has dimension r , then V EB Wr rv V for any V E G(E) such
that V n Wr = {O} , and dim(V EB W r , V) = r.
(iv) If Ws is an s-codimensional subspace of V , then V rv Ws and
dim(Ws, V) = -so
(v) If V E G(E), K E '!£(E, E) is completely continuous, and T
1+ K , then T(V) E G(E) and T(V) rv V .
The E+ -cohomology
We fix an orthogonal splitting E = E + EB E- , where E + and E - are infinite-
dimensional closed linear subspaces of E. We will construct a cohomology
theory, the E + -cohomology H'E+, such that the spheres in closed linear
subspaces commensurable with E - have nontrivial cohomology, depending
on their relative dimension with respect to E- .
Let TE + be the product topology of the weak topology of E + and the
strong topology of E - ; clearly, TE + induces the weak topology on every
closed linear subspace commensurable with E+, and the strong topology
on every closed linear subspace commensurable with E-. In particular, any

sphere in a subspace commensurable with E- is TE+-closed.
We now describe the basic category £E+ on which the E+ -cohomology
will be defined. The objects of £E+ are the TE+-closed bounded subsets of E ,
and its morphisms are the TE+-continuous maps f : X -+ Y of the form
f(x) = x - F(x), x E X,
where the TE+-closure of F(X) is TE+-compact. Such morphisms will be
referred to as E+ -compact fields. Note that every linear compact field is
also an E + -compact field.
By an E+ -compact homotopy in £E+ is meant a TE+-continuous map
h : X x I ----+ Y of the form
h(x, t) = x - H(x, t), x E X, tEl ,
where the TE+-closure of H(X x I) is TE+-compact. Two E+ -compact fields
f, g : X ----+ Yare said to be E+ -compactly homotopic (written f c::: g) if they
can be joined by such a homotopy. This is an equivalence relation, and £E+
is an h-category. The symbol £~+ will denote the corresponding h-category
of pairs.
Let H* = {HQ,8 q } be the Cech cohomology with coefficients in some
abelian group G. We use here the integer grading, with the convention that
HQ(X) = 0 for q < O.
(2.2) DEFINITION. By an E+ -cohomology H,£+ = {H~+, 8~+ }QEZ on £~+

(with coefficients in G) is meant a sequence of contravariant functors
(X , A) 1----+ H~ + (X,A) (one for each q E Z) from £~+ to Ab together
with a sequence of natural transformations
8Q (X, A) : H~+ (A) -+ H~~l(X, A)
satisfying the homotopy, exactness and strong excision axioms and
the following property: if VeE is a closed linear subspace commen-
surable with E- and Sv is the unit sphere in V, then
H~ + (Sv) ~ HQ-m+l(point) for q E Z,
where m = dim(V, E - ); we will refer to the above property as the
dimension axiom for the E+ -cohomology.
We are now in a position to state the main result of this section:
(2.3) THEOREM. For any abelian group G, there exists a cohomology theory
H,£+ on £~+ with coefficients in G.
REMARK. The topology TE+, the category £E+, and the cohomology theory
H,£+ all depend on the orthogonal splitting E = E+ EB E-. One could also
have used the subscript E- in the notation. However, if one works in a
Banach space, where a closed linear subspace need not have a topological
complement, E+ turns out to be the relevant subspace. For example, the
topology TE + could be defined as the weakest topology on E such that all
the bounded linear functionals on E and the quotient projection E ---t E / E+
are continuous.
Construction of Hi+
In the remainder of this section we will give a general idea of how the E+-
cohomology theory is constructed. The construction turns out to be similar
to that of Hoo-*; for obvious reasons, we will only sketch the arguments,
pointing out the main differences with the previous case.
Let G*(E-) = {Leo L(3 , ... } be the set of all finite-dimensional linear
subspaces of E - . For notational convenience we establish a one-to-one cor-
respondence between the symbols 0:, (3, ... and the elements of G*(E-). We
write 0: :::S (3 if Lo C L(3 and denote by L the set G*(E-) partially ordered
by the relation :::S; clearly, £ is a directed set.
Choose arbitrarily an orientation of each 0: ELand observe that given
0: :::S (3 with d((3) = d(o:) + 1 (where d(o:) = dimL o ), the orientations of Lo
and L(3 determine in a unique way two closed half-spaces Lt, L~o< of L(3
such that
Lt u L~" = L(3 and Lt n L~o< = Lo.
If X C E and 0:, (3 are as above, define TE+-compact sets
Xo = X n (E+ ttl L o ),
X+(3" =Xn(E+ ttl L-)(3" ,
X- = X n (E+ ttl L- ).
(3"" (3"
Now let (X, A) be an object of £1+. Since
(X(3 , A(3) = (xt"" U Xi3"", At U A~J,
(Xo, Ao) = (xt"" n Xi3"" , At n A~J ,

At = A(3 n xt"" ' A~"" = A(3 n Xi3"",
we have the relative Mayer- Vietoris homomorphism (see (18.1.6))
Llo(3(X, A) : Hq+d(o)(X o , Ao) ---t Hq+d((3) (X(3, A(3).
Now, given any 0: :::S (3 in £, we define the homomorphism
Llo(3: Hq+d(o)(Xo,A o ) ---t Hq+d((3)(X(3,A(3)
as follows: if d((3) = d(o:) + 1, we let Llo(3 be the relative Mayer- Vietoris ho-
momorphism Llo(3(X, A) as above; otherwise, we take a chain of consecutive
elements of £ and define .10:,6 to be the composition of the corresponding

Mayer- Vietoris homomorphisms.
Although the argument of Lemma (18.3.3), based on the Alexander-
Pontrjagin duality, does not apply here, the functoriality of the Mayer-
Vietor is homomorphism (18.1.8) can be used to prove directly that the def-
inition of .10:,6 does not depend on the choice of the chain in £ joining a
and f3. Therefore, {Hq+d(o:) (Xo:, Ao:), .1o:,6}O:EL: is a direct system of groups.
(2.4) DEFINITION. For an object (X, A) in ,c~ +, we define the abelian
group
H1 +(X , A) = li!E{Hq+d(O:)(Xo:,Ao:),.1o:,6 }
o:EL:
to be the direct limit over £ of the direct system constructed above.

As a first step to proving the dimension axiom, we shall compute the
E+ -cohomology of the unit sphere in a closed subspace of a particular type.
Let V+ be a linear subspace of E+ of finite dimension r, and let V- be a
closed linear subspace of E- of finite co dimension s. Then V = V + EEl V-
is closed, commensurable with E-, and dim(V, E - ) = r - s. Let Sv be
the unit sphere in V, and let La be an s-dimensional complement of V -
in E-. The direct limit used to define H1+(Sv) can be restricted to £0 =
{a E £ I (J :::S a}, which is a cofinal subset of £. If a E £0 , we see that
dim V n (E+ EEl Lo:) = r + d(a) - s, and So: = (Sv) o: is the unit sphere in
V n (E+ EEl Lo:) , so
Hq+d(o:)(So:) = {G if q = ~ - s - 1,
o
otherwIse.
It is easy to show that if a :::S f3 in £0 and d(f3) = d(a) + 1, then the
Mayer- Vietoris homomorphism .10:,6 : Hq+d(o:)(So:) -+ Hq+d( ,6) (S,6 ) is an
isomorphism. From this we infer that
Hq + (Sv) =
E
{G0 if q = ~ - s - 1,
otherwIse.
The complete version of the dimension axiom will follow once we prove
the functoriality with respect to E+ -compact fields: indeed , every closed sub-
space commensurable with E- is the image of a subspace of the above kind
under a linear invertible isometry of the form 1+ T, where T is completely
continuous, and such a map is an invertible morphism in 'cE+'
The functoriality is proved in two steps: first for a restricted class of
morphisms, and then extended to all morphisms in 'cE+ by continuity and
homotopy arguments. To make this more precise, we need some terminology.
We say that an E+-compact field f : X -+ Y, f(x) = x - F(x) , is an
(E+ EEl Lo:)-jield if the image of F is contained in E+ EEl Lo:; any such field
(for some a E £) will also be called an E+ -jinite jield. Two E +-finite fields
f, g : X --+ Y that are (E+ ED La)-homotopic for some a E .c are said to be

E+ -finitely homotopic.
If f : X --+ Y is an (E+ EB Lao)-field for some ao E .c, then for any
a C::: ao in .c, f maps Xa into Y a , and hence fa : Xa --+ Y a determines the
homomorphisms
Hq+d(a)(ja) : Hq+d(a) (Ya ) --+ Hq+d(a)(x a ).
The functoriality of the Mayer- Vietoris homomorphism now implies that

the family {Hq+d(a)(ja)}a)-ao is a direct system of homomorphisms from
{Hq+d(a)(ya ), Lla,6(Y)} to {Hq+d(a)(x a ), Lla,6(X)}. The homomorphism
j* : H~+ (Y) --+ H~+ (X)

is defined as the direct limit of the above system over the cofinal subset .co =
{a E .c I ao ::5 a} of .c. It is easy to verify that contravariant functoriality
holds for E+ -finite fields and also that if two E+ -finite fields f, g : X --+ Y
are E+ -finitely homotopic, then j* = g*.
The key tool for extending this definition to arbitrary E+ -compact fields
is again the continuity property of Hi+. If X is an object in £E+, then by
an approximating sequence for X is meant a descending sequence Xl =:J
X 2 =:J ... of objects in £E+ such that X = n~=l X k . The inclusion maps
ik : X '--+ Xk and ikl : Xl '--+ X k , l 2': k, are (E+Ef){O})-fields, so the diagram
H~+ (Xk) ~ H~+ (Xl)

i~l /
H~+(X)
commutes. Therefore, we can consider the direct limit
li!!}ik : li!!}{H~+(Xk),ikl} --+ H~+(X),

k
and the continuity property asserts that this is an isomorphism. This follows
from the continuity of Cech cohomology, because the sets X k n (E+ EB La)
are TE+-compact, being TE+-closed in a linear subspace that inherits the
weak topology. Compactness is crucial here, and this explains why we are
working with the topology TE+ .
Given an E+-compact field f : X --+ Y, by an approximating system
for f is meant a sequence {Yk , fd, where {Yd is an approximating system
for Y, and fk : X --+ Y k are E+ -finite fields such that !k is E+ -compactly
homotopic to jk 0 f, while !k is E+ -finitely homotopic to ikl 0 fl' where
jk : Y '--+ Y k and ikl : Yi '--+ Y k are the inclusions. It is not difficult to
show that every E+ -compact field has an approximating system. Then the
commutative diagram
together with the continuity of Hi:+ allows us to make the following

(2.5) DEFINITION. The E+ -compact field f :X -----t Y induces the homo-
morphism
1* = (fu!;fk) 0 (fu!;jk) - l : Hi+(Y) -----t Hi+(X)
k k
between the E+ -cohomology groups.
One verifies that this definition does not depend on the choice of the ap-
proximating system, as in Proposition (18.2.6). Contravariant functoriality is
proved as in (18.2.9), after we observe that E+ (J} Lo. with the weak topology
induced by TE + is a locally convex space, so the Tietze extension theorem
holds for (E+ (J) Lo.)-valued maps. The construction of 1* can also be easily
generalized to E +-compact fields between pairs.
Let (X, A) be an object in ,.C~ + . For each ex E £, we have the coboundary
homomorphism
sq+d(o.)(Xo. , Ao.) : Hq+d(o.)(Ao.) -----t Hq+d(o.)+l(Xo., Ao.).
Let ex :S (J be a relation in £ such that d({J) = d( ex) + 1. An argument
involving cone suspension shows that the diagram
"q +d(Q) (X A )
Hq+d(o.) (Ao.) Q, Q .. Hq+d(o.)+l(Xo., Ao.)
(A) I ILl Q{3( X,A)

t t
LlQ {3
"q +d({3) (X A )
Hq+d((3) (A(3) {3, {3 )0 Hq+d((3)+l(X(3, A(3)
anticommutes (by (18.1.10) and (18.5.7)). Hence {( _1)d(o.)Sq+d(o.) (Xo., Ao.)}

is a direct system of homomorphisms from {Hq+d(o.)(Ao.), Llo.(3(A)} to
{Hq+d(o.)+l(Xo., Ao.), Llo.(3(X, A)} , so we can take direct limits.
(2.6) DEFINITION. Given an object (X, A) in ,.C~ +, the homomorphism
sqE+ = lim{(_I)d(o.)sq+d(o.)(X
-.. 0. ,
A)}'
0. •
HqE+ (A) -----t Hq+1(X
E+' A)
o.EC
is the coboundary homomorphism for Hi:+.

The exactness of the long cohomology sequence and the naturality of the
coboundary with respect to E+ -compact fields are proved as in (18.5.8) and
(18.5.11).
3. Lefschetz Theorem for NB-Maps of Compacta
We now turn to another generalization of the Lefschetz- Hopf theorem, by

showing that with Cech homology it remains valid for the class of NB-
maps of arbitrary compacta having Cech homology of finite type; this class
contains all self-maps of compact ANRs. In this section we consider only
compact metric spaces and always use Cech homology over the rationals Q;
when no confusion can arise, the Q will be omitted in the notation, so that
the graded homology of X over Q will be denoted simply by H* (X) =
{Hn(X)}.
We begin by gathering the main features of Cech theory that will be
needed, and first recall the continuity property of Cech homology on the
category of compact pairs:
(3.1) PROPOSITION.
(a) Let (Xl, Ad =:l (X2' A 2) =:l ... be a descending sequence of com-
pact pairs with (X , A) = n~l (Xi , Ai) . Then
H*(X , A) ~ ~{H*(Xk' A k ), (ikd*},

where (ikl)* are the bonding homomorphisms.
(b) Fixn and for each k, letjk: Hn(X,A) --> Hn(Xk,A k ) be induced
by (X, A) C (Xk' Ak). If Z E Hn(X , A) is not zero, then there is
an index k(z) such that jk(Z) =I 0 for all k 2 k(z). 0
Proposition (3.1)(b) has the following, sometimes more useful formula-
tion:
(3.2) PROPOSITION. With the notation in (3.1), let {ZI, ... , Zs} be a lin-
early independent set in Hn(X, A). Then there exists an N such that:
(a) {jk(zd, ... , jk(Zs)} is linearly independent in Hn(X k , A k ) for all
k2N,
(b) in particular, jk is monic on the subspace Rs = (Zl,'" ,zs) gen-
erated by {Zl ' ... , zs} for all k 2 N.
PROOF. For each kEN , let Nk be the kernel of jklRs : Rs --> Hn(X k , A k );
then {Nd~l is a descending sequence of subspaces of Hn(X , A). To prove
our assertion, we need only show that one of them is zero. Indeed, otherwise
there is an m such that {O} =I N m = Nm+l = .... Now, by applying (3.1)(b)
to a nontrivial element Z E N m , we obtain a contradiction. 0
A compact space is said to have homology of finite type if all its Betti
numbers are finite, and almost all are zero. (Recall that the nth Betti number
of a space X is the dimension of Hn(X).)
We will need the following property of Cech homology:
(3.3) PROPOSITION. Let Z be a compactum having homology of finite type.
Then there exists an c = c(Z) with the following property: For every
compactum X, any two c-close maps f,g : X -+ Z induce the same
homomorphism f* = g* : H*(X) -+ H*(Z).
PROOF. Let Hn(Z) = ~{Hn(N(U)),puv}, where N(U) denotes the nerve
of the finite open cover U of Z, and the Puv are the bonding morphisms;
and let Pu : Hn(Z) -+ Hn(N(U)) be the projection of this inverse limit to
Hn(N(U)). Because Hn(Z) is finite-dimensional, a proof entirely similar to
that of (3.2) shows that there is a finite open cover U = {UI , . .. , Us} of Z
such that Pw : Hn(Z) -+ Hn(N(W)) is monic for each W refining U. Use
normality to find an open cover V = {VI, ... , Vs } of Z such that Vi c Ui
for each i E [s], and set c = mindist(Vi' X - Ui ).
Now let X be any compactum, and let f,9 : X -+ Z be c-close; then
9- I (Vi) C f - I(Ui ) for each i E [s], so with the simplicial map {) determined
by the vertex map g-I(Vi) f---t f-I(U i ) and the obvious homomorphisms f*,
g* (induced by simplicial maps f# , g#) we have the commutative diagram
where the % are the projections in the spectrum for Hn(X). Let a E Hn(X)
and set f*(a) = b, 9*(a) = b; then 9*ql(a) = pv(b) and f*q2(a) = Pu(b), so
by commutativity
pu(b) = pvupv(b) = PVU9*ql (a) = f*{)ql (a) = f*q2(a) = Pu(b).
Since Pu is monic, this shows that b = b, and because a is arbitrary, we
find that f and 9 induce the same homomorphism Hn(X) -+ Hn(Z). Since
Hn(Z) i= 0 for at most finitely many n, the result follows. D
(3.4) DEFINITION. Let X be a compactum.
(a) A Borsuk presentation B = {Zi liE N} for X consists of a
descending sequence ZI ~ Z2 ~ ... of compact ANRs such that
n:1 Zi = X.
(b) A map f : X ----+ X is called a B-map if for each E > 0 there is

some Zn and some gn : Zn ----+ X such that d(f(x),gn(x)) < E for
all x E X.
Since every com pactum X can be embedded in the Hilbert cube and have ar-
bitrarily small compact ANR neighborhoods there, each such X has Borsuk
presentations.
For any compactum Y, the set of B-maps X ----+ Y is a nonempty closed
subset in the function space Y x (with the sup metric) containing the con-
stant maps. Given a B-map f : X ----+ Y and any 9 : Y ----+ Z, the composition
is also a B-map; in particular, composition in XX preserves the B-property.
(3.5) THEOREM. Let X be a compactum with homology of finite type and

a Borsuk presentation B = {Zd. If f : X ----+ X is a B-map with
)..(f) =1= 0, then f has a fixed point.
PROOF. Choose E(X) as in (3.3) and fix E > 0 with E < E(X). Find Zn
and a map gn = 9 : Zn ----+ X with d(gj(x),f(x)) < E for all x E X ,
where j : X '-> Zn. Since gj, f : X ----+ X are E-close, they induce the same
homomorphism in homology, so )..(jg) = )..(gj) = )..(f) =1= o. Because Zn is
an ANR, this implies that jg : Zn ----+ Zn has a fixed point xo , necessarily in
X, so d(f(xo),xo) = d(f(xo),g(xo)) < E. Thus f has an E-fixed point for all
sufficiently small E > 0, which completes the proof. 0
The continuous image of an ANR compactum is locally connected; since

the compactum X in (3.4) may not be locally connected, the requirement
for a B-map that the approximating gk send Zk into X appears to be rather
restrictive. We shall now consider a class of self-maps of compacta more
general than B-maps by requiring that the approximating gk have values in
small Zn rather than in X.
(3.6) DEFINITION. Let X be a compactum and B = {Zk} a Borsuk pre-

sentation of X. A ~ap f : X ----+ X is called an NB-map if there
exists an extension f : Zl ----+ Zl of f with the following property: for
each E > 0 there exists a Zn such that for every k ;::: n there is a map
gnk : Zn ----+ Zk with d(j(x), gnk(X)) < E for all x E Zn.
Our aim now is to extend the Lefschetz- Hopf theorem to NB-maps of

arbitrary compacta having Cech homology of finite type.
The use of Borsuk presentations in the proof of our main result will be
based on the following two general lemmas.
(3.7) LEMMA (Borsuk homology embedding). Let {Zi} be a Borsuk pre-

sentation for a compactum X having homology of finite type. Consider
the diagram
where k > i and j*, p* are induced by inclusions. Then there exists
an N such that j* is monic for all i ~ N; and for each such i, there
exists a k(i) ~ i such that Imp* C Imj* for all k ~ k(i).
PROOF. Choose a basis {Zl, ... , zn} for H*(X). It follows from (3.2) that
there is a ZN on which these generators are linearly independent, so j* is
monic for all i ~ N. Fix any such Zi; because Zi has homology of finite
type, we find that for the inclusion w : (Zi' 0) ----7 (Zi' X) the image Im w*
is finitely generated, so if we let J..t : (Zi' X) ----7 (Zi' Zk) be the inclusion
(with k > i), another application of (3.2) shows that there is a k(i) such
that J..t* : H*(Zi,X) ----7 H*(Zi , Zk) is monic on Imw* for all k ~ k(i). Now
consider the diagram
All maps being induced by inclusions, the triangle is commutative; and both
the horizontal and vertical lines are exact. For any y E H*(Zk), we have
A*P* (y) = 0 by exactness, so by commutativity,
because J..t* is monic on Im w*, this shows that w*p* (y) = 0, and therefore
p* (y) E Ker w* = Im j*; since y was arbitrary, the proof is complete. 0
(3.8) LEMMA (Borsuk's trace lemma). Let X, Y, Z be compacta, each
having homology of finite type, and let j : X ----7 Z and p : Y ----7 Z be
maps such that in the diagram of induced maps
jn is monic and 1m Pn elm jn· Then for any f : X - t X and 9 : Z - t Y,

if jf andP9j induce the same homomorphism Hn(X) - t Hn(Z), then
tr(fn) = tr(Pn9n) = tr(9nPn).
PROOF. By considering the commutative diagram
Imjn~Hn(Y)
Jnl ~ lpn
Hn(X) ~ Hn(Z)
we note that
In =
..
ZJn, Pn =
.--
ZPn,
and therefore, by assumption,
(**)
From (**), since i is monic, we obtain
Now, using (* )-( ***) and the commutativity of the trace, we obtain
tr(fn) = tr(J;;lJnfn) = trGnfnJ;;l) = tr(Pn9njnJ;;1)
= tr(Pn9niJnJ;;1) = tr(Pn9n i ) = tr(iPn9n)
= tr(Pn9n) = tr(9nPn),
and thus the proof is complete. o
We are now ready to prove the main result of this section.
(3.9) THEOREM (Borsuk- Dugundji). Let X be a compactum with homol-
09Y of finite type and a Borsuk presentation B = {Zd. If f : X - t X
is an NB-map with A(f) f:. 0, then f has a fixed point.
PROOF. Let N be a fixed integer. We start by finding a Zs C ZN such that
the inclusion X '---+ Zs induces a monic w* : H*(X) - t H*(Zs)' For this Zs
1
there is an Cs = c(Zs) satisfying (3.3). For c = min(cs, liN) we find a Zn
as in Definition (3.6); we can assume that Zn C Zs , so in particular, the
inclusion X '---+ Zn also induces a monic j* : H*(X) - t H*(Zn)' Now choose
k > n so large (as we can by Lemma (3.7)) that in the diagram
H*(Zk)
. lp,
H*(X) ~H*(Zn) ~H*(Zs)
(with all homomorphisms induced by inclusions) we have Imp* C Imj*, and

let gnk = 9 : Zn ---t Zk be such that d(1(z) , g(z)) < E for all z E Zn. Because
the composites
and
f j s
X ---t X "-> Zn "-> Zs
are Es-close , they induce the same homomorphism in homology, so that
s*p*g*j* = s*j*f*. Because s*j* = w* is monic, we find that s* is monic on
Imj* =::l Imp*, so p*g*j* = j*f* : H*(X) ---t H*(Zn). Now, by Borsuk's trace
lemma (3.7) we conclude that )..(pg) = )..(f) =I O. Because Zn is a Lefschetz
space, it follows that pg : Zn ---t Zn has a fixed point ZN; we note that
ZN E Zk C ZN and d(f(zN), ZN) < E ::; liN . Performing this construction
for N = 1,2, ... , we can, because X = n~=l ZN, choose a subsequence of
{ZN} converging to some Zo EX. Then 1(zo) = Zo, and since J1x
= f, the
(3.10) COROLLARY. Let X be a connected compactum with homology of
finite type and a Borsuk presentation B.
(a) If X is acyclic, then any NB-map f : X ---t X has a fixed point.
(b) If x( X) =I 0, then any homeomorphism h : X ---t X that is an
NB-map has a periodic point.
(c) If the odd-dimensional Cech homology groups H2i+l(X; Q) are
all zero, then any NB-map f : X ---t X has a periodic point.
A. Special classes of maps
In subsections A and B, in the context of the Lefschetz theory, we replace singular homol-
ogy by Cech cohomology. Thus "Lefschetz maps" , "Lefschetz spaces" etc . are understood
to be taken with respect to Cech cohomology. Using the continuity of the Cech theory, we
derive some general fixed point theorems, different from those previously established.
(A .I) (Asymptotically regular maps) Let X be a space and f : X --> X a map. We say
that f is asymptotically regular ifthere exists a family {Ka I a E A} of non empty compact
subsets of X satisfying:
(i) f(Ka) C K a for each a E A ,
(ii) for any a,;3 E A there exists a I E A such that K, C Ka n K (3 ,
(iii) for any a E A and ;3 E A with K (3 C Ka there exists a positive integer n such
that r(Ka ) C K (3 .
n
Observe that conditions (i)- (iii) imply that Ko = aEA Ka =I- 0 and f(Ko) C Ko·
(a) Let f : X --> X be asymptotically regular. For a E A, let f:;' : H(Ka ) -->
H(Ka), fa : H(Ko) --> H(Ko) and i~ : H(Ka) --> H(Ko) denote the homomorphisms of
cohomology groups (1) induced by the contractions fa : Ka ---7 K a , fo : Ko ---7 Ko of f

and by ia : Ko '-> Ka . Show:
(i) i~ maps N(f;) into N(fo), and hence determines a homomorphism i~ :
H(Ka)/N(f;) ---7 H(Ko)/N(fo).
(ii) If a E H(Ka) and i~(a) E N(fo), then a E N(f;).
(iii) i~ is injective.
(b) Suppose fa : Ka ---7 Ka is a Lefschetz map. Show:
(i) Given a E H(Ko), there exists b E H(Ka) such that i~(b) - a E N(fo).
(ii) i~ is surjective.
[For (b)(i) : using the fact that f is asymptotically regular, consider the commutative
diagrams
where K{3 c K" and fn(K a ) C KfJ for some n EN.]

(c) Show:
(i) If fo is a Lefschetz map, then so also is fa for each 0: E A.
(ii) If fa is Lefschetz for some 0: E A, then so also is fo.
(iii) If f!3 is Lefschetz for some f3 E Au {O}, then the Lefschetz numbers A(fo)
and A(fa) , 0: E A, are all defined and equal.
(A.2) (Maps in the class Xa~) If X is a space and f: X ---7 X, we let Cf = n~l reX)
denote the core of f, and by "f/ (Cf) the set of all open nbd 's of C f in X. We define the
class Xa~ by the condition f E Xa~ if and only if f : X ---7 X is locally compact and C f
is nonempty and compact e).
(a) Let X be a regular space and f : X ---7 X be in X'a~. Show: For each U E "f/(C f)
there exists a Vu E "f/(C f) such that :
(i) Vu C U,
(ii) f(Vu) C Vu ,
(iii) Ku = f(Vu) U C f is compact.
[Given U E "f/(C f), using local compactness of f, choose aWE "f/(C f) such that We U
and K = feW) is compact. Consider the compact set K n (X - W) and note that for
each x E K n (X - W) there exists an nx E N such that x E X - fn x (K), because
nnEN r(K) C X - (K n (X - W)). From this, by compactness, K n (X - W) C
U~= l (X - fn Xi (K)) for some nx,,···, nXk E N. Let n = max1:::;i:::; k n Xi and set Vu =
V = W n r1(W) n··· n r(n+1)(W).
Fix x E f(V) and observe that:
(i) n~~} fi(W) C n~o fi(K) C W n K.
(ii) fi(x) E W for i = 0,1, . . . ,n, and hence x E W n r1(W) n · · · nrn(W) .
e) To simplify notation, we write H(X) for H* (X; Q); we use the notation analogous
to that of Section 1 of §15.
e) Observe that if f E Xa~ and the orbits {Ox} of f are relatively compact, then
f E £as (cf. (15.6.1)).
(iii) Since J"+I(x) E K and J"+I(x) = ru

n+1-i(x)) E i(W) for i = 1, ... ,n+ 1,
we have
n+ l
r+l(x) E (n i(W)) nK C WnK C W,
i=1
and thus x E j - (n+ll(W).

To conclude, note that (i) and (iii) imply f(V) C V, and since f(V) C f(W) C K, f(V)
is compact .]
(b) Prove: If X is a regular space and f : X ---> X is in Xa~, then f is asymptotically
regular.
[Consider the family {KU I U E Y(O f)} of compact sets and show:
(i) f(Ku) C Ku for any U E Y(Of)·
(ii) Of = n{Ku I U E Y(Of)}·
(iii) For any U, WE Y(Of), there exists an 0 E Y(Of) such that Ko C Ku n Kw.
(iv) For any U, WE Y(Of), there exists a positive integer n with J"(Ku) C Kw.
To establish (iv), given W E Y (Of), take an x E K u and note that since the orbit
Ox C Ku is relatively compact, there exists an nx such that fn x (x) E Vw =:J Of,
by (15.5.2). Deduce that the open sets f - nx(Vw ), x E Ku, cover Ku, and therefore
Ku C U~lf - nxi(Vw) for some Xl, ... , Xm E Ku. Take now n = maxl~i~m(nxi + 1)
and verify that f"(Ku) C Kw .]
(c) Let f : X ---> X be in Xa~ ,~and let fu : K U ---> K u, fu : Vu - t Vu denote the
contractions of f. Prove: The map fu : Vu --> Vu is eventually compact.
[(i) Take W E Y(O f) such that Of eWe W c Vu and using (A.2) choose an n
with f"(Ku) C Kw; this implies f"+I(VU) C f"(Ku) C Kw; from f(Vw) C W C Vu ,
deduce fn + l(Vu) C Kw C Vu, showing that fE/+l is compact.
(ii) For x E Vu, f(x) E Vu, take an open W C W c Vu such that f(x) E W. By
assumption, there is an open nbd 0 of x in X such that f(O) is compact. Since Onf- 1 (W)
is an open nbd of x in Vu and f( 0 n f- 1 (W)) C f( 0) n W is a compact subset of Vu ,
the desired conclusion follows. ]
B. Cech cohomology and Lefschetz-type results

In this subsection by an admissible Lefschetz space is meant a regular space X such that
each nonempty open subset U of X is a Lefschetz space.
(B.1) Let X be an admissible Lefschetz space, and let f : X ---> X be in Xa~. Prove:
For each U E Y (0 f), the map fu : K U ---> K u is Lefschetz, and FixUU) i= 0 whenever
AUu) i= O.
[Consider the commutative diagram
Ku ~ f(Ku) U f(Vu) ~ ... ~ f"(Ku) U f(Vu) ~ f(Vu) ~ Vu
ifU
/ I
Ku ~ f(Ku) U f(Vu) ~ ... ~ f"(Ku) U f(Vu) ~ f(Vu) ~ Vu
I/ l~ui
where the horizontal arrows are inclusions and the others are evident contractions of f .
Use (A.2), (15.6.3), and the general properties of Lefschetz maps to conclude that fu is a
strongly Lefschetz map.]
(B.2) (Le/schetz theorem for maps in Xa~) Let X be an admissible Lefschetz space and
/ : X....... X a map in Xa~. Prove:
(i) The contraction J: OJ ....... OJ of / is a Lefschetz map.
(ii) If A(]) =F 0, then Fix(]) =F 0 and Fix(f) =F 0.
(B .3) Let X be an admissible Lefschetz space, and / : X ....... X in Xa~ . Prove: If OJ is

contractible or Cech-acyclic, then / has a fixed point .
(B.4) Let X be a regular NES(compact), or more generally, ANES(compact) space. Prove:

If / : X ....... X is in X~ and OJ is contractible or acyclic, then f has a fixed point.
(The results of subsections A and B are taken from an unpublished manuscript by
G . Fournier and A. Granas.)
Degree for equivariant maps in Rn

If f : Rn - t Rn is continuous and U C Rn open and bounded such that
fl8U : 8U -+ Rn - {a}, there is defined an integer d(f, U) , the topological
degree of f with respect to U. By considering smaller classes of maps and
smaller classes of sets, one may attempt to define finer topological invariants.
A simplest example of such an invariant was presented in Section 1, whose
results are taken from an unpublished manuscript of K. G~ba.
More generally, one can replace Rn by a finite-dimensional real rep-
resentation V of a compact Lie group G and consider only G-equivariant
maps and G-invariant open subsets. For example, in such a framework Ize-
MassabO- Vignoli [1989] introduce a general G-equivariant degree; in their
construction, f : V -+ W is a G-equivariant map between (possibly dif-
ferent) representations of G and the degree is defined as an element of a
certain equivariant homotopy group of spheres. In the case V = W this ele-
ment determines an element of B(G), the Burnside ring e)
of the group G.
A more direct (but less general) construction of the equivariant degree for
G-equivariant maps f : V -+ V was given by G~ba-Krawcewicz-Wu [1994].
For details about the equivariant degree and also the equivariant fixed
point index, the reader is referred to Rubinsztein [1976], Dold [1983], Komiya
[1988], Ulrich [1988], Kushkuley- Balanov [1996], the book of Krawcewicz-
Wu [1997], and "Additional References" II( c).
The E+ -cohomology and its applications to Morse theory

The E+ -cohomology outlined in Section 2 and due to Abbondandolo [1997]
provides a noteworthy approach to infinite-dimensional Morse theory. Morse
C) See Chapter IV of T. tom Dieck, Trans/ormation Groups, de Gruyter, 1987.

theory deals with the study of critical points of a smooth function on a man-
ifold M. When M is finite-dimensional, the main ingredient of the theory
is that the presence of a critical point of Morse index q changes the homo-
topy type of the sublevel sets of f by attaching a q-dimensional ball along
its boundary (see Milnor [1963]) . This fact remains true for an infinite-
dimensional Hilbert manifold, so Morse theory holds in this framework and
it detects critical points with finite Morse index (see Palais [1963]). How-
ever, since every infinite-dimensional sphere in a Hilbert space is an AR, the
Morse theory fails to detect critical points with infinite index.
Let E be a Hilbert space and f : E ~ R a Morse functional on E (i.e., a
C function satisfying the Palais- Smale condition
2 e)
and such that at every
critical point x, the Hessian D2 f(x) is nondegenerate). We recall that the
Morse index m( x) of f at a critical point x is the dimension of the maximal
subspace of E on which the form D2 f(x) is negative-definite. We say that
f is strongly indefinite if all of its critical points have infinite Morse index.
One general class of strongly indefinite functionals consists of the func-
tionals f on E of the form
1
f(x) = 2(Lx,x) + b(x),
where L is an invertible self-adjoint bounded operator on E , with infinite-
dimensional positive and negative eigenspaces, E + and E - , and b is a C 2
function satisfying: (i) b is weakly continuous, (ii) the gradient \1b of b is
continuous from the weak to the strong topology of E. Functionals of this
type arise in a natural way in the study of periodic solutions of Hamiltonian
systems, of wave equations, and in many other concrete variational problems
(see Rabinowitz's tract [1986]).
Assumption (ii) implies that the Hessian of b at any point x, D 2 b(x), is
a completely continuous operator. Then it can be shown that the negative
eigenspace V- of D2 f(x) = L + D 2b(x) is commensurable with E - . If x
is a critical point of f, then we define the relative Morse index of x by
E+ -m(x) = dim(V -, E-).
The dimension axiom for the E+ -cohomology theory suggests that a
Morse theory based on Hi;+, rather than on a standard homology or coho-
mology, should be able to detect the critical points of f. Many deformation
arguments in Morse theory require the use of the negative gradient flow , i.e. ,
the local flow obtained by integrating the vector field - \1 f; in the present
case, this local flow has the form
(x , t) f---7 e-tLx - K(x, t),
e) A function j : E ---+ R satisfies the Palais- Smale condition if any sequence {xd
in E such that {f( Xi)} is bounded and IIdj(xi)11---+ 0, contains a convergent subsequence.
where K is continuous from the weak to the strong topology. So the class
of morphisms and homotopies in the h-category £ E+ has to be enlarged to
include maps of this form. Using Z2 as the coefficient group e), it is possible
to prove the homotopy invariance of H;;+ with respect to homotopies of the
form
h(x, t) = Atlx - K(x, t)],
where t f--t At is a continuous path of invertible linear operators preserving

the splitting E+ EBE-, and (x, t) f--t x- K(x, t) is an E+ -compact homotopy.
The flow (**) belongs to this class of homotopies.
In this way, it is possible to prove generalized Morse relations: following
an approach introduced by Conley (cf. Conley'S monograph [1978], Conley-
Zehnder [1984], Salamon [1985]), an object (X, A) of £1+ is said to be an
index pair if A is positively invariant with respect to X for the negative
gradient flow of f, and it is an exit set from X for this flow. If (X, A) is an
index pair, and f has only nondegenerate critical points in X - A, then the
following identity holds:
L AE+-m(x) - L An dim H~+ (X, A; Z2) = (1 + A)Q(A),

xEX-A nEZ
'V f(x)=O
where Q is a Laurent polynomial with positive coefficients.

Note that by assumption (i), the sublevel sets of f, defined by r
{x EEl f(x) ~ a}, are TE+-closed. However, they are not bounded, so in
order to consider their E+ -cohomology, the class of objects in £E+ has to
be enlarged. The use of cohomology theory with compact supports, instead
of Cech cohomology, in the definition of H;;+ allows one to consider also
unbounded sets. If f satisfies the Palais-Smale condition and a < bare
regular values, one can take X = fb and A = fa in the above identity.
The idea of using a generalized cohomology to construct a suitable Morse
theory for the study of functionals with critical points of infinite Morse in-
dex is due to Szulkin [1992]. The construction of the E+ -cohomology theory
and its applications to Morse theory outlined in Section 2 are due to Abbon-
dandolo [1997]. Applications of E+ -cohomology to Hamiltonian systems and
elliptic systems can be found in Abbondandolo [2000]. For closely related
results the reader may consult Kryszewski- Szulkin [1997], G~ba-Izydorek
Pruszko [1999], and Izydorek [2001].
e) The impossibility of using arbitrary coefficients is due to the fact that the group of
invertible linear operators on an infinite-dimensional Hilbert space is connected. A similar
feature appears in degree theory, when one attempts to extend the Leray- Schauder degree
from compact fields to Fredholm maps.
Fixed points for NB-maps

By concentrating on the nature of the map rather than on that of the under-
lying space, Borsuk [1975] showed that there is a general and fairly extensive
class of self-maps of compacta for which the Lefschetz-Hopf theorem remains
valid. In Section 3, following Dugundji [1976], a general and considerably
clarified formulation of the Borsuk principles is presented; some further sim-
plifications were suggested by C. Bowszyc. We remark that in Theorem (3 .5) ,
the choice of B is irrelevant; it is the existence of some B making f into a
B-map that is of importance. Using the Leray trace, Dugundji [1976] ob-
served that Theorem (3.5) can be extended to suitable compact maps of
arbitrary metric spaces.
THEOREM. Let X be any metric space and f : X --+ X a compact map such
°
that f(X) has homology of finite type. If f(X) = n~o Zi, where all Zi C X
are compact ANRs , then f is a Lefschetz map , and AU) i=- implies that f
has a fixed point.
The hypothesis in Theorem (3.5) that X has homology of finite type
can be eliminated by a procedure suggested by Borsuk, which associates a
"Lefschetz set" AU) with each B-map f : X --+ X: for any integers n, k, let
AU; n, k) = {A(g) I g: Zn --+ X, d[g(x), f(x)] < 11k for all x E X}
and define
nU
00 00
AU) = AU; n , k).

n=Ok=O
THEOREM. If X is any compactum, f : X

then f has a fixed point.
--+ X a B-map, and °1. AU) ,
We remark that Gauthier [1980] extended the Borsuk- Dugundji results

to arbitrary compact spaces, and Fenske [1982] constructed a fixed point
index for maps with Borsuk-presentable fixed point set.
***
In this book we concentrated mainly on themes closely related to the
Leray- Schauder theory. Accordingly, a number of special and important
topics were, for obvious reasons, left out. Among these we mention:
(a) Nielsen theory.
(b) The Poincare- Birkhoff theorem.
(c) Symplectic fixed points.
(d) The Lefschetz fixed point theorem for elliptic complexes.
(e) Extensions of degree theory to noncontinuous maps.
(f) Vertical fixed point theory.
We remark that an appropriate coverage of any of the above topics would

require a separate volume.
(a) Nielsen theory

Let f : X ---t X be a map, and let M(f) denote the minimum number of
fixed points of all maps homotopic to f; observe that M(f) = 0 whenever
there exists a map 9 homotopic to f with Fix(g) = 0. The Nielsen theory
is a large and important chapter in topological fixed point theory, which is
closely related to the Lefschetz theory; under suitable conditions the Nielsen
theory can be used to obtain information about the number M (f) for a given
map f.
Let X be a compact ANR, and f : X ---t X a map. Then the set Fix(f)
admits an equivalence relation rv f that partitions Fix(f) into a finite number
of closed-open subsets called fixed point classes of f . If 1> is such a class, we
can use the local index theory (Theorem (1.1)) to define the index of 1> as
follows:
Let U c X be open such that 1> c U and U n Fix(f) = 0. Then the
index i(1)) of 1> is defined by i(1)) = 1(f, U). If i(1)) 1= 0, the class 1> is called
essential; otherwise, it is inessential. The number N(f) of essential fixed
point classes is called the Nielsen number of f. It turns out that:
(i) If f , 9 : X --t X are homotopic, then N(f) = N(g).
(ii) If 1>1 , ... ,1>k are all the essential fixed point classes of f, then
k
A(f) = L i(1)j).
j=l
Clearly, in view of (ii), if N(f) = 0, then A(f) = O. There are, however,

examples of manifolds that admit homeomorphisms f with A(f) = 0 and
N(f) 2 2.
We now examine the situations where [A(f) = 0] =* [N(f) = 0]. Let
(X, xo) be a based compact connected ANR, and f : X ---t X a based
map. Consider the based function space (X x, f) and the evaluation map
e: XX --t X given by e(g) = g(xo) for 9 E Xx. Let
en: 7r1(XX,f) --t 7r1(X,XO)
be the induced homomorphism of the corresponding fundamental groups.
The image J(f) of the homomorphism en is called the Jiang subgroup of
7r1 (X, xo); it is independent of the base point and depends only on the
homotopy class of f; the Jiang subgroup of the identity id x is denoted
simply by J(X).
THEOREM (Jiang [1964]). Let X be a compact ANR , and f : X --t X a map
such that J(f) = 7r1(X), Then:
(i) all fixed point classes of f have the same index,

(ii) )..(f) = 0 implies N(f) = O.
By observing that J(X) c J(f) for any f : X ---) X, it follows that the
condition J(X) = 7fl(X) implies the validity of the Jiang theorem for all
self-maps f of X.
Say that a compact ANR X is of type (W) if for any f : X ---) X its
homotopy class contains at least one g having precisely N(f) fixed points.
With this terminology the following theorem holds: Let X be a compact
ANR of type (W), and f : X ---) X a map satisfying the Jiang condition
J(f) = 7fl (X). Then )..(f) i- 0 if and only if every map homotopic to f has
a fixed point.
For details and more general or related results see the books of R.F.
Brown [1971]' Jiang [1983] and Kiang [1989]; some references on Nielsen
theory are also given in "Additional References" III(a).
(b) The Poincani-Birkhoff theorem

In some cases, a map f : X ---) X of a polyhedron may have fixed points
even if )..(f) = o. An example of special importance is given by:
POINCARE- BIRKHOFF TWIST THEOREM. Let X = {( 1', 6) E R2 I a :S l' :S b}
be an annulus and f : X ---) X an area-preserving homeomorphism such that
there exist continuous maps 6 f---t 0'(6) and 6 f---t (3(6) satisfying 0'(6) < 6,
(3(6) > 6, f(a,6) = (a,0'(6)), f(b,6) = (b, (3(6)). Then f has at least two
fixed points.
This result was conjectured by Poincare [1912] in his attempt to use fixed
points in the search for periodic solutions in celestial mechanics, and was
proved by Birkhoff [1913].
A similar result can be proved for the sphere S2 ; II I ; S2 -> S2 is an orientation
and area-preserving homeomorphism, then I has at least two fixed points. For a proof, one
can use the fact that the index J(f , p) of a fixed point p for such a map in two dimensions
is always ;0: 1, so that the conclusion follows from the index formula
X(S2) = L{J(f,p) I p E Fix(f)} = 2.
J. Franks established the following generalization of the Poincare- Birk-

hoff theorem:
THEOREM. Let X = {(r, 6) E R2 I a :S l' :S b} be an annulus and f : X ---) X
a diffeomorphism such that:
(i) f is area-preserving,
(ii) f is isotopic to identity,
(iii) Fix(f) i- 0.
Then f has infinitely many periodic points in the interior of X.
For a proof of this result and its applications to the study of geodesics
on S2, the reader is referred to Franks [1992]. For other generalizations
and related results, see "Additional References" III (b) and Hofer- Zehnder
[1994].
( c) Symplectic fixed points

We now comment on symplectic fixed point results, which arise in the
context of classical mechanics, and can be regarded as extensions of the
Poincare-Birkhoff theorem. We begin by describing some background and
introduce the requisite terminology e).
The equations of motion in classical mechanics arise as minima of various
action integrals. The action integral in classical Hamiltonian mechanics is
defined on the phase space R2n, where a point z = (p, q) E R 2n describes
the momentum p E R n and position q E R n of a particle. The Hamiltonian
H(p, q, t), which may be a function of time, is the total energy (kinetic plus
potential) and the equations of motion, which arise as minima of the action
i
integral
t!
IPH(Z) = ((p,q) - H(p , q,t))dt ,
to
can be written in the form
. 8H
q=-
8p
or
Joz = V' Ht(z),
where J o is the 2n x 2n matrix (~i~~)'
All the above notions extend in a natural way to the category of symplec-
tic manifolds. Let (M,w) be a symplectic manifold, where M is a compact
smooth manifold of even dimension 2n and w is a nondegenerate 2-form on
M e).A smooth time-dependent Hamiltonian H : M x R --+ R determines
a Hamiltonian vector field X H on M by the formulaw(X H ,·) = dHtC). The
vector field X H generates a Hamiltonian flow 'Pk E Diff(M) satisfying
o
'PH=1'd M·
By a Hamiltonian map is meant a diffeomorphism 1jJ that is, by definition,

the time I-map of a Hamiltonian flow {'Pk} on M, i.e., 1jJ = 'P},..
e) For the terminology used in these comments and for further reading, see Arnold
[1980], McDuff-Salamon [1995], Hofer- Zehnder [1994], and M. Schwarz [1993].
e) This means that the nth exterior power w n does not vanish at any point of M ;
then the form vol = (l/n!)w n is the canonical volume form on M .
Let M be a compact smooth manifold. We let Arn(M) (resp. Crit(M))

denote the minimal number of critical points for any smooth function (resp.
Morse function) 'P : M --t R; if f : M --t M we let # Fix(f) denote the
number of fixed points of f.
ARNOLD CONJECTURE. Let (M,w) be a compact symplectic manifold, and
let f : M --t M be any Hamiltonian diffeomorphism. Then:
(a) # Fix(f) ~ Arn(M),
(b) if f has only nondegenerate fixed points, then
2n
# Fix(f) ~ Crit(M) ~ L bk(M).
k=O
Except for certain special cases, the conjecture turned out to be too
difficult to prove in the original form (a).
We remark that at the Moscow Congress in 1966, V. Arnold stated his conjecture for
the ordinary toru:; T2 = 8 1 X 8 1 ; even in this case, the problem proved to be very difficult
and was resolved only in 1983 by C. Conley and E. Zehnder.
Assume that H : M x R ----> R is periodic in time (H(x, t) = H(x, t + 1)) and let 1/J
be the I-map of the Hamiltonian flow {'Pk} on M. Then p is a fixed point of 1/J if and
only if p = x(O) is the initial condition of a solution of the Hamiltonian equation which is
periodic of period 1; any such solution is called a forced oscillation. This implies that the
Arnold conjecture can be rephrased in terms of dynamical systems as a conjecture about
the existence of a lower bound on the number of forced oscillations, depending only on
the topological invariants of the manifold M.
In the special case of M = T2n Conley- Zehnder [1983J proved the Arnold conjecture
by establishing the following:
THEOREM . For each time-dependent Hamiltonian vector field on the standard torus T 2n
which is I-periodic in time, the associated flow has at least 2n + 1 periodic orbits.
We remark that the detailed proof of this result (see Hofer-Zehnder [1994]) is quite
sophisticated; the techniques used include the Lusternik- Schnirelmann theory, the Conley
index, and the mod 2 degree for Fredholm maps.
Completely new ideas to the understanding of Arnold's conjecture were

introduced by A. Floer. Using a new approach to infinite-dimensional Morse
theory, Floer established in 1989 the Arnold conjecture in the following
weakened form:
THEOREM (Floer [1989]). Let (M , w) be a symplectic manifold with the trivial
homotopy group 'lr2(M), and let f : M --t M be a Hamiltonian diffeomor-
phism with nondegenerate fixed points. Then # Fix(f) ~ cup(M) + I, where
cup( M) is the mod 2 cuplength of Me).
e) Recall that the mod 2 cup length cup(M) of a manifold M is the minimal number
N such that for any cohomology classes a1, ... , ow E H* (M; Z2) with deg ai :::: 1, their
cup product a1 U ... U aN is zero; it can be proved that Cat(M) :::: cup(M).
Since 1989, the work of Floer has been extended by several authors. The
following two recent results are of special interest and importance:
(i) In 1998, G. Liu and G. Tian, and independently K. Fukaya and
K. Ono, proved Arnold's conjecture for general symplectic manifolds, as-
suming that all fixed points of a Hamiltonian diffeomorphisms f : M -+ M
are nondegenerate (see Liu- Tian [1998] and Fukaya- Ono [1999]).
(ii) In 1999, Yu. Rudyak proved the original Arnold conjecture for ar-
bitrary symplectic manifolds satisfying the Floer condition 1[2(M) = 0 (see
Rudyak [1999] and also his papers in "Additional References" III(b)).
(d) The Lefschetz fixed point theorem for elliptic complexes
This theorem, due to Atiyah-Bott [1967], [1968] provides a remarkable re-

finement of the Lefschetz- Hopf formula in the setting of smooth manifolds.
Let M be a compact Coo manifold with cotangent bundle 1[ : T* M -+ M.
If E , F are smooth complex vector bundles over M , by a differential opemtuT
from E to F is meant a linear map d : r(E) -+ r(F) between the spaces
of smooth cross-sections which in local coordinates is given by a matrix of
partial differential operators with smooth coefficients. If d is of order k , the
terms of order k define a bundle map, the symbol ak(d) : 1[* E -+ 1[* F,
where 7T'* E is the vector bundle over T* M induced by 7T' : T* M -+ M. By
an elliptic complex E on M is meant a sequence Eo , El , ... ,En of smooth
vector bundles over M and a sequence of differential operators d i : r(Ei ) -+
r(Ei+d such that
(i) di+l 0 d i = 0 for i E [n - 1],
(ii) the sequence
... -+ 7T' *(E k )a(d

----?) 7T' *(E k +l ) -+ ...
k
is exact over the complement of the O-section of T* M.

In view of (i) the cohomology groups Hi(rE) = Kerdi/Imd i - 1 are well
defined and it is a consequence of (ii) that they are finite-dimensional. By
an endomorphism T of the elliptic complex E is meant a sequence of linear
maps Ti : r(Ei ) -+ r(Ei ) such that diTi = Ti+ldi. Such an endomorphism
ind uces endomorphisms Hi (T) : Hi (r E) -+ Hi (r E) for all i. In analogy
with the Lefschetz number we let
Let f : M -+ M be a smooth map with graph transversal to the diagonal

in M x M (this implies that each fixed point p E Fix(f) is nondegenerate,
i.e., det(l-dfp) i- 0, where dfp is the induced map on TpM, and that Fix(f)
is finite). A lifting cp of f over the elliptic complex E is a family of bundle
morphisms 'Pk : f* Ek ---+ Ek such that for n defined to be the composite
r(Ek) ~ r(j* E k ) ~ r(Ek )

we have Tk+ldk = dkTk. With this terminology M. Atiyah and R. Bott
established the following:
THEOREM . Let E be an elliptic complex over M, f : M ---+ M a smooth map

with graph transversal to the diagonal, 'P a lifting of f , and T : r E ---+ r E
the endomorphism induced by 'P. Then the Lefschetz number L(T) is given
by the formula
L(T) = L v(p),
pEFix(J)
where
" k tr('Pk ,p)
v(p) = ~)-1) Idet(l- dfp)I'
This theorem and its proof are quite sophisticated. The techniques de-
veloped for the proof have had in fact a great influence on the development
of several areas of topology and differential geometry. There are a number
of significant applications. For the de Rham complex of exterior differen-
tial forms on a smooth manifold, it is the classical Lefschetz- Hopf index
theorem. Further specific cases yield precise descriptions for isometries on
Riemannian manifolds. As an example one obtains the following
THEOREM. Let M be a compact, connected, oriented smooth manifold, and

f : M ---+ M a smooth map satisfying fP = 1M for some k and odd prime p.
k
Then the number of fixed points of f is ;:::: 2.
This theorem was also proved by very different techniques by Conner-

Floyd [1964] . Good references for related results and further reading are
Berline- Getzler- Vergne [1992]' Kotake [1969], and Bott [1987], [1988].
(e) Extensions of degree theory to noncontinuous maps
We shall now describe three extensions of degree theory to certain classes

of noncontinuous maps.
10 Degree for VMO maps. For simplicity, we shall only consider an ex-
tension of the Brouwer degree for maps from sn to sn. First we gather some
definitions and results about the class BMO of functions of bounded mean
oscillation.
Suppose f : Rn . . . . , R is integrable over compact sets in Rn and B is any

ball in R n with volume IBI. By definition, f belongs to BMO if
IlfllBMO = sup
BeRn
IBII r If(x) - fBI dx <
iB
00,
where fB = IBI- 1 IB f(x) dx is the mean of f over B; IlfllBMO is the BMO

norm of f, and the class BMO(Rn) modulo adding constants is a Banach
space under IlfllBMO or under the equivalent norm
Ilfll* = sup
BeRn
IBl 12 r r If(x) -
iB iB
f(y)1 dx dy.
L OO functions lie in BMO(Rn), but they are not dense; for example,
g(x) = log Ixl belongs to BMO(Rn) but cannot be locally approximated by
bounded functions near the origin.
The definition of BMO makes sense as soon as there are proper notions
of integral and ball in a space. Thus for example, we have the Banach space
BMO( sn) of the BMO functions f : sn ........, R. Functions in the Sobolev
class H1 ,p(sn) belong to BMo(sn), and the space BMo(sn) is contained
in LP(sn) for I ::; p < 00; the functions in CO(sn) are also not dense in
BMo(sn).
Let VMo(sn) be the closure of CO(sn) in BMo(sn); the elements f E
VMO( sn) are the functions of vanishing mean oscillation on sn. These
functions are characterized by the property that
lim
[B[-.O
r
IBII iB If(x) - fBI dx = O.
We now define the function space VMo(sn, sn) on which an extension

of the Brouwer degree will be defined.
Let f: sn ........, Rk be a map. Then we say that:
(a) f = (h,···, h) belongs to Vl\10(sn, Rk) whenever each fi is in
VMo(sn);
(b) f E VMo(sn , sn) if f E VMo(sn,Rn+l) and f(x) E sn a.e.
We remark that if f E VMo(sn, sn), then there exists the smallest closed
set Ess R(J) c sn such that f (x) E Ess R(J) a.e.
By a homotopy in VMo(sn, sn) is meant a continuous family {hd of
maps in VMo(sn, sn).
The following results of H. Bn§zis and L. Nirenberg extend the Brouwer
degree and theorems of Borsuk and Hopf to the class of VMO maps:
GENERALIZED BROUWER THEOREM. There exists an integer-valued func-

tion f f--t deg(J) defined for f E VMo(sn, sn) such that:
(I) If deg(f) -=1= 0, then Ess R(f) = sn.

(II) (Homotopy) If two maps f and 9 are homotopic in VMo(sn, sn),
then deg(f) = deg(g).
GENERALIZED BORSUK THEOREM. If f E VMo(sn, sn) is an odd map,
then deg(f) is odd.
GENERALIZED HOPF THEOREM. Iff, 9 are in VMo(sn, sn) and deg(f) =
deg(g), then the maps f and 9 are homotopic in VMo(sn, sn).
The definition of deg(f) for a map f E VMo(sn, sn) is based on a
density argument: If E > 0 is small, then fe; : sn ~ R n+ 1 defined by
fe;(x) = IBe;~ x )1 r
JBe(x)
f(y) dy
(where Be;(x) is the E-ball around x) is continuous and Ilf - fe;IIBMo ~ 0 as

E ~ O. For sufficiently small E > 0, fE maps sn into R n+ 1 - {O} and one
defines deg(f) as the Brouwer degree of fe; : sn ~ Rn+ l - {O}. For details,
the reader is referred to Brezis- Nirenberg [1995].
The above theory of degree can be extended to VMO maps between
arbitrary smooth manifolds without boundary. If M and N are such mani-
folds, Brezis and Nirenberg proved that there exists a bijection between the
O-homotopy sets 7ro(C(M,N)) and 7ro(VMO(M,N)). In fact, the more gen-
eral result of A. Abbondandolo (see "Additional References" III( c)) asserts
that the inclusion i : C(M, N) <--t VMO(M, N) is a homotopy equivalence.
We remark that using approximation properties of the VMO maps one
can also extend the degree for continuous maps f E Co(U) to the VMO
maps defined on U for a bounded domain U c Rn. This more general
theory can be found in Brezis- Nirenberg [1996]. For a survey of some of the
above results the reader is referred to Brezis [1997]; for related and more
general results see "Additional References" III( c).
2° Degree for Sobolev maps e). Let M and N be smooth compact ori-
ented Riemannian manifolds of dimension n 2: 2, and let dx and dy denote
the volume forms on M and N , respectively, that are induced by the orien-
tation and metric tensors of the corresponding manifolds; for convenience,
we also assume that JN dy = 1.
Let f : M ~ N be a smooth map. Then, according to the well known
formula (going back to Kronecker), the Brouwer degree of f is given by
e) For the terminology used in these comments and further reading see Iwaniec-
Martin [2001] .
where f#rt is the pull-back of a smooth n-form rt on N. One can express the
degree in equivalent form by the formula
d(J; M, N) = 1M J(x , J) dx ,
where the Jacobian determinant J(x, J) is the pull-back of the volume form,
J(x, J)dx = f#(dy) .
If f : M -+ N is not smooth, but in the Sobolev class w1,n(M, N) ,
then the Jacobian J(x, J) exists almost everywhere and is L1-integrable;
one can therefore define the degree d(J; M , N) of f again by the formula
(**). This case, however, is covered by the Bn§zis- Nirenberg theory because
W1,n(M, N) c VMO(M, N). Since, as shown by F. Bethuel, for 1 ~ p < n,
W1 ,P(M, N) need not necessarily be smaller than VMO(M, N), the natural
question emerged whether one can make sense of the degree formula (**)
for maps with nonintegrable Jacobian.
T. Iwaniec and his collaborators have developed, in fact , a viable degree
theory for maps in some classes slightly below the Sobolev class w1 ,n (M, N).
One typical example is the Orlicz- Sobolev space W1 ,P(M, N) , where P =
P(t) = t n /log(e + t). It consists of the maps f : M -+ N whose differential
D f : T M -+ TN satisfies (1 )
r log(eIDf(x)ln
}M
d
+ ID f(x)l) x < 00.
Another example is the Marcinkiewicz- Sobolev space W~:ak(M, N) , which

consists of the maps such that
meas{x E M IIDf(x)1 > t} = o(tn).
For a map in any of the above classes, the integral iM J(x, J) dx, appearing
in (**), exists in a somewhat weaker sense: it will actually converge provided
f is orientation-preserving, i.e., J(x, J) ~ 0 almost everywhere in M. But
this can only be done in the case when the cohomology Hk(N) of the target
manifold is nonzero for some 1 ~ k < n. If this is the case, the formula
( ) .1
d f; M , N = 10->0+
hm M
J(x, J)
1D f( x )1 10 dx
defines the degree, which is invariant under homotopy within each of the
above classes of maps. For details of the above theory, the reader is referred
to Greco- Iwaniec- Sbordone- Stroffolini [1995] and Hajlasz- Iwaniec- Maly-
Onninen [2003].
(1) It can be proved that each Orlicz- Sobolev class w1 .P (sn,Sn) with P = P(t) =
o(tn) contains an orientation-preserving map with non integrable Jacobian. This implies
that there is no integral formula for the degree of a map in any such class.
For results concerned with homotopy properties of Sobolev maps, the

reader is referred to articles of H. Bn§zis and his collaborators in "Additional
References" III( c). For some applications of the degree to the problem of
local invertibility of Sobolev maps, see the book of Fonseca-Gangbo [1995].
3° Degree in Wiener spaces. Let (H, 11·11) be a (separable) Hilbert space
and v the standard cylindrical measure on H. It is known that:
(i) H equipped with a norm weaker than the original one can be com-
pleted to a Banach space W,
(ii) there exists on W a Radon measure f.L that extends the measure v
over W.
The triple (W, H, f.L) is called an abstract Wiener space e)
with Cameron-
Martin space H, and f.L is the Wiener measure; the injection j : H "--t W is
continuous and completely continuous .
In 1986 E. Getzler, using the framework of the Malliavin calculus (cf.
P. Malliavin, Stochastic Analysis, Springer, 1977) introduced a notion of
degree for suitable maps , not necessarily continuous, of a Banach space
into itself. More precisely, let (W, H, f.L) be an abstract Wiener space and
D;(W, H) be the Malliavin-Sobolev space, of order s and exponent p, of
H-valued functions v : W --> H. By a Wiener map T : W --> W is meant
a transformation v f---+ v - F(v) , where F E Dl(W, H) = np>l D~(W, H).
Getzler [1986] proved that under suitable conditions (too technical to be
stated here), one can assign to a Wiener map an integer, called the degree of
T, which, in the case when F : W --> H is smooth, may be interpreted as the
sum of the signs of the derivative of T over all points of a regular fiber. For
details and some applications (for example to the existence of solutions of
stochastic partial differential equations), see "Additional References" III((d)
and also an exposition of the theory in Ustiinel-Zakai [2000].
(f) Vertical fixed point theory

Let B be a space (2). By a fiber space over B is meant a space E together
with a surjective map p : E --> B; for each b E B, the fiber over b is the
subset Eb = j - l(b). Clearly, with the obvious definition of morphisms, the
fiber spaces over B form a category.
e) Let W = Co ([0, 1]) be the Banach space of continuous functions u : [0, 1] --+ R with
u(o) = 0, equipped with the sup norm. For u E Co([O, 1]) and t E [0, 1], let Wt(u) = u(t) ;
then it can be shown that there exists a unique probability measure J-L on W such that
(t, u) 0-; Wt(u) is a Wiener process. Let H denote the Hilbert subspace of W consisting
of the absolutely continuous functions with square integrable derivative and the norm
lul 2 = J~ lu'(s) 12 ds; H is obviously dense in W, and the triple (W,H,J-L) is the simplest
example of an abstract Wiener space.
e) In this section we assume for convenience that all spaces under consideration are
metrizable.
For U an open subset of E, a map f : U -+ E is called vertical if pf = p

on U. For such a map, the fixed point set Fix(f) is then also a fiber space
over B; for each b E B, we have fb : Ub -+ Ub, where Ub = p - l(b) n u, fb is
the restriction of f and Fix(f) = UbEB Fix(fb).
The vertical fixed point theory is concerned with the existence of fixed
points of f : U -+ E that cannot be eliminated using fiber-preserving ho-
motopies of f. We now briefly comment on some basic results of this theory
established by Dold [1974] in the framework of the category ENRB.
A fiber space p : E -+ B is called an ENRB (ENR over B) if for some
open set V in B X Rn there are maps E ~ V 2.., E (over B) such that
ri = idE; then, in particular, the fibers of pare ENRs. For example, it can
be proved that: If E and Bare ENRs, then a proper map p : E -+ B is an
ENRB if and only if p is a Hurewicz fibration.
We now make the following assumptions:
(i) p: E -+ B is an ENR over a locally compact space B,
(ii) f : U -+ E is a vertical map i::luch that the restriction pIFix(f)
Fix(f) -+ B is proper,
(iii) h is a given general cohomology theory.
In this setting, Dold assigns to f an index I(f) with values in hO(B). If
f : E -+ E and B is a point, then I(f) coincides with the Lefschetz number.
The elements of hO(B) that occur as indices are precisely the spherical stable
ones, i.e., belong to the image of c : 7r°(BEBpt) -+ hO(B), where c is a natural
transformation from stable cohomotopy theory to hO. The Dold index has all
the familiar properties (additivity, commutativity, homotopy invariance etc.)
as in the classical case of B = point. A detailed exposition of Dold's theory
together with an extension to fiberwise ANRs was given in Crabb- James
[1998]; this extension contains as a special case the index for compact maps
of ANRs presented in Chapters IV and V.
For related and more general results the reader is referred to "Additional
References" III( e).
Appendix: Preliminaries
This appendix contains a condensed review of those parts of topology, func-

tional analysis , and algebra that are used in the book. It is included to
provide an easily available reference for both the necessary background ma-
terial and the terminology. For the proofs of the results presented in this
appendix the reader is referred to "General Reference Texts" in the biblio-
graphy.
A. Generalities
We use the standard set-theoretic and logical symbols: f/J for the empty set,
U for the union of sets, n for intersection, - for difference, and c for inclu-
sion. The Cartesian product of two sets A and B is denoted by A x B, and
the product of an indexed family by IliEI Ai. The symbol x E A indicates
that x is an element of the set A; the negation of a membership assertion
is indicated by tf-. The subset of all elements x of a set X that have some
property P (i.e., for which P(x) holds) is denoted by {x E X I P(x)}.
The connectives "implies" and "if and only if" are denoted by ::::::? and <=>,
respectively. The set of all subsets of a set X is denoted by 2x.
Notation
The following fixed notations are used:
N = set of natural numbers,
Z = ring of integers,
R = field of real numbers,
C = field of complex numbers,
Q =
vI: x;,
field of rational numbers,
Rn = Euclidean n-space with Ilxll =
Appendix: Preliminaries 589
Kn = Euclidean n-ball = {x E R n Illxll ::; I},

sn- l = Euclidean (n - I)-sphere = {x E R n Illxll = I},
I = closed unit interval [0,1],
In = n-cube = {x E Rn 10 ::; Xi ::; 1 for 1 ::; i ::; n} ,
1 00 = Hilbert cube, i.e., the countable infinite product of closed unit
intervals.
Maps
Given two sets X and Y, a map f : X ----+ Y from X to Y assigns to
every x E X a well determined f (x) E Y; the set of all maps from X to
Y is denoted by Y x. If f : X ----+ Y and 9 : Y ----+ Z, the composite map
go f : X ----+ Z is defined by x f--+ f(g( x)). If A c X is a subset , the inclusion
i : A ----+ X is defined by i(a) = a for all a E A; if A = X , the inclusion
i becomes the identity map id x on X. The composite of i : A ----+ X with
f : X ----+ Y is denoted by flA : A ----+ Y and is called the restriction of f
to A; we say that f extends flA over X. For a map f : X ----+ Y , if A c X
and BeY, the image f(A) of A and the counterimage f-l(B) of Bare
given by
f(A) = {J(x) Ix E A}, f-l(B) = {x E X I f(x) E B}.
A map f : X ----+ Y is injective if f(x) = f(x ' ) implies x = x'; it is
surjective if f(X) = Y; a map that is both injective and surjective is said
to be bijective. If f : X ----+ Y and 9 : Y ----+ X with gf = id x , then f is
injective and 9 is surjective. For a bijective f : X ----+ Y, the inverse of f is
denoted by f - 1 : Y ----+ X; it is characterized by the identities f- l 0 f = id x ,
fof - l=id y .
If x E X = ITiE! Xi, we write x = {XdiEI and call Xi E Xi the ith
coordinate of x; the map Pi : X ----+ Xi given by x f--+ Xi is the projection of
X onto the axis Xi.
A family {JdiE! of maps h : X ----+ Yi is separating provided for any
Xl , X2 E X there is a map fj with fj(xt} =I- fj(X2). If {JdiE! is separating,
then x f--+ {Ji(X)}iE! is an injective map of X into the product ITiE! Yi.
Order
A binary relation j in a set X is called a preorder if (a) x j x for every
x EX, (b) x j y and y j z implies x :::S z; it is called a partial order if
also (c) x :S y and y :S x implies x = y. A set X together with a preorder
(respectively partial order) j is called a preordered (respectively partially
ordered) set. A subset A of a preordered set (X, j) is cofinal in X if for each
x E X there is an a E A with x j a. An element Xo E X is called maximal
in X if there is no x E X with x =I- Xo j x; a minimal element is defined
590 Appendix: Preliminaries
similarly. An element Xo E X is an upper bound for a set A c X if a :::S Xo

for all a E A. The partially ordered set is totally ordered (or a chain) if for
each x, y EX, either x :::S y or y :::S x; it is well ordered if each nonempty
subset has a minimal element.
The axiom of choice, which is assumed throughout the book, is used in
one of the following forms:
(A.I) KURATOWSKI- ZORN LEMMA. A partially ordered set in which ev-
ery totally ordered subset has an upper bound contains at least one
maximal element.
(A.2) ZERMELO THEOREM. Every set can be well ordered.
B. Topological Spaces
A topological space is a pair (X, 7) consisting of a set X and a collection
7 = {U} of subsets of X called open sets such that:
(i) any union and any finite intersection of open sets are open,
(ii) the whole space X and the empty set 0 are open.
The collection 7 is a topology for X. The sets complementary to the open
sets are called closed sets. Any intersection and any finite union of closed sets
are closed; X and 0 are closed. The closure A of A c X is the intersection
of all closed sets that contain A. The interior Int(B) of B is the union of
all open sets that are subsets of B. A is closed if and only if A = A, and B
is open if and only if B = Int(B). The set 8A = A n X - A is the boundary
of A, and its elements are boundary points of A. If A c B eX, then A is
dense in B if A = B. A space X is separable if it contains a countable set
dense in X.
A space X is connected if it is not expressible as the union of two
nonempty disjoint open sets. In any space X, the union of all connected
sets containing an x E X is called the component of x in X; the set of
components of the points of X forms a partition of X , and the members of
this partition are called the components of X. Each component is a maximal
connected subset of X and is closed in X.
A base for the topology of a topological space is a collection {3 c 7 of
sets such that the open sets are all the unions of members of {3. A collection
(J C 7 is a subbase for 7 if the family of all finite intersections of members
of (J forms a base for 7.

A space with more than one point may be topologized in different man-
ners. A topology 71 is weaker than a topology 72 if 71 c 72. The weakest
topology is the one in which the whole space and the empty set are the only
open sets. The strongest topology is the discrete topology in which every
subset is open.
Continuity
Let X and Y be topological spaces. A map f : X --+ Y is continuous if
whenever U is open in Y, f-l(U) is open in X. Evidently if f : X --+ Yand
g : Y --+ Z are continuous, then so is the composite map gf : X --+ Z. If for a
bijective map f : X --+ Y both f and its inverse f- 1 are continuous, then f is
called bicontinuous or a homeomorphism. If such a map exists for two spaces
X and Y, then these spaces are called homeomorphic. A map f : X --+ Y
is an embedding if f maps X homeomorphically onto f(X). An embedding
f : X --+ Y is closed (respectively open) if f(X) is closed (respectively open)
in Y. A continuous map f : X --+ Y is open (respectively closed) provided
f maps open (respectively closed) sets in X onto open (respectively closed)
sets in Y. If A c X, a continuous r : X --+ A with riA = idA is called a
retraction of X onto A; if such an r exists, then A is called a retract of X.
A function f : X --+ R on a topological space X is lower (respectively up-
per) semicontinuous if {x E X I f(x):S; r} (respectively {x E X I f(x) 2:: r})
is closed for each real r. The sum of two and the sup of any family of lower
semicontinuous functions is lower semicontinuous; the inf of any family of
upper semicontinuous functions is upper semi continuous.
Relations between topologies may be conveniently expressed in terms of
continuous maps. If Tl and T2 are topologies on X, then Tl C T2 if and only
if for any space Y every Tl-continuous map f : X --+ Y is also T2-continuous.
Neighborhoods and separation axioms

Given a point x (respectively a set A) in a topological space X, the set U is
a neighborhood of x (respectively of A) if there is an open set V such that
x EVe U (respectively A eVe U). We often abbreviate "neighborhood"
to "nbd".
Let fix be the set of neighborhoods of a point x EX. Then:
(i) x E U for all U E fix,
(ii) if U E fix and V E fix, then Un V E fix,
(iii) if U E fix and U C V, then V E fix,
(iv) if U E fix , there is a V E ~ with U E JVy for all y E V.
Assume now that X is an arbitrary set such that for each x E X there is
defined a nonempty family fix of subsets of X satisfying conditions (i)-(iv).
Then there is exactly one topology T in X that converts ~ into the set
of neighborhoods of x for every x (U E T if for each x E U there is some
V E ~ with V c U). A subset ur;: C ~ is a base of neighborhoods of x
provided given U E ~ there is a V E ur;:
with V c U.
A topological space X is Hausdorff if any two distinct points of X have
disjoint neighborhoods. A space X is normal if any two disjoint nonempty
closed subsets of X admit disjoint neighborhoods. A space X is regular if
for each x E X and each nbd V of x, there exists a nbd U of x such that
U C V; and X is completely regular if for each x E X and closed set A not
containing x, there is a continuous f : X ----+ I with f(x) = 1 and flA = O.
In this book all topological spaces are assumed to be Hausdorff.
(B.1) URYSOHN LEMMA. Let X be normal, and let A and B be two disjoint
nonempty closed subsets of X. Then there is a continuous>. : X ----+ I
such that >.(a) = 1 for a E A and >.(b) = 0 for bE B.
(B.2) THEOREM (Tietze- Urysohn). Let X be normal, A c X closed, and
f : A ----+ R continuous. Then there is an f* : X ----+ R continuous that
extends f over X.
Generating new spaces from old

From a given space, others are constructed by means of certain standard
procedures. The simplest are relativization, products, and identification.
Let X be a topological space and A eX; A can be made into a topolog-
ical space by taking the intersections with A of the open sets in X to be the
open sets in A; in this topology, the closed sets are the intersections with A
of closed sets in X.
Let {XdiEJ be a family of topological spaces. The TychonofJ product
of the Xi is the set DiEI Xi, with a basis for the topology taken as the
collection of all products D Ui , where Ui is open in Xi and Ui = Xi for all
but a finite number of indices.
Let X be a topological space and R an equivalence relation in X. Let
XI R be the set of equivalence classes and f : X ----+ XI R the function taking
x E X to its equivalence class. Then X IRis made a topological space by
making U open if and only if f-1(U) is open in X. The space XI R is the
quotient space of X by the relation R.
These are special cases of two general methods of forming new spaces.
Let X be a set together with a family of topological spaces {XihEI. Given
a family {Ii : X ----+ XdiEI of maps, the projective (or weak) topology on X
determined by the family {Xi, fdiEI is the weakest topology for which each
fi is continuous; this topology is characterized by the property: if Y is any
topological space, then a map 9 : Y ----+ X is continuous if and only if each
fj 0 9 : Y ----+ Xj is continuous (j E 1). Dually, given {gi : Xi ----+ XhEI, the
inductive topology on X determined by {Xi, gdiEI is the strongest topology
for which each gi is continuous; this topology is characterized by the prop-
erty: if Y is any topological space, then a map 9 : X ----+ Y is continuous if
and only if every go gj : Xj ----+ Y is continuous (j E 1). For example, given
a family {K} of subspaces of a topological space X , the inductive topology
determined by the inclusion maps K ----+ X is called the topology generated
by the family {K}.
Compactness
A covering of a topological space X is a collection {U} of sets whose union
is X . If all the sets of a covering {U} are open, then {U} is called an open
covering. A finite covering is one consisting of finitely many sets. A family
of sets has the finite intersection property if any finite number of sets in the
family have a nonempty intersection.
A topological space is compact if it is Hausdorff and if every open cover-
ing contains a finite subcovering. Equivalently, a space is compact if every
family of closed sets with the finite intersection property has a nonempty
intersection. A subset of a space is compact if it is compact when regarded
as a subspace; it is relatively compact if its closure is compact. A topological
space X is locally compact if every point of X has a compact neighborhood.
Some elementary but frequently used properties of compact spaces are:
(a) every compact space is normal; (b) a compact subset of a Hausdorff space
is closed; (c) the continuous image (in a Hausdorff space) of a compact space
is compact; (d) an injective map with a compact domain is an embedding;
(e) a lower (respectively upper) semicontinuous function on a compact space
attains its infimum (respectively supremum).
(B.3) THEOREM (Tychonoff). The topological product of any family of com-
pact spaces is compact.
Generalized convergence
A preordered set (51, :::S) is directed if for each pair x , y E 51 there is some z
such that x :::S z and y :::S z.
Let 51 be a directed set. A net {xa} aEOZ' in a set X is any function
x : 51 --+ X. A net {Y13}13EOZ'o with a domain 510 is a subnet of {Xa}aEOZ' if
there is a function N : 510 --+ 51 such that (i) Y13 = X N (13) for each (3 E 510 ;
(ii) for each a E 51 there is a (3 E 510 such that N(t) ~ a whenever r ~ (3.
Let {Xa}aEOZ' be a net in a topological space X. The net {Xa}aEOZ' con-
verges to a point x E X (written limaEOZ' Xa = x) provided for each nbd U
of x there is an ao E 51 such that for all a ~ ao we have Xa E U.
(B.4) THEOREM.
(i) If A is a subset of a topological space X, then x E A if and only
if there is a net in A converging to x.
(ii) X is compact if and only if each net in X has a subnet converging
to some point of X .
(iii) X is Hausdorff if and only if each net in X converges to at most
one point.
(iv) f : X --+ Y is continuous if and only if limaEOZ' Xa = x implies
limaEOZ' f(xa) = f(x) for each net {Xa}aEOZ' in X.
Metrizable spaces
A metric on a set X is a function d : X x X - t R such that:

(i) d(x, y) 2: 0,
(ii) d(x, y) = 0 if and only if x = y,
(iii) d(x, y) = d(y, x),
(iv) d(x, y) :::; d(x, z) + d(z, y).
The topology T that has as a base the collection of all open balls
B(X,E) = {y I d(x,y) < E} for all x E X, E > 0
is said to be generated by d. Two metrics d 1 , d 2 on a set X are equivalent
if they generate the same topology T on X. A topological space (X , T) is
metrizable if there is a metric on X that generates T. Every metrizable space
(X, T) admits a metric d that generates T and satisfies d(x, y) :::; 1 for all
x,yE X.
Several useful properties of the metrizable spaces can be formulated in
the sequential language: (i) In a metrizable (X, T), Xn - t x if and only if
d(x n , x) - t 0 for any metric d that generates the topology T; (ii) a map
f : X - t Y between metrizable spaces is continuous if and only if Xn - t x
implies f(x n ) - t f(x) for any sequence {x n } in X; (iii) a metrizable (X, T)
is compact if and only if it is sequentially compact: any sequence {x n } in X
contains a subsequence {x nk } that converges to some x EX.
Let d be a metric on a set X. A sequence {x n } of points in X is a
d-Cauchy sequence if for every E > 0 there is an integer K(E) such that
d(x n , x m ) < E for n, m > K(E). The metric d is complete if every d-Cauchy
sequence is convergent. A space (X , T) is topologically complete if there is a
complete metric d that generates T.
A pair (X, d) consisting of a set X and a metric d on X is a metric space
and d(x, y) is the distance between x and y. Every subset of a metric space
X is itself a metric space with metric the same as in X. Given a metric
space (X, d) the following formulas define the distance between a point and
a set, the distance between two sets, and the diameter of a set, respectively:
d(x, A) = inf d(x, y), dist(A, B) = inf d(x, y),

yEA xEA,yEB
J(A) = sup d(x, y).

x,yEA
A bounded set in a metric space is one having a finite diameter. A map

f : X - t Y between metric spaces is an isometric embedding if d x (x, y) =
dy(J(x), f(y)) for any x , y E X. An isometry is an isometric embedding
that is onto. Two metric spaces (X, d x ) and (Y, dy) are isometric if there
is an isometry f : X - t Y.
A metric space (X , d) is complete if d is a complete metric for X. A subset

of a complete metric space is complete if and only if it is closed.
(B.5) THEOREM (Hausdorff). Every metric space (X, d) admits an isomet-
ric embedding f : X --+ Y into a complete metric space Y such that
f(X) is dense in Y. The space Y (called the completion of X) is
unique up to isometry.
(B .6) THEOREM (Cantor). Let (X , d) be complete and {An} a decreasing
sequence of nonempty closed sets in X such that 5(An) --+ o. Then
the intersection n~=l An contains exactly one point.
(B.7) THEOREM (Baire). Let X be either a complete metric space or a
locally compact space. If X = U:=l An, where each An is a closed
set, then some An must contain a nonempty open set.
A finite subset N = {Xl, ... , xn} of a metric space (X, d) is an E-net
(where E > 0) if X c U~= l B(Xi,e); (X, d) is totally bounded if it contains
an [-net for every E > O. Every totally bounded space is separable.
(B.8) THEOREM (Hausdorff). A metric space is compact if and only if it
is complete and totally bounded.
Paracompactness of metric spaces

If {U} and {V} are two coverings of a space X , then {U} is a refinement of
{V} if for each U there is some V with U c V.
An open covering {U).. I ,\ E A} of a space X is called neighborhood finite
if each X E X has a n eighborhood V such that card {,\ I U>. n V 1= 0} is finite .
A space X is paracompact if every open covering has an open nbd-finite
refinement. Clearly, every compact space is paracompact.
(B.9) THEOREM (Stone). Every metrizable space is paracompact.
PROOF. Let d be a metric for X; for any A c X write (A ,e) = {x I
d(x , A) < E}, the E-nbd of A. We first show that any countable open cover
{UJ of X has an open nbd-finite refinement {Vi} with Vi c Ui for each i.
Let <Pi : X --+ I be the function x t----+ min(l , d(x , X - Ui )) ; define VI = Ul
and for each n > 1 let
Vn = Un n n
n-l
i=l
{x I <Pi(X) < lin} ,
which is an open set contained in Un . The family {Vi} is an open cover:

given x E X, let Un(x) be the first set Ui to which it belongs; then <Pi (X) = 0
for each i < n(x) , so x E Vn(x) . Moreover, x has a nbd meeting at most
finitely many Vi: for 'Pn(x) (x) = s > 0, so {y I 'Pn(x)(Y) > s/2} is a nbd of x
meeting no Vk with k > max{n(x) , 2/s}. We now prove the theorem.
Let {U,\ I A E A} be an open cover; we can assume that the indexing
set A is well ordered. For each fixed integer n = 1,2, ... , define a transfinite
sequence of closed sets as follows:
Hn ,l = {x I d(x,X - U1 ) 2:: lin}, ... ,

H n,>. = {x I d(x, X - U>.) 2:: lin} n {x I d( x, U Hn,/-I) 2:: lin}.
/-1<>'
These sets have the following properties:

(a) (Hn ,>., lin) c U,\ for each (n, A),
(b) if M < A, then d(Hn,/-I' Hn,,\) 2:: lin,
(c) Un U>. H n ,>. = X.
(a) and (b) are immediate from the observation that if Y E H n ,>., then
(y, lin) C U>. and (y, lin) n Hn,/-I = 0 for all M < A. For (c), given x E X,
find the first U>. containing x and choose n so large that (x, 1In) c U>.;
then x E HnY otherwise, there would be a M < A and ayE Hn,/-I with
d(x, y) < lin, showing x E (y, lin) c U/-I and contradicting the choice of A.
Now let G n ,>. = (Hn ,/-I,1/(3n)); the open sets {G n ,>.} form a covering
for X, since H n ,>. C G n ,>., and therefore the open sets Qn = U>. G n ,>. give
a countable cover for X. According to what we have already proved, {Qn}
has a nbd-finite open refinement {Q~} with Q~L C Qn = U>. G n ,>. for each n.
Therefore, the family
Vn,>.={Q~nGn , >.ln=1,2 , ... ; AEA}

forms an open cover (since each x belongs to some Q~ and Q~ C U,\ G n ,>.).
Moreover, Vn ,>. C U>. for each (n, A). Finally, {Vn ,,\} is nbd-finite: given
x E X, since Q~ is nbd-finite, there is a nbd Wand an integer N with
W n Q~ = 0 for all n 2:: N; moreover, (x, 1I (6N)) can meet at most one
G n ,,\ for each n ::; N because d(Gn,/-I' G n ,>.) 2:: 1/(3n) whenever M < A. Thus,
W n (x, 1I (6N)) meets at most N sets Vn ,>', which completes the proof. 0
Observe that with the construction of the sets Vn ,>., we have established
another property of open coverings in metric spaces that is of importance
in applications.
(B.IO) COROLLARY. Let X be a metric space and {U,\ I A E A} an open

covering. Then {U>.} has a a-discrete open refinement (i.e., a refine-
ment that can be represented as the union of a countable number of
families mn = {Vn ,>. I A E A} of open sets, where for each n every
x E X has a nbd meeting at most one set of m n ).
PROOF. The sets Vn ,.x = Q~ n (Hn,.x, 1/(3n)) satisfy (i) Vn ,.x C U.x for all
(n , A); (ii) d(Vn,.x, Vn ,l') 2 1/(3n) whenever p, < A, so the {Vn,.x} are a
pairwise disjoint family for each n; (iii) Un U.x Vn,.x = X; and (iv) for each
n, the family {Vn ,.x I A E A} is nbd-finite. 0
For any space Y, the support supp(f) of a map f : Y ---+ R is the
closed set {y E Y I f(y) i= O}. Let Y be a space and {U.x I A E A} an open
covering of Y. By a partition of unity subordinate to {U.x} is meant a family
of continuous maps /'\,.x : Y ---+ I for A E A such that:
(i) supp(/'\,.x) C U.x for each A,
(ii) {supp(/'\,.x) I A E A} is a nbd-finite closed covering of Y,
(iii) L:.x /'\,.x(y) = 1 for all y E Y.
Let X be paracompact, and let {U.x I A E A} be any open covering of X.
Then:
(a) {U.x} has an open nbd-finite refinement {V.x I A E A} with V.x C U.x
for each A.
(b) {U.x} has an open refinement {VI'I p, E M} with the property: for
each x E X, the union U{VJl I x E VJl} is contained in some U.x.
(This is called an open barycentric refinement.)
(c) {U.x} has a subordinate partition of unity.
Some general embedding theorems

(B.ll) THEOREM.
(a) (Urysohn) Any compact metric space admits an embedding into
the Hilbert cube lOCi.
(b) (Tychonoff) Any compact space can be embedded in a Tychonoff
cube, i .e. , a (possibly uncountable) product of unit intervals.
(B.12) THEOREM (Kuratowski). Any metric space (Y, d) can be isometri-
cally embedded in the Banach space C(Y) of all bounded continuous
real-valued functions on Y taken with the sup norm.
(B.13) THEOREM (Arens- Eells). Any metric space (Y, d) can be isometri-
cally embedded as a closed subset in a normed linear space.
PROOF e). Let E be the set of all finite nonempty subsets of Y. Taking
E with the discrete topology, let C(E) be the Banach space of all bounded
(continuous) real-valued functions on E equipped with the sup norm. We
first embed Y isometrically into C(E).
Choose a point p E Y, and for each y E Y let f y : E ---+ R be the function
fy(~) = d(y,O - d(p , ~). Then fy E C(E) because
Ify(~)1 = Id(y,~) - d(p,~)1 'S d(y,p)

e) This proof is due to Torunczyk [1972J.
shows that it is bounded. The map ,,\ : Y -+ C(17) given by Y f--> fy is an

isometric embedding because
Ilfy - fzll = sup Id(y, e) - d(z, 01 :::; d(y, z)
~
and the sup is attained with ~ = {z} E 17. Thus 1I"\(y) - "\(z) II = d(y , z) and
,,\ is isometric.
Now we observe that (a) fp(e) == 0; (b) for each y E Y, we have fy(e) = 0
e
whenever =:J {y,p}.
In particular, "\(Y) contains the origin of C(17). Let L be the linear span
of "\(Y) in C(17); clearly, L is a normed linear space which need not be
closed in C(17); but "\(Y) c L , and we now show that "\(Y) is closed in L.
Let gEL - "\(Y); then 9 = L:~1 adYi for suitable real ai and Yi E Y.
Because 9 rf- "\(Y) , we have 9 i= fYi for i = 1, ... , n; to show that "\(Y) is
closed in L , it is sufficient to show that B(g, 0) n "\(Y) = 0 for some 0 > O.
Let 0 > 0 be smaller than
min {~lIgll, ~ IIg - fYllI ,· .. , ~ IIg - fYn II}
and assume IIg - fyil < 0 for some fy E "\(Y); then for this fy we would have
IIfy - fyJ 2: 0 and IIfyll = IIfy - fpll 2: 0; therefore, because ,,\ is isometric,
d(y,Yi) 2: 0 and d(y,p) 2: o. But IIg - fyll 2: Ig(~) - fY(~)1 for every eEL';
in particular, for ~ = {Y1,"" Yn,P} we have g(~) = 0 by (b), so
IIg - fyll 2: Ify(~)1 = d(y , {Y1,"" Yn,P}) 2: 0,
contradicting the assumption that IIg - fyll < O. Thus B(g, 0) n "\(Y) = 0,
and since gEL - "\(Y) was arbitrary, the proof is complete. 0
Set-valued maps
Let X, Y be topological spaces. A map S : X -+ 2Y is called a set-valued
map; the sets Sx are the values of S. The image of an A C X is S(A) =
U{Sx I x E A}, and the graph of Sis G s = {(x,y) E X x Y lyE Sx}.
The inverse S-l : Y -+ 2x and the dual S* : Y -+ 2x of S are the maps
Y f--> S - ly = {x E X lyE Sx} and y f--> S*y = X - S-ly. The values of
S-l (respectively of S*) are called the fibers (respectively the cofibers) of S.
Note that S is surjective (i.e., S(X) = Y) if and only if its fibers S-ly
are all nonempty. By a fixed point of a set-valued map S : X -+ 2Y is meant
a point Xo E X for which Xo E SXo . Clearly, if S has a fixed point, then so
does S - l.
The union SUT (respectively intersection SnT) of maps S, T : X -+ 2Y
is the map x f--> Sx U Tx (respectively x f--> Sx n Tx). The composition of
S : X -+ 2Y and G : Y -+ 2 z is the map x f--> G(Sx). An S : X -+ 2Y is
point-compact if each Sx is compact.
A map S : X ---t 2Y is upper semicontinuous (written u.s.c.) if {x E X I

Sx c U} is open in X for each open U c Y; it is lower semicontinuous
(written los.c.) if {x E X I Sx c B} is closed in X for each closed BeY; it
is continuous if it is both u.s.c. and los.c.
The following results are standard:
(a) A point-compact u.s.c. map has a closed graph.
(b) The point-compact u.s.c. image of a compact set is compact .
(c) The union of finitely many, intersection of any family, composition
of any two point-compact u.s.c. maps is point-compact u.s.c.
(d) If S : X ---t 2Y is point-compact u.s.c., and T: X ---t 2Y is any map
with a closed graph, then S nTis point-compact u.s.c.
(e) Let S : X ---t 2Y be point-compact u.s.c., let {xo,} be a net in X, and
let Yo. E SXa. for each a. If Xa. ---t Xo and Yo. ---t Yo, then Yo E Sxo.
If S : X ---t 2Y is any set-valued map, then a function <p : X ---t Y
satisfying <p(x) E Sx for each x E X is called a selection for S.
(B.14) THEOREM (Michael). Let X be paracompact, E a Banach space, and
S : X ---t 2E a map with each Sx a nonempty closed convex set. If S is
lower semicontinuous, then S has a continuous selection <p : X ---t E.
C. Linear Topological Spaces
Vector spaces
We will use K to denote either the field R of real numbers or the field C
of complex numbers. A vector space E over the field K is an abelian group
E together with a map K x E ---t E (in which the image of (A, x) is written
AX) satisfying
A(X + y) = AX + AY, A(f-LX) = (Af-L)X,
(A + f-L)x = AX + f-LX, Ix = x,
for all x, y E E and A, f-L E K. The field K is called the scalar field of E , and
the map K x E ---t E the scalar multiplication; K is itself a vector space over
K if the scalar multiplication is defined to be the multiplication in K. We
say E is a real (respectively complex) vector space if K = R (respectively
K=C).
A subgroup M C E is called a linear subspace if AX E M for all A E K
and x E M; the quotient group, with scalar multiplication defined by setting
A(X + M) = AX + M for each coset, is also a vector space over K, called the
quotient space E / M.
If a, b are elements of E, the set {x I x = (1 - A)a + Ab, 0 ::::; A ::::; I}
is called the line segment joining a to b; a subset C C E is convex if for
each pair a, b E C, the line segment joining them lies in C . For any subset
AcE, the intersection of all convex sets containing A is called the convex
hull conv(A) of A ; it is the "smallest" convex set containing A and can be
described directly in terms of A as
n n
conv(A) = {Y I Y = L Aiai; ai E A , Ai :2 0, L Ai = 1; n arbitrary}.
i=l i=l
The intersection of all linear subspaces containing A is called the linear span
of A and is denoted by span(A); it is the smallest linear subspace containing
A and can be described as
n
span(A) = {Y I Y = L Aiai ; Ai E K, ai E A; n arbitrary}.
i=l
A fiat (or linear variety) in E is a subset of the form L + a, where L is

a linear subspace of E and a E E. A wedge in E is a convex set P such that
AP c P for each real A :2 o. A cone in E is a wedge C such that x E C,
x =1= 0 implies -x tt C.
A finite set {aI, ... , an} in E is linearly independent if the equation
AlaI + ... + Anan = 0
is satisfied only by Al = ... = An = 0; an arbitrary subset SeE is called
linearly independent if each of its finite subsets is linearly independent.
A maximal linearly independent set SeE is called a basis; each element of
E can then be written uniquely as a finite sum x = 2::=1 AiSi, where Ai E K
and Si E S. Every vector space has a basis, and all bases have the same
cardinality; if this is a finite cardinality n, then we call E an n-dimensional
vector space over K and write dim E = n ; otherwise, we write dim E = 00.
If AcE is a linear subspace, then any basis for A can be enlarged to a
basis for E.
Two linear subspaces M, N of E are complementary if each element of
E can be written uniquely as z = x + y, where x E M and yEN; we then
write E = M EB N and call E the direct sum of M and N. Every linear
subspace M c E has at least one complementary subspace, and all these
subspaces have the same dimension, called the codimension of M in E. If
dim E < 00, then dim E = dim M + codim M.
Let E, F be two vector spaces over the same field K. A map T : E ----+ F
is called linear (or a linear operator) if T( AX + f-lY) = AT( x) + f-lT(y) for all
x, y E E and A, f-l E K. Regarding the scalar field as a vector space, a linear
map f : E ----+ K is called a linear functional. If M is a linear subspace
of E, then the map E ----+ E / M given by x f---r X + M is linear. For any
linear operator T : E ----+ F, its kernel KerT = {x I Tx = O} c E and its
image 1m T = {Tx I x E E} c F are linear subspaces, and T is injective
if and only if KerT = O. We call a linear operator T : E ~ F monic (or a

monomorphism) if it is injective, epic (or an epimorphism) if it is surjective,
and an isomorphism if it is bijective; the inverse of a bijective linear operator
is necessarily linear.
A sequence
of linear spaces and linear operators is exact if the image of each operator is
precisely the kernel of the next operator. Because every short exact sequence
o ~ El ':0. E2 ~ E3 ~ 0 of vector spaces and linear operators splits, it
follows that E2 ~ El E9 E 3; as in the case of abelian groups, since any linear
operator T : E ~ F gives rise to a short exact sequence 0 ~ Ker T ~ E ~
ImT ~ 0, we have E/KerT ~ ImT.
Linear topological spaces

A linear topological space is a vector space E over K equipped with a Haus-
dorff topology such that the mappings (x, y) 1--+ X + Y of E x E to E and
(A, x) 1--+ AX of K x E to E (with the usual topology on K) are continuous.
In this book, by a linear topological space we mean a linear topological space
over R; in some places where complex spaces appear this is stated explicitly.
Some useful general properties of linear topological spaces are:
(i) A linear topological space is always completely regular.
(ii) (F. Riesz) A linear topological space is locally compact if and only
if it is finite-dimensional.
(iii) (Tychonoff) If dim E = n < 00, then E is linearly homeomorphic
to Rn (a linear homeomorphism is established by choosing a basis
{Xl, ... , x n } C E and setting 2::1 Aixi 1--+ (AI, ... , An) ERn).
Minkowski functionals. Seminorms

Let E be a linear topological space. A set AcE is:
(i) balanced (or circled) if AA = {Ax I x E A} c A for all IAI :::; 1,
(ii) absorbing if for each x E E there is an r > 0 with x E AA for all
IAI 2: r,
(iii) bounded if for each neighborhood V of 0 there is a real A = A(V)
such that A C AV.
Any neighborhood V of 0 contains a balanced neighborhood of 0; and if V
is also convex, then V contains a balanced convex neighborhood of o.
Let K be any convex, balanced, absorbing set in E. The function PK :
E ~ R defined by
PK(X) = inf{A > 0 I x E AK}
is called the Minkowski functional of K , and has the properties:

(a) PK(X + y) ::; pK(X) + PK(Y) for all x, Y E E ,
(b) PK()..X) = 1)..lpK(X) for all x E E and)" E R.
Moreover, PK is continuous if and only if 0 belongs to the interior of K.
Conversely, let P : E --) R be any function with properties (a) and (b) and
let W = {x I p(x) < l}; then W is convex, balanced, and absorbing, and P
is the Minkowski functional of W.
A function P : E --) R satisfying (a) and (b) is called a seminorm on
E; if (b) holds only for all ).. 2: 0, then P is called a sublinear functional. If
P : E --) R is a seminorm, then the set {x I p( x) = O} is a linear subspace
and if it consists only of 0, the function p is called a norm. The following
result is frequently useful: If p: E --) R is a seminorm and {x I p(x) < l} is
bounded, then p is in fact a norm.
(C.l) (Hahn- Banach principle) Let P : E --) R be a sublinear functional
on the linear space E, let M be a subspace of E, and let f : M --) R
be a linear functional such that f (x) ::; p( x) on M. Then f extends
to a linear functional F : E --) R such that F(x) ::; p(x) on E.
Normed linear spaces

If P : E --) R is a norm, then the map d: E x E --) R defined by d(x, y) =
p(x - y) is a metric on E; the metric topology on E determined by d is
called the topology determined by the norm p. A normed linear space is
a linear topological space whose topology is determined by a norm. Two
norms P, q : E --) R determine the same topology if and only if there are
real numbers a, b such that p( x) ::; aq( x) ::; bp( x) for all x E E. A norm used
to determine the topology of a normed linear space is denoted by II x II.
(i) A linear operator T : E --) F between normed linear spaces is contin-
uous either at every point of E or at no point of E. It is continuous on E if
and only if there is a constant M such that IITxl1 ::; Mllxll for every x E E.
(ii) (Hahn- Banach) If E is a normed linear space and Xo -10, then there
exists a continuous linear functional f : E --) R with Ilf(x)11 ::; Ilxll for all
x E E and f(xo) = Ilxoll.
Locally convex spaces

A linear topological space is locally convex if every neighborhood of 0 con-
tains a convex neighborhood of O. Every locally convex topology on a vector
space is determined by some family {Pa I ex E d} of seminorms having the
property that Pa (x) = 0 for all ex E d if and only if x = 0; in the topology
determined by such a family of seminorms, a set V is open if and only if for
each v E V there exists some E: > 0 and finitely many aI, . .. ,an E d such
that n~=l {x I Poei (x - v) < c} C V.
Let A be a subset of a locally convex space E. A point x E A is an
extreme point of A if it is not contained in the interior of any line segment
having its endpoints in A . The convex closure Conv A of A is the smallest
closed convex subset containing A.
(C.2) THEOREM (Krein- Milman).
(a) If A is a compact convex subset of a locally convex space E, then
A is the convex closure of its set of extreme points.
(b) If B is any compact subset of E, and if Conv B is also compact,
then all the extreme points of Conv B belong to B .
The weak topology in a locally convex space E is the smallest topology
for which all the linear functionals f : E -+ R that are continuous in the
original topology remain continuous. The weak topology, which is in general
smaller than the original one, also makes E into a locally convex linear
space. We speak of weakly open sets, weak compactness, etc. when referring
to the weak topology.
(C.3) THEOREM (Mazur). In a locally convex space E, a convex set C c E
is weakly closed if and only if it is closed.
Banach spaces
A normed linear space is called a Banach space if the metric determined by
its norm is complete. The Hausdorff completion of any normed linear space
is a Banach space; in particular, every normed linear space can be mapped
by a linear isometry onto a dense subset of a Banach space.
If E, F are linear topological spaces, then the set of all continuous linear
operators from E to F, with the operations
(S + T)(x) = S(x) + T(x) and ('\T)(x) = ,\T(x),
forms a linear space !£(E, F). If both E and Fare normed linear spaces,
then !£(E , F) is normed by setting IITII = sup{IIT(x)lllllxll = I}, and if F
is a Banach space, this norm makes !£(E , F) into a Banach space.
(C.4) THEOREM (Mazur). Let E be a Banach space and ACE a relatively
compact subset. Then its convex closure Conv A is compact.
(C .5) THEOREM . Let E, F be Banach spaces and T E !£(E,F).
(a) (Banach) If T is bijective, then T- I is continuous.
(b) (Schauder) If T is surjective, then T is an open mapping.
(C.6) (Closed graph theorem) Let E, F be Banach spaces. A linear operator
T : E -+ F is continuous if and only if its graph is closed.
(C.7) THEOREM (Banach- Steinhaus). Let E be a Banach space, let F be

a normed linear space, and let {Tn: E ---+ F} be a sequence of con-
tinuous linear operators.
(a) If SUPn IITn(x)11 < 00 for each x E E, then SUPn IITnl1 < 00.
(b) If limn Tn (x) exists for each x E E, then T : E ---+ F defined by
T(x) = limn Tn(x) is a continuous linear operator.
Let E, F be Banach spaces, and U c E open. A map f : U ---+ F is
differentiable at x E U if there is an operator Tx E 2(E, F) such that
f(y) - f(x) = Tx(Y - x) + R(x, y) ,
where
lim IIR(x, y)11 = O.
Ily-xll->o Ily - xii
The linear operator Tx is called the derivative of f at x, and is written
Df(x); if Df(x) exists, then f is continuous at x. We say that f is of class
CIon U if Df(z) exists for each z E U and the map z f-+ Df(z) of U into
2(E, F) is continuous. If U is convex, f is CIon U , and IIDf(x)11 :s: K for
all x E U, then
Ilf(y) - f(z)11 :s: Klly - zll for all y, z E U
(the mean value theorem).
Weak topology in Banach spaces. Dual spaces. Reflexive spaces

Let E be a Banach space. A sequence {x n } in E converges weakly to an
element x E E (i.e., converges in the weak topology) if f(x n ) ---+ f(x) for
every norm continuous linear functional; in particular, norm convergence
implies weak convergence.
(C .8) THEOREM. Let E be a Banach space.
(a) If the sequence {x n } converges weakly to x, then sup{ Ilx n II} < 00.
(b) (Eberlein) A subset of E is weakly compact if and only if it is
weakly sequentially compact.
(c) (Krein- Smulian) If AcE is weakly compact , then the weak
closure of conv A is also weakly compact.
Let E be a Banach space. The Banach space 2(E, R) of all continuous
linear functionals is called the dual space (or conjugate space) of E, and is
denoted by E*. For f E E* and x E E , we write (J,x) instead of f(x);
observe that the map E* x E ---+ R given by (J, x) f-+ (J, x) is bilinear, and
that 1(J,x)1 :s: Ilfll·llxll·
The dual of E* is called the second dual of E. Corresponding to each
x E E there is a unique Fx E E** = 2(E*, R) defined by Fx(J) = (J, x);
the map J : E - t E** given by x f---t Fx is an isometric embedding of E

into E**, called the canonical embedding. A Banach space is reflexive if the
canonical embedding is surjective.
(C.9) THEOREM.
(a) If E is reflexive, then E* is also reflexive.
(b) (Mazur- Smulian) A Banach space E is reflexive if and only if
every closed bounded convex subset of E is weakly compact.
(c) (Eberlein) A Banach space E is reflexive if and only if each
bounded sequence in E contains a weakly convergent subsequence.
For the dual E* of a Banach space E, there is another weak topology,
called the weak-star topology: this has as subbase of neighborhoods of 0 the
family
{Wx I x E E} , where Wx = {J E E* I (j,x) < I}.
For reflexive spaces, the weak and weak-star topologies coincide.
(C.lO) THEOREM (Banach- Alaoglu). Let E be a Banach space. Then the
closed unit ball of E* is compact in the weak-star topology.
Riesz-Schauder theory
Let E, F be normed linear spaces. An operator T E 5t'(E, F) is called
Fredholm if 1m T is closed in F and both Ker T and Coker T = Film Tare
of finite dimension. We call
Ind T = dim Ker T - dim Coker T
the (Fredholm) index of T. The subset of 5t'(E, F) of Fredholm operators
of index m is denoted by tPm(E, F).
An operator T E 5t'(E, F) is called completely continuous e)
if T sends
bounded sets in E to relatively compact sets in F. The set of all such
operators is denoted by X(E, F); when E = F we write X(E) = X(E, E).
Some elementary but frequently used properties of completely continuous
operators are:
(i) A completely continuous operator is continuous.
(ii) X(E, F) is a linear subspace of 5t'(E, F).
(iii) If F is a Banach space, then X(E, F) is closed in 5t'(E, F).
(iv) If E is a Banach space and T E X(E), then 1- T E tPo(E, E).
Let E be a real Banach space and T E X (E). We call
r(T) = Vt E R I Ker(I - J-lT) =1= {O}}
(1) Note that such operators are now often called "compact", which is in conflict with
our terminology of §6.
the set of characteristic values of T. It is clear that 0 tI- r(T) and fL E r(T) {::?
fL- 1 is an eigenvalue of T.
(C.lI) (Riesz- Schauder) Let E be a real Banach space and T E £(E).

1° Any closed interval [a, bj c R contains only a finite number of
characteristic values of T.
2° If fL tI- r(T), then I - fLT is invertible.
3° If /-l E r(T), then:
(a) there exists the smallest sEN (called the exponent of fL) such
that
N = Ker (I - fLT)S = Ker (I - fLT)s+k for k ~ 1,
M = 1m (I - fLT)S = 1m (I - fLT)s+k for k ~ 1,
(b) Nand M are closed subspaces of E invariant under T,
(c) the subspace N = U~l Ker (I -fLT)1 is of finite dimension; the
integer mil- = dim N is called the algebraic multiplicity of fL .
Hilbert spaces
Denote the complex conjugate of z E C by z. Let E be a complex Banach
space. A map Ex E -+ C (the image of the pair (x, y) being denoted simply
by (x, y)) is called an inner product on E if:
(a) (x , >..y + fLZ) = ~(x, y) + 7l(x , z) for all x, y E E and >.., fL E C,
(b) (x, y) = (y, x) for all x, y E E,
(c) (x,x) ~ 0 and (x,x) i= 0 if x i= o.
An inner product in a real Banach space is a real-valued map E x E -+ R
having the properties (a)- (c) (so that the bars can be omitted) .
It follows that Ilxll = ~ is a norm. A real (or complex) Banach
space with norm obtained from an inner product is called a Hilbert space.
We list their main properties:
(i) A norm in a (real or complex) Banach space E is derivable from an
inner product if and only if it satisfies the parallelogram law:
Ilx + Yl12 + Ilx - Yl12 = 211xl1 2+ 211Y112.
(ii) The inner product on a Hilbert space H is continuous on H x H,
and l(x,y)1 :S Ilxll·llyll for all X,y E H.
(iii) (F. Riesz) Given any continuous linear functional f : H -+ K
on the Hilbert space H, there exists a unique y E H such that
f (x) = (x, y) for all x E H.
(iv) Every Hilbert space is reflexive.
Let H be a Hilbert space. A subset A cHis called orthogonal if (x,y)=O
for all x , yEA with x i= y; if also Ilxll = 1 for each x E A , then A is called
orthonormal.
Some function spaces

Let D be an open bounded subset of Rn. If s = (Sl, ... , sn) is an n-tuple of
nonnegative integers, we write DS = Dfl ... D~n, where D j = a/aXj. Then
D S is a differential operator of order lsi = L~=l Si·
1. The space C(D). The space of continuous real-valued functions on D
denoted by C(D) is a Banach space under the norm lIulio = sUPxEQ lu(x)l.
A subset K c C(D) is equicontinuous provided for every E > 0 there is a
6 > 0 such that IIXI -x211 < 6 implies lu(xd -u(x2)1 < E for every Xl, X2 E D
and every u E K. A subset of C(D) is relatively compact if and only if it is
bounded and equicontinuous (Arzela- Ascoli theorem).
2. The spaces LP(D) . Let 1 ::::; p < 00 and denote by LP(D) the class of
measurable real-valued functions u on D for which In
lu(x)IP dx < 00. We
identify in LP(D) functions that are equal almost everywhere on D. Then
LP(D) is a Banach space under the norm
lIuliLP = {inlu(X)IP dX} liP.
A set K c LP(D) is relatively compact if and only if it is bounded in LP

norm and Inlu(x + h) - u(x)IP dx --) 0 as h --) 0 uniformly for u E K
(M. Riesz). The space L2(D) is a Hilbert space with the inner product
(u, v) = in u(x)v(x) dx.
3. The spaces Ck(D). Given an integer k 2: 1 let Ck(D) be the set of all
real-valued functions u defined in D whose partial derivatives of order::::; k
all exist and are continuous e). The class C k (D) is a Banach space under
one of the equivalent norms
lIulik = L su~ IDSu(x)1 = L IIDsullo,

Isl:=;k xEn IsI9
lulk = max{IIDSulio Iisl ::::; k}.
The embedding (Ck+l(D), II lIk+d --) (Ck(D) , II Ilk) is completely contin-
uous.
4. The Holder spaces Ck+c>(D). A function u : D --) R is Holder contin-
uous with exponent a (0 < a < 1) provided we have
lIullc> = lIulio + sup lu(x) - u(y)1 < 00.

x,yEQ IIx - ylla
xi-y
e) We assume that each U E C k (1]) admits a C k extension over some nbd of 1] in Rn.
For an integer k 2: 1 and 0 < a < 1, let ck+a (fl) be the set of all functions
u that together with their derivatives up to order k are Holder continuous
with exponent a. The class C k + a (fl) is a Banach space under one of the
equivalent norms
IIUIIk+a = L IIDsulla,
Is l ~k
The embedding (Ck+a(fl) , 1111k+a) -+ (c n +f3(fl) , 1IIIn+(3) is completely con-

tinuous if k + a> n + (3 (Schauder).
5. The Sobolev spaces Wk ,p(Q). Denote by Ck(Q) the set of all functions
u defined in Q whose partial derivatives of order ::; k all exist and are
continuous in Q. For u E Ck(rl) we let
and set
Ck,P(rl) = {u E Ck(Q) Illullk,p < oo}.
We denote by Wk ,P(rl) the completion of Ck(Q) with respect to the norm
II Ilk,p. Note that {urn} is a Cauchy sequence in Ck,P(Q) if and only if
IIDsu rn - DSukllp -+ 0 as m, k -+ 00 (0::; lsi::; k).
Because LP(Q) is complete, there exist functions US E LP(Q) such that
IIDsu rn - uSllLP -+ O. We can assign to uO E Wk,P(Q) the functions US
(0 < Is I ::; k) and call these functions the "derivatives" of uO. One verifies
that W k,2(rl) is a Hilbert space with the inner product
(u, v) = 1L
[} O~lsl~k
DSu(x)DSv(x) dx, u, v E Wk ,2(Q).
D. Algebraic Preliminaries
A set C together with a map (x, y) f-t X + y from C x G to C is called an
abelian group whenever:
(i) x + (y + z) = (x + y) + z for all x, y, z E C,
(ii) x + y = y + x for all x, y E G,
(iii) there exists an element 0 E C such that x + 0 = x for all x E C,
(iv) for each x E G there is an x' E G such that x + x' = O.
The element 0 is unique, as also is the inverse x' of each x; x' is written -x ,
and x+( -y) is written x-yo A set A eGis called a subgroup of G if x-y E A
for all x,y E A; the set CIA = {z+A I z E G}, with addition defined on the
cosets z+A = {z+a I a E A} by setting (x+A)+(y+A) = (x+y)+A, is also
an abelian group, called the quotient group G I A. If {GihEI is a collection of

abelian groups, then their direct product IT G i is the abelian group structure
defined on the Cartesian product of {G i } by setting {xd+ {yd = {Xi +yd.
The subgroup EB G i C IT G i , consisting of the elements {xd with only a
finite number of nonzero coordinates, is the direct sum of {G i }.
Let G, H be two abelian groups. A map <P : G - t H is called a homo-
morphism if <p(x + y) = tp(x) + tp(y) for all X, y E G. If A is a subgroup
of G, then the map G - t G I A given by X f---+ X + A is a homomorphism.
We call a homomorphism monic (or a monomorphism) if it is an injective
map, epic (or an epimorphism) if it is surjective, and an isomorphism if it
is bijective. If <p : G - t H is an isomorphism, then the groups G and Hare
called isomorphic and we write G ~ H.
For every homomorphism <p : G - t H , its kernel Ker tp = {x E G I
tp(x) = o} c G and its image Im<p = <p(G) c H are subgroups; we note
that <p is monic if and only if Ker tp = {O}, and it is epic if its cokernel
Coker tp = H 11m tp is the trivial group {O} .
Exact sequences
A sequence
... -t G' -t G -t Gil -t ...
of abelian groups and homomorphisms is exact if the image of each hom-

omorphism is precisely the kernel of the next homomorphism. For example,
if tp : G - t H is a homomorphism , then with i : Ker tp '------+ G being the
inclusion and p : H - t Coker tp the quotient map, the sequence
o --t
iG'P
Ker tp --t --t H --t
Pc oker tp --t 0
is exact.
An exact sequence of the form
o - t G' ~ G ~ Gil -t 0
is called a short exact sequence. Since every homomorphism <p : G - t H
gives rise to an obvious short exact sequence 0 - t Ker <p - t G - t 1m tp - t 0,
we have G IKer <p ~ 1m tp.
Observe that any 5 consecutive terms in a long exact sequence
G i ~ G2 -t G3 --t G4 ~ G5
give rise to a short exact sequence
o - t Coker <Pi -t G3 -t Ker tp4 -t o.
A short exact sequence (*) is said to be split if one of the following
equivalent conditions is satisfied:
(i) 'P has a left inverse 'P', that is, 'P' 'P = lGI,
(ii) 7j; has a right inverse 7j;', that is, 7j;7j;' = lGII,
(iii) G ~ G' EEl Gil.
The following behavior of exact sequences is frequently used:
(D.l) 5-LEMMA. In the commutative diagram
AI--A2 --A3 --A4 --A5
lVl lV2 lV3 lV4 lV5
BI--B2 --B3 --B4 --B5
of abelian groups and homomorphisms, with exact rows, if VI , V2, V4,
V5 are all isomorphisms, then V3 is also an isomorphism.
(D.2) WHITEHEAD- BARRATT LEMMA. If the commutative diagram of abel-

ian groups and homomorphisms
has exact rows and the "Ii are isomorphisms, then the sequence
. . . --+ A i (O:i,- ftl

-----+
A~
i EEl
B h+(3i
i -----+
B~
i
hni- 1gi A
-----+ i +1 --+ . . .
is exact.
Free abelian groups

An abelian group G is called free with basis {go:} o:EA, where A is some
index set, if each g E G can be uniquely written as a finite sum with integral
coefficients
L>.o:go: (>'0: E Z, almost all >'0: = 0).
o:EA
Some frequently used properties of free abelian groups are:
(a) If H is an abelian group and G is free, then any map go: f-----> ho:
of the basis {go:} of G into H extends to a unique homomorphism
'P : G --+ H by setting 'P(l: >.o:go:) = l: >'o:ho:.
(b) Every abelian group is isomorphic to a quotient of a free abelian
group.
(c) If F is free, then any short exact sequence 0 --+ G' --+ G --+ F --+ 0
splits (hence G ~ G' EEl F).
(d) Every subgroup of a free abelian group is free.
Let X be any set of objects. The set F(X) of all formal finite linear
combinations L: eixi of elements of X with ei E Z forms the free abelian
group generated by X. Because the elements of X form a basis in F(X), every
map from X to a set Y induces a unique homomorphism i.p : F(X) ---> F(Y).
Tensor and torsion products

Let A and C be abelian groups, and denote by A 0 C the free abelian group
generated by all symbols a 0 e, where a E A, e E C. Let RcA 0 C be
the subgroup generated by all elements (a + a') 0 e - a 0 e - a' 0 e and
a 0 (e + e') - a 0 e - a 0 e'. The quotient group A 0 C /R is called the tensor
product of A and C, and is denoted by A 0 C; the symbol a 0 c represents
the coset a 0 e + R. Thus, A 0 C is a group in which an element of A can be
"multiplied" by an element of C, the "multiplication" being distributive.
Let G be an abelian group, and f : A x C ---> G a mapping of the Cartesian
product of A and C into G such that f(a + a',e) = f(a,e) + f(a', c) and
f(a, c + c') = f(a, c) + f(a, e') for all a, a', c, c'. Then there is a unique
homomorphism w : A0 C ---> G such that w(a0 c) = f(a, c): for, since Ao C
is free abelian, there is a unique w' : A 0 C ---> G with w'(a 0 c) = f(a, c),
and by the linearity of f in each variable, w'(R) = 0, so we can pass to
the quotient. Thus, a homomorphism of A 0 C into any group G is defined
uniquely by giving the images of the symbols a 0 e provided that these
images are additive in a and in e.
°
We now list some properties of the tensor product:
(a) If a = or c = 0, then a 0 c = 0; the converse need not be true.
(b) n(a 0 c) = (na) 0 e = a ® nc for all n E Z.
(c) 0 is commutative, associative, and
(EB An) 0 C= EB( An 0 C).

n n
(d) A ® Z ~ A and Z /nZ 0 Z /mZ ~ Z /(m, n)Z, where (m, n) is the

greatest common divisor of m and n.
(e) Let ° °
A ~ B ~ C ---> be a short exact sequence. Then for any
°
--->
. n01 ~01
abehan group G, the sequence A 0 G ---+ B 0 G ---+ C 0 G --->
is also exact. Note that in contrast to a, the homomorphism a 01
need not be monic. However, if either C or G is torsion-free, or if A
is a direct summand in B, then a 0 1 is also monic.
Let A be an abelian group. By a free presentation of A is meant a short
°
exact sequence ---> R ~ F ~ A ---> 0, where F (and R) are free abelian
groups. This gives the exact sequence
R0G ~ F0G ~ A0G ---> °

for any abelian group G. The group Ker(o: (1) is called the torsion product
of A and G, and is denoted by Tor(A, G). We list some of its properties:
(a) The group Tor(A, G) is independent of the particular free presenta-
tion used for A, and is functorial in A and G.
(b) Tor(A, G) ~ Tor(G, A).
(c) Tor(EB a Ax, G) ~ EBa Tor(Aa, G).
(d) Tor(A, G) = 0 if either A or G is free, and
Tor(Z InZ, Z ImZ) ~ Z I(n, m)Z.
(e) If 0 --+ A ~ B -! C --+ 0 is any exact sequence of abelian groups,
then for any abelian group G, there is an exact sequence
0--+ Tor(A, G) --+ Tor(B, G) --+ Tor(C, G)
--+ A 0 G ~ B 0 G ~ C 0 G --+ O.
Gmded abelian groups

A graded abelian group C is a family {Cn I n E Z} of abelian groups with
C n = 0 for n < 0; a subgroup of the graded group C is a graded group
B = {Bn In E Z}, where Bn is a subgroup of Cn for each n; the quotient
of these graded groups is the graded group C I B = {Cnl Bn I n E Z}.
The direct sum of the graded groups C = {Cn I n E Z} and D = {Dn I
n E Z} is the graded group CtBD = {CntBDn In E Z}. For reasons coming
from algebraic topology, the tensor product C 0 D of graded groups has a
special grading: it is the graded group T = {Tn I n E Z}, where
n
Tn = EB C i 0 D n- i .
i=O
A homomorphism f : C --+ D of graded groups is a family of homomor-

phisms fn : C n --+ Dn+n one for each nEZ, where r is a fixed (positive or
negative) integer called the degree of f.
Chain complexes and homology

A chain complex C = {Cn , an I n E Z} is a graded abelian group together
with an endomorphism a: C --+ C of degree -1 such that 00 = O. In other
words, we are given a sequence {an: C n --+ C n- 1 I n E Z} of homomor-
phisms such that OnOn+l = 0 for all n. The map a (as well as its components)
is called the differential (or the boundary map); we frequently omit the index
n on an. Elements of C n are called n-chains, elements of Zn(C) = Keron
are n-cycles, and elements of Bn(C) = Imon+l are n-boundaries.
A map f : C --+ C' of chain complexes (or a chain map) is a map of degree
zero of graded abelian groups such that fa = of, where the last a denotes
the differential in C'. Thus a chain map is a family {fn : C n --+ C~ I n E Z}

of homomorphisms such that On+1fn+l = fnOn+l for all n. Two chain maps
f, g : C --+ C' are chain homotopic if there is a map h : C --+ C' of graded
abelian groups of degree +1 such that oh + ho = f - g; the h is then called
a chain homotopy from f to g, and we write f '" g.
Let C = {Cn , On} be a chain complex. Since for each n E Z the require-
ment OnOn+l = 0 is equivalent to Bn(C) c Zn(C) , we can associate with C
the graded abelian group
H*(C) = {Hn(C)}, where Hn(C) = Zn(C)jBn(C) for n E Z.
The group H n (C) (respectively H * (C)) is called the nth (respectively the
graded) homology group of C. Every chain map f : C --+ C' naturally induces
a map f* : H*(C) --+ H*(C') of degree zero; thus H*( -) becomes a functor,
called the homology functor, from the category of chain complexes to the
category of graded abelian groups. We remark that if f '" g, then f* = g*.
Long exact sequence

A sequence 0 --+ C' --+ C --+ C" --+ 0 of chain complexes and chain maps is
called exact if the sequence 0 --+ C~ --+ C n --+ C~ --+ 0 of abelian groups is
exact for each n.
(D.3) THEOREM. If 0 --+ C' --+ C --+ C" --+ 0 is an exact sequence of chain
complexes , then there is a long exact sequence in homology:
... --+ Hn(C') --+ Hn(C) --+ Hn(C") ~ Hn-1(C') --+ ....
[The connecting homomorphism 0 is constructed as follows: Let x E C~ be a

cycle with homology class [x]. Lift x to ayE Cn; then oy has zero image in
C~_l' hence it comes from C~-l. By construction, o[x] = [oy] E Hn-l(C').]
A cochain complex C = {cn , on} is a graded abelian group C together
with an endomorphism 0 : C --+ C of degree + 1 with 00 = O. Again <5 is called
the codifferential (or coboundary operator). Maps of cochain complexes (or
cochain maps) are defined analogously to chain maps. For a cochain complex
C = {cn, sn} we define its graded cohomology group H* (C) = {Hn (C)} by
nE Z.
With the analogous definition of induced maps, H* ( -) then becomes a co-
variant cohomology functor from the category of cochain complexes to the
category of graded abelian groups.
Direct systems of abelian groups and their limits

In this subsection, by "group" we understand an additive abelian group. Let
D be a directed set and {G a I a E D} a family of groups. Assume that for
any a ::S {3 in D, there is given a homomorphism 11"afJ : G a --+ G fJ such that:
(i) 7raa = id,

(ii) 7ra"( = 7rfh7ra{3 for a ~ {3 ~ "(.
Then the family {G a} = {G a, 7r a{3 I a E 1)} is called a direct system of
groups over 1).
For convenience, any image of a ga EGa under any of the homomor-
phisms 7r a{3 is called a successor of ga' Let S be the set-theoretic union of
all groups G a, and call gl, g2 E S equivalent (gl rv g2) whenever they have
a common successor in the system. This is indeed an equivalence relation
in S, and its equivalence classes are called bundles.
The direct limit group Goo = li!!; { G a, 7ra{3} is defined as follows: The
elements of Goo are the bundles of S, and addition of bundles [Xl] + [X2] = [X]
is given by choosing a G a in which both [Xl]' [X2] have. representatives Xl,
x2 and letting [x] be the bundle containing Xl + X2. This addition makes
Goo an abelian group, the zero of Goo being the bundle containing the zeros
of all Ga. Assigning to every Xa E G a the bundle [xa] containing it, we get
a canonical homomorphism Ua : G a ---+ G=. These homomorphisms have
the following properties:
(i) Ua = u{37ra{3 whenever a ~ {3,
(ii) for any a ~ (3, we have ua(xa) = u{3(x{3) if and only if there is a "(
such that a,{3 ~ "( and 7ra"((xa) = 7r{3"((X{3).
The family U = {u a : G a ---+ Goo I a E 1)} is called the universal trans-
formation of {G a} into G=. We call ga EGa a representative of g E G=
whenever ua(ga) = g.
The main properties of the pair (G=, { U a } ) are collected in the following
(D.4) THEOREM. Let L be an abelian group and {fa : G a ---+ L I a E 1)}

a family of homomorphisms such that fa = f{37r a {3 whenever a ~ (3.
Then:
(1) there is a unique homomorphism f : G= ---+ L such that:
(a) fU a = fa for each a E 1),
(b) Imf = Ulmfa,
(c) Ker f = Uua(Ker fa),
(II) f is an isomorphism if and only if the following two conditions
hold:
(i) L = U1m fa,
(ii) if ga E Ker fa, then ga E Ker7r a {3 for some (3 t a.
(D.5) THEOREM. Let {G a }, {G a } be two direct systems over 1), and let
{h a : G a ---+ Ga I a E 1)} be a family of homomorphisms such that
h{37ra{3 = ira{3ha if a ~ (3. Then there exists a unique homomorphism
h= : G= ---+ Goo with the property that hoou a = uah a for all a E 1).
(D.6) THEOREM. Let {Ca } be a direct system of chain complexes over the
directed set V . Then for each n = 0, 1, ... ,
lli!}Hn(Ca ) = Hn(lli!}Ca ).
(D.7) THEOREM. Let {G~}, {G a }, and {G~} be direct systems over the
same directed set V , and assume that for each a E V there is an
exact sequence G~ --t G a --t G~, where the maps commute with those
defining the direct systems. Then the induced sequence
lim G~
~ ~
--t lim G a
~
--t lim G~
~ ~
is also exact.
(D.8) THEOREM. Let Nand C be directed sets. Define an order on N xC
by (0, k) ::S ({3, l) provided a ::S (3 and k ::S l. Let Ga ,k be a direct
system over N x C. Then:
(a) the maps Ga,k --t lli!!k Ga,k --t lli!;aOi.~k Ga ,k) induce an iso-
morphism
limG
--+
a ' k ~ lim(limG
--+ --+
a ' k) ,
a,k a k
(b) there is a natural isomorphism
lim(lim
-----+ --+
G a ' k) ~ lim(lim
--+ --+
G a ' k).
a k k a
Recall that V' c V is cofinal in V if for any 0 E V there is a {3 E V' such

that a ::S {3; a cofinal V' c V is also a directed subset of V. The following
result permits us to compare the direct limits when the direct systems are
taken over different directed sets.
(D.9) THEOREM. If V' c V is cofinal in V, then for any direct system
{G a 10 E V} we have
lli!; {Gal 0 E V} ~ lli!} {G /3 I {3 E Vi}.
Inverse systems of abelian groups and their limits

Let V be a directed set and {G a I a E V} a family of groups. Assume that
for any 0 ::S (3 in V, there is given a homomorphism J-l/3a : G/3 --t G a such
that:
(i) J-laa = id,
(ii) J-l'Ya = J-l/3aJ-l'Y/3 for a ::S {3 ::S 'Y.
Then the family {G a, J-l/3a} is called an inverse system of groups over V. The
inverse limit group Goo = ~{Ga , J-l/3a} is defined as follows: An element
g E Goo is a system {gal of elements ga EGa, one for each 0 E V, which
match in the sense that if a ::S fJ, then go. = J-L(3o. (g(3); we call such a system
{go.} a thread and go. is the representative of the thread in Ga. Addition in
Goo is defined in the obvious manner: if 9 = {ga} , g' = {g~} E Goo, then
{ga + g~} is also a thread, and we set 9 + g' = {ga + g~}. This is easily seen
to make Goo an abelian group, the zero being the thread consisting of the
zeros of all Ga.
For each a, mapping a thread to its representative in Go. yields a canon-
ical homomorphism Po. : G= ---7 Go. with the following properties:
(i) 9 = g' in Goo if and only if Po. (g) = Po. (g') for all a E 1),
(ii) Pa = J-L(3aP(3 whenever a ::S fJ·
E. Categories and Functors
Several simple notions about categories and functors are needed in order to
express , quickly and precisely, the various mathematical frameworks within
which we work.
A category K is a class (not necessarily a set!) of objects (written A, B,
C, ... ) together with:
1° a family of sets K(A, B), one for each ordered pair of objects (the
elements of K(A , B) are called morphisms from A to B in K and
denoted by f : A ---7 B or A L B), and
2° a function C : K(A, B) x K(B, C) ---7 K(A, C) , one for each ordered
tri pIe of objects (C (f, g) is written 9 0 f or 9 f and called the compo-
sition of f and g) , satisfying the following two conditions:
(a) The composition law is associative: if ALB .J.." C ~ D, then
h 0 (g 0 f) = (h 0 g) 0 f.
(b) For each object B there is a morphism IB E K(B , B) such that
f 0 1B = f for every f : B ---7 C, and 1Bog = 9 for every
g: A ---7 B.
We list a few examples:
(i) The class K of all sets, with K(A, B) being the set of all maps of
A into B with the customary composition law, obviously forms a
category Ens.
(ii) The class K of all topological spaces, with K(A, B) the set of all
continuous maps of A into B and with the usual composition law,
forms a category Top.
(iii) For any category K, the opposite category K* is that having the
same objects as K, morphisms K*(A, B) = K(B , A), and the same
composition law as in K.
(iv) There are many categories in which all objects have some type of
algebraic structure, such as the category Ab of abelian groups (in
which all morphisms are homomorphisms) or that of vector spaces,
or modules over a fixed ring, whose definitions are obvious.
If U : A -----) B and v : B -----) A are morphisms in a category K such that
then v is called a left inverse of u, and U is a right inverse of v. If U admits

a left inverse VI and a right inverse v r , then U is called an isomorphism.
In this case VI = VI(UV r ) = (VIU)V r = V r , and the object VI = V r , denoted
by u- 1 , is called the inverse of u. Two objects A, B E K are equivalent
(written A ~ B) if there is an isomorphism U : A -----) B in K; the relation is
indeed an equivalence relation in K. The above notion of equivalence yields
the customary concept of isomorphism in Ens, Top and Ab.
When several morphisms between various objects in a category are con-
sidered simultaneously, it is convenient to display the morphisms as arrows
in a diagram, such as
The diagram D is said to be commutative (or to commute) if uf = vg. More

generally, a diagram commutes if for every ordered pair (X, Y) of objects in
that diagram, all chains (if any) of consecutive arrows running from X and
ending at Y compose to the same morphism of X into Y.
Given a diagram
we say that a morphism g : B -----) C completes the diagram, and write
B-!!..~C
ui/'
A
whenever the latter diagram commutes. The same terminology applies to
more complicated diagrams; a morphism that completes a given diagram is
usually denoted by a dashed arrow.
Let C be a category, and let (Xl : Xl -----t Z, (X2 : X 2 -----t Z be a pair

of morphisms with a common codomain Z. We say that a commutative
diagram
is a pull-back for ((Xl, (X2) if any commutative diagram of the form
can always be completed by a unique morphism,. The uniqueness of the

factorization through the pull-back implies that up to an isomorphism in
the category C, the object P is uniquely determined by the pair ((Xl , (X2) .
Natural transformations of functors
Let K, L be two categories. A (covariant) functor T : K -----t L is a rule that

assigns to each object A E K an object T(A) ELand to each morphism
u E K(A, B) a morphism T(u) E L(T(A), T(B)) so that
(a) T(lA) = IT(A) for each A E K,
(b) T(uv) = T(u)T(v) whenever uv is defined.
We list simple but important examples:

(i) The forgetful functor U : Top -----t Ens. The function that assigns
to each topological space its underlying set and to each continu-
ous map the underlying set-theoretic map, determines a functor U
from Top to Ens called the forgetful functor. Similarly, we have a
forgetful functor from Ab to Ens.
(ii) The functor F : Ens -----t Ab. For any set A, let F(A) be the free
abelian group generated by A. The defining property of free abelian
groups implies that if f : A -----t B is any function, then there is
a unique homomorphism F f : F(A) -----t F(B) with the property
that (F f)i = jf, where i : A -----t F(A) and j : B -----t F(B) are the
inclusions.
(iii) The functor SM : Top -t Ens. For a fixed space M, we define

SM : Top - t Ens by
SM(X) = Top(M, X), X E Top,
and for f :A -t B, SM(J) : Top(M, A) -t Top(M, B) is given by
[SM(J)](U) = fu, u E Top(M, A).
If K* is the opposite category, a functor T : K* - t L is called a con-
travariant functor on K; it can be interpreted as a functor on K that reverses
the direction of each morphism when sent to L.
A functor T : K - t L transfers commutative diagrams in K to commu-
tative diagrams in L. Moreover, if u is an isomorphism in K, then T (u) is
an isomorphism in L; the converse is not necessarily true.
Let S, T : K - t L be two functors. A natural transformation t : S - t T
of S into T is a function that assigns to each A E K a morphism t A E
L(S(A), T(A)) so that for all A, B in K and 7J, E K(A, B) the diagram
S(A)~S(B)
tAl lt B
T(A)~T(B)
is commutative. We denote by Nat(S, T) the set of all natural transforma-
tions of S into T. The natural transformation t : S - t T is called a natural
equivalence if each t A is an isomorphism in L.
We can form a category of functors from K to L, denoted by L K , whose
objects are functors and whose morphisms are natural transformations t :
S - t T. Two functors S, T in this category are isomorphic if there are
natural transformations t : S - t T and s : T - t S such that st = Is and
ts = IT. It is easily seen that Sand T are isomorphic if and only if there
is a natural transformation t : S - t T such that t A : S(A) - t T(A) is an
isomorphism in L for each A in K.
EXAMPLE. Any directed set D may be regarded as a category whose objects
are the elements a , (3, ... of D, the morphisms from a to (3 are given by
D( a, (3) = {((3, a)} if a ::5 (3, and D( a, (3) = 0 otherwise, and the composition
of morphisms is defined by b, (3)((3, a) = b, a) whenever a ::5 (3 ::5 'Y. With
this terminology, a direct system of abelian groups over D may be interpreted
as a functor T : D - t Ab, and a morphism of two direct systems T, S of
abelian groups as a natural transformation T - t S of functors.
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III. Articles 627
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This part of the bibliography contains additional references on a variety of themes, in-
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I. Classical Topics
This section contains references on the following topics:
(a) Results Related to the Banach Theorem
(b) Results Related to the Brouwer and Borsuk Theorems
(c) KKM-Theory. Applications and Related Results
(d) Fixed Points in Linear Topological Spaces
(e) Fixed Points for Kakutani Maps and Related Results
(a) Results Related to the Banach Theorem

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(c) KKM-Theory. Applications and Related Results

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(d) Fixed Points in Linear Topological Spaces

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(e) Fixed Points of Kakutani Maps and Related Results

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II. Degree Theory and Fixed Point Index

(a) Results Related to the Leray- Schauder Theory
(b) Lefschetz Theory
(c) Equivariant Degree and Index Theory
(d) Degree and Index for Set-Valued Maps
(a) Results Related to the Leray- Schauder Theory

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(b) Lefschetz Theory

BABENKO, 1.K., and S.A. BOGATYI, The behavior of the index of periodic points under
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(c) Equivariant Degree and Index Theory

BARTSCH , T. , A simple proof of the degree formula for (Zjp)-equivariant maps , Math . Z.
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DYLAWERSKI , G., K. GI;;BA, J . JODEL , and W. MARZANTOWICZ, An Sl-equivariant degree
and the Fuller index , Ann. Polon. Math. 52 (1991), 243- 280.
ElLENBERG, S., On a theorem of P.A . Smith concerning fixed points for periodic transfor-
mations, Duke Math. J. 6 (1940) , 428-437.
FADELL, E ., S . HUSSEINI , and P. RABINOWITZ, Borsuk- Ulam theorems for arbitrary 8 1
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vector fields, Boll. Un. Mat . Ital. A 4 (1989), 243- 251.
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IZE, J., and A. VIGNOLI, Equivariant degree for abelian actions.!. Equivariant homotopy
groups, Topol. Methods Nonlinear Anal. 2 (1993), 367- 413.
IZYDOREK, M., and J. JAWOROWSKI, Parametrized Borsuk-Ulam theorems for multivalued
maps, Proc. AMS 116 (1992), 273-278.
JACKOWSKI, S., A fixed-point theorem for p-group actions , Proc. AMS 102 (1988), 205-208.
JAWOROWSKI, J.W., A continuous version of the Borsuk- Ulam theorem, Proc. AMS 82
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KOMIYA, K., The Lefschetz number for equivariant maps, Osaka J. Math. 24 (1987),
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LAITINEN, E., and W. LUCK, Equivariant Lefschetz classes, Osaka J. Math. 26 (1989),
491- 525.
LASHOF, R., The equivariant extension theorem, Proc. AMS 83 (1981), 138-140.
LUCK, W., The equivariant degree, in: Lecture Notes in Math. 1361, Springer, 1988,
123-166.
MATSUOKA, T., Equivariant function spaces and bifurcation points, J. Math. Soc. Japan
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MORGAN, J.W., and H. BASS (eds.), The Smith Conjecture, Academic Press, 1984.
MUNKHOLM, H.J., Borsuk- Ulam type theorems for proper Zp-actions on (mod p homology)
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MURAYAMA, M., On G-ANR's and their G-homotopy types, Osaka J. Math. 20 (1983),
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(1984), 809- 815.
RABIER, P.J., Symmetries, topological degree and a theorem of Z.Q. Wang, Rocky Moun-
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WANG, Z.Q., Symmetries and calculation of the degree, Chinese Ann. Math. Ser. B 10
(1989), 520- 536.
(d) Degree and Index for Set-Valued Maps

BARTSCH, T ., A global index for bifurcation of fixed points, J. Reine Angew. Math. 391
(1988),181-197.
BEN-EL-MECHAIEKH, H., and P. DEGUIRE, Approximation of non-convex set-valued
maps, CRAS Paris 312 (1991), 379- 384.
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and its Relations to Modern Analysis and Algebra, IV, Prague, 1977,51- 58.
BOURGIN, D.G., Cones and Vietoris-Begle type theorems, Trans. AMS 174 (1972),155-
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BRYSZEWSKI , J., On a class of multivalued vector fields, Fund. Math. 91 (1977),79- 94.
BRYSZEWSKI, J., and L. GORNIEWICZ, Multivalued maps of subsets of euclidean spaces,
Fund. Math. 90 (1976), 233-251.
CONNELLY, R ., An extension of Brouwer's fixed-point theorem to nonacyclic, set valued

functions, Proc. AMS 43 (1974), 214-218.
DAWIDOWICZ, A., Spherical maps, Fund. Math. 127 (1987), 187- 196.
FENSKE , C .C., and H.-O. PEITGEN, Attractors and the fixed point index for a class of
multivalued mappings I, II, Bull. Acad. Polon. Sci. 25 (1977), 477- 482 , 483- 487.
FITZPATRICK, P .M ., and W.V. PETRYSHYN, A degree theory, fixed point theorems, and
mapping theorems for multivalued noncompact mappings , Trans. AMS 194 (1974),
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- , - , Fixed point theorems and the fixed point index for multivalued mappings in cones,
J . London Math. Soc. (2) 12 (1975), 75- 85.
FOURNIER, G., and D. VIOLETTE, A fixed point index for compositions of acyclic maps
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FURl, M., and M . MARTELLI , A degree for a class of acyclic-valued vector fields in Banach
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O ' NEILL , B., A fixed point theorem for multivalued functions, Duke Math. J. 14 (1947),
689-693.
POWERS , M.J. , Lefschetz fixed point theorems for multi-valued maps, Lecture Notes in
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61- 68.
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31 (1972), 557- 563.
III. Special Topics
(a) Nielsen Theory

(b) Poincare- Birkhoff Theorem and Symplectic Results
(c) Degree for VMO Maps and Sobolev Maps
(d) Degree in Wiener Spaces
(e) Vertical Fixed Point Theory
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(b) Poincare-Birkhoff Theorem and Symplectic Results

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IV. Applications
(a) Applications to Nonlinear PDEs and Integral Equations

(b) Applications to Nonlinear ODEs and Differential Inclusions
(c) Applications to Mathematical Economics
(d) Algorithmic Computation of Fixed Points
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fixe, CRAS Paris 283 (1976) , 11- 14.
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-, New concepts and techniques for equilibrium analysis , Internat . Econom. Rev. 3 (1962) ,
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invariant under optimization , J . Econom. Theory 5 (1972), 487- 523.
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plete markets , J . Math. Economy 19 (1990) , 39- 67.
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(d) Algorithmic Computation of Fixed Points

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List
of Standard Symbols
I. Set-Theoretic and Logical Symbols
A=}B A implies B
A<=?B A and B are logically equivalent
xEX x is a member of the set X
x!f.X x is not a member of the set X
AcB A is a subset of B
o Empty set
AuB, UA,X Union
AnB, nA,X Intersection
AC , CA Complement
A-B Set-theoretic difference
AxB, nAi Cartesian product
AIR Quotient set (set of equivalence classes of A with respect to
an equivalence relation R)
2A Set of all subsets of A
BA Set of all maps from A to B
{x I P(x)} Set of all elements x with the property P(x)
{adiEI Family with index set I
I : X-->Y Map 1 from X to Y
x f-t I(x) Map assigning I(x) to x
IIA Restriction of the map 1 to A
go j , gl Composite of the maps 1 and 9
lA, idA Identity map A --> A
r nth iteration of the map 1
(X , A) Pair consisting of the set X and A C X
1 : (X , A) --> (Y, B) Map 1 : X --> Y with I(A) C B
[n) {1 , 2, .. . ,n}
II. Order
(a, b) Open interval {x I a < x < b}

[a, b) Closed interval {x I a ::; x ::; b}
(a, bJ Half-open interval {x I a < x ::; b}
List of Standard Symbols 669
[a, b) Half-open interval {x J a :::; x < b}

max A Maximum of A
min A Minimum of A
sup A Supremum, least upper bound of A
infA Infimum, greatest lower bound of A
III. Algebra
a == b (modn) a and b are congruent modulo n

det A , Jaij J Determinant of the square matrix A
trA Trace of the square matrix A
M'==iN Isomorphism of the algebraic systems M and N
MjN Quotient space of the algebraic system M by N
dimM Dimension (of a linear space, etc.)
1m! Image of the homomorphism f
Ker! Kernel of the homomorphism f
Coker f Cokernel of the homomorphism f
8ij Kronecker delta (8ii = 1 and 8ij = 0 for i =I- j)
(x, y) Inner product of x and y
MtfJN Direct sum of M and N
M0N Tensor product of M and N
Hom(M,N) Set of homomorphisms M --+ N
IV. Algebraic Systems
N Set of natural numbers {O, 1, 2, ... }

Z Ring of all rational integers
Zm ZjmZ (ring of all residue classes modulo m)
Q Field of all rational numbers
R Field of all real numbers
C Field of all complex numbers
V. Topology
B(x, c) Open ball in a metric space with center x and radius c > 0
K(x,c) Closed ball with center x and radius c
(X,c) Open "ball" with "center" X and radius c > 0
an --+ a Sequence {an} converges to a
lim an Limit of the sequence {an}
X, CIX Closure of the set X
IntX Interior of the set X
aX, FrX Boundary of the set X
8(x, y), d(x, y) Distance between the points x and y
f-::;9 Homotopy of the mappings f and 9
X~Y Homeomorphism of the topological spaces X and Y
diamX, 8(X) Diameter of the set X
nbd Neighborhood
u.s.c. Upper semicontinuous
l.s.c. Lower semicontinuous
670 List of Standard Symbols
AR Absolute retract
ANR Absolute neighborhood retract
ES(Q) Class of extensor spaces for the class Q
NES(Q) Class of neighborhood extensor spaces for the class Q
VI. Functional Analysis

E,F, ... Linear topological spaces over the real numbers (sometimes
over the complex numbers)
(E, I II) Normed linear space
Ilxll, IlxilE Norm of the element x in the normed linear space E
!£(E, F) Space of continuous (bounded) linear operators of E into F
equipped with the operator norm IIAII = sUPllxlIE$I IIAxllF
convA Convex hull of the set A
ConvA Convex closure of the set A
Df Derivative of the map f
Partial derivative
Partial derivative of order Ipl;
P = (PI,'" ,Pn), Ipi = PI + .. . + Pn
E* Dual space of the Banach space E
/2 Hilbert space of sequences x = (x 1, x2, .. . ) of real numbers
with IIxl12 = L~I xT < 00
VII. Homology
[Po, ... , ps J, (PO, ... , Ps), Simplex with vertices PO, . . . , Ps
Ipo, ... ,Psi
,1n Standard n-simplex
[0'] Barycenter of the simplex 0'
Stp Star of the vertex P
Sdmf f(m) mth barycentric subdivision of the complex f
Sd m : C.
( f ) --> C. (f(m)) Subdivision chain homomorphism
If I Support of the simplicial decomposition f
C. = (Cn)n >O Chain complex
an : Cn --> Cn-I Boundary operator
Zn Group of n-cycles
En Group of n-boundaries
Hn nth homology group
Hn(X,A) Relative homology group
Hn(X;G) Homology group with coefficients in G
Hn(f) = f.n Homomorphism of homology groups induced by f
C* = (Cn)n>O Cochain complex
fin : C n --> Cn + I Coboundary operator
Zn Group of n-cocycles
En Group of n-coboundaries
Hn nth cohomology group
Hn(f) = rn Homomorphism of cohomology groups induced by f
)..U) Lefschetz number of the map f
xU) Euler number of the map f
X(K) Euler characteristic of the polyhedron K
List of Standard Symbols 671
dU), deg(f) (Brouwer) degree of the map j

xU) Characteristic of the vector field j
bn(X) nth Betti number of the space X
VIII. Categories
K Arbitrary category
K(A,B) Set of morphisms from A to B in K
K* Opposite category
Ens Category of sets
Ab Category of abelian groups
GrAb Category of graded abelian groups
Top Category of topological spaces
Top2 Category of pairs of topological spaces
ItE, It Category of compact fields on the normed linear space E
£'E , £, Leray- Schauder category of the normed linear space E
IX. Degree and Fixed Point Index

Fix(f) Fixed point set of the map j
deg(f) Degree of the map j
AU) Generalized Lefschetz number of the map j
§(U,X) Set of compactly fixed maps j : U -> X , where U is open
in X
Set of compact maps j : U -> X, where U C X is open and
Fix(f18U) =0
i(f, U) Index of the compact map j E §(U, X)
JU, U) Index of the map j E £8U(U, X)
J(f , xo) Local index of the isolated fixed point Xo
i(X, j , U) Local index on an admissible class
Index of Names
Abbondandolo, A., 523, 573, 575, 584 Berge, C., 48

Adams, F., 246 Berger, M., 84, 275
Alexander, J.C., 335 Bcrline, N., 582
Alexander, J.W., 107, 109, 221, 222 Bers, L., 272
Alexandroff, P., 101, 105, 107, 193,221,222, Bernstein, S., 82, 192, 365
246, 256, 333, 458, 461, 530 Berstein, I., 245, 439
Alexiewicz, A., 84 Bessaga, C., 24, 82, 83, 108, 194
Allgower, E., 108 Bethuel, F., 585
Alon, N., 192 Betti, E., 221
Alspach, D., 78 Bielawski, R., 550
Altman, M., 35, 124, 135, 138, 141 Bielecki, A., 82
Amann, H., 18, 35, 275 Bing, R.H., 111
Ambrosetti, A., 84 Birkhoff, G.D., 82, 107, 109, 137, 139, 578
Anselone, P., 185 Bishop, E., 35, 36
Arason, J.K., 105 Bjorner, A., 35
Arino, 0., 137 Blackwell, D., 22
Arnold, V.I., 579 Bogoliouboff, N., 48
Aronszajn, N., 161, 193, 300, 304 Bohl, E., 35, 95, 106, 242
Asakawa, H., 48 Bohnenblust, H.F., 195, 196
Asplund, E., 196 Bonsall, F.F., 21
Atiyah, M., 581, 582 Border, K., 196
Aubin, J.P., 196 Borisovich, Yu.G., 337, 366, 368, 548
Borsuk, K, 95,100,102,104,105,107-109,
Baclawski, K, 35 111, 119, 132, 138, 140, 191, 194, 237,
Bacon, P., 248 246, 295, 296, 300-302, 304, 489, 524,
Bailey, D.F., 20 525, 576
Baillon, J .-B., 81 Bothe, H.G., 437
Balanov, Z., 573 Bott, R., 362, 461, 581, 582
Banach, S., 23, 70, 83, 84, 192 Bourbaki, N., 84
Barany, I., 192 Bourgin, D.G., 245, 247, 366, 439, 462
Beals, R., 77 Bowszyc, C., 103, 245, 360, 436-437, 439,
Beauzamy, B., 193 458-460, 486, 576
Begle, E.G., 547 Brahana, T .R., 550
Benci, V., 460 Bredon, G., 109,440
Ben-EI-Mechaiekh, H., 176, 177 Brezis, H., 35, 82, 84, 583, 584, 586
Index of Names 673
Brodskii, M.S. , 77, 81 Dixmier, J ., 50

Br¢ndsted , A., 33, 35, 36 Dold, A. , 275, 301, 333, 334, 409, 458, 459,
Brouwer, L.E.J ., 106, 140, 221, 222, 246 , 573, 587
275 , 276 Dowker, C.H., 301 , 304, 412
Browder , F R. . , 19, 24, 35, 48, 76 , 79,81,82, Dugundji, J., 24, 35,48, 84, 103, 105, 108,
84, 176, 191 , 333, 361 , 366, 367, 425 , 194- 196, 244, 246, 274, 300- 304, 409,
430 , 439 , 459, 462 412 , 436 , 437 , 489, 576
Brown , A.L. , 192 Dyer , E. , 109, 134
Brown, R.F., 111 , 245 , 333, 364, 458, 488, Dyson, F.I., 106
578 Dzedzej, Z. , 549
Bruhat, F ., 50, 81
Burckel, R .B., 196, 243 Eaves, B.C. , 107
Eberlein, W.F. , 137, 196
Caccioppoli, R. , 82 , 83 Edelstein, M., 19, 24
Calvert, B.D., 547 Eells, J ., 425 , 439, 490, 523
Caratheodory, C ., 84 Eidelheit , M. , 84
Caristi, J ., 35 Eilenberg, S., 19, 24 , 100, 296 , 300,380, 386,
Cartan , H. , 82, 490 408, 409 , 411 , 459, 525 , 548
Cartwright , M .L. , 111 Eisenack, G ., 275
Castro, A. , 271 Ekeland, I. , 35, 36
Cauchy, A. , 221 Elsholz, L., 524
Elworthy, K.D. , 368
Cauty, R. , 141 , 195, 303, 489
Enflo, P. , 193
Cech , E., 222
Engelking, R., 177, 193, 284 , 320
Cellina, A., 195, 337, 366
Euler, L., 221
Cesari, L. , 193
Chang, K.C ., 196
Chow, S.N., 134, 140, 364 Fadell , E. , 111 , 245 , 247,440
Ciric, L.B., 20 Fan , K. , 47 , 48, 49,104 , 139,141,177, 189-
193 , 195, 196, 244
Clapp , M.H. , 304, 489
Fenske, C.C. , 275 , 460 , 576
Clarke, F. , 33
Fet , A.I., 248
Cohn- Vossen, S. , 222
Floer, A. , 580
Colvin, M.R. , 523
Florenzano, M., 196
Conley, C. , 575, 580
Flores , A ., 192
Conner , P.E ., 247, 582
Floyd, E.E. , 246, 247, 582
Crabb , M., 587
Fonseca, I. , 586
Fort , M.K. , 329, 550
Da i, Z.D. , 192 Fournier , G. , 137, 430 , 439, 459, 460 , 489 ,
Dancer, E.N., 364 573
Danes, J. , 35 Frankl , F., 222
Darbo, G., 133 Franks, J. , 440 , 461 , 578, 579
Davies, M., 248 Freudenthal, H. , 222, 277
Dawidowicz , A. , 523 Frigon, M ., 24 , 34, 36, 81 , 184, 196
Day, M.M ., 48- 50, 196 Froloff, S., 524
Degiovanni, M. , 460 Frum-Ketkov , R.L ., 100
Deguire, P., 178, 191 Fuchssteiner, B ., 35
Deimling, K. , 196, 275, 366 Fiihrer, L., 275
Deleanu, A., 366, 439 , 462 Fukaya, K. , 581
DeMarr , R. , 78 Fuller , F.B. , 245 , 433
Dieudonne , J., 222, 274- 276 , 409 Furi , M ., 138
674 Index of Names
Gaines, R. , 367 Hofer, H., 579, 580

Gale, D. , 191 Holm , P., 247
Gangbo, W., 586 Holsztynski, W. , 102, 108, 109, 193
Gauss, C .F., 221 Hopf, H., 193, 222 , 245, 246, 248 , 256, 276,
Gauthier , G., 186, 304, 487, 489, 576 333, 458, 461
Gautier , S., 137 Horstmann, W .G. , 550
G~ba, K. , 138, 139, 272, 274, 275 , 337, 368, Horvath, C .D., 35, 191 , 300, 301
523, 526- 528, 573, 575 Hu, T. , 194, 304
Gel'man, B.D. , 523 Hukuhara, M. , 135,337, 366
Georg, K. , 108 Hurewicz, W. , 44 , 49, 100, 107, 412 , 439,
Geraghty, M.A ., 248 462
Getzler, E., 246 , 248, 582, 586 Hurwitz, A. , 246
Gilbarg, D., 82 , 365 Husseini, S.Y. , 109, 247
Girolo, J ., 138 Hutchinson, J .E., 22
Glicksberg, I.L ., 195
Goebel, K. , 81 , 108 Ioffe, A. , 36
Gohde, D., 76, 77, 81, 194, 439 Iokhvidov , I.S ., 189, 191
G6rniewicz, L., 547- 550 Isnard , C., 368
Granas, A ., passim Iwaniec, T ., 584, 585
Greco, L., 585 Ize, J., 274, 364, 573
Greenleaf, F.P. , 50
Izydorek, M. , 575
Griffel, D .H., 82, 365
Groger , K., 187
Guennoun , Z. , 81 Jachymski, J., 22
Guenther, R.B ., 136, 138, 181, 182, 184, James, R .C., 36, 587
192 , 193 Jankowski , A., 132, 139, 549
Gwinner, J., 191 Jaworowski , J., 221 , 246- 248, 439, 489, 545,
547, 548
J erome, J .W ., 35
Hadamard, J. , 83, 106, 246 , 277
Jiang, B.J. , 577, 578
Hadzic , 0 ., 141
Joshi , K.D. , 107, 221
von Haeseler, F. , 549
Hahn, F ., 196
Hahn, S., 141 Kachurovskil, R.I. , 82
Hajek , 0 ., 245 Kaczynski , T ., 131 , 138, 191
Hajlasz, P ., 585 Kakutani , S. , 49 , 84 , 103, 106, 108, 195, 196
Hale, J. , 134, 364, 438 va n Kampen, E. , 222
Halkin , H., 193 Kantorovitch, L., 34
Halpern , B. , 245 , 440 Karamardian, S. , 76
Hanner, 0 ., 300, 302, 304, 484 Karlin, S., 195, 196
Hansel, G., 196 Kelley, J.L. , 245 , 412 , 440
Ha nsen , T ., 108 Kellogg, O.D., 82 , 107, 109, 137, 139
Hartma n , P., 79, 80, 84, 182 Khamsi, M .A. , 191
Heega rd , P. , 222 Kiang, T ., 578
Heinz, E. , 274 Kinderlehrer, E. , 84
Hewitt , E. , 50 Kinoshita, S., 110
Hilton , P ., 412 Kirk , W .A. , 76 , 77, 81 , 108
Himmelberg, C .J. , 190, 195 Klee, V.L., 48, 82 , 103, 108, 137, 139, 141 ,
Hirsch, G. , 237, 246 , 248 195, 303
Hirsch, M ., 107, 221 Knaster, B ., 23 , 34, 48 , 101 , 107
Hirzebruch, F. , 458 Kneser, H. , 47, 49
Index of Names 675
Knill, R., 110 Ma, T.W., 179, 196,337, 366

Kolmogoroff, A.N. , 81 MacLane, S., 380
Komiya, K., 573 Maly, J ., 585
Kotake, T ., 582 Mardesic, S., 304
Krasnosel'skil, M.A., 24 , 35, 64, 105, 132, Markoff, A.A ., 49
133, 137, 139, 140, 192, 245 , 247, 248, Martelli , M ., 138
273, 275, 330, 364- 367, 452 , 460 Martin, G.I., 584
Krawcewicz , W., 138, 337, 366, 573 Mas-Colell, A., 191
Krein, M.G. , 105, 190, 192, 193 Massabo, I., 272, 573
Kronecker, L. , 246 , 274 Matkowski, J ., 24
Kryloff, N., 48 Maunder, C .R .F ., 221
Kryszewski, W ., 549, 550, 575 Mawhin, J. , 193, 248, 367
Kucharski, Z., 459, 550
Mazur, S., 47, 50, 78, 83, 84, 135, 137
Kuperberg, K., 111
Mazurkiewicz, S., 23, 48, 101, 107,304,335
Kuratowski , K. , 22, 23 , 48 , 100, 101 , 107,
McDuff, D., 579
133, 191 , 205 , 221, 222, 301 , 302, 304,
Meyers, P.R., 24
329, 335, 436
Michael , E.A., 195, 304, 484
Kushkuley, A., 573
Michael, J .H., 360, 489
van Mill , J., 304
Ladyzhenskaya, O .A., 365
Milman , D.P., 77, 81, 192
Ladyzhenskil, L.A ., 139
Milnor, J ., 107, 187,275,364, 574
Lam, T.Y. , 192
Minty, G.J ., 70, 76, 82, 84
Lang, S. , 50
La Salle, F. , 438 Miranda, C., 80, 82 , 100
Lasota, A., 140, 195, 196, 337, 366 Montgomery, D., 459, 548
Lasry, J -. M., 196 Mrozek, M. , 438
Lassonde, M., 48, 84 , 102, 104, 178, 189- Mukherjea, J., 523
191, 300, 301 Myshkis, A.D., 246
Lavrentiev, M., 523
Lax, P.D., 107 Nadler, S.B., 18, 35, 36
Lazer, A.C., 271 Nagumo, M., 137, 274, 366
Lebesgue, H., 90, 101 Nakaoka, M., 459
Lee,J. , 24, 136, 138, 181, 182, 184, 192, 193 Namioka, 1., 196, 523
Lefschetz , S., 222, 245, 301 , 304, 425 , 438 , Nash , J. , 191
461 von Neumann, J ., 49,191,196
Leray, J. , 108, 135, 137- 141,271 , 274,334, Nielsen , J., 222
365- 367, 437, 439, 459, 461 , 462, 523 Niemytzki, V., 82
Lin, P.K., 108 Nikaid6, H., 49
Liouville, J ., 23
Nikolaenko, M., 222
Listing, J.B ., 221
Nirenberg, L., 105, 182, 275, 363- 365, 527,
Littlewood, J.E. , III
583, 584
Liu, G., 581
Noguchi, H. , 304, 489
Liu, F .C., 84, 180, 191
Nowak, B., 108
Lloyd, N. , 275, 366
Nussbaum, R .D., 100, 298, 337, 364, 366,
Lokutsievskii, O.K., 102
367, 439, 460, 489, 490
Lomonosov, V.I., 193
Lopez, W., 109, 111 , 440
Lovasz, L., 192 Olech, C., 195
Lusternik, L., 36, 104, 106, 248, 523, 524, Ombach, J ., 23
530 O 'Neill, B., 459, 462
676 Index of Names
Onninen , J. , 585 Rutman , M.A ., 190

Ono, K., 581 Ruziewicz, S. , 23
Opial, Z. , 81, 196 Rybakowski, K. , 438
Opo'ftsev, V.I., 24 Ryll-Nardzewski , C ., 196
O'Regan, D., 24, 193
Orlicz, W. , 47, 84 Sadovskil, B.N., 133, 366
Otto, E., 100 Salamon, D., 575, 579
Sapronov, Yu .l. , 337, 366, 368
Palais , R.S. , 368, 439 , 574 Sbordone, C. , 585
Pasynkoff, B. , 101 , 107 Scarf, H., 107, 108
Peitgen, H.-O ., 245, 274, 459 , 460 Schaefer, H., 139
Pelczynski, A., 8 , 194 Schauder, J., 23, 78, 82, 109, 132, 137- 140,
Penot , J.-P. , 35, 137 183, 191, 222 , 274, 364- 367, 461, 523,
Perov, A.I., 351 , 366 608
Petryshyn, W.V. , 81 , 366 Schmidt, B.K., 222
Pfister, A., 105 Schnirelmann, L., 81 , 104, 105, 248
Phelps, R.R., 35, 36 Schreier, J. , 439
Picard, E ., 23 Schwartz, J .T . , 83 , 105, 275
Pitcher, G., 461 Schwarz, A.S. , 248, 368
Pittnauer, F., 20 Schwarz, M., 579
Pogorzelski, W., 82, 365 Scott, D., 35
Poincare, H., 82 , 221 , 222 , 242, 246, 578 Serre , J.-P., 81
Pont, J.-C., 222 Serrin, J ., 365
Pontrjagin, L., 81 Shub, M. , 457
Siegberg, H.-W., 274, 549
Potter, A.J.B., 139
Sieklucki, K., 107, 110
Powers, M.J. , 439, 489, 548, 549
Sikorski, R., 193
Precup, R., 138, 189
Simon, A. , 35, 138, 188
Prodi, G ., 84
Simon , R.S ., 192
Pruszko, A. , 575
Sintsoff, D., 222
Pruszko, T., 196
Sion , M., 191
Pugh, C .C ., 80
Skordev, G., 549
Skrypnik, I.V ., 366
Rabinowitz , P., 248, 274, 275, 335, 364, 574 Smale, S., 248 , 367, 368, 440 , 461
Rademacher, H., 84 Smith, K.T. , 161, 193
Radon, J. , 246 Smith, P.A., 192
Read, C.J ., 111 , 193 Soloveff, P. , 222
Reich , S. , 81 , 139 Spanier, E. , 245, 247, 295 , 412 , 440
Riedrich, T ., 141 Sperner, E. , 101 , 107
Riemann, B., 221 Spiez, S., 192
Riesz, F ., 601 Stallings, J., 138
Riesz , M. , 607 Stampacchia, G., 79, 84
Robert, R. , 196 Steenrod, N., 386, 411
Rockafellar, R.T ., 36 Steinhaus, H., 23, 100, 191, 192
Rogers, C .A., 187 Steinlein, H. , 192, 245 , 248, 452, 460
Ross, K.A ., 50 Stepanoff, V ., 222
Rothe, E., 124, 138- 140, 275, 366, 367 Sternfeld, Y., 108
R6zanska, J. , 222 Stirling, D.S.G ., 21
Rubinsztein, R. , 573 Stozek, W ., 23
Rudyak, Yu., 581 Stratila, S., 196
Index of Names 677
Stroffolini, B., 585 Volkmann, P. , 35, 138, 188

Sullivan, D., 457
Switzer, R., 409 , 528 Wallman , H. , 100, 107
Szulkin, A. , 248, 523, 575 Weil , A. , 221
Weiss , S., 275
Takahashi, W., 33, 35 Weissinger, J. , 18
Tarski , A., 34 Whitehead , G .W ., 409, 528
Tian, G. , 581 Whitehead, J .H.C., 221 , 302
Tikhomirov, V .M. , 36, 192 Whitney, H. , 222
Tits, J. , 50, 81 Why burn , G .T., 335
Torunczyk, H., 192, 597 Willem, M. , 248
Traynor, T., 187 Wu, J. , 573
Troallic , J.-P. , 196 Wylie, S. , 412
Tromba, A. , 368
Trudinger, N.S ., 82, 365
Tu, L.W., 362 Yamabe, H., 106
Tucker, A., 104, 222 Yang, C.T. , 106, 247, 248
Tumarkin, L., 222 Yeadon, F.J ., 196
Turner, R.E.L., 364 Yujob6 , Z., 106
Tychonoff, A., 108, 109, 141 , 191 , 222 , 601
Zabrelko, P.P., 245 , 275 , 367, 452, 460
Ulam , S. , 83, 104, 108, 439 Zakai , M., 586
Ulrich, H., 573 Zarankiewicz, K ., 222
Ural'tseva, N.N. , 365 Zarantonello, E.M ., 82
Urbanik, K. , 193 Zaremba, S., 364
Ustiinel, A., 586 Zeeman, E.C ., 221
Zehnder , E. , 575, 579, 580
van de Vel, M .L.J ., 191 Zeidler, E., 35, 275 , 364
Verchenko, L. , 111 Zemanek, J. , 21
Vergne, M., 582 Zermelo, E. , 23
Vick, J.W. , 409 Zsid6, L. , 196
Vietoris , L., 222 , 459, 548 Zvyagin, V.G ., 368
Vignoli , A. , 138, 272, 573 Zylillski, E. , 23
Index of Terms
abelian group, 608 a-contractive family, 33

absolute neighborhood retract, 279, 304 map, 12
absolute retract, 8, 162, 194, 280, 304 set-valued map, 28
absorbing set, 426, 601 a-dominated space, 134, 468
abstract complex, 203,477 a-field, 494
acyclic decomposition, 548 a-fixed point, 134, 467
map, 545 a-homotopic a-fields, 494
model theorem, 404 maps, 282, 467
set, 35 amenable group, 50
set-valued map, 542 ANR, 279, 304
space, 421, 531 for normal spaces, 357
additivity, 270, 308, 335, 357, 361, 363, 414, of type (W) , 578
463,521 antipodal map, 87
adjoint functor, 402 points, 87
admissible class, 80, 361, 463 theorem, 14, 93, 99, 104, 106, 135, 191,
endomorphism, 416 269, 321 , 352, 358, 525
homotopy, 5, 291, 552 theorem for coincidences, 136
Lefschetz space, 572 antipode-collapsing map, 236
map, 552 antipode-preserving map, 93, 236
space, 141 , 470 approximate £S(compact)-map, 186
admissibly homotopic maps, 120, 291 N£S(compact)-map, 487
affinely independent points, 85 N£S(compact metric)-map, 466
affine map, 250 extensor space, 186
Alexander- Kolmogoroff cohomology, 412 neighborhood extensor space, 472
Alexander- Pontrjagin duality, 509 approximating family, 468
invariance, 513 sequence, 100, 185, 500, 563
Alexander-Spanier cohomology, 412 system , 501, 563
Alexandroff theorem, 204 approximation theorem, 135, 354
a lgebraic multiplicity, 327, 606 a priori bounds, 346
allowable extension, 271 A-proper map, 366
map, 339, 367 AR, 8, 162, 194, 280, 304
pair, 485 arbitrarily small tails, 32
set, 553 Arens- Eells theorem, 597
almost periodic, 48 Arens theorem , 194
a-close maps, 134, 282 , 467 Aronszajn- Borsuk theorem, 284
Index of Terms 679
Arzela~Ascoli theorem, 607 fixed point theorem, 94, 119

associated Galerkin equation, 158 homology embedding theorem , 567
map and field , 127, 242 metric, 103
asymptotically compact map, 427 presentation, 566
linear map, 132 trace lemma, 568
regular map, 570 theorem, see antipodal theorem
asymptotic derivative, 132 theorem , generalized , 545
attaching X to Y by f, 294 Borsuk~Ulam theorem, 93, 106
attracting set, 426 theorem, generalized , 243, 358, 546
attractive fixed point , 455 Bothe embedding theorem, 301, 437
attractor, 22 , 77, 426 boundary map, 612
augmented functor-chain , 404 of set, 590
of simplex, 86
Baire theorem, 595 operator, 205, 373
baker's transformation, 78 point, 590
balanced set , 601 value problem, 115, 345, 346
Banach~Alaoglu theorem, 605 bounded map, 112
Banach contraction principle, 10 mean oscillation, 582
space, 603 set , 594, 601
theorem , 603 bounding cycle, 215, 219
theorem, parametrized version, 18 Bowszyc theorem, 230, 432 , 451
Banach~ Mazur limit, 50 Brouwer degree, 234, 246, 363
Banach~Steinhaus theorem , 604 theorem, 95 , 106, 108, 137, 138, 140,
barycenter , 200 186
barycentric coordinate, 86 theorem, generalized, 545
coordinate system, 477 Browder~ Caccioppoli theorem, 361
refinement, 597 Browder~ Gi:ihde~Kirk theorem, 52, 67
subdivision, 200 Browder map, 176

base of topology, 590 Bruhat~Tits theorem , 50, 80
of neighborhoods, 591 bundle, 614

basic class, 425
map, 425 calculus of fractions , 533
(n - I)-cycle, 208 Cameron~Martin space, 586
triangulation, 87 canonical embedding, 605
basis of vector space, 600 volume form , 579
of free group, 610 Cantor order-theoretic theorem, 35
Bernstein theorem , 158 space, 32
Betti number, 222 , 373, 376, 405 , 565 theorem, 595
bicontinuous map , 591 Caristi theorem, 27
bifurcation index, 340 carrier, 101, 198
point , 273, 338, 339 Cartan theorem, 490
bijective map, 589 category, 296, 370, 616
Birkhoff~Keliogg theorem, 126, 139, 194, of direct systems, 402
Bishop~Phelps theorem, 27, 32, 35, 36 of endomorphisms, 415
B-map,566 of fractions, 533
lE-map, 176 of monomorphisms, 415
BMO , 583 Cauchy problem, 180, 183, 184
Borsuk~Dugundji theorem, 569 Cech cohomology, 495
Borsuk extension theorem, 287 homology, 411
fibration theorem, 296 cell-like continuum, 109
680 Index of Terms
cellular set-valued map, 550 field, 127, 139

centrally symmetric set , 268 fraction, 538
chain, 25 , 590 homotopy, 5, 120, 290
approximation method, 459 compactly absorbing map, 427
complex, 206, 612 extendable map, 290
homotopic maps, 210, 404, 613 fixed homotopy, 305
homotopy, 210, 613 fixed map , 305
map, 208, 612 homotopic maps, 290
transformation, 208 null homotopic map, 290, 292
characteristic of vector field, 242 rooted map, 262
polynomial, 223 compact map, 112
rational function, 436 map of pairs, 451, 484
value, 322, 606 set, 593
circled set, 601 set-valued map , 166, 177, 542
class C 1 , 604 space, 593
closed embedding, 591 compactum, 540
set, 590 compatible family, 402
closure, 590 complementarity problem, 76
c-map, 368 complementary subspaces, 600
coboundary homomorphism, 564 complementing function , 272
operator, 613 completely continuous map, 112, 544
cochain complex, 613 continuous operator, 605
map, 613 regular space, 592
co differential, 613 complete metric, 594
codimension, 529, 530, 600 metric space, 595
coefficient group, 492 semilattice, 31
coercive bilinear form, 66 simplex, 101
map, 66, 67 completing a diagram, 617
cofiber, 37, 598 completion, 595
cofibered pair, 288 complex, 599
cofinal subset , 589, 615 component , 590
cofunctor, 371 composite map, 589
co homological codimension, 529 morphism, 370
cohomology functor, 613 composition, 598, 616
group, 411 law, 364
sequence of triple, 496 concave-convex function, 38
theory, 410, 527, 528 concave family in the sense of Fan, 42
co homotopy group, 525 function, 38
coincidence, 143, 538, 547 concentrating, 240
degree, 367 condensing field, 366
point, 531 map, 133, 336
space, 538 cone, 207, 293, 323, 600
co kernel , 609 functor, 514
collectively compact sequence, 185 operator, 381
combinatorial lemma, 90 conjugate space, 42, 604
commensurable subspaces, 559 connected between A and B, 319
commutative diagram, 371 , 617 space, 590
commutativity, 308, 335, 414, 463 connecting homomorphism, 613
compact attraction, 427 connectivity function, 138
deformation, 132 consecutive pair of triads, 498
Index of Terms 681
constant functor, 403 o-based c-map , 129

contiguous maps, 479 o-orbit , 22
continuation method, 12, 33, 192 demiclosed field, 81
principle, 351 dense set, 590
continuity, 247, 495 subcategory, 493
continuous deformation, 92 dependence on boundary values, 270, 350
functor , 501 de Rham cohomology, 362
map, 25 , 591 derivative, 36, 604
set-valued map, 599 d-function, 407
contractible space, 92 diagonal representation, 367
contraction constant, 9 diameter of set, 594
contractive field , 11 differentiable map, 604
map, 9 differential , 612
contravariant functor, 371 , 619 operator , 581
convergent map, 593 dimension axiom, 495, 560
converse of Banach theorem, 24 of polyhedron, 198,475
convex closure, 603 directed inward, vector field, 244
hull, 600 outward, vector field , 244
map , 38 set , 593
set, 599 direct limit, 402
convexoid , 462 limit group, 614
core, 426 product, 609, 600, 609, 612
counterimage, 589 system, 402, 614
covariant functor , 371 , 618 Dirichlet problem, 181
covering, 593 disconnected between A and B , 319
critical level, 407 disconnection , 360
point , 106, 367, 460, 551, 407 discrete Banach theorem, 19
value, 251, 367, 551 discrete topology, 590
c-structure, 368 distal family, 172
CW-complex, 221 distance, 594
cycle mod L , 219 divisible family, 457
Dold theorem, 333
Danes theorem, 29 domain invariance, see invariance
Darbo theorem, 133 of domain
d-Cauchy sequence, 594 dominating space , 468
decomposition space, 293 Dowker theorem, 287
Dedekind-complete semilattice, 31 drop, 29
deformable space, 294 dual class, 175
deformation, 289 of set-valued map, 37, 598
retract , 289 space, 604
degree, 253 , 258 , 490, 586, 612 Dugundji comparison principle, 391
equivariant , 573 extension theorem, 163, 194
for Sobolev maps, 584 Dugundji~Fan theorem, 244
for VMO maps, 582 dynamic programming, 22

generalized, 527
in Wiener spaces, 586 Eberlein theorem, 604, 605
mod 2, 545 E+ -cohomology, 560
problem, 249 E+ -compact field, 560
with respect to b, 270, 274 homotopy, 560
deleting homeomorphism, 62 E+ -compactly homotopic fields, 560
682 Index of Terms
edge, 86 number, 229, 418, 421

Eells- Fournier theorem, 490 eventually compact map, 427
E+ -finite field, 562 exactness axiom, 410, 492, 495
E+ -finitely homotopic fields , 563 exact sequence, 601, 609, 613
eigenvalue, 224 excision, 218
eigenvector, 322 axiom, 270, 308, 463
Eilenberg- Montgomery excisive family, 456
coincidence theorem, 548 pair, 384
theorem, 541, 543 existence axiom, 270, 308, 361
Ekeland theorem, 30 expanding map, 18, 32
elementary KKM-principle, 66, 84 set-valued map, 32
relation, 507 exponent of characteristic value, 606
elliptic complex, 581 extendable map, 7, 92
embedding, 591 extension object , 529
end of triad, 498 of map, 589
endomorphism, 581 of orientation, 514
enlarged sequence, 500 extensor space, 185, 303
epic, 601 , 609 extreme point, 603
epimorphism, 601, 609
c:-approximation, 309 face, 86 , 373
c:-chainable space, 19 factorization, 6
c:-coincidence point , 537 Fan- Browder theorem, 143
c:-displacement , 102 Fan coincidence theorem, 143
c:-fixed point , 119 family, 177
c:-map, 102, 129, 546 intersection theorem, 150
in the narrow sense, 129 map, 142
c:-net,595 matching theorem, 177
c:-normal map, 556 minimax inequality, 145
(c:; r)-isolating nbd, 272 theorem , 146
system, 273 Fan- Iokhvidov theorem, 189
equiconnected space, 302 F.e. Liu minimax inequality, 145
equiconnecting data, 282 F -concave family, 42
equicontinuous family, 44, 173 f-equivalent fixed points, 487
sequence, 185 IF-family, 177
subset, 607 F. Hahn theorem , 173
equivalent metrics, 594 ~* -homotopy, 488
norms, 55 ~-invariant set, 172
objects, 370, 617 fiber, 37, 586, 598
equivariant degree , 573 product, 534
map, 553 space, 586
[S(compact)-map, 186 fibration , 296
essential component , 329 field associated with map, 11
field, 103, 128, 358 finite-codimensional cohomology, 491, 505
fixed point, 329 finite covering, 593
fixed point class , 488, 577 intersection property, 39, 593
map, 5, 121 type pair, 406
space, 296 type vector space, 418
Euclidean nbd, 363 finite-dimensional map, 112
neighborhood retract, 301 set-valued map, 166
Euler characteristic, 232, 405 finitely closed set , 39
Index of Terms 683
five-lemma (5-lemma) , 610 singular homology group, 374

fixed point, 1 graph of set-valued map, 37, 598
fixed point Grassmannian, 558
class, 487, 577 group of bounding n-cycles, 376
for family, 44, 171 of coefficients, 386, 410, 528
for semiflow, 234, 457 of n-boundaries, 206
free homotopy, 120 of n-cycles, 206, 375
index, 305, 308, 317 of n-dimensional chains, 205
of set-valued map, 37, 598 of singular n-boundaries, 373
property, 108 of singular n-cycles, 373
space, 2, 102, 108
flat, 600 Haar measure, 50
IF-map, 142 Hahn- Banach principle, 602
IF* -map, 142 theorem, 73, 84, 602
§*-map, 488 Hamiltonian map, 579
forced oscillation, 580 Hammerstein operator, 114
forgetful functor, 403, 618 Hanner- Dugundji domination theorem, 301
fraction , 533 Hanner theorem, 286, 484
Fredholm alternative, 130, 135 Hardy- Littlewood- P6Iya theorem, 49
index, 605 Hartman- Stampacchia theorem , 49, 67, 78
map , 367, 605 Hartman theorem, 80
free abelian group, 610, 611 Hausdorff metric, 28
group functor, 403 space, 591
presentation, 611 theorem, 595
F. Riesz theorem, 606 h-category, 492
Frum-Ketkov and Nussbaum theorem, 100 h-dominated set, 360
full subcategory, 493 hemicontinuous map, 67, 78
functor-chain , 403 h-equivalent objects, 492
fundamental theorem of algebra, 243 sets, 360
Hessian , 460
Gale-Debreu theorem, generalized , 180 h-function, 406
game theory, 192 h-functor, 492
general homotopy invariance, 363 Hibert cube, 4, 7, 109
homotopy invariance theorem, 318 space, 606
generalized degree, 527 Himmelberg theorem, 190
homotopy invariance theorem, 351 h-invertible morphism, 492
image, 438 Holder continuous function, 607
kernel, 327 norm, 345
Lefschetz number, 418, 421, 537 space, 345, 607
limit , 47, 50 homeomorphic spaces, 591
generated by metric, topology, 594 homeomorphism, 591
generic map, 252 , 552 homological degree, 400
genus, 247, 248 homologically trivial map, 421
geometric KKM-principle, 40, 48 homologous chains, 219
KKM-theory,48 cycles, 206, 373
G-hereditary property, 484 homology class, 206, 373
9-invariant set, 44 functor, 613
graded abelian group, 612 group, 206, 215 , 376, 403, 613
cohomology group, 613 of finite type, 565
homology group, 613 sequence of pair, 216, 376
684 Index of Terms
homology sequence of triple, 217, 377 pair, 575

theory, 386 induced homomorphism , 209, 372, 504, 545
homomorphism , 609, 612 inductive topology, 592
homotopically nontrivial map, 299 inessential field , 128, 358, 522
homotopic fields, 128 fixed point class, 577
in .s;1(U), maps , 552 map, 5 , 103, 121
in g .s;1(U) , maps, 553 infinite polyhedron, 475
in JV g .s;1 (U), maps, 556
(00 - n)-cohomology system , 509 , 515
maps , 92, 367
injective map , 589
homotopy, 5, 92
inner product , 606
axiom, 270, 308, 335, 358,361 , 410, 463,
integrably bounded function , 183
491, 495 , 521
class, 92 interior, 590
equivalent objects, 492 intersection of set-valued maps, 598
equivalent pairs, 387 intersection property, 65, 78
extension lemma, 554 theorem, 132, 176
extension property for compact maps, invariance of dimension, 99, 275
300 of domain , 11 , 82 , 135, 140, 275, 547
in h-category, 492 of domain, generalized, 360
invariance, 405 invariant direction , 125, 322
invariant functor , 492 mean, 47, 50
invertible morphism , 492 measure, 48
in VMO, 583 set , 426
Hopf- Hurewicz map, 528 subspace, 160
Hopf index theorem, 458
subspace problem, 193
theorem, 241
inverse acyclic map , 531
Hopf- Lefschetz theorem , 35
function theorem, 59
Hopf- Rothe theorem , 358
h-subcategory, 492 limit group , 615
Hurewicz- Dugundji- Dowker theorem , 412 of morphism, 370, 617
hyperbolic isomorphism , 22 of set-valued map, 37, 598
system of groups, 615
identification, 293 involution, 553
map, 293 inward directed vector, 460
topology, 292 in the sense of Fan, map, 170
identity map, 589 map, 149
IF-system, 22 isometric embedding, 594
image of homomorphism, 609 spaces, 594
of map, 589 isometry, 594
of operator, 600 isomorphic groups , 609
of set-valued map, 37, 598 isomorphism, 601 , 609
generalized, 438 in category, 370, 617
implicit function theorem, 13, 79 isotone map, 25
inclusion, 589 iterate, 10
indecomposable element, 391
iterated function system, 22
index for R8-mapS of compact ANRs, 550
for Z-acyclic maps of ENRs, 550
of critical point , 460 l-deformation , 407
of fixed point class , 577 Jiang subgroup , 577
of Fredholm map, 367 join, 294
Index of Terms 685
Kakutani field, 366 fixed point theorem, 228

map, 166, 195 theorem, 243, 245
theorem, 45, 49, 174 left adjoint functor, 402
kernel, 600, 609 homotopy inverse, 360
generalized, 327 inverse, 610, 617
KKM-map, 37, 96 translate, 48
Klee theorem, 63 left-amenable group, 48
IK-map, 166 left-invariant mean, 48
Knaster- K uratowski- Mazurkiewicz length of manifold, 524
map, 37 Leray- Alexandroff invariance theorem , 513
theorem, 98, 101 Leray composition theorem, 271
Knaster- Tarski theorem, 25, 35 endomorphism, 418
Kneser conjecture, 192 functor , 438
Kneser- Fan theorem, 47 theorem, generalized, 360
Krasnosel'skil- Rabinowitz theorem, 344 trace, 416
Krasnosel 'skil theorem, 273, 325, 330 Leray- Schauder alternative, 4, 124, 544
Krein- Krasnosel'skil- Milman theorem, 153 category, 491
Krein- Milman theorem, 172, 603 continuation principle, 320
Krein- Rutman theorem , 190 degree, 349, 366
Krein- Smulian theorem, 604 fixed point index, 311
Kronecker characteristic, 357 formula, 328
Kryloff- Bogoliouboff theorem, 50 index, 355, 356
k-set contraction, 336 principle, 6, 123, 135, 300
Kiinneth formula, 397 principle, generalized, 189, 292
Kuratowski- Dugundji theorem, 436 space, 299
Kuratowski lemma, 483 theorem, 348
measure of noncom pact ness, 133, 335 L-essential map, 136
theorem, 283, 597 L-homotopic maps, 136
Kuratowski- Mazurkiewicz separation theo- lifting, 581
rem, 319 limit, generalized, 47, 50
Kuratowski- Steinhaus theorem, 152 linear functional , 600
Kuratowski- Zorn lemma, 590 operator, 600
span, 600
A-slice, 351 subspace, 599
Laplace operator, 115 topological space, 601
Lax- Milgram- Vishik theorem, 66 variety, 600
Lebesgue lemma, 90 linearly independent vectors, 600
number , 90 line segment, 599
theorem, 90 Lipschitz constant, 9
Lefschetz formula, 460 Lipschitzian map, 9, 108
fraction , 537 local bifurcation theorem, 340
map, 421, 484, 542, 549 index, 253, 270, 326, 463
number, 227, 531 , 542, 548, 549 locally compact map, 427
number, generalized, 418, 421, 537 compact space, 593
pair, 486 convex space, 141, 602
power series, 435 equiconnected space, 302
space, 422, 474 finite polyhedron, 475
theorem, 573 Lomonosov theorem, 160
zeta function, 440 lower bound , 25
Lefschetz- Hopf fixed point index, 458 semicontinuous function, 27, 591
686 Index of Terms
lower semicontinuous set-valued map, 599 Morse equality, 461

LV -Caratheodory function , 115, 183 function , 460
solution , 183, 184 functional, 574
Lusternik- Schnirelmann- Borsuk theorem, index, 574
91 , 93 inequalities , 407
Lusternik- Schnirelmann category, 105, 524 polynomial, 460
m-special ANR, 297
map, 1 multiplicativity, 308, 364
of triads, 495 multiplicity of fixed point , 441
Marcinkiewicz- Sobolev space, 585 n-acyclic functor-chain , 404
Markoff- Kakutani theorem , 43, 49 , 84
matching property, 104 Nadler theorem , 28
maximal element, 589 Nash equilibrium, 150
monotone set-valued operator, 68 , 79, equilibrium theorem, 151, 191
84 theorem , generalized, 178
Mayer- Vietoris cohomology sequence, 496 natural chain map, 379
homomorphism, 408, 496 , 561 equivalence, 371 , 619
theorem , 389 transformation, 371 , 619
Mazur- Orlicz theorem , 49, 72, 84 nbd,591
Mazur- Schauder theorem, 78 NB-map, 567
Mazur- Smulian theorem , 605 n-boundary, 612
Mazur theorem, 174, 603 n-cha in, 612
mean , 47, 583 n-cycle, 215, 612
value theorem, 604 n-dimensional vector space , 600
mesh, 101 , 198 negative simplex, 88
metric, 594 negligible set , 62
interval, 33 neighborhood , 591
space, 594 extensor space, 303, 465 , 471, 483
metrically convex space, 33 finite covering, 595
metrizable space, 594 nerve, 204, 221 , 479
Michael theorem, 484 , 599 N&S(compact)-map , 486
minimal closed §"-invariant subset, 172 N&S(compact metric)-map, 465
minimax inequalities, 144 NES(compact metric) space, 540
minimizer, 30 net, 593
minimizing sequence, 30 neutral simplex, 88
Minkowski functional , 602 Nielsen number, 488, 577
Minty- Browder theorem, 67 Niemytzki operator, 114
Miranda theorem, 79, 100 Nikodym theorem, 75
Misiurewicz- Przytycki theorem , 490 nilpotent endomorphism , 414
mod 2 cuplength , 580 n-Iocally connected space, 301 , 436
mod 2 degree, 368 noncontracting family, 172
model object, 379 nondegenerate critical point , 460
mod p theorem, 231, 460 nonexpansive map, 9, 51 , 75
moments problem, 73, 84 nonlinear alternative, 4, 14, 34,54, 74, 123,
monic homomorphism, 609 133, 135, 138, 169, 177
operator, 601 alternative for coincidences, 136
monomorphism , 601 , 609 Poisson equation, 345
monotone map, 61 , 66, 75 , 78 , 82 nontrivial solution , 339
set-va lued operator, 68, 79 subspace, 160
morphism, 370, 616 norm, 602
Index of Terms 687
normal extension, 443 partially extendable map, 484

fixed point , 442 ordered set, 589
homotopy, 556 partial order, 589
map , 556 partition of unity, 597
simplex, 443 Peano theorem, 155
space, 591 period , 229
structure, 77 periodicity index, 432
normalization axiom, 247, 270, 308, 357, periodic point , 229
361 , 521 problem , 181- 184
normed linear space, 602 transformation, 152
n-simplex, 214 Perron-Frobenius theorem, 193
n-skeleton, 475 perturbed Galerkin equation, 158
nullhomotopic map, 92 Galerkin method , 158
numerica l-valued index, 247 <P-map, 176
Nussbaum theorem, 325 Phragmen- Brouwer theorem, 530
(n, E)-spanning set, 490 PL-generic map, 252
Poincare-Birkhoff theorem, 578
Poincare-Brouwer theorem, 238
object, 370, 616
Poincare-Hopf theorem , 402
odd map, 136, 268,352
Poincare polynomial, 406
open covering, 593
point-compact set-valued map, 598
embedding, 591
polyhedral domain, 251
half-space, 170
polyhedron, 197, 250
map, 591
polytope, 214, 476
set , 590 positive simplex, 88
simplex, 86 preorder , 589
opposite category, 370, 616 preordered set , 589
orbit, 10, 22, 44 , 426 presentation, 379
order, 345 projection, 589
ordered simplex, 205 projective topology, 592
ordinary cohomology theory, 410 proper subtriad , 497
homology theory, 386, 387 wedge, 322
level, 407 p-saturated set, 293
orientable c-structure, 368 pseudo-identity map, 210
orientation of Banach manifold, 368 pseudo manifold , 220
of normed linear space, 507 pull-back, 534, 618
oriented degree, 368
simplex, 205 q-criticallevel, 407
Orlicz- Sobolev space, 585 q-skeleton , 250
orthogonal set, 606 q-type number, 407
orthonormal set, 606 quasi-bounded map, 125, 132
outward directed vector, 460 quasi-component, 319
in the sense of Fan, map , 170 quasi-concave function , 38
map, 149 quasi-convex function , 38
quasi-homeomorphic spaces, 109
pair, 4, 120 quasi-linear differential equation , 347
of polyhedra, 250 quasi-norm, 132
Palais- Smale condition, 574 quotient graded group, 612
paracompact space, 595 group, 609
parallelogram law, 606 space, 293 , 592, 599
688 Index of Terms
Rabinowitz-Nussbaum theorem, 342 estimates, 365

Rabinowitz theorem, 274 fixed point theorem, 119
radial projection , 239 invertibility theorem, 58
ray, 350 projection, 116, 134, 354
Ro-map, 550 theorem, 603
r-domination, 280 theorem, generalized, 165, 194, 291
realization of abstract complex, 203, 477 Schauder-Tychonoff theorem, 148, 177, 195
real vector space, 599 theorem, generalized, 186, 475
reduced homology group, 388 Schnirelmann theorem, 296
homology sequence, 217 Schwarz genus, 248
refinement, 595 second dual, 604
refining function, 411 selecting family, 177
reflexive space, 605 selection, 599
regular class, 175 semiflow, 233, 457
covering, 297 seminorm, 602
point, 367, 551 semiparaUelogram law, 80
space, 591 separable space, 590
value, 251, 363, 367, 551 separating family, 589
zero, 554 points, 21
regularly shrinkable set, 360 sequentially compact space, 594
relative bijection, 294 set contraction, 133
dimension, 559 set-valued contractive map, 36
homeomorphism, 408 involution, 545
Lefschetz theorem, 459 map, 37, 598
Mayer-Vietoris homomorphism, 497 shadowing property, 22
Morse index , 574 short exact sequence, 609
relatively compact set, 593 shrinkable nbd , 470
representation of map, 361 shrinking orbit, 20
representative, 614, 616 Shub- Sullivan theorem, 457
repulsive fixed point, 453 simplex, 85, 475, 476
restriction, 589 simplicial approximation, 202
retract, 3, 591 complex, 197, 221
retraction, 3, 107, 591 decomposition, 197
R-homotopy, 367 map, 202, 215, 476
Riesz-Schauder theorem, 606 subdivision, 214
right homotopy inverse, 360 vertex map, 88
inverse, 610, 617 singular cohomology group, 411
R-map, 367 complex, 374
rotation, 238 homology functor, 374
Rothe map, 367 homology group, 373, 377
Rouche theorem, 267, 350 n-chain, 372
r-skeleton, 198 n-chain functor, 373
Ryll-Nardzewski theorem, 196 n-simplex, 372
point, 272, 339
Sadovski'i theorem, 133 set, 339
Sard theorem, 551 singularity, 103, 241
scalar field, 599 Smale- Sard theorem, 368
multiplication, 599 smooth map, 551
Schauder approximation theorem, 117 partition of unity, 551
domain invariance theorem, 130 Sobolev space, 608
Index of Terms 689
space, 1 subnet,593
special compact field, 358 subpolyhedron, 198, 475
neighborhood, 340 subpolytope, 476
pair of polyhedra, 250 subtriad, 497
PL n map, 251 successive approximations, 23
spectrum of CW-complexes, 528 successor, 614
Sperner labeling, 101 sufficiently many linear functionals, 42
Sperner lemma, 101 , 107 superreftexive space, 78
split exact sequence, 609 support functional, 36
square roots in Banach algebras, 21 of map, 597
S-space, 137 of simplicial decomposition, 197
stability of attractors , 22 of singular chain, 372
of open embeddings, 60 of singular simplex, 372
stable attractor, 426 point, 36
co homotopy, 528 supporting drops theorem , 29
fixed point, 329 supremum, 25
Stampacchia theorem, 49, 66 surjective map, 140, 589,
standard approximating system, 501 set-valued map, 37, 598
Euclidean n-simplex, 372 suspension , 218, 293
form of simplex, 87 sweeping, 132
map, 205, 221 , 480 symbol of differential operator, 581
realization, 203, 477 symmetric set, 136
retraction, 3, 53 triangulation, 88
s-simplex, 86
star, 198, 476 T-admissible homotopy, 553
star-shaped set , 77 map, 553
start of triad, 498 tangent vector, 36
stationarily homotopic maps, 282 Tarski- Kantorovitch theorem, 26
Stone theorem, 595 tensor product , 611
strictly differentiable map, 36 T-equivariant degree, 557
monotone map, 75 thread , 616
separated sets, 170 Tietze-Urysohn theorem, 592
strict minimizer, 30 T-invariant set , 553
strong deformation retract, 289 (T, k )-simple covering, 554
excision, 386, 410, 492, 495 set, 554
normalization, 335, 463 topological entropy, 490
topology, 478 invariance of simplicial homology, 392
strongly acyclic set-valued map, 550 KKM-principle, 97, 190
indefinite Morse functional, 574 space, 590
KKM-map, 38, 96 transversality, 4, 135
Lefschetz map, 422 transversality for coincidences, 136
monotone map, 61 , 75 transversality theorem, 122
structure, 391 topologically complete space, 594
category, 391 topology, 221, 590
subbase, 590 generated by family, 592
subdifferential, 36 torsion product, 612
subdivision, 100 totally bounded space, 595
subgroup, 608, ordered set, 590
of graded group, 612 trace, 223, 225
sub linear functional , 70, 602 triad , 495
690 Index of Terms
triangulated space, 214, 476 space, 599

triangulation, 87, 214, 476 vertex, 198
triple, 406 scheme, 203, 477
trivial solution, 273, 338, 339 vertical boundary, 256, 318
t-slice, 318, 339 map, 587
tube lemma, 281 Vietor is cohomology group, 412
two-point boundary value problem , 156 complex, 411
Tychonoff cube, 4 fraction, 547
product , 592 homology, 459
theorem, 147, 593, 597 homology group, 412
type number, 407 map, 534
mapping theorem, 535
unicoherent simplicial complex, 220 VMO , 583
uniformly convex norm, 64 Volterra integral equation , 55
convex space, 76 von Neumann- Sion minimax principle, 143
elliptic operator, 346 von Neumann theorem, 40
union, 598 V-small simplex, 382
unit n-ball, 87
n-sphere, 87 Walras excess demand theorem,
universal coefficients theorem, 395 generalized, 179
family, 402 weaker topology, 590
map, 102, 108 weakly almost periodic function, 196
transformation, 614 nilpotent endomorphism, 414
upper bound, 25 , 590 weak-star topology, 605
demicontinuous set-valued map, 190 weak topology, 592, 603
semicontinuous function, 27, 591 wedge, 322, 600
semi continuous set-valued map, 166, Weierstrass- Stone theorem, 21
542,599 well ordered set, 590
Urysohn integral operator, 113 well posed problem, 347
lemma, 592 Whitehead-Barratt lemma, 610
theorem, 597 Wiener map, 586
measure, 586
value of set-valued map, 37, 598 space, abstract, 586
vanishing mean oscillation, 583
variational inequalities, 66 Zermelo theorem, 590
vector field, 103, 241 , 246 zero homotopy class, 522

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Springer Monographs in Mathematics

Springer Science+Business Media, LLC

Fixed Point Theory

Mathematics Subject Classification (2000): 37C25, 47HIO, 54H25, 58C30

Library of Congress Cataloging-in-Publication Data

1. Fixed point theory. l. Granas, Andrzej. II. Title. III. Series.

ISBN 978-1-4419-1805-5 ISBN 978-0-387-21593-8 (eBook)

© 2003 Springer Science+Business Media New York

The aim of this monograph is to give a unified account of the classical

Montreal and Olsztyn, September 2002 Andrzej Granas

Preface . . ............... ... ......................... ... .... .. ...... vii

§O. Introduction ............................ . . . . . . . . .. .. .... 1. . . . .

I. Elementary Fixed Point Theorems

1. Banach Contraction Principle ................................ 9

§3. Results Based on Convexity 37

II. Theorem of Borsuk and Topological Transversality

III. Homology and Fixed Points

6. Theorem of Borsuk- Hirsch ....... . ...... . ................... 236

IV. Leray-Schauder Degree and Fixed Point Index

6. The Leray- Schauder Continuation Principle in ANRs .. ...... 317

V. The Lefschetz-Hopf Theory

§16. The Hopf Index Theorem 441

VI. Selected Topics

1. Fixed Point Spaces

any special feature that the map f has. This is formalized in

2. Forming New Fixed Point Spaces From Old

defines a retraction (called the standard retraction) of E onto Kg.

(2.3) THEOREM (Nonlinear alternative). Let E be a normed linear space

(3.1) DEFINITION . Let (X , A) be a pair in Y. A map 9 E Je'A(X, Y) is

In geometric terms, a compact map 9 : X --+ Y is essential if the graph

EXAMPLES. (i) Let X = [a, b] c R = Y and A = [a, b]. A map 9 : X --+ R

The concept of an essential map is closely related to the notion of a

(3.3) THEOREM. Let Y be a completely regular space, (X, A) a pair in Y,

PROOF. Suppose Fix(f) = 0. Let h : X x I -----t Y be an admissible compact

we have: Fix(f) -10 {:} Fix(F) -10.

For a subset A of a fixed point space K that is not a retract of that

PROOF. Letting i : A <-+ X be the inclusion, we have f = f*i ; since if* = f*

More generally, if K is not a fixed point space, the existence of a fixed

(4.3) LEMMA. Suppose that a map f : K --t K factors through a fixed

commutative. Then f has a fixed point.

PROOF. This is an obvious consequence of (4.1). o

PROOF . Let f : K --t K be given. For each n, there is a Zn E Zn with

EXAMPLES. (i) Consider the space Z = {(x,y) I y = sin(llx), 0 < x :s: 1}

T XJ = {x = (Xl, X2,"') Ilxil :s: 1/2i for all i}

and its subspaces [n, where

In this chapter we provide an introduction to those topics of fixed point

§ 1. Results Based on Completeness

1. Banach Contraction Principle

(1.1) THEOREM (Banach contraction principle). Let (Y, d) be a complete

(1.2) COROLLARY. Let (Y, d) be complete and B = B(yo, r) = {y I d(y, Yo)

2. Elementary Domain Invariance

PROOF. To show that f is an open mapping, it is enough to establish that

(2.2) COROLLARY. Let E be a Banach space and F : E -+ E be contractive.

3. Continuation Method for Contractive Maps

4. Nonlinear Alternative for Contractive Maps

(4.1) THEOREM (Nonlinear alternative). Let U be a (relatively) open subset

PROOF. Because U is symmetric with respect to 0 and P is contractive and

5. Extensions of the Banach Theorem

(5.4) THEOREM. Let (X, d) be complete and 'P : X ---+ R+ an arbitrary

PROOF. Letting i : A <-+ X be the inclusion, we have f = fi ; since if = f*