Hilbert space and Open mapping theorem

RESEARCH REPORT
SUBMITTED TO
DR. BHIMRAO AMBEDKAR UNIVERSITY AGRA
FOR THE FULLFILLMENT OF M.Sc. FINAL YEAR
IN
MATHEMATICS
2024-25
SUBMITTED BY:

SWETA SHARMA……

UNDER THE SUPERVISION OF

Mr. RAHUL KUMAR

DEPARTMENT OF MATHEMATICS

C.L. JAIN COLLEGE FIROZABAD

 Abstract
This research project presents an in-depth investigation into
the relationship between Hilbert spaces and the Open
Mapping Theorem (OMT), one of the fundamental results in
functional analysis. Hilbert spaces, which generalize finite-
dimensional Euclidean spaces to infinite dimensions while
preserving crucial geometric properties, serve as the natural
setting for many problems in mathematical physics, partial
differential equations (PDEs), and signal processing. The
OMT, which guarantees that surjective bounded linear
operators between Banach spaces are open maps, has
profound implications for operator theory, stability analysis,
and the well-posed Ness of differential equations. The Open
Mapping Theorem, also known as the Banach-Schauder
Theorem, is a fundamental result in functional analysis. It
states that if you have a surjective, bounded linear operator (a
continuous linear transformation) between two Banach
spaces, then that operator must also be an open
mapping. This means that it maps open sets in the domain to
open sets in the codomain.
This abstract explores the Open Mapping Theorem within the
context of Hilbert spaces, demonstrating how a surjective,
bounded linear operator between Banach spaces (which
includes Hilbert spaces) guarantees an open mapping, a
crucial result in functional analysis
1. Theoretical foundations of Hilbert spaces and the OMT,
emphasizing their interplay.
2. Key consequences of the OMT, including the Inverse
Mapping Theorem and Closed Graph Theorem.
3. Applications in spectral theory, PDEs, quantum
mechanics, and numerical analysis.
4. Open questions and potential extensions, such as
nonlinear generalizations.
 1. Introduction

1.1 Background and Motivation

A Hilbert space is a real or complex inner product space that
is also a complete metric space with respect to the distance
function induced by the inner product
Hilbert spaces, named after David Hilbert, are complete inner
product spaces that generalize the notion of Euclidean space
to infinite dimensions. They are indispensable in modern
mathematics and physics, particularly in quantum mechanics
(where wave functions live in L2), PDE theory (Sobolev
spaces), and signal processing (frame theory).
The Open Mapping Theorem (OMT), a cornerstone of
functional analysis, states that a surjective bounded linear
operator between Banach spaces maps open sets to open sets.
This seemingly simple statement has far-reaching
consequences, including:
In mathematics, a Hilbert space (named for David Hilbert)
generalizes the notion of Euclidean space. It extends the
methods of linear algebra and calculus from the two-
dimensional Euclidean plane and three-dimensional space to
spaces with any finite or infinite number of dimensions. A
Hilbert space is a vector space equipped with an inner
product operation, which allows lengths and angles to be
defined. Furthermore, Hilbert spaces are complete, which
means that there are enough limits in the space to allow the
techniques of calculus to be used. A Hilbert space is a special
case of a Banach space.
Hilbert spaces were studied beginning in the first decade of
the 20th century by David Hilbert, Erhard Schmidt,
and Frigyes Riesz. They are indispensable tools in the
theories of partial differential equations, quantum
mechanics, Fourier analysis (which includes applications
to signal processing and heat transfer), and ergodic
theory (which forms the mathematical underpinning
of thermodynamics). John von Neumann coined the
term Hilbert space for the abstract concept that underlies
many of these diverse applications. The success of Hilbert
space methods ushered in a very fruitful era for functional
analysis. Apart from the classical Euclidean vector spaces,
examples of Hilbert spaces include spaces of square-
integrable functions, spaces of sequences, Sobolev
spaces consisting of generalized functions, and Hardy
spaces of holomorphic functions.
Geometric intuition plays an important role in many aspects
of Hilbert space theory. Exact analogy of the Pythagorean
theorem and parallelogram law hold in a Hilbert space. At a
deeper level, perpendicular projection onto a linear
subspace plays a significant role in optimization problems
and other aspects of the theory. An element of a Hilbert space
can be uniquely specified by its coordinates with respect to
an orthonormal basis, in analogy with Cartesian
coordinates in classical geometry. When
this basis is countably infinite, it allows identifying the
Hilbert space with the space of the infinite sequences that
are square-summable. The latter space is often in the older
literature referred to as
The Hilbert space. An inner product space which is complete
with respect to the norm induced by
the inner product, i.e., if every Cauchy sequence is
convergent , is called Hilbert space. The letter H
will always denote a Hilbert space.
 Literature Review
2.1 Foundational Works
Author(s) Contribution Year
Formalized Hilbert spaces in integral
David Hilbert 1904
equations
Developed Banach space theory
Stefan Banach 1922
(OMT)
John von Axiomatized Hilbert spaces for
1929
Neumann quantum mechanics
Laurent
Generalized OMT to Fréchet spaces 1950
Schwartz

2.2 Key Theoretical Advances

(A) Hilbert Space Theory
1. Riesz Representation Theorem
Every continuous linear functional f ∈H* has a
unique y ∈H such that f(x)=⟨x,y⟩
o

o Critical for weak formulations of PDEs (Lax-

Milgram theorem).
2. Spectral Theorem
o Self-adjoint operators admit eigenfunction
expansions (essential in quantum mechanics).
o Spectral Theorem
o Self-adjoint operators admit eigenfunction
expansions (essential in quantum mechanics).
o (B) Open Mapping Theorem
o Classical Form: If T:X→Y is surjective and
bounded, then T is open.
o Consequences:
o Bounded Inverse Theorem:
Modern Extensions
o

Nonlinear OMT (L indenstrauss & Tzafriri, 1971)

o

For Fréchet differentiable maps between Banach spaces.

o

Quantitative OMT (Bourgain & Milman, 1985)

o

Bounds on openness constants in finite dimensions.

o

OMT for Multivalued Operators (Robinson, 1976)

o

Applications to convex analysis and optimization.

o

o exists and is bounded.

o Closed Graph Theorem: A closed operator defined
everywhere is bounded.
o
 2. Methodology
2.1 Theoretical Framework
The study adopts a rigorous functional-analytic approach,
combining:
Operator OMT Key
Reason
Type Applicable? Example
Bounded Fourier Direct
and Yes transform application
bijective on L² of OMT
Integral Never surjective
Compact No
operators on infinite H
Unbounded With Laplacian Closed graph
Operator OMT Key
Reason
Type Applicable? Example
theorem ensures
(closed) restrictions Δ on H
bounds

There are really three ‘types’ of Hilbert spaces (over C).

The finite dimensional ones, essentially just C n, with
which you are pretty familiar and two infinite
dimensional cases corresponding to being separable
(having a countable dense subset) Or not. As we shall
see, there is really only one separable infinite-
dimensional Hilbert
space and that is what we are mostly interested in.
Nevertheless some proofs (usually the nicest ones) work
in the non-separable case too.
I will first discuss the definition of pre-Hilbert and
Hilbert spaces and prove
Cauchy’s inequality and the parallelogram law. This can
be found in all the lecture
notes listed earlier and many other places so the
discussion here will be kept succinct. Another nice
source is the book of G.F. Simmons, “Introduction to
topology
and modern analysis”. I like it – but I think it is out of
print.

Summary Table of Open Mapping Theorem Examples

Context Operator Open? Why?
Banach spaces Bounded
Yes Classical OMT
(surjective) linear T:X→Y
Hilbert spaces Yes (onto Orthogonal
T:H→K
(closed range) range) decompositions
Generalization of
Fréchet spaces D:C∞→C Yes
OMT
Non-surjective
(non-closed Left-shift on ℓ2 No Range not closed
range)
Signal Frame analysis Yes (on Frame bounds
processing operator range) ensure stability

3. Counterexamples Where OMT Fails

(1) Non-Complete Spaces
Let T:C[0,1]→L2[0,1] be the inclusion map.
 T is bounded and injective but not open (because C
[0,1] is not complete in the L2-norm).
(2) Non-Surjective Operators
The left-shift operator T:ℓ2→ℓ2 (x1,x2,… )↦(x2,x3,… )is not
open because its range is not closed.

Classical Open Mapping Theorem (Banach Spaces)

Statement:
Let X and Y be Banach spaces, and T:X→Y a surjective
bounded linear operator. Then:
 T is an open map (maps open sets to open sets).
 If T is bijective, its inverse T-1 is also bounded.
Example:
Consider the Fourier transform F:L1(R)→C0(R)
(where C0 is the space of continuous functions vanishing
at infinity)

OMT for Hilbert Spaces

Refined Version:
In Hilbert spaces, the OMT can be strengthened
using orthogonal projections and adjoints.
Example:
Let T:H→K be a surjective bounded operator between
Hilbert spaces. Then:
  T has a bounded right inverse (since kerT has a closed
complement).
 The pseudoinverse T* is bounded.

5. EXAMPLES

OMT for a Matrix Operator (Finite-Dimensional Hilbert

Space)
Problem:
Let T:C2→C2 be defined by the matrix T=(0 )
1 1
1 Verify the
OMT.
Solution:
Subjectivity:
For any y = (y1, y2) ∈C2 solve Tx =Ty
x1+x2=y1, x2=y2
The solution x= (y1-y2 , y2) exists for all y, so T is surjective.
1. Openness:
o Since T is linear and surjective on a finite-
dimensional space (automatically continuous), the
OMT guarantees T is open.
Explicit inverse: T−1=(0 ) is
1 −1
o 1 bounded, confirming
the OMT.
Key Properties:
 Inner Product: A function ⟨⋅,⋅⟩:H×H→C (or R) that is
linear in the first argument, conjugate symmetric, and
positive-definite.
 Completeness: Every Cauchy sequence in H converges
to an element in H.
Norm Induced by Inner Product: ∥x∥=⟨x,x⟩
Orthogonality: Two vectors x,y ∈H are orthogonal


if ⟨x,y⟩=0 .


Orthonormal Basis: A maximal orthonormal set

every x ∈H can be written


as x=∑⟨x,ei⟩ (Fourier series expansion).

{ei} such that

Summary Table of Solved Examples

 OMT
Example Operator Key Reason
Applies?
Surjective,
Matrix
T=(0 )
1 −1
1 Yes finite-
on C2
dimensional

Left-shift Not
T(x1,x2,… )=(x2,x3,… ) No
on ℓ 2 surjective
Closed
Integral x

Tf(x) = ∫ f ( t ) ⅆt On range range, not

operator 0

surjective

Frame
T(f)={⟨f,ϕn⟩}
Frame
bounds
analysis On range
ensure closed
operator
range
Yes Elliptic
Laplacian Δ Δ:H2→L2
regularity
 Introduction with Concrete Example

Consider the operator T: ℓ² → ℓ² defined by T(x₁,x₂,...) =

(x₁, x₂/2, x₃/3, ...). This is:
Clearly linear and bounded (‖T‖ = 1)
Injective but not surjective (e.g., (1,1,1,...) ∉ Range(T))


 Compact operator (limit of finite-rank operators)

OMT Proof with Computation

For T: ℂ² → ℂ² given by matrix [[1,1],[0,1]]:

Example 3 (Quantitative Bound):

 σ(T) = {1} (single eigenvalue)

  ‖T‖ = 1.618 (golden ratio)
 ‖T⁻¹‖ = 1.618

Verification: For y = (1,0), solve Tx = y ⇒ x = (1,-

 OMT constant C = ‖T⁻¹‖ gives ‖x‖ ≤ 1.618‖Tx‖


1), ‖x‖ = √2 ≈ 1.414 ≤ 1.618·1

Hilbert Spaces and the Open Mapping Theorem in Daily

Life
(Solved Examples with Real-World Analogies)

1. Grocery Shopping in ℓ² Space

Problem: You have a shopping list (sequence) of items with
quantities (x1,x2,… )
where ∑∣Xi∣2<∞ (finite "total impact").
 Example: x=(1,1/2,1/4,… )
 (buying 1 apple, ½ milk carton, ¼ bread loaf, etc.).
Question: Is your list realistic?
 Check if ∥x∥2=1+1/4+1/16+⋯=4/3<
 Conclusion: Yes! This is a valid "ℓ² shopping list."
Real-World Analogy:
  Just as you can’t buy infinite
groceries, ℓ2 sequences must have finite "total
energy."


2. GPS Navigation as a Projection

Problem: You’re at point A and want to reach the nearest
point B on a road (a line).
Mathematical Model:
 Let H=R2 (2D space), K= road (subspace).
 Find ProjK A

 Solution:
 Parametrize road: K={(t,2t):t∈R}.
 Project A=(3,1) onto K:
B= ( v . v )v = ( )(1,2) = (1,2)
A .v 3 ⋅1+ 2⋅1
2 2
1 +2

Real-World Analogy:
 GPS finds the shortest path to the road, just like
orthogonal projection in Hilbert spaces.
3. Netflix Recommendations (Frame Theory)

Problem: Netflix suggests movies based on your preferences

(a "frame" of choices).
Mathematical Model:
  Let H= "taste space" (e.g., dimensions: action, romance,
comedy).
 Movies form a frame {v1,…,vN}
Example:
 You rate:
o v1= (1,0,0) (Action),

o v2= (0,1,0) (Romance),

o v3= (0,0,1) (Comedy),

1
o v4 = ( 1 ,1 , 1 )(Balanced).
√3


Reconstruction:
 Your preference x=(3,2,1) (love action, like
romance, tolerate comedy).

Recommended movie: max ci ⇒ Action (v1).

 Compute coefficients ci=⟨x,vi⟩


Real-World Analogy:
 Frames generalize bases, allowing redundant
but stable representations (like multiple
recommendation criteria).


4. Weather Forecasting (Open Mapping Theorem)

Problem: Predict temperature TT from satellite data DD.
Mathematical Model:
  Let T=L(D), where L is a linear operator (physics
model).
 Open Mapping Theorem: If L is surjective, small data
errors ΔD
 Example:
 Suppose L maps wind speed ww to temperature change:
 T(w)=20°C+2w (w≥0).
1
 Inverse: w= 2 (T−20)
 If T is measured as 24°C±1°C, then w=2±0.5w m/s.
 cause bounded prediction errors ΔT.

Real-World Analogy:
5. Quantum Coffee Brewing (Spectral Theory)
Problem: Your coffee machine has "energy
states" (like quantum systems).
Mathematical Model:

o ∣0⟩=∣0⟩= "off,"
 Let H=C2 :

o ∣1⟩=∣1⟩= "brewing."

The "Brewing Operator" B=(0 )

1 0
 1
 The theorem guarantees stable predictions—
no "wild swings" in forecasts from small data
noise.


Summary Table: Daily Hilbert Space Examples

Hilbert
Scenario Key Insight
Concept
Finite "total
Grocery
ℓ² sequences impact" for
shopping
realistic lists.
Shortest path =
GPS Orthogonal
projection onto
navigation projection
subspace.
Redundant
Netflix Frame
representations
algorithms theory
improve stability.
Open Small data errors
Weather
Mapping → bounded
prediction
Theorem forecast errors.
Outcomes are
Quantum Spectral
eigenstate
coffee theory
superpositions.
SVD reduces data
Image Compact
while preserving
compression operators
features.
 Final Thought
Hilbert spaces and the Open Mapping Theorem aren’t
just abstract math—they shape everyday tech, from GPS
to Netflix to weather apps!
Need another real-world analogy? Ask for:
 "Hilbert spaces in music playlists"
 "Open Mapping Theorem for traffic flow"
 "Quantum mechanics in pizza baking" 🍕
New chat

Group Chat Chaos (Open Mapping Theorem)

Scenario: Your friends plan a trip via chaotic messages:
 Alice: “Let’s go to Paris!”
 Bob: “No, Tokyo!”
 You: “How about anywhere with a decision?”
Math Model:
Let T: Plans→ Decisions T: Summary Table: When
Math Meets Chaos
Daily Hilbert
Lesson Learned
Disaster Concept
Infinite Some infinite lists
ℓ² sequences
grocery list are actually finite.
GPS vs. cow Projection The shortest detour is
Daily Hilbert
Lesson Learned
Disaster Concept
theorem orthogonal.
Netflix drama Algorithms need
Frame theory
spiral diversity.
 Quantum  Spectral  Eigen-toast is either
toaster theory perfect or burnt.
 Open
 Group chat  Surjectivity =
Mapping
indecision decisions exist.
Theorem
 

 Plans→ Decisions be the “planning operator.”

1. Applications of Hilbert Spaces

(a) Quantum Mechanics
 Hilbert spaces provide the mathematical framework for
quantum mechanics.
 The state of a quantum system is represented by a vector
in a Hilbert space.
 Observables (like position, momentum, energy)
correspond to self-adjoint operators on the space.
 The Schrödinger equation is formulated in a Hilbert
space.
(b) Signal Processing & Fourier Analysis
  The space of square-integrable functions L2(R) is a
Hilbert space.
 Fourier transforms (used in signal processing, image
analysis, and data compression) rely on orthonormal
bases in L2.
 Wavelet theory, used in JPEG and MP3 compression, is
built on Hilbert space methods. (c) Partial Differential
Equations (PDEs)
 Solutions to PDEs (e.g., heat equation, wave equation)
are often found in Sobolev spaces (a type of Hilbert
space).
 The Riesz Representation Theorem (a Hilbert space
result) is used to prove existence and uniqueness of weak
solutions.


(d)
Machine Learning & Functional
Approximation
 Kernel methods (e.g., Support Vector
Machines) use reproducing kernel Hilbert
spaces (RKHS).
 Hilbert spaces allow for optimal function
approximation (e.g., in neural networks and
spline fitting).


 2. Applications of the Open Mapping

Theorem


 (a) Solving Linear Equations in

Banach/Hilbert Spaces
 If T:X→Y is a bounded linear operator between
Banach spaces and is bijective, the Open
Mapping Theorem guarantees that T−1 is also
bounded.
 This ensures stability in numerical solutions
(small changes in input lead to small changes
in output).
 (b) Inverse Problems & Regularization
 In ill-posed inverse problems (e.g.,
tomography, image deblurring), the Open
Mapping Theorem helps determine when a
stable inverse exists.
 If an operator is not invertible, regularization
methods (like Tikhonov regularization) are
used to approximate solutions.
 (c) Functional Analysis & Operator
Theory
 The theorem is crucial in proving the Closed
Graph Theorem and Uniform
Boundedness Principle.
 It helps classify operators (e.g., Fredholm
operators in index theory).
 (d) Partial Differential Equations (PDEs)
 The Open Mapping Theorem is used to prove
existence of solutions to PDEs via linear
operators.
  For example, in elliptic PDEs, the Lax-Milgram
theorem (which relies on Hilbert space
theory) ensures well-posed Ness.
 (e) Control Theory & Optimization
 In optimal control problems, the Open
Mapping Theorem ensures that certain
mappings between function spaces are well-
behaved.
 Used in proving controllability and
observability of dynamical systems.


 Summary of Key Applications

I. Fundamental Theorems in Hilbert Spaces
Hilbert spaces (complete inner product spaces)
have rich geometric and analytic properties,
leading to several foundational theorems:
1. Riesz Representation Theorem
 Statement: Every continuous linear
functional ff on a Hilbert space HH can be
uniquely represented as f(x)=⟨x,z⟩ for some z∈
H.
 Applications:
o Defines duality in Hilbert spaces.

o Critical for weak formulations of PDEs

(e.g., Lax-Milgram theorem).




  Concept  Applications
 Quantum mechanics, signal
 Hilbert
processing, PDEs, machine
Spaces
learning, optimization.
 Solving linear equations,
 Open inverse problems, PDEs,
Mapping control theory, operator
Theorem theory.


2. Projection Theorem

of H, for any x ∈H there exists a unique y ∈C

 Statement: If C is a closed convex subset

minimizing ∥x−y∥.
 Applications:
o Least-squares approximation.

o Orthogonal decompositions

(e.g., H=M⊕M⊥ for closed subspaces M).

3. Spectral Theorem (for Self-Adjoint
Operators)
 Statement: A compact self-adjoint
operator T on H has an orthonormal basis of
eigenvectors with real eigenvalues.

 Applications: 4. Parseval’s Identity

 Statement: For an orthonormal basis {en}

∑∣⟨x, en ⟩∣2=∥x∥2.
of H,

 Applicati
Theorem KeyIdea Space
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.
Diagonaliz
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Theorem
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Sta
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Surjective y in
Open
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Mapping
operators Hilbert ar
Theorem
are open. syst
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.

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Closed
Closed Verifying
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Solvability
Finite
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methods.
problems.
 Conclusion

This research project has systematically

explored the fundamental concepts of Hilbert
spaces and the Open Mapping Theorem,
demonstrating their profound significance in
both theoretical mathematics and practical
applications. Through rigorous analysis and
concrete examples, we have established how
these tools provide a robust framework for
solving complex problems across multiple
disciplines.

Key Insights
1. Hilbert Space Foundations:
o Serves as the natural infinite-dimensional

extension of Euclidean space

o Provides essential geometric structure

through inner products and orthogonality

o Enables powerful decomposition

techniques via the Projection Theorem

o Forms the mathematical basis for

quantum mechanics through spectral

theory
2. Open Mapping Theorem:
o Guarantees stability in linear operator

theory
o Ensures well-posedness of solutions

through its corollaries

 o Provides critical existence and uniqueness
guarantees
o Underpins reliable numerical methods in

computational mathematics
1. Interdisciplinary Applications:
o Quantum physics: Rigorous framework for

state spaces and observables

o Signal processing: Stable transformations

in L² spaces
o Machine learning: Kernel methods in

reproducing kernel Hilbert spaces

o Engineering: Control systems and PDE

solutions
Theoretical and Practical Impact
The synthesis of these concepts has revealed:
 How abstract functional analysis enables

concrete problem-solving
 The deep connections between geometry and

analysis in infinite dimensions

 Why these mathematical structures remain

vital for modern scientific computing

Future Research Directions
Potential extensions include:
1. Nonlinear operator generalizations
2. Applications in emerging fields like
topological data analysis
3. Computational implementations for large-
scale problems
4. Connections to quantum information
theory

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(2016). Deep learning. MIT Press.
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