Use and for Banach algebra spectrum and algebra resolvent set. An inverse in the smaller unital algebra is also an inverse in the larger one, so .
If and , then for the Neumann series givesThus is open. To prove relative closedness, suppose and . Continuity of inversion in gives . Since is norm closed, the limiting inverse belongs to , so . Consequently is relatively clopen in .
A connected component of meets the relatively clopen subset either everywhere or nowhere: its intersection and its complement would otherwise disconnect . If it meets nowhere, . If it meets everywhere, is a connected subset of , and any larger connected subset of would be a connected subset of larger than its component . Thus is either a whole component of or lies wholly in .
For , the Neumann seriesconverges in . The exterior of this disk is connected and belongs to both algebra resolvent sets. Since each Banach algebra spectrum is compact, each algebra resolvent set has exactly one unbounded component: any unbounded component meets that exterior, and two components meeting a common connected exterior must coincide. Part (ii) says that the component of meeting the exterior is also a whole component of . Hence the unbounded components are identical.
Now . Let be a bounded component of and . Its boundary lies in : an open disk about a boundary point in the algebra resolvent set would meet and would belong to the same component, contradicting boundary membership. The maximum modulus principle on the bounded domain therefore gives, for every complex polynomial ,Here spectral mapping theorem follows by factoring : its commuting factors are invertible exactly when every root avoids the Banach algebra spectrum.
The rule is well-defined by the displayed bound, multiplicative and bounded on the dense polynomial subalgebra. It extends to a unital character on . Since , that element cannot have an inverse in . Thus . Together with part (iii), this proves that the Banach algebra spectrum of a polynomial-generated Banach subalgebra is exactly the original Banach algebra spectrum with all its bounded complementary components filled in.
The hypothesis puts zero in the common unbounded resolvent component from part (iii). Hence for , and , or equivalently . By the definition of this norm closure, for each choose a polynomial with . ThereforeThis is an approximation in the algebra norm, not merely a scalar approximation on the Banach algebra spectrum.
Give the compact-open topology. Choose a finite polygonal cycle in whose winding number is one on the Banach algebra spectrum and zero outside . One can take the oriented boundary of a finite union of small squares surrounding the compact Banach algebra spectrum and contained in . DefineThe integral is an algebra-norm integral of a continuous function on finitely many segments. Cauchy's theorem, applied after any bounded linear functional on , makes it independent of the cycle. Moreoverso it is continuous for the compact-open topology.
Here is a direct verification of the algebra properties and uniqueness using the allowed Runge theorem. The version required is that every holomorphic function on an open plane set is a locally uniform limit of rational functions with poles outside that set, allowing a polynomial part. A rational function of this kind has the unambiguous value , since the roots of avoid the Banach algebra spectrum. These rational values form a unital algebra homomorphism.
They agree with the contour integral. First , by replacing the cycle with a large circle and integrating its Neumann expansion. The identity then proves the assertion for polynomials. For , the resolvent identity givesThe cycle has winding number zero at , so integration gives . This identity holds on a neighborhood of disjoint from the cycle and the Banach algebra spectrum. Differentiating with respect to gives the analogous result for every power , and partial fractions give it for all the rational functions under consideration.
If and locally uniformly, the contour estimate makes their evaluated sequences converge. Since locally uniformly and multiplication in is continuous, their limits satisfy . Also and . Conversely any continuous unital complex-algebra homomorphism sending to must send to and its reciprocal to the inverse. It therefore agrees on rational functions and then, by Runge density and continuity, on all of . This proves existence and uniqueness of the holomorphic functional calculus.
For its spectral mapping property, first note compatibility on a smaller open spectral neighborhood : composing restriction to with the calculus there gives the calculus on by uniqueness. If , choose such a where never vanishes. Thenwith the right side evaluated on . Conversely, for , write with holomorphic on . The evaluated factors commute. If their product were invertible, both factors would be invertible, contradicting . ThusPullback is continuous from to because the image under of a compact set is compact. The composite is a continuous unital homomorphism taking the coordinate function to . Uniqueness of the calculus at provesFor the exponential conclusion, let . There is a simple polygonal arc from zero through its unbounded complementary component to outside a disk containing , continued by a ray to infinity and avoiding . Loops in an initial polygonal path can be removed to make the arc simple. The complement of this slit is a simply connected open neighborhood of avoiding zero, and hence admits a holomorphic logarithm . Set . The composition rule givesThe calculus of the entire exponential agrees with the usual algebra exponential because its power-series partial sums converge locally uniformly. Finally an invertible matrix over the complex numbers has a finite Banach algebra spectrum avoiding zero. Removing finitely many plane points leaves a connected set, so the hypothesis always holds: every invertible matrix over the complex numbers is an exponential of a matrix over the complex numbers.
A C-star algebra is a complex Banach algebra with a conjugate-linear involution satisfying and . The inequality , and then the same inequality for , show that the involution is isometric. In a nonzero unital C-star algebra, the identity has norm one.
For a Hermitian algebra element , the exponential is unitary for real and has norm one. If , then : factoring with entire proves this, since the evaluated factors commute. Hence for all positive and negative , forcing . Thus Hermitian algebra elements have real Banach algebra spectrum.
For a normal C-star element , commutation of givesThe middle equality of norms uses the C-star identity on the Hermitian algebra element . Iterating along powers and applying the spectral radius formula proves .
Now suppose is commutative and unital. Every maximal ideal is closed: if it were dense, it would contain an element within distance less than one of the identity, hence an invertible element by the Neumann series, which is impossible for a proper ideal. Its quotient is a complex Banach division algebra and is therefore by the Gelfand-Mazur theorem. Maximal ideals thus give characters. Conversely, every character satisfies , because applying it to an inverse of would give a contradiction. Characters are consequently contractive. The converse spectral inclusion follows by placing the proper ideal generated by in a maximal ideal. We have provedThe character space is a weak-star closed subset of the dual unit ball, characterized by and . The Banach-Alaoglu theorem makes it compact Hausdorff. Define the Gelfand transform by . For Hermitian , its values are real; writing with both terms Hermitian shows . In the commutative algebra every element is normal, soThe transform is therefore an isometric unital star-homomorphism and has closed range in . Its range separates characters by their definition and is closed under complex conjugation. The complex Stone-Weierstrass theorem makes that range dense, hence equal to . This proves the Commutative Gelfand--Naimark theorem:For a nonunital C-star algebra, its C-star unitization can be constructed without assuming an operator representation on a Hilbert space. Represent by left multiplication on itself, which is isometric because testing on gives . Adjoin the identity operator and set . For and , the C-star identity in gives . Consequently . Applying this also to proves that the new involution is isometric and that its C-star identity holds. The extension by the identity is complete, since the isometric image of is closed and one adjoins just one dimension. Apply the unital result to a commutative ; the character given by has kernel . Under the isomorphism, this kernel consists of the continuous functions vanishing at . Thus in the nonunital case, with locally compact character space .
For a Hermitian in a possibly noncommutative algebra, apply this result to the commutative unital C-star subalgebra in the unitization. Its Banach algebra spectrum at equals the ambient Banach algebra spectrum: both Banach algebra spectra are real, the complement of the ambient compact real Banach algebra spectrum is connected, and the resolvent-component result of Question 1 retains that whole complement in the smaller algebra. Characters of this subalgebra are determined by their values at , so its character space is homeomorphic to . We obtain the continuous functional calculus .
Interpret here as . If , apply this calculus to , obtaining a Hermitian with . In a nonunital algebra this element remains in because the defining scalar function vanishes at zero. Conversely, if with , spectral mapping theorem and the real Banach algebra spectrum of give . Hence nonnegative Banach algebra spectrum is equivalent to being the square of a Hermitian algebra element. A strict-positive interpretation would exclude , and would not be equivalent to the assertion about an arbitrary Hermitian square.
Finally, use the two continuous real functions and on . Their calculus values are Hermitian, belong to also in the nonunital case, and satisfy
Put and use the continuous functional calculus . It is a unital star-homomorphism taking the coordinate function to . This follows from the commutative C-star theorem applied to , together with spectral permanence for C-star subalgebras, which is among the permitted C-star results.
Take the Hilbert space inner product linear in its first variable. For a vector , let . This cyclic subspace is invariant under every and its adjoint, so it is reducing. The functional is positive because implies . It has, by the Riesz-Markov-Kakutani representation theorem, a finite regular positive Borel measure on . The identitymakes an isometry on its quotient by the functions of zero norm. Density of continuous functions in extends it to a unitary . Multiplication by a continuous function intertwines with on this subspace.
Choose a maximal family of mutually orthogonal nonzero cyclic reducing subspaces. Their orthogonal sum is all of : otherwise its reducing orthogonal complement contains a nonzero vector generating another such subspace. This argument does not require separability. For a bounded Borel measurable function on , multiplication on every is bounded with norm at most . Define on that orthogonal sumMultiplication operators satisfy , and . The same identities hold for their direct sums, and the norm bound is uniform in . Thus is a norm-decreasing unital star-homomorphism on the algebra of actual bounded Borel measurable functions, and because it extends . No quotient by a single unspecified measure is being substituted for that Borel algebra.
Choose the bounded Borel measurable square root and for , taking . Let . ThenThus every bounded normal operator has a normal square root. The Borel branch is essential in general: on a circle winding about zero a continuous square-root branch need not exist.
A representation of a Banach algebra is a complex-linear multiplicative map . A nonzero irreducible action of a unital algebra automatically has : the image of the idempotent is a nonzero invariant subspace and hence is all of . An algebraically irreducible representation of a Banach algebra is a nonzero action if it has no nonzero proper invariant submodule, whether closed or not. A normed representation of a Banach algebra has bounded for each on a preassigned normed vector space ; continuity of as an operator-norm-valued map is a further conclusion. This must not be confused with topological irreducibility, which excludes only closed invariant subspaces. Unitizing the algebra extends a nonunital action by , so it is enough to discuss the unital case.
For , irreducibility gives . The annihilator is a maximal left ideal: an intermediate left ideal gives an intermediate submodule of . It is closed by the Neumann-series argument for maximal left ideals. Consequently transports a complete quotient norm to , and left multiplication is contractive in this norm. Every algebraically irreducible representation of a Banach algebra can therefore be realized continuously on a Banach space. This alone does not prove continuity for its preassigned norm.
The kernel of is the intersection of the closed left ideals and is a closed primitive ideal. The Jacobson radical is the intersection of all primitive ideals, equivalently the intersection of maximal left ideals. Thus these quotient representations detect semisimplicity. Equivalent algebra representations are related by a bijective module homomorphism.
The algebra of module endomorphisms is exactly . Indeed, if a module endomorphism sends a fixed cyclic vector to , then . It is induced by bounded right multiplication by on , so is bounded for the quotient norm on an irreducible Banach module. Every nonzero module endomorphism is injective and surjective by irreducibility, and its inverse is bounded by the same argument. This commutant of an operator algebra is a closed division subalgebra of the bounded operators on this Banach module; the Gelfand-Mazur theorem makes it .
The Jacobson density theorem now says that for finitely many linearly independent and arbitrary , one element of sends all to . Here is the induction behind it. The one-vector assertion is . Assuming the first coordinates can be prescribed, set . Its image is an invariant subspace. If it is , it adjusts the last image without changing the first ones. If it is zero, the rule is a well-defined module map . Each coordinate map is scalar by the module endomorphism result, forcing to be a linear combination of the earlier vectors, a contradiction. This proves the assertion.
We can now give Johnson's continuity argument with its crucial construction. If is finite dimensional, the closed kernel has finite codimension and is finite dimensional, so is continuous. Suppose instead that is infinite dimensional. LetThis is an invariant submodule, because the orbit map of is the orbit map of composed with the bounded map . Thus either or .
To rule out , choose linearly independent unit vectors . There are elements such that, with ,For completeness, construct them in the canonical quotient-norm Banach module. At stage the current tail vectors are independent. In the closed left annihilator of its first vector, density permits arbitrary images of any finite list of the remaining vectors. The condition that finitely many such images are independent is open in this Banach subspace and dense: perturb any element by times an element prescribing independent images; a suitable determinant is a nonzero polynomial in , with only finitely many exceptional values. The Baire category theorem intersects these open dense conditions for all initial finite tail lists. The resulting kills the first current vector and retains independence of the entire remaining tail. This is the countable annihilation sequence in an irreducible Banach module.
The gliding-hump continuity principle supplies the other ingredient: if are Banach spaces, is linear, and are bounded, and is continuous whenever , then is continuous eventually. The product form of this principle is recorded in Proposition 1.3 of Thomas's paper. Here is the contradiction mechanism. Rescale so and put . If infinitely many diagonal maps are discontinuous, choose increasing and successively tiny soAlso choose . The convergent sum has, after its th term, a tail factoring through . Applying that continuous composite bounds the tail contribution by one. The display forces , contradicting . Only finite decompositions and the continuous tail composites are used; no unjustified interchange of a discontinuous map with an infinite sum occurs.
Apply this principle with , , where is the completion in the original norm, and the bounded extension of . Set and . ThenFor this is zero, hence continuous. For it is the orbit map of a nonzero vector, hence discontinuous if . This contradicts the principle. Therefore .
Finally, apply the Uniform boundedness principle on the Banach space to the continuous maps indexed by . They are pointwise bounded because each individual is bounded in the original norm. It givesThis proves Johnson's continuity theorem for irreducible normed representations, including when the original normed vector space is incomplete. The quotient norm, countable density construction, and gliding hump explain the substantive steps rather than assuming the desired continuity in advance.
We first extend the scalar Hadamard three-circle theorem to a holomorphic Banach-space-valued function . Apply its inequality to for every bounded linear functional of norm at most one, and use the Hahn-Banach theorem to recover the norm. For the radii this givesNow take . Even for noncommuting coefficients this is an algebra-valued holomorphic polynomial. Taking the th power givesOn each boundary circle the continuous functions decrease, by submultiplicativity, to by the spectral radius formula. Their maxima decrease to the supremum of this pointwise limit. To justify that passage without assuming continuity of the spectral radius, take maximizing points along a convergent subsequence on the compact circle. For any fixed , all later are bounded by ; continuity of therefore bounds the limiting maxima by at the limiting point. Taking the infimum over gives the desired upper bound, while the reverse bound is immediate.
Passing to the limit proves the spectral-radius three-circle inequality at the geometric mean:For a nonunital algebra, use its unitization of an algebra; the spectral radius of an original algebra element is unchanged. Zero boundary suprema cause no difficulty in the decreasing-limit argument.
It suffices first to treat unital algebras and a unital homomorphism. A surjective homomorphism between unital algebras automatically preserves the identity. If , continuity is immediate. In the nonunital case, extend to the forced unitizations by . This is still surjective and the unitization of a semisimple algebra is semisimple: its radical projects to zero in its scalar quotient, and its remaining intersection with the original algebra is its original radical. Continuity of the extension implies continuity of the original map.
An algebra homomorphism decreases the spectral radius, even without any continuity assumption, because it takes an inverse of to an inverse of . Suppose in and in . Fix any and choose with , . PutConsider the polynomial . Its value at one is exactly . On the outer circle ,On the inner circle , spectral-radius decrease givesApplying part (i) in and then letting , with fixed, givesThis holds for every , so for every .
This forces into the Jacobson radical. To see the criterion directly, if were outside a maximal left ideal , then , so for some , . The equality makes invertible, but this element equals , impossible in a proper left ideal. Hence lies in every maximal left ideal. Since is semisimple, .
We have shown that the separating space of is zero. If and , apply the result to to obtain . Its graph is closed, and the closed graph theorem now provesThe crucial estimate uses part (i) with an exactly fixed central value; it does not assume the false general assertion that the spectral radius is continuous under norm limits.
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