LECTURE 4

4.1. Bump functions

Recall the following topological notion:
Definition 4.1.1. Let X be a topological space, and let χ : X → R be a function.
The support of χ is defined as the closure of the set where χ is not zero:
supp(χ) := {x ∈ X : χ(x) 6= 0}.
Lemma 1.1.11 shows that around any point in Rn we can find a smooth bump
function, i.e. a function with support in a fixed neighborhood of the point, and
which is equal to the constant function 1 on a smaller neighborhood. This can be
easily generalized to manifolds.
Lemma 4.1.2. Let M be a smooth manifold, let p ∈ M and let U ⊂ M be an open
neighborhood of p. Then there exists a smooth function χ : M → [0, 1] such that
supp(χ) ⊂ U and χ|V = 1, where V is some neighborhood of p.
Proof. Let (W, ϕ) be a chart with p ∈ W ⊂ U , and let  > 0 be such that the
closed ball B  around ϕ(p) is included in ϕ(W ). By Lemma 1.1.11, there exists a
smooth function θ : Rm → [0, 1] such that θ|B/2 = 1 and supp(θ) ⊂ B  . Define
χ : M → [0, 1], χ|W = θ ◦ ϕ, χ|M \ϕ−1 (B  ) = 0.

Note that χ is well-defined: on the overlap of the sets W and M \ϕ−1 (B  ), we have:
θ ◦ ϕ|W \ϕ−1 (B  ) = 0.
Since χ is smooth on these two open sets that cover M , it follows that χ is smooth
on M . The conclusion holds with V := ϕ−1 (B/2 ). 

4.2. Partitions of unity

Partitions of unity play an important technical role in the theory of smooth mani-
folds, because they allow to build global objects by gluing together locally defined
objects. In this section we prove the existence of partitions of unity.
We start by introducing the necessary terminology.
Definition 4.2.1. Let X be a topological space.
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(1) An open cover of a subset Y ⊂ X is a family of open subsets of X

U = {Ui }i∈I , such that Y ⊂ ∪i∈I Ui ,
where I is an index set.
(2) A subcover of an open cover U of Y is a subfamily V ⊂ U which is still a
cover of Y .
(3) A subset Y ⊂ X is called compact, if any open cover of Y has a finite subcover.
(4) A refinement of an open cover U of Y is a second open cover V of Y such
that for every V ∈ V there exists U ∈ U such that V ⊂ U .
(5) A family S = {Si }i∈I of subsets of X is called locally finite if every x ∈ X
has an open neighborhood V which intersects only finitely many elements of S.
(6) A family of functions {ρi : X → R}i∈I is called locally finite if the family of
supports {supp(ρi )}i∈I is locally finite.
The following will be often used:
Lemma 4.2.2. Let M be a smooth manifold, and consider a locally finite family
of smooth functions on M , {ρi ∈ C ∞ (M )}i∈I . Since at every point x ∈ M there
are only a finite number of i ∈ I such that ρi (x) 6= 0, we can define:
X
ρ= ρi .
i∈I
The function ρ is smooth.
Proof. Let x ∈ M . Since the family is locally finite, x has an open neighborhood U
which intersects only the supports of a finite number of functions, say ρi1 , . . . , ρin .
Therefore, on U we have that:
X n
ρ|U = ρik |U .
k=1
The sum of a finite number of smooth functions is smooth, hence ρ|U is smooth. So,
every point has a neighborhood on which ρ is smooth; thus ρ is smooth on M . 
In order to define the function ρ in the lemma above, it suffices that at every
point only a finite number of functions are non-zero. However, this condition does
not insure smoothness of the resulting function; in Exercise 4.1, you are asked to
provide an example.
The main notion of this section is the following:
Definition 4.2.3. A partition of unity on a smooth manifold M is a locally
finite family of smooth functions
{ρi }i∈I , ρi ∈ C ∞ (M ), for i ∈ I,
such that, for all x ∈ M , 0 ≤ ρi (x) ≤ 1 and
X
ρi = 1.
i∈I

The partition of unity {ρi }i∈I is said to be subordinate to an open cover

U = {Ui }i∈I if supp(ρi ) ⊂ Ui for all i ∈ I.
The following is the main result about partitions of unity:
Theorem 4.2.4. Any open cover of a smooth manifold has a partition of unity
subordinate to it.
 LECTURE 4. 39

4.3. Proof of Theorem 4.2.4

The proof is divided into three main steps. First, we show that it suffices to prove
the result for a refinement of the cover (Lemma 4.3.1); next, we show that open
covers of manifolds admit locally finite refinements whose elements have compact
closures (Lemma 4.3.4; this result implies that manifolds are paracompact, see
Remark 4.3.5); and finally, we prove Theorem 4.2.4 for open covers with these
properties.
Lemma 4.3.1. Let V be a refinement of the open cover U. If V has a partition of
unity subordinate to it, then so does U.
Proof. Denote V = {Vi }i∈I and U = {Uj }j∈J . The fact that V is a refinement
of U implies that there exists a function f : I → J (axiom of choice) such that
Vi ⊂ Uf (i) . Let {ρi }i∈I be a partition of unity subordinate to V. Since
Pthe family
of supports is locally finite, the following functions are smooth: χj := i∈f −1 (j) ρi
(if f −1 (j) = ∅, we set χj = 0). We claim that {χj }j∈J is a partition of unity
subordinate to U. First, note that:
[ [
(*) supp(χj ) ⊂ supp(ρi ) ⊂ Vi ⊂ Uj .
i∈f −1 (j) i∈f −1 (j)

Next, we show next that the family {χj }j∈J is locally finite. Let p ∈ M , and
consider O an open neighborhood of p such that O intersects only a finite number
of the sets supp(ρi ); denote these indexes by i1 , . . . , in ∈ I. If q ∈ supp(χj ), then
by (*), q ∈ supp(ρi ) for some i satisfying f (i) = j. Therefore, O intersects only the
sets supp(χj ), for j = f (i1 ), . . . , f (ik ). Finally, it is clear that:
X X X X
χj = ρi = ρi = 1.
j∈J j∈J i∈f −1 (j) i∈I


The following two results are used in the proof of Lemma 4.3.4.
Lemma 4.3.2. The topology of a manifold has a countable basis all of whose ele-
ments have compact closures.
Proof. Let B be a countable basis for M , and let Bc be the collection of sets in B
with compact closure. Clearly, Bc is countable. We prove that Bc is a basis. Let
O ⊂ M be an open set. For p ∈ O, let Kp ⊂ O be a compact neighborhood (e.g. let
Kp be the preimage by a chart around p of a small closed ball). Since B is a basis,
there exists Up ∈ B such that p ∈ Up ⊂ int(Kp ) ⊂ Op . In particular: Up ∈ Bc and
Up ⊂ O. Thus, we can write O = ∪p∈O Up , which shows that Bc is a basis. 
Lemma 4.3.3. Any manifold M has an open cover {Gk }∞
k=1 such that, for k ≥ 1,
Gk is compact and Gk ⊂ Gk+1 .
Proof. By Lemma 4.3.2, there exists a countable basis B = {Bn }n≥1 for the topol-
ogy of M such that B n is compact for all n ≥ 1. Let Om := ∪m n=1 Bn . Note that
Om ⊂ Om+1 , Om = ∪m n=1 B n is compact, and that ∪m≥1 Om = M . Therefore,
for any m ≥ 1 there is a smallest integer f (m) > m such that Om ⊂ Of (m) .
Let m1 := 1, and define inductively for k ≥ 2, mk := f (mk−1 ). The sequence
Gk := Omk satisfies all requirements. 
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Lemma 4.3.4. Any open cover U of a manifold M has a refinement V which is at

most countable, locally finite, and whose elements have compact closures.
Proof. Denote U = {Ui }i∈I . Consider a sequence of open sets {Gk }∞
k=1 as in
Lemma 4.3.3, and denote G−1 = G0 = ∅. For each k ≥ 1, the family
{Ui ∩ (Gk+1 \Gk−2 )}i∈I
is an open cover of the compact set Gk \Gk−1 , therefore it has a finite subcover Vk .
Let V := ∪k≥1 Vk . We prove that V has the required properties. Clearly, V is an
open cover because it covers Gk \Gk−1 , and it is a refinement of U because each
element is contained in some Ui . Since, for each k ≥ 1, Vk contains only a finite
number of open sets, V is at most countable. Every set in Vk has compact closure
because it is contained in the compact Gk+1 . Finally, let p ∈ M and l ≥ 1 be such
that p ∈ Gl . Then Gl intersects at most elements in Vk with k ≤ l + 1. This shows
that V is locally finite. 
Let us make a general remark about what we have proven so far.
Remark 4.3.5. A simple analysis of the proofs of the previous three Lemmas
(4.3.2,4.3.3,4.3.4) shows that we have used only the following topological properties
of a manifold:
• second countable;
• Hausdorff (in particular, compact sets are closed);
• locally compact (i.e. every point has a compact neighborhood).
A topological space for which every open cover has a locally finite refinement is
called paracompact. Thus we have proven that: Any topological space which is
second countable, Hausdorff and locally compact is paracompact.
Finally, we show that open covers which have the properties from Lemma 4.3.4
admit partitions of unity, and therefore we complete the proof of Theorem 4.2.4.
Lemma 4.3.6. Let V be a locally finite open cover of M whose elements have
compact closures. Then there exists a partition of unity subordinate to V.
Proof. Let V ∈ V. By Lemma 4.1.2, for each p ∈ V there is a smooth function
ψpV : M → [0, 1] such that ψpV (p) = 1 and supp(ψpV ) ⊂ V . Denote WpV := {x ∈ M :
ψpV (x) > 0}. Then the collection W := {WpV : p ∈ V ∈ V} is an open cover of M
which is a refinement of V. By Lemma 4.3.4 W has a locally finite refinement O.
So, for O ∈ O there is a smooth function ψ O : M → [0, 1] and V ∈ V such that
ψ O |O > 0 and supp(ψ O ) ⊂ V.
We show that an element V ∈ V intersects only finitely many elements in O. Since
O is locally finite, V can be covered by open sets which intersect only finitely many
elements in O; and by compactness of V , we may extract a finite subcover. Let U
be the union of the elements of this subcover. Then V ⊂ U and U intersects only
finitely many elements in O.
In particular, for any V ∈ V the set
OV := {O ∈ O : supp(ψ O ) ⊂ V }
is finite. Consider the family of smooth maps
X
ψ V := ψ O : M → [0, ∞), V ∈ V.
O∈O V
 LECTURE 4. 41

Because it is subordinate to V, it follows that the family is locally finite; and by

the properties ofPO, at every point in M at least one of these functions is positive.
Therefore ψ := V ∈V ψ V > 0. The family of smooth functions ρV := ψV /ψ, V ∈ V
is a partition of unity subordinate to V. 

4.4. Corollaries of Theorem 4.2.4

For covers with two elements, Theorem 4.2.4 gives a smooth Urysohn’s lemma:
Corollary 4.4.1. Let A, B ⊂ M be two disjoint closed sets. There exists a smooth
function f : M → [0, 1] such that f |A = 0 and f |B = 1.
In particular, M is a normal topological space.
Proof. Consider the open cover {M \A, M \B}. If {f, g} is a partition of unity
subordinated to it, then f satisfies the condition from the statement. Finally, M
is normal, because A and B can be separated by the open sets {x : f (x) < 1/2}
and {x : f (x) > 1/2}, respectively. 

Theorem 4.2.4 can be used to extend smooth functions defined on closed em-
bedded submanifolds in Rn .
Corollary 4.4.2. Let M ⊂ Rn be an embedded manifold in Rn which is closed as
a subset. For every f ∈ C ∞ (M ) there exists fe ∈ C ∞ (Rn ) such that fe|M = f .
Proof. Recall that around every point in M there is a diffeomorphism ϕ : U → V ,
with V, U ⊂ Rn open, such that
ϕ(M ∩ U ) = (Rm × {0}) ∩ V.
We cover M by a family of such charts {(Ui , ϕi )}i∈I . Consider the following open
cover: {Rn \M } ∪ {Ui }i∈I , and let {ρ} ∪ {ρi }i∈I be a subordinate partition of unity.
For each i ∈ I, consider the following local extension of f :
fei := f ◦ (ϕ−1 n ∞
i ◦ prm ◦ ϕi ) ∈ C (Ui ),

and consider also the function:


ρi (x)fei , x ∈ Ui
gi ∈ C ∞ (M ), gi (x) :=
0, x∈/ supp(ρi )
P
The family {gi }i∈I is locally finite, and it is easy to see that the sum fe := i∈I gi
satisfies fe|M = f . 

Recall the following notion:

Definition 4.4.3. A continuous function f : X → Y between topological spaces X
and Y is called proper, if for any compact subset K ⊂ Y , we have that f −1 (K) ⊂ X
is compact.
Corollary 4.4.4. On any manifold M there exists a proper smooth function h :
M → [0, ∞).
Proof. Let {ρk }k≥1 be a partition of unity subordinated to a locally finite, at most
P cover {Vk }k≥1 , with V k compact (as in Lemma 4.3.4). Then the function
countable
h := k≥1 kρk is a positive proper function. 
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4.5. Exercises
Exercise 4.1. Construct a sequence of functions ρk ∈ C ∞ (R), k = 1, 2, . . ., such
P x ∈ R, ρk (x) 6= 0 only for a finite number of k’s, but such that the
that at every
function k≥1 ρk is not smooth.
Exercise 4.2. Let U = {Ui }i∈I and V = {Vj }j∈J be two open covers of M . Show
that W := {Ui ∩ Vj }(i,j)∈I×J is an open cover of M . If {ρi }i∈I is a partition of
unity subordinate to U and {χj }j∈J is a partition of unity subordinate to V, prove
that {ρi χj }(i,j)∈I×J is a partition of unity subordinate to W.
The locally finite cover found in Lemma 4.3.4 is at most countable. However,
this fact is automatic.
Exercise 4.3. Let U be a locally finite open cover of a manifold M .
(a) If M is compact, prove that U has a finite number of elements.
(b) In general, prove that U is at most countable.
Hint: choose a second cover V, as in Lemma 4.3.4, and show that every element
in V hits only a finite number of elements of U.
Exercise 4.4. Let {ρi }i∈I be a locally finite family of smooth functions on M .
(a) If M is compact, prove that only a finite number of functions are not identically
zero.
(b) In general, prove that the set of functions which are not identically zero is at
most countable.