Bernhelm Booss-Bavnbek, Matthias Lesch, John Phillips
备注：
23 pages, 2 figures; 09/10/2001 minor corrections, Proposition characterizing the range of the Riesz transformation added; 02/12/2004 very final version 1.0.2, minor corrections
发表信息：
Canadian Journal of Mathematics vol. 57, no.2 (2005), 225-250.
We study the gap (= "projection norm" = "graph distance") topology of the space of (not necessarily bounded) self--adjoint Fredholm operators in a separable Hilbert space by the Cayley transform and direct methods. In particular, we show that the space is connected contrary to the bounded case. Moreover, we present a rigorous definition of spectral flow of a path of such operators (actually alternative but mutually equivalent definitions) and prove the homotopy invariance. As an example, we discuss operator curves on manifolds with boundary.
This paper is a continuation of the paper (A.G.Ramm, Amer. Math. Monthly, 108, N 9, (2001), 855-860), where bounded Fredholm operators are studied. The theory of bounded linear Fredholm-type operators is presented in many texts. This paper is written for a broad audience and the author tries to give simple and short arguments.
In noncommutative geometry one is interested in invariants such as the Fredholm index or spectral flow and their calculation using cyclic cocycles. A variety of formulae have been established under side conditions called summability constraints. These can be formulated in two ways, either for spectral triples or for bounded Fredholm modules. We study the relationship between these by proving various properties of the map on unbounded self adjoint operators $D$ given by $f(D)=D(1+D^2)^{-1/2}$. In particular we prove commutator estimates which are needed for the bounded case. In fact our methods…
We prove that a first order linear differential operator G with unbounded operator coefficients is Fredholm on spaces of functions on the real line with values in a reflexive Banach space if and only if the corresponding strongly continuous evolution family has exponential dichotomies on both semiaxises and a pair of the ranges of the dichotomy projections is Fredholm, and that the Fredholm index of G is equal to the Fredholm index of the pair. The operator G is the generator of the evolution semigroup associated with the evolution family. In the case when the evolution family is the propagato…
We discuss several natural metrics on spaces of unbounded self--adjoint operators and their relations, among them the Riesz and the graph metric. We show that the topologies of the spaces of Fredholm operators resp. invertible operators depend heavily on the metric. Nevertheless we prove that in all cases the spectral flow is up to a normalization the only integer invariant of non-closed paths which is path additive and stable under homotopies with endpoints varying in the space of invertible self-adjoint operators. Furthermore we show that for certain Riesz continuous paths of self--adjoint F…
In this paper the concept of unbounded Fredholm operators on Hilbert C*- modules over an arbitrary C*-algebra is discussed and the Atkinson theorem is generalized for bounded and unbounded Feredholm operators on Hilbert C*-modules over C*-algebras of compact operators. In the framework of Hilbert C*-modules over C*-algebras of compact operators, the index of an unbounded Fredholm operator and the index of its bounded transform are the same.
We discuss the well known ``Fredholm index=spectral flow'' theorem and show that it can be interpreted as a limit case of an identity involving two spectral shift functions.
We study bounded operators defined in terms of the regular representations of the $C^*$-algebra of an amenable, Hausdorff, second countable locally compact groupoid endowed with a continuous $2$-cocycle. We concentrate on spectral quantities associated to natural quotients of this twisted algebra, such as the essential spectrum, the essential numerical range, and Fredholm properties. We obtain decompositions for the regular representations associated to units of the groupoid belonging to a free locally closed orbit, in terms of spectral quantities attached to points (or orbits) in the boundary…
We describe two topologies on the space of unbounded Fredholm operators and we explain their K-theoretic relevance. In the process we also prove a very general result concerning the continuity of families of first order, elliptic boundary value problems.
We define a new topology, weaker than the gap topology, on the space of selfadjoint unbounded operators on a separable Hilbert space. We show that the subspace of selfadjoint Fredholm operators represents the functor $K^1$ from the category of compact spaces to the category of abelian groups and prove a similar result for $K^0$. We define the spectral flow of a continuous path of selfadjoint Fredholm operators generalizing the approach of Booss-Bavnek--Lesch--Phillips.
One may trace the idea that spectral flow should be given as the integral of a one form back to the 1974 Vancouver ICM address of I.M. Singer. Our main theorem gives analytic formulae for the spectral flow along a norm differentiable path of self-adjoint bounded Breuer-Fredholm operators in a semi-finite von Neumann algebra. These formulae have a geometric interpretation which derives from the proof. Namely we define a family of Banach submanifolds of all bounded self-adjoint Breuer-Fredholm operators and on each submanifold define global one forms whose integral on a norm differentiable path …
We produce a variety of odd bounded Fredholm modules and odd spectral triples on Cuntz-Krieger algebras by means of realizing these algebras as "the algebra of functions on a non-commutative space" coming from a sub shift of finite type. We show that any odd $K$-homology class can be represented by such an odd bounded Fredholm module or odd spectral triple. The odd bounded Fredholm modules that are constructed are finitely summable. The spectral triples are $θ$-summable although their bounded transform, when constructed using the sign-function, will already on the level of analytic $K$-cycles …
In this paper a definition is given for an unbounded Toeplitz-like operator with rational symbol which has poles on the unit circle. It is shown that the operator is Fredholm if and only if the symbol has no zeroes on the unit circle, and a formula for the index is given as well. Finally, a matrix representation of the operator is discussed.
We study and compare the gap and the Riesz topologies of the space of all unbounded regular operators on Hilbert C*-modules. We show that the space of all bounded adjointable operators on Hilbert C*-modules is an open dense subset of the space of all unbounded regular operators with respect to the gap topology. The restriction of the gap topology on the space of all bounded adjointable operators is equivalent with the topology which is generated by the usual operator norm. The space of regular selfadjoint Fredholm operators on Hilbert C*-modules over the C*-algebra of compact operators is path…
Toeplitz operators on spaces $H^p(G)\ (1< p<\infty)$ associated with compact connected Abelian group $G$ with ordered dual are considered and the generalization of the classical Gohberg-Krein theorem on the Fredholm index of such operators with continuous symbols is proved. Applications to spectral theory of Toeplitz operators are given and examples of evident computation of index have been considered.
In the present paper we investigate Moore-Penrose inverse and characteristic matrix of unbounded WCT operators on the Hilbert space $L^2(μ)$. Also, we obtain some applications of the Moore-Penrose inverse of unbounded operators on the Hilbert space $\mathcal{H}$ to variational regularization problem. Moreover,some examples are provided to illustrate the applications of our results in linear equations and specially Fredholm integral equations.
This paper concerns the analysis of an unbounded Toeplitz-like operator generated by a rational matrix function having poles on the unit circle T. It extends the analysis of such operators generated by scalar rational functions with poles on T found in [11,12,13]. A Wiener-Hopf type factorization of rational matrix functions with poles and zeroes on T is proved and then used to analyze the Fredholm properties of such Toeplitz-like operators. A formula for the index, based on the factorization, is given. Furthermore, it is shown that the determinant of the matrix function having no zeroes on T …
Consider a selfadjoint unbounded operator D on a Hilbert space H and a one parameter norm continuous family of selfadjoint bounded operators {A(t)} parametrized by the real line. Then under certain conditions \cite{RS95} that include the assumption that the operators {D(t)= D+A(t)} all have discrete spectrum then the spectral flow along the path { D(t)} can be shown to be equal to the index of d/dt+D(t) when the latter is an unbounded Fredholm operator on L^2(R, H). In \cite{GLMST11} an investigation of the index=spectral flow question when the operators in the path may have some essential spe…
A general integral formula for the spectral flow of a path of unbounded selfadjoint Fredholm operators subject to certain summability conditions is derived from the interpretation of the spectral flow as a winding number.
Operators conserving the indefinite scalar product on a Krein space $(K,J)$ are called $J$-unitary. Such an operator $T$ is defined to be $S^1$-Fredholm if $T-z$ is Fredholm for all $z$ on the unit circle $S^1$, and essentially $S^1$-gapped if there is only discrete spectrum on $S^1$. For paths in the $S^1$-Fredholm operators an intersection index similar to the Conley-Zehnder index is introduced. The strict subclass of essentially $S^1$-gapped operators has a countable number of components which can be distinguished by a homotopy invariant given by the signature of $J$ restricted to the eigen…
In this paper we show the invariance of the Fredholm index of non-smooth pseudodifferential operators with coefficients in Hölder spaces. By means of this invariance we improve previous spectral invariance results for non-smooth pseudodifferential operators $P$ with coefficients in Hölder spaces. For this purpose we approximate $P$ with smooth pseudodifferential operators and use a spectral invariance result of smooth pseudodifferential operators. Then we get the spectral invariance result in analogy to a proof of the spectral invariance result for non-smooth differential operators by Rabier.
Given an essentially unitary contraction and an arbitrary unitary dilation of it, there is a naturally associated spectral flow which is shown to be equal to the index of the operator. This purely operator theoretic result is interpreted in terms of the $K$-theory of an associated mapping cone. It is then extended to connect $Z_2$ indices of odd symmetric Fredholm operators to a $Z_2$-valued spectral flow.
An analytic definition of a $\mathbb{Z}_2$-valued spectral flow for paths of real skew-adjoint Fredholm operators is given. It counts the parity of the number of changes in the orientation of the eigenfunctions at eigenvalue crossings through $0$ along the path. The $\mathbb{Z}_2$-valued spectral flow is shown to satisfy a concatenation property and homotopy invariance, and it provides an isomorphism on the fundamental group of the real skew-adjoint Fredholm operators. Moreover, it is connected to a $\mathbb{Z}_2$-index pairing for suitable paths. Applications concern the zero energy bound sta…
In this article we give a comprehensive treatment of a `Clifford module flow' along paths in the skew-adjoint Fredholm operators on a real Hilbert space that takes values in KO${}_{*}(\mathbb{R})$ via the Clifford index of Atiyah-Bott-Shapiro. We develop its properties for both bounded and unbounded skew-adjoint operators including an axiomatic characterization. Our constructions and approach are motivated by the principle that \[ \text{spectral flow} = \text{Fredholm index}. \] That is, we show how the KO--valued spectral flow relates to a KO-valued index by proving a Robbin-Salamon type resu…
We consider homoclinic solutions for Hamiltonian systems in symplectic Hilbert spaces and generalise spectral flow formulas that were proved by Pejsachowicz and the author in finite dimensions some years ago. Roughly speaking, our main theorem relates the spectra of infinite dimensional Hamiltonian systems under homoclinic boundary conditions to intersections of their stable and unstable spaces. Our proof has some interest in its own. Firstly, we extend a celebrated theorem by Cappell, Lee and Miller about the classical Maslov index in $\mathbb{R}^{2n}$ to symplectic Hilbert spaces. Secondly, …
Quantitative Fredholm backstepping and rapid stabilization
Peking University（北京大学）；Sorbonne Université, CNRS, Inria équipe CAGE（索邦大学，法国国家科学研究中心，Inria CAGE团队）；Université de Lorraine, CNRS, Inria（洛林大学，法国国家科学研究中心，Inria）；CERMICS, École des Ponts ParisTech（巴黎路桥学院 CERMICS）；LS2N, Ecole Centrale de Nantes & CNRS UMR 6004（南特中央理工学院 LS2N 与法国国家科学研究中心 UMR 6004）
Given a continuous family of C^2 functionals of Fredholm type, we show that the non-vanishing of the spectral flow for the family of Hessians along a known (trivial) branch of critical points not only entails bifurcation of nontrivial critical points but also allows to estimate the number of bifurcation points along the branch. We use this result for several parameter bifurcation, estimating the number of connected components of the complement of the set of bifurcation points and apply our results to bifurcation of periodic orbits of Hamiltonian systems. By means of a comparison principle for …
We consider a spectral problem over $\mathbb{R}^n$ for a Douglis-Nirenberg system of differential operators under limited smoothness assumptions and under the assumption of parameter-ellipticity in a closed sector $\mathcal{L}$ in the complex plane with vertex at the origin. We pose the problem in an $L_p$ Sobolev-Bessel potential space setting, $1 < p < \infty$, and denote by $A_p$ the operator induced in this setting by the spectral problem. We then derive results pertaining to the Fredholm theory for $A_p$ for values of the spectral parameter $λ$ lying in $\mathcal{L}$ as well as results pe…
We consider the spectral Dirichlet problem for the Laplace operator in the plane $Ω^{\circ}$ with double-periodic perforation but also in the domain $Ω^{\bullet}$ with a semi-infinite foreign inclusion so that the Floquet-Bloch technique and the Gelfand transform do not apply directly. We describe waves which are localized near the inclusion and propagate along it. We give a formulation of the problem with radiation conditions that provides a Fredholm operator of index zero. The main conclusion concerns the spectra $σ^{\circ}$ and $σ^{\bullet}$ of the problems in $Ω^{\circ}$ and $Ω^{\bullet},$…
We compute the Fredholm index, ${\rm ind}(D_A)$, of the operator $D_A = (d/dt) + A$ on $L^2(\mathbb{R};\mathcal{H})$ associated with the operator path $\{A(t)\}_{t=-\infty}^{\infty}$, where $(A f)(t) = A(t) f(t)$ for a.e. $t\in\mathbb{R}$, and appropriate $f \in L^2(\mathbb{R};\mathcal{H})$, via the spectral shift function $ξ(\, \cdot \,;A_+,A_-)$ associated with the pair $(A_+, A_-)$ of asymptotic operators $A_{\pm}=A(\pm\infty)$ on the separable complex Hilbert space $\mathcal{H}$ in the case when $A(t)$ is generally an unbounded (relatively trace class) perturbation of the unbounded self-ad…
An odd Fredholm module for a given invertible operator on a Hilbert space is specified by an unbounded so-called Dirac operator with compact resolvent and bounded commutator with the given invertible. Associated to this is an index pairing in terms of a Fredholm operator with Noether index. Here it is shown by a spectral flow argument how this index can be calculated as the signature of a finite dimensional matrix called the spectral localizer.
We investigate a limiting procedure for extending local integral operator equalities to the global ones and to applying it to obtaining generalizations of the Newton-Leibnitz formula for operator-valued maps for a wide class of unbounded operators.
Operators possessing analytic generalized inverses satisfying the resolvent identity are studied. Several characterizations and necessary conditions are obtained. The maximal radius of regularity for a Fredholm operator T is computed in terms of the spectral radius of a generalized inverse of T. This provides a partial answer to a conjecture of J. Zemánek.
We give explicit Fredholm conditions for classes of pseudodifferential operators on suitable singular and non-compact spaces. In particular, we include a "user's guide" to Fredholm conditions on particular classes of manifolds including asymptotically hyperbolic manifolds, asymptotically Euclidean (or conic) manifolds, and manifolds with poly-cylindrical ends. The reader interested in applications should be able read right away the results related to those examples, beginning with Section 5. Our general, theoretical results are that an operator adapted to the geometry is Fredholm if, and only …
Unbounded (and bounded) Toeplitz operators (TO) with rational symbols are analysed in detail showing that they are densely defined closed and have finite dimensional kernels and deficiency spaces. The latter spaces as well as the domains, ranges, spectral and Fredholm points are determined. In particular, in the symmetric case, i.e., for a real rational symbol the deficiency spaces and indices are explicitly available. The concluding section gives a brief overview on the research on unbounded TO in order to locate the present contribution. Regarding properties of unbounded TO in general, it fu…
In this article we investigate the disjointly non-singular (DNS) operators. Following [8] we say that an operator $T$ from a Banach lattice $F$ into a Banach space $E$ is DNS, if no restriction of $T$ to a subspace generated by a disjoint sequence is strictly singular. We partially answer a question from [8] by showing that this class of operators forms an open subset of $L\left(F,E\right)$ as soon as $F$ is order continuous. Moreover, we show that in this case $T$ is DNS if and only if the norm topology is the minimal topology which is simultaneously stronger than the unbounded norm topology …
The spectral flow is a well-known quantity in spectral theory that measures the variation of spectra about $0$ along paths of selfadjoint Fredholm operators. The aim of this work is twofold. Firstly, we consider homotopy invariance properties of the spectral flow and establish a simple formula which comprises its classical homotopy invariance and yields a comparison theorem for the spectral flow under compact perturbations. We apply our result to the existence of non-trivial solutions of boundary value problems of Hamiltonian systems. Secondly, the spectral flow was axiomatically characterised…
We discuss Laplacians on graphs in a framework of regular Dirichlet forms. We focus on phenomena related to unboundedness of the Laplacians. This includes (failure of) essential selfadjointness, absence of essential spectrum and stochastic incompleteness.
For operators belonging either to a class of global bisingular pseudodifferential operators on $R^m \times R^n$ or to a class of bisingular pseudodifferential operators on a product $M \times N$ of two closed smooth manifolds, we show the equivalence of their ellipticity (defined by the invertibility of certain associated homogeneous principal symbols) and their Fredholm mapping property in associated scales of Sobolev spaces. We also prove the spectral invariance of these operator classes and then extend these results to the even larger classes of Toeplitz type operators.
A new geometric proof of the spectral theorem for unbounded self-adjoint operators A in a Hilbert space H is given based on a splitting of A in positive and negative parts A+ and A-. For both operators A+ and A- the spectral family can be defined immediately and then put together to become the spectral family of A.
We present a fairly general construction of unbounded representatives for the interior Kasparov product. As a main tool we develop a theory of C^1-connections on operator * modules; we do not require any smoothness assumptions; our sigma-unitality assumptions are minimal. Furthermore, we use work of Kucerovsky and our recent Local Global Principle for regular operators in Hilbert C*-modules. As an application we show that the Spectral Flow Theorem and more generally the index theory of Dirac-Schrödinger operators can be nicely explained in terms of the interior Kasparov product.
We prove novel results on interpolation of Fredholm operators including an abstract factorization theorem. The main result of this paper provides sufficient conditions on the parameters $θ\in (0,1)$ and $q\in \lbrack 1,\infty ]$ under which an operator $A$ is a Fredholm operator from the real interpolation space $(X_{0},X_{1})_{θ,q}$ to $(Y_{0},Y_{1})_{θ,q} $ for a given operator $A\colon (X_{0},X_{1})\rightarrow (Y_{0},Y_{1})$ between compatible pairs of Banach spaces such that its restrictions to the endpoint spaces are Fredholm operators. These conditions are expressed in terms of the corre…
The Evans function is a well known tool for locating spectra of differential operators in one spatial dimension. In this paper we construct a multidimensional analogue as the modified Fredholm determinant of a ratio of Dirichlet-to-Robin operators on the boundary. This gives a tool for studying the eigenvalue counting functions of second-order elliptic operators that need not be self-adjoint. To do this we use local representation theory for meromorphic operator-valued pencils, and relate the algebraic multiplicities of eigenvalues of elliptic operators to those of the Robin-to-Robin and Robin…
This paper extends the notion of a spectral triple to a relative spectral triple, an unbounded analogue of a relative Fredholm module for an ideal $J\triangleleft A$. Examples include manifolds with boundary, manifolds with conical singularities, dimension drop algebras, $θ$-deformations and Cuntz-Pimsner algebras of vector bundles. The bounded transform of a relative spectral triple is a relative Fredholm module, making the image of a relative spectral triple under the boundary mapping in $K$-homology easy to compute. We introduce an additional operator called a Clifford normal with which a r…
We prove the chaoticity and describe the spectral structure of Rolewicz-type weighted backward shift unbounded linear operators in the sequence spaces $l_p$ ($1\le p<\infty$) and $c_0$.
We give a definition of the spectral flow for continuous paths in the space of bounded and essentially hyperbolic operators. We provide a homotopical characterization of the spectral flow in terms of a group homomorphism of the fundamental group of the projectors of the Calkin algebra with the infinite cyclic group Z. This characterization helps us to exhibit examples of infinite-dimensional Banach spaces where the spectral flow is not injective nor surjective. We prove that a path with spectral flow equal to an integer m exists if and only if there exists a projector P connected by an arc to …
We generalize Moore's nonstandard proof of the Spectral theorem for bounded self-adjoint operators to the case of unbounded operators. The key step is to use a definition of the nonstandard hull of an internally bounded self-adjoint operator due to Raab.
