The Xi Operator and its Relation to Krein's Spectral Shift Function
Fritz Gesztesy, Konstantin A. Makarov
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LaTeX, 35 pages, this is an extended version including a discussion of generalized spectral shift functions and extensions of the Birman-Schwinger principle
We explore connections between Krein's spectral shift function $ξ(λ,H_0,H)$ associated with the pair of self-adjoint operators $(H_0,H)$, $H=H_0+V$ in a Hilbert space $\calH$ and the recently introduced concept of a spectral shift operator $Ξ(J+K^*(H_0-λ-i0)^{-1}K)$ associated with the operator-valued Herglotz function $J+K^*(H_0-z)^{-1}K$, $\Im(z)>0$ in $\calH$, where $V=KJK^*$ and $J=\sgn(V)$. Our principal results include a new representation for $ξ(λ,H_0,H)$ in terms of an averaged index for the Fredholm pair of self-adjoint spectral projections $(E_{J+A(λ)+tB(λ)}((-\infty,0)),E_J((-\infty,0)))$, $t\in\bbR$, where $A(λ)=\Re(K^*(H_0-λ-i0)^{-1}K)$, $B(λ)=\Im(K^*(H_0-λ-i0)^{-1}K)$ a.e. Moreover, introducing the new concept of a trindex for a pair of operators $(A,P)$ in $\calH$, where $A$ is bounded and $P$ is an orthogonal projection, we prove that $ξ(λ,H_0,H)$ coincides with the trindex associated with the pair $(Ξ(J+K^*(H_0-λ-i0)^{-1}K),Ξ(J))$. In addition, we discuss a variant of the Birman-Krein formula relating the trindex of a pair of $Ξ$-operators and the Fredholm determinant of the abstract scattering matrix.
We also provide a generalization of the classical Birman-Schwinger principle, replacing the traditional eigenvalue counting functions by appropriate spectral shift functions.
In the case of Krein's strings with spectral functions of polynomial growth a necessary and sufficient condition for the Krein's correspondence to be continuous is given.
We solve the inverse problem from the spectral measure and the inverse three-spectra problem for the class of singular Krein strings on a finite interval with trace class resolvents. In particular, this includes a complete description of all possible spectral measures and three (Dirichlet) spectra associated with this class of Krein strings. The solutions of these inverse problems are obtained by approximation with Stieltjes strings.
We solve an inverse spectral problem for a star graph of Krein strings, where the known spectral data comprises the spectrum associated with the whole graph, the spectra associated with the individual edges as well as so-called coupling matrices. In particular, we show that these spectral quantities uniquely determine the weight within the class of Borel measures on the graph, which give rise to trace class resolvents. Furthermore, we obtain a concise characterization of all possible spectral data for this class of weights.
We introduce the spectral points of two-sided positive type of bounded normal operators in Krein spaces. It is shown that a normal operator has a local spectral function on sets which are of two-sided positive type. In addition, we prove that the Riesz-Dunford spectral subspace corresponding to a spectral set which is only of positive type is uniformly positive. The restriction of the operator to this subspace is then normal in a Hilbert space.
In the first (and abstract) part of this survey we prove the unitary equivalence of the inverse of the Krein--von Neumann extension (on the orthogonal complement of its kernel) of a densely defined, closed, strictly positive operator, $S\geq \varepsilon I_{\mathcal{H}}$ for some $\varepsilon >0$ in a Hilbert space $\mathcal{H}$ to an abstract buckling problem operator. This establishes the Krein extension as a natural object in elasticity theory (in analogy to the Friedrichs extension, which found natural applications in quantum mechanics, elasticity, etc.). In the second, and principal part o…
Sign type spectra are an important tool in the investigation of spectral properties of selfadjoint operators in Krein spaces. It is our aim to show that also sign type spectra for normal operators in Krein spaces provide insight in the spectral nature of the operator: If the real part and the imaginary part of a normal operator in a Krein space have real spectra only and if the growth of the resolvent of the imaginary part (close to the real axis) is of finite order, then the normal operator possesses a local spectral function defined for Borel subsets of the spectrum which belong to positive …
We study the limiting behavior of the Dirichlet and Neumann eigenvalue counting function of generalized second order differential operators $\frac{d}{d μ} \frac{d}{d x}$, where $μ$ is a finite atomless Borel measure on some compact interval $[a,b]$. Therefore, we firstly recall the results of the spectral asymptotics for these operators received so far. Afterwards, we make a proposition about the convergence behavior for so called random $V$-variable Cantor measures.
In his 1953 paper [Matem.~Sbornik \textbf{33} (1953), 597 -- 626] Mark Krein presented an example of a symmetric rank one perturbation of a self-adjoint operator such that for all values of the spectral parameter in the interior of the spectrum, the difference of the corresponding spectral projections is not trace class. In the present note it is shown that in the case in question this difference has simple Lebesgue spectrum filling in the interval $[-1,1]$ and, therefore, the pair of the spectral projections is generic in the sense of Halmos but not Fredholm.
We introduce the concept of a spectral shift operator and use it to derive Krein's spectral shift function for pairs of self-adjoint operators. Our principal tools are operator-valued Herglotz functions and their logarithms. Applications to Krein's trace formula and to the Birman-Solomyak spectral averaging formula are discussed.
We use recent results on the boundary behavior of Cauchy integrals to study the Krein spectral shift of a rank one perturbation problem for self-adjoint operators. As an application, we prove that all self-adjoint rank one perturbations of a self-adjoint operator are pure point if and only if the spectrum of the operator is countable. We also study pairs of pure point operators unitarily equivalent up to a rank one perturbation and give various examples of rank one perturbations of singular spectra.
We derive explicit Krein resolvent identities for generally singular Sturm-Liouville operators in terms of boundary condition bases and the Lagrange bracket. As an application of the resolvent identities obtained, we compute the trace of the resolvent difference of a pair of self-adjoint realizations of the Bessel expression $-d^2/dx^2+(ν^2-(1/4))x^{-2}$ on $(0,\infty)$ for values of the parameter $ν\in[0,1)$ and use the resulting trace formula to explicitly determine the spectral shift function for the pair.
We study the limit behavior of the Dirichlet and Neumann eigenvalue counting function of generalized second order differential operators $\frac{d}{d μ} \frac{d}{d x}$, where $μ$ is a finite atomless Borel measure on some compact interval $[a,b]$. We firstly recall the results of the spectral asymptotics for these operators received so far. Afterwards, we give the spectral asymptotics for so called random recursive Cantor measures. Finally, we compare the results for random recursive and random homogeneous Cantor measures.
We generalise a classical example given by Krein in 1953. We compute the difference of the resolvents and the difference of the spectral projections explicitly. We further give a full description of the unitary invariants, i.e., of the spectrum and the multiplicity. Moreover, we observe a link between the difference of the spectral projections and Hankel operators.
We investigate spectral stability of vortex solutions of the Gross-Pitaevskii equation, a mean-field approximation for Bose-Einstein condensates (BEC) in an effectively two-dimensional axisymmetric harmonic trap. We study eigenvalues of the linearization both rigorously and through computation of the Evans function, a sensitive and robust technique whose use we justify mathematically. The absence of unstable eigenvalues is justified a posteriori through use of the Krein signature of purely imaginary eigenvalues, which also can be used to significantly reduce computational effort. In particular…
We investigate the instability index of the spectral problem $$ -c^2y'' + b^2y + V(x)y = -\mathrm{i} z y' $$ on the line $\mathbb{R}$, where $V\in L^1_{\rm loc}(\mathbb{R})$ is real valued and $b,c>0$ are constants. This problem arises in the study of stability of solitons for certain nonlinear equations (e.g., the short pulse equation and the generalized Bullough-Dodd equation). We show how to apply the standard approach in the situation under consideration and as a result we provide a formula for the instability index in terms of certain spectral characteristics of the 1-D Schrödinger operat…
For a class of even dimensional conformally compact manifolds (X,g), we define a generalized Krein spectral function by applying a renormalized trace functional to the spectral measure of the Laplacian. We then show that this is the phase of the Kontsevich-Vishik determinant det S(s) of the scattering operator S(s) of (the Laplacian of) g and we analyze the divisors of det(S(s)). As an application for convex co-compact hyperbolic quotients, we obtain a functional equation for Selberg's Zeta function Z(s), we express the determinant of the GJMS conformal Laplacians of the conformal infinity of …
A special class of generalized Jacobi operators which are self-adjoint in Krein spaces is presented. A description of the resolvent set of such operators in terms of solutions of the corresponding recurrence relations is given. In particular, special attention is paid to the periodic generalized Jacobi operators. Finally, the spectral properties of generalized Jacobi operators are applied to prove convergence results for Padé approximants.
We study spectral properties for $H_{K,Ω}$, the Krein--von Neumann extension of the perturbed Laplacian $-Δ+V$ defined on $C^\infty_0(Ω)$, where $V$ is measurable, bounded and nonnegative, in a bounded open set $Ω\subset\mathbb{R}^n$ belonging to a class of nonsmooth domains which contains all convex domains, along with all domains of class $C^{1,r}$, $r>1/2$. In particular, in the aforementioned context we establish the Weyl asymptotic formula \[ #\{j\in\mathbb{N} | λ_{K,Ω,j}\leqλ\} = (2π)^{-n} v_n |Ω| λ^{n/2}+O\big(λ^{(n-(1/2))/2}\big) {as} λ\to\infty, \] where $v_n=π^{n/2}/ Γ((n/2)+1)$ deno…
For a second-order symmetric strongly elliptic operator A on a smooth bounded open set Ωin R^n with boundary Σ, the mixed problem is defined by a Neumann-type condition on a part Sigma_+ of the boundary and a Dirichlet condition on the other part Sigma_-. We show a Krein resolvent formula, where the difference between its resolvent and the Dirichlet resolvent is expressed in terms of operators acting on Sobolev spaces over Sigma_+. This is used to obtain a new Weyl-type spectral asymptotics formula for the resolvent difference (where upper estimates were known before), namely s_j j^{2/(n-1)}\t…
It is shown that transfer functions, which play a crucial role in M.G. Krein's study of inverse spectral problems, are a proper tool to formulate local spectral uniqueness conditions.
The recently introduced concept of a spectral shift operator is applied in several instances. Explicit applications include Krein's trace formula for pairs of self-adjoint operators, the Birman-Solomyak spectral averaging formula and its operator-valued extension, and an abstract approach to trace formulas based on perturbation theory and the theory of self-adjoint extensions of symmetric operators.
Two concepts, very different in nature, have proved to be useful in analytical and numerical studies of spectral stability: (i) the Krein signature of an eigenvalue, a quantity usually defined in terms of the relative orientation of certain subspaces that is capable of detecting the structural instability of imaginary eigenvalues and hence their potential for moving into the right half-plane leading to dynamical instability under perturbation of the system, and (ii) the Evans function, an analytic function detecting the location of eigenvalues. One might expect these two concepts to be related…
The spectral data of a vibrating string are encoded in its so-called characteristic function. We consider the problem of recovering the distribution of mass along the string from its characteristic function. It is well-known that Stieltjes' continued fraction provides a solution of this inverse problem in the particular case where the distribution of mass is purely discrete. We show how to adapt Stieltjes' method to solve the inverse problem for a related class of strings. An application to the excursion theory of diffusion processes is presented.
As an application of a general left-definite spectral theory, Everitt, Littlejohn and Wellman, in 2002, developed the left-definite theory associated with the classical Legendre self-adjoint second-order differential operator $A$ in $L^{2}(-1,1)$ which has the Legendre polynomials $\{P_{n}% \}_{n=0}^{\infty}$ as eigenfunctions. As a consequence, they explicitly determined the domain $\mathcal{D}(A^{2})$ of the self-adjoint operator $A^{2}.$ However, this domain, in their characterization, does not contain boundary conditions. In fact, this is a general feature of the left-definite approach dev…
We continue the study of boundary data maps, that is, generalizations of spectral parameter dependent Dirichlet-to-Neumann maps for (three-coefficient) Sturm-Liouville operators on the finite interval $(a,b)$, to more general boundary conditions. While earlier studies of boundary data maps focused on the case of general separated boundary conditions at $a$ and $b$, the present work develops a unified treatment for all possible self-adjoint boundary conditions (i.e., separated as well as non-separated ones). In the course of this paper we describe the connections with Krein's resolvent formula …
Let $H$ signify the free non-negative Laplacian on $\mathbb{R}^2$ and $H_Y$ the non-negative Dirichlet Laplacian on the complement $Y$ of a nonpolar compact subset $K$ in the plane. We derive the low-energy expansion for the Krein spectral shift function (scattering phase) for the obstacle scattering system $\{\,H_Y,\,H\,\}$ including detailed expressions for the first three coefficients. We use this to investigate the large time behaviour of the expected volume of the pinned Wiener sausage associated to $K$.
We construct higher order spectral shift functions, which represent the remainders of Taylor-type approximations for the value of a function at a perturbed self-adjoint operator by derivatives of the function at an initial unbounded operator. In the particular cases of the zero and the first order approximations, the corresponding spectral shift functions have been constructed by M. G. Krein and L. S. Koplienko, respectively. The higher order spectral shift functions obtained in this paper can be expressed recursively via the lower order ones, in particular, Krein's and Koplienko's spectral sh…
This paper extends Krein's spectral shift function theory to the setting of semifinite spectral triples. We define the spectral shift function under these hypotheses via Birman-Solomyak spectral averaging formula and show that it computes spectral flow.
We construct higher order spectral shift functions, extending the perturbation theory results of M. G. Krein and L. S. Koplienko on representations for the remainders of the first and second order Taylor-type approximations of operator functions. The higher order spectral shift functions represent the remainders of higher order Taylor-type approximations; they can be expressed recursively via the lower order (in particular, Krein's and Koplienko's) ones. We also obtain higher order spectral averaging formulas generalizing the Birman-Solomyak spectral averaging formula. The results are obtained…
Given two possibly unbounded selfadjoint operators A and G such that the resolvent sets of AG and GA are non-empty, it is shown that the operator AG has a spectral function on IR with singularities if there exists a non-zero polynomial p such that the symmetric operator Gp(AG) is non-negative. This result generalizes a well-known theorem for definitizable operators in Krein spaces.
We study convergence of the spectral shift function for the finite interval restrictions of a pair of full-line Schrödinger operators to an interval of the form $(-\ell,\ell)$ with coupled boundary conditions at the endpoints as $\ell\to \infty$ in the case when the finite interval restrictions are relatively prime to those with Dirichlet boundary conditions. Using a Krein-type resolvent identity we show that the spectral shift function for the finite interval restrictions converges weakly to that for the pair of full-line Schrödinger operators as the length of the interval tends to infinity.
We consider the minimal differential operator A generated in $L^2(0,\infty)$ by the differential expression $l(y) = (-1)^n y^{(2n)}$. Using the technique of boundary triplets and the corresponding Weyl functions, we find explicit form of the characteristic matrix and the corresponding spectral function for the Friedrichs and Krein extensions of the operator A.
In this paper, we start by showing that the intertwining relationship between two minimal Markov semigroups acting on Hilbert spaces implies that any recurrent extensions, in the sense of Itô, of these semigroups satisfy the same intertwining identity. Under mild additional assumptions on the intertwining operator, we prove that the converse also holds. This connection, which relies on the representation of excursion quantities as developed by Fitzsimmons and Getoor, enables us to give an interesting probabilistic interpretation of intertwining relationships between Markov semigroups via excur…
In this note the notion of infinitesimal scattering matrix is introduced. It is shown that under certain assumption, the scattering operator of a pair of trace compatible operators is equal to the chronological exponential of the infinitesimal scattering matrix and that the trace of the infinitesimal scattering matrix is equal to the absolutely continuous part of the infinitesimal spectral flow. As a corollary, a variant of the Birman-Krein formula is derived. An interpretation of Pushnitski's $μ$-invariant is given.
We prove in this paper resolvent estimates for the boundary values of resolvents of selfadjoint operators on a Krein space: if $H$ is a selfadjoint operator on a Krein space $\cH$, equipped with the Krein scalar product $\langle \cdot| \cdot \rangle$, $A$ is the generator of a $C_{0}-$group on $\cH$ and $I\subset \rr$ is an interval such that: \begin{itemize} \item[]1) $H$ admits a Borel functional calculus on $I$, \item[]2) the spectral projection $\one_{I}(H)$ is positive in the Krein sense, \item[]3) the following {\em positive commutator estimate} holds: \[ \Re \langle u| [H, ıA]u\rangle\g…
In this paper it is shown that in case of trace class perturbations the singular part of Pushnitski $μ$-invariant does not depend on the angle variable. This gives an alternative proof of integer-valuedness of the singular part of the spectral shift function. As a consequence, the Birman-Krein formula for trace class perturbations follows.
In this note the notions of trace compatible operators and infinitesimal spectral flow are introduced. We define the spectral shift function as the integral of infinitesimal spectral flow. It is proved that the spectral shift function thus defined is absolutely continuous and Krein's formula is established. Some examples of trace compatible affine spaces of operators are given.
In this note, under a certain assumption on an affine space of operators, which admit embedded eigenvalues, it is shown that the singular part of the spectral shift function of any pair of operators from this space is an integer-valued function. The proof uses a natural decomposition of Pushnitski's $μ$-invariant into "absolutely continuous" and "singular" parts. As a corollary, the Birman-Krein formula follows.
Methods from scattering theory are introduced to analyze random Schroedinger operators in one dimension by applying a volume cutoff to the potential. The key ingredient is the Lifshitz-Krein spectral shift function, which is related to the scattering phase by the theorem of Birman and Krein. The spectral shift density is defined as the "thermodynamic limit" of the spectral shift function per unit length of the interaction region. This density is shown to be equal to the difference of the densities of states for the free and the interacting Hamiltonians. Based on this construction, we give a ne…
We give a complete description of the set of spectral data (eigenvalues and specially introduced norming constants) for Sturm--Liouville operators on the interval $[0,1]$ with matrix-valued potentials in the Sobolev space $W_2^{-1}$ and suggest an algorithm reconstructing the potential from the spectral data that is based on Krein's accelerant method.
We consider harmonic Toeplitz operators $T_V = PV:{\mathcal H}(Ω) \to {\mathcal H}(Ω)$ where $P: L^2(Ω) \to {\mathcal H}(Ω)$ is the orthogonal projection onto ${\mathcal H}(Ω) = \left\{u \in L^2(Ω)\,|\,Δu = 0 \; \mbox{in}\;Ω\right\}$, $Ω\subset {\mathbb R}^d$, $d \geq 2$, is a bounded domain with $\partial Ω\in C^\infty$, and $V: Ω\to {\mathbb C}$ is a suitable multiplier. First, we complement the known criteria which guarantee that $T_V$ is in the $p$th Schatten-von Neumann class $S_p$, by sufficient conditions which imply $T_V \in S_{p, {\rm w}}$, the weak counterpart of $S_p$. Next, we assu…
We develop an analog of classical oscillation theory for Sturm-Liouville operators which, rather than measuring the spectrum of one single operator, measures the difference between the spectra of two different operators. This is done by replacing zeros of solutions of one operator by weighted zeros of Wronskians of solutions of two different operators. In particular, we show that a Sturm-type comparison theorem still holds in this situation and demonstrate how this can be used to investigate the finiteness of eigenvalues in essential spectral gaps. Furthermore, the connection with Krein's spec…
We investigate the effect of non-symmetric relatively bounded perturbations on the spectrum of self-adjoint operators. In particular, we establish stability theorems for one or infinitely many spectral gaps along with corresponding resolvent estimates. These results extend, and improve, classical perturbation results by Kato and by Gohberg/Krein. Further, we study essential spectral gaps and perturbations exhibiting additional structure with respect to the unperturbed operator; in the latter case, we can even allow for perturbations with relative bound $\ge 1$. The generality of our results is…
We extend relative oscillation theory to the case of Sturm--Liouville operators $H u = r^{-1}(-(pu')'+q u)$ with different $p$'s. We show that the weighted number of zeros of Wronskians of certain solutions equals the value of Krein's spectral shift function inside essential spectral gaps.
In this article we continue our analysis of Schroedinger operators with a random potential using scattering theory. In particular the theory of Krein's spectral shift function leads to an alternative construction of the density of states in arbitrary dimensions. For arbitrary dimension we show existence of the spectral shift density, which is defined as the bulk limit of the spectral shift function per unit interaction volume. This density equals the difference of the density of states for the free and the interaction theory. This extends the results previously obtained by the authors in one d…
Singular Green operators G appear typically as boundary correction terms in resolvents for elliptic boundary value problems on a domain Ω\subset R^n, and more generally they appear in the calculus of pseudodifferential boundary problems. In particular, the boundary term in a Krein resolvent formula is a singular Green operator. It is well-known in smooth cases that when G is of negative order -t on a bounded domain, its eigenvalues or s-numbers have the behavior (*) s_j(G) \sim c j^{-t/(n-1)} for j\to \infty, governed by the boundary dimension n-1. In some nonsmooth cases, upper estimates (**)…
We consider a singular Sturm-Liouville expression with the indefinite weight sgn x. To this expression there is naturally a self-adjoint operator in some Krein space associated. We characterize the local definitizability of this operator in a neighbourhood of $\infty$. Moreover, in this situation, the point $\infty$ is a regular critical point. We construct an operator $A=(\sgn x)(-d^2/dx^2+q)$ with non-real spectrum accumulating to a real point. The obtained results are applied to several classes of Sturm-Liouville operators.
We consider the case of scattering of several obstacles in $\mathbb{R}^d$ for $d \geq 2$. In this setting the absolutely continuous part of the Laplace operator $Δ$ with Dirichlet boundary conditions and the free Laplace operator $Δ_0$ are unitarily equivalent. For suitable functions that decay sufficiently fast we have that the difference $g(Δ)-g(Δ_0)$ is a trace-class operator and its trace is described by the Krein spectral shift function. In this paper we study the contribution to the trace (and hence the Krein spectral shift function) that arises from assembling several obstacles relative…
The spectral properties of two products $AB$ and $BA$ of possibly unbounded operators $A$ and $B$ in a Banach space are considered. The results are applied in the comparison of local spectral properties of the operators $T^{[*]} T$ and $TT^{[*]} $ in a Krein space. It is shown that under the assumption that both operators $T^{[*]} T$ and $T^{[*]} $ have non-empty resolvent sets, the operator $T^{[*]} T$ is locally definitizable if and only if $TT^{[*]} $ is. In this context the critical points of both operators are compared.
