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The square of the Volterra operator has zero trace
Example
Assume the Axiom of Choice (The Axiom of Choice). Let with its usual integral pairing, linear in the first argument ( with the integral pairing is a Hilbert space), and set Then is Hilbert–Schmidt; is trace class and quasinilpotent; and where is the locally constructed determinant.
Facts & Assumptions
Given: AC, the complex Hilbert space , and the Volterra operator above.
AC means that every family of nonempty sets has a choice function (The Axiom of Choice); it implies DC and hence Countable Choice (AC implies DC implies countable choice).
Complex consists of almost-everywhere classes of measurable complex functions; for , and (Complex Lp classes and Euclidean test-function conventions, The space as the quotient by null functions, Real and imaginary parts, complex conjugation, and modulus). Under Countable Choice, this space with the integral pairing is a complex Hilbert space ( with the integral pairing is a Hilbert space, Hilbert space).
Under Countable Choice, finite rational linear combinations of indicators of rational half-open boxes form a countable dense subset of real (Rational box-step functions form a countable dense subset of for ). Countable sets are closed under products, and an image of a nonempty countable set is countable by the surjection characterization (Finite, countably infinite, countable, uncountable, A product of two at most countable sets is at most countable, A nonempty set is at most countable iff it is a surjective image of ). A space is separable when it has a countable dense subset (Separability: the existence of an at most countable dense subset).
Lebesgue measure of is ; in particular and for (Lebesgue measurable sets, the family , and the restricted set function , A box in with parameters is Lebesgue measurable of measure , whichever of its faces are included). A finite measure space is sigma-finite (Finite, sigma-finite, and semifinite measures). For nonnegative measurable functions the integral is monotone (The nonnegative Lebesgue integral, Monotonicity and nonnegative homogeneity of the nonnegative integral); its integral over a measurable set is the integral after multiplying by that set's indicator (Integral over a measurable subset). A nonnegative simple function integrates as the finite sum of its values times the measures of its level sets (The integral of a nonnegative simple function), and the integral is additive on nonnegative summands (Additivity of the nonnegative Lebesgue integral).
The Borel sigma-algebra of is the product of the two one-dimensional Borel sigma-algebras (The Borel sigma-algebra of a topological space, The Borel product of R^m and R^n is the Borel sigma-algebra of R^{m+n}); continuous preimages of Borel sets are Borel and arithmetic operations preserve measurability (A continuous map has Borel preimages of Borel sets, Arithmetic and lattice operations preserve measurability whenever they are defined). For sigma-finite factors the product measure exists, has the rectangle formula, and is sigma-finite (For sigma-finite factors, the product measure exists, has the rectangle formula, is sigma-finite, and is unique); its completion is the completed product measure (The completed product measure). Tonelli evaluates nonnegative product integrals by iterated integrals (Tonelli's theorem for nonnegative measurable functions on a sigma-finite product).
On the product space of measure , a bounded measurable complex function has finite absolute integral: if , monotonicity bounds its integral by that of the constant simple function , whose integral is . By definition this makes an function (The class of integrable functions, The nonnegative Lebesgue integral, The integral of a nonnegative simple function, Monotonicity and nonnegative homogeneity of the nonnegative integral). Fubini then equates its product and iterated integrals (Fubini's theorem for L^1 functions on a sigma-finite product).
Under AC, a square-integrable kernel class on a completed sigma-finite product defines a bounded kernel operator with and an exact Hilbert–Schmidt norm ; AC also supplies Hilbert bases (L two kernels give Hilbert–Schmidt operators, Hilbert–Schmidt operator and Hilbert–Schmidt norm, A bounded linear operator between normed spaces, The operator norm as the least bound and as the unit-sphere or unit-ball supremum).
Under Countable Choice, Hilbert–Schmidt operators are compact (Hilbert–Schmidt operators are compact, Compact linear operator); a composition with a compact operator is compact (Compositions with a compact operator are compact). For Hilbert–Schmidt on spaces with supplied Hilbert bases, if is compact then it is trace class and (Trace class iff product of two Hilbert Schmidt operators, Trace class operator).
The derivative of is for (For a natural the function is differentiable everywhere with derivative ; for it is the constant , with derivative ; for a natural the function is differentiable at every with derivative ; consequently every polynomial function is differentiable at every real, with the derivative computed term by term); derivative sums and scalar multiples obey the algebra rules (The derivative of at a point that is a limit point of , and differentiability on a set, Sums, scalar multiples, products and quotients: , , , and when ), and the chain rule applies to differentiable compositions (The chain rule, in one line from Carathéodory: if is differentiable at and is differentiable at , then is differentiable at with ). The factorial satisfies and for (The factorial and the falling factorial , defined by recursion in , The canonical natural of a field). Continuous functions on compact intervals are Riemann integrable (A continuous function on is Riemann integrable, by Heine-Cantor and Riemann's criterion); Newton–Leibniz evaluates the Riemann integral from a differentiable primitive (The second fundamental theorem: if is differentiable on with and is integrable, then ), and a bounded Riemann-integrable function has the same Lebesgue integral under Countable Choice (A bounded Riemann integrable function on a closed bounded interval is Lebesgue measurable and has the same integral).
The bounded-operator space is Banach (The spaces (\mathcal B(X,Y)) and (\mathcal B(X)) of bounded linear operators, If (Y) is Banach then (\mathcal B(X,Y)) is Banach); operator norms are submultiplicative (Composition satisfies |ST|\le|S|,|T|), and an absolutely convergent series in a Banach space converges (Series criterion for Banach spaces). The scalar exponential factorial series converges at every real argument (The exponential series converges absolutely for every real argument). The spectrum is the complement of the bounded resolvent set (Spectrum and resolvent of a bounded operator).
If is separable complex Hilbert and is trace class with , then the local quasinilpotent lemma gives and (A quasinilpotent trace-class operator has zero trace).
AC implies Countable Choice by [A1]. By [A2], is a complex Hilbert space, and since has norm by [A4], it is nonzero. Thus is Banach by If (Y) is Banach then (\mathcal B(X,Y)) is Banach. Its identity has norm , composition is associative and satisfies by Composition satisfies |ST|\le|S|,|T|, and the nonzero identity makes this a nonzero unital complex Banach algebra (Unital Banach algebra). Its algebra spectrum agrees with the operator spectrum by their definitions (Spectrum and resolvent set in a Banach algebra, Spectrum and resolvent of a bounded operator), and it is nonempty by Spectrum is nonempty compact and norm bounded.
Verification
Source qualification: Teschl, Topics in Real and Functional Analysis, §6.1, equations (6.23)–(6.26), printed pp. 167–168, treats a Volterra operator on and leaves its power estimate as Problem 6.7. That passage is comparison only; it does not prove this claim. The proof below derives the kernel estimate and uses the local trace-class, determinant and spectrum results cited in [A7]–[A12].
Given: the data in the statement and facts [A1]–[A12].
Build a countable dense subset of by pairing restricted rational-box steps. [A2, A3, A4] Let be the countable dense family of real rational-box steps in from [A3]. For , choose a measurable representative . By [A2], both real components belong to real . Extend each by zero to . For a Borel set , the extension's inverse image is , together with exactly when ; these sets are Lebesgue measurable, so the extension is measurable. Its norm agrees with the norm on by the integral-over-a-set definition [A4]. Restriction from to is contractive by [A4]. Thus, for any , choose with each component's restriction error less than . The set is countable by [A3], and its members are bounded step functions. The identity and additivity in [A2] give Hence is dense and is separable.
Compute the triangle area and identify its indicator kernel with . [A4, A5, A7, A9] Put It is closed in , hence Borel and product-measurable by [A5]. The two restricted Lebesgue factors are finite, so their product measure exists by [A4, A5], and the rectangle formula gives . Tonelli and [A4] give For the last equality, is continuous, the primitive has derivative by [A9], Newton–Leibniz evaluates the Riemann integral, and [A9] identifies it with the Lebesgue integral. Thus is in with . The kernel theorem [A7] identifies and gives
Prove is trace class. [A1, A7, A8] By [A7], AC supplies a Hilbert basis of and is Hilbert–Schmidt relative to it. By [A1], AC supplies Countable Choice for [A8]; hence [A8] makes compact and then compact. Apply the Hilbert–Schmidt product theorem [A8] with both factors and the same basis . It follows that is trace class and
Bound the kernel operators . [A4, A5, A7, step 1.2] For each integer , define Each is product-measurable by [A5]. Since on , [A4] gives using from step 1.2. The kernel theorem [A7] therefore defines a bounded operator with .
Prove the power-kernel identity and factorial norm estimate by induction. [A2, A3, A5, A6, A7, A9, step 1.1, step 2.1, algebra] We prove for every . At this is the definition of . Suppose the identity holds for . Choose a bounded Borel step representative of , since its rational half-open boxes are Borel. For each fixed , the integrand on is product-measurable by [A5] and bounded; the product space has finite measure. It is therefore in by [A6], so Fubini changes the order of integration. If the inner integral is zero. If , [A9], applied to the primitive , gives Indeed has derivative : the identity has derivative by the power case, while the constant has zero difference quotient. The chain rule differentiates the shifted power, and the factorial recursion cancels its factor . Consequently for almost every . This proves the induction. Both and are bounded; since is dense by step 1.1, equality on extends to all . Thus
Exclude every nonzero scalar from . [A2, A10, step 3.1, algebra] Fix and put For , step 3.1 gives because . The scalar majorant is summable by the exponential-series fact [A10]. Since is Banach [A10], its series criterion gives an operator-norm limit . Finite telescoping gives on both sides The remainder tends to zero by step 3.1 and the vanishing terms of the convergent scalar majorant. Submultiplicativity [A10] lets the products pass to the operator-norm limit, so is a bounded two-sided inverse of . Therefore every nonzero lies in the resolvent set [A10], and
Prove quasinilpotence, the trace and determinant conclusions, and the nonzero witness. [A1, A2, A4, A11, A12, step 1.1, step 1.3, step 3.1, step 4.1, algebra] By [A2], is a complex Hilbert space; it is separable by step 1.1 and is trace class by step 1.3. Step 4.1 puts its spectrum inside , while [A12] makes the spectrum nonempty; hence and is quasinilpotent. The local quasinilpotent lemma [A11] applies, yielding This particular operator is not zero: , by [A4], and the same Newton–Leibniz calculation gives and , which is positive on of positive measure [A4]. The formula includes the degenerate endpoint because that integral is zero; the closed triangle convention retains both endpoints, and no boundary point is discarded in Tonelli or Fubini. The base case is step 3.1. AC is the exact declared assumption [A1]: it supplies the Hilbert basis used in step 1.3 and supplies Countable Choice for the stated auxiliary results; the separability approximation selects only two approximants for a single tolerance. There is no one-dimensional branch: the intervals , indexed by integers , lie in , are pairwise disjoint and have measure by [A4]; if a finite linear combination of their indicator classes is zero, restricting to each forces its coefficient to vanish. Thus is infinite-dimensional. The assertion is a conjunction, not an iff, so neither iff direction applies.
Depends on
- Additivity of the nonnegative Lebesgue integral
- The Axiom of Choice
- The Borel sigma-algebra of a topological space
- A bounded linear operator between normed spaces
- The canonical natural $\iota(n) = n \cdot 1_F$ of a field
- The completed product measure
- Compact linear operator
- Real and imaginary parts, complex conjugation, and modulus
- Complex Lp classes and Euclidean test-function conventions
- Finite, countably infinite, countable, uncountable
- The derivative $f'(c) = \lim_{x \to c} \frac{f(x) - f(c)}{x - c}$ of $f : A \to \mathbb{R}$ at a point $c \in A$ that is a limit point of $A$, and differentiability on a set
- The factorial $n!$ and the falling factorial $n^{\underline{k}}$, defined by recursion in $\mathbb{N}$
- Finite, sigma-finite, and semifinite measures
- Hilbert space
- Hilbert–Schmidt operator and Hilbert–Schmidt norm
- The integral of a nonnegative simple function
- Integral over a measurable subset
- The class $L^1(\mu)$ of integrable functions
- Lebesgue measurable sets, the family $\mathcal{L}(\mathbb{R}^n)$, and the restricted set function $\lambda_n$
- The space $L^p(\mu)$ as the quotient by null functions
- The nonnegative Lebesgue integral
- The operator norm as the least bound and as the unit-sphere or unit-ball supremum
- Separability: the existence of an at most countable dense subset
- The spaces \(\mathcal B(X,Y)\) and \(\mathcal B(X)\) of bounded linear operators
- Spectrum and resolvent of a bounded operator
- Spectrum and resolvent set in a Banach algebra
- Trace class operator
- Unital Banach algebra
- Composition satisfies \|ST\|\le\|S\|\,\|T\|
- Compositions with a compact operator are compact
- A nonempty set is at most countable iff it is a surjective image of $\mathbb{N}$
- For a natural $n \ge 1$ the function $x \mapsto x^{n}$ is differentiable everywhere with derivative $\iota(n)\,x^{\,n-1}$; for $n = 0$ it is the constant $1$, with derivative $0$; for a natural $n \ge 1$ the function $x \mapsto x^{-n}$ is differentiable at every $x \ne 0$ with derivative $-\iota(n)\,x^{-n-1}$; consequently every polynomial function is differentiable at every real, with the derivative computed term by term
- The exponential series converges absolutely for every real argument
- $L^2$ with the integral pairing is a Hilbert space
- A quasinilpotent trace-class operator has zero trace
- Monotonicity and nonnegative homogeneity of the nonnegative integral
- Sums, scalar multiples, products and quotients: $(f+g)'(c) = f'(c) + g'(c)$, $(\alpha f)'(c) = \alpha f'(c)$, $(fg)'(c) = f'(c)g(c) + f(c)g'(c)$, and $(f/g)'(c) = \bigl(f'(c)g(c) - f(c)g'(c)\bigr)/g(c)^{2}$ when $g(c) \ne 0$
- Arithmetic and lattice operations preserve measurability whenever they are defined
- Series criterion for Banach spaces
- The Borel product of R^m and R^n is the Borel sigma-algebra of R^{m+n}
- If \(Y\) is Banach then \(\mathcal B(X,Y)\) is Banach
- A bounded Riemann integrable function on a closed bounded interval is Lebesgue measurable and has the same integral
- The chain rule, in one line from Carathéodory: if $g$ is differentiable at $c$ and $f$ is differentiable at $g(c)$, then $f \circ g$ is differentiable at $c$ with $(f \circ g)'(c) = f'(g(c))\,g'(c)$
- AC implies DC implies countable choice
- A continuous function on $[a,b]$ is Riemann integrable, by Heine-Cantor and Riemann's criterion
- A continuous map has Borel preimages of Borel sets
- Fubini's theorem for L^1 functions on a sigma-finite product
- The second fundamental theorem: if $G$ is differentiable on $[a,b]$ with $G' = f$ and $f$ is integrable, then $\int_a^b f = G(b)-G(a)$
- Hilbert–Schmidt operators are compact
- L two kernels give Hilbert–Schmidt operators
- A box in $\mathbb{R}^n$ with parameters $a_i\le b_i$ is Lebesgue measurable of measure $\prod_{i<n}(b_i-a_i)$, whichever of its faces are included
- A product of two at most countable sets is at most countable
- Rational box-step functions form a countable dense subset of $L^p(\mathbb{R}^n)$ for $1 \le p < \infty$
- For sigma-finite factors, the product measure exists, has the rectangle formula, is sigma-finite, and is unique
- Spectrum is nonempty compact and norm bounded
- Tonelli's theorem for nonnegative measurable functions on a sigma-finite product
- Trace class iff product of two Hilbert Schmidt operators
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