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A spectral gap persists on a computable matrix ball with a uniform resolvent bound

Statement

Let H0∈Hn have eigenvalues with multiplicity λ1(H0)≤⋯≤λn(H0) and gap g=λr+1(H0)−λr(H0)>0. Put c=λ1(H0),R=λr(H0)+λr+1(H0)2−c, and let Γ={c+Reit:0≤t≤2π} be positively oriented. For Hermitian H, write σ(H)={λj(H):1≤j≤n}. Then R≥g/2. For every Hermitian H with ∥H−H0∥op≤g/4, exactly the r lowest eigenvalues of H, counted with multiplicity, lie inside Γ; the gap is at least g/2, and dist⁡(Γ,σ(H))≥g/4,∥(zI−H)−1∥op≤4/g(z∈Γ).

Facts & Assumptions

Given: A Hermitian H0∈Hn, integers n≥2 and 1≤r<n, and g=λr+1(H0)−λr(H0)>0.

[F1]

Descending ordered Hermitian eigenvalues change by at most the operator norm of the matrix perturbation (Ordered eigenvalues of Hermitian matrices are operator-norm Lipschitz); ascending order is obtained by reversing indices, so the same bound holds for the ascending convention used here.

[F2]
[F3]

The operator norm is the supremum of ∥Tv∥2 over unit vectors v (The operator norm is zero on the zero domain and otherwise is max_{||v||=1} ||Tv||).

Proof

1.1givenF1algebra

Since λr+1(H0)=λr(H0)+g, we have R=λr(H0)−λ1(H0)+g/2≥g/2>0. Reversing the descending-index convention in [F1] gives the same perturbation bound for the ascending eigenvalues used here. Thus if ∥H−H0∥op≤g/4, then λ1(H)≥c−g/4 and λr(H)≤c+R−g/4. Since R−g/4≥g/4, every first-r eigenvalue therefore satisfies ∣λj(H)−c∣≤R−g/4, so it lies at least g/4 inside the circle centered at c.

2.1step 1.1F1algebra

The same eigenvalue estimate gives λr+1(H)≥c+R+g/4, so all remaining eigenvalues satisfy ∣λj(H)−c∣≥R+g/4 and lie at least g/4 outside the circle. Also λr+1(H)−λr(H)≥g−2(g/4)=g/2. Thus the contour separates exactly the occupied cluster and the stated gap persists.

3.1step 1.1step 2.1F2F3algebra∎

By [F2], the spectrum of H is real and H diagonalizes unitarily. For every z∈Γ, reverse triangle gives ∣z−λj(H)∣≥∣∣z−c∣−∣λj(H)−c∣∣≥g/4 by steps 1.1 and 2.1. In the unitary eigenbasis, (zI−H)−1 is diagonal with entries of modulus at most 4/g. Applying [F3] to a unit vector in this basis gives ∥(zI−H)−1∥op≤4/g.

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