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Discrete spectrum of a symmetric elliptic Dirichlet operator

Statement

Assume the Axiom of Choice and Countable Choice. In the symmetric case of The L2 operator associated with a symmetric elliptic form, let Ω⊆Rn be nonempty, open and bounded, fix μ≥β, and let Kμ be the shifted solution operator of The shifted elliptic solution operator (The shifted solution operator is compact on L2). Then the following hold.

  1. There are real numbers λ1≤λ2≤⋯ with λj→+∞, each eigenvalue repeated according to its finite multiplicity, and an orthonormal basis {ej}j≥1 of L2(Ω) with ej∈H01(Ω) and a(ej,v)=λj(ej,v)L2for every v∈H01(Ω), equivalently ej∈D(L) and Lej=λjej in the sense of Symmetric elliptic weak eigenpairs. Explicitly λj=νj−1−μ, where νj>0, νj↓0, are the nonzero eigenvalues of the compact self-adjoint positive operator Kμ with Kμej=νjej (The symmetric shifted solution operator is positive and self-adjoint).
  2. Every weak eigenvalue of the Dirichlet problem occurs in the list, and each listed λj is a weak eigenvalue with finite-dimensional eigenspace; eigenspaces belonging to distinct eigenvalues are L2-orthogonal.
  3. λj>−μ for every j, and a(u,u)≥−β∥u∥L22 for every u∈H01(Ω). The proof applies the compact self-adjoint spectral theorem once to Kμ; since ker⁡Kμ={0}, no Hilbert basis of the kernel is ever selected, and the union of orthonormal bases of the nonzero eigenspaces of Kμ is already a Hilbert basis of L2(Ω).

Facts & Assumptions

Given: the Axiom of Choice and Countable Choice; a nonempty bounded open set Ω⊆Rn; the symmetric divergence-form case with constants θ,Ma,Mc; a fixed μ≥β; the shifted solution operator Kμ and the operator L of The L2 operator associated with a symmetric elliptic form.

[F1]

Spectral data: Kμ, regarded on L2(Ω), is compact, self-adjoint, positive and injective, with ker⁡Kμ={0} (The symmetric shifted solution operator is positive and self-adjoint, The shifted solution operator is compact on L2, Compact linear operator, The Axiom of Choice). Since Ω contains a box of positive finite measure (A box in Rn with parameters ai≤bi is Lebesgue measurable of measure ∏i<n(bi−ai), whichever of its faces are included), it contains countably many disjoint positive-measure subboxes whose indicators give an infinite orthogonal family in L2(Ω).

[F2]

Compact self-adjoint spectral theorem: the nonzero eigenvalues of Kμ are real, of finite multiplicity and accumulate only at 0; the eigenspaces for distinct eigenvalues are orthogonal; the closed span of their union is (ker⁡Kμ)⊥, so it is all of L2(Ω) because Kμ is injective; and Kμx=∑ννPνx in norm, where Pν is the orthogonal projection onto the eigenspace of ν (Spectral theorem for compact self adjoint operators, Eigenspaces of a self adjoint operator are orthogonal, Orthonormal families, complete orthonormal systems and Hilbert bases, The Axiom of Countable Choice (ACω)).

[F3]

Translation of eigenvectors: if Kμe=νe with e≠0 and ν>0, then e=ν−1Kμe∈H01(Ω) because Kμ maps L2 into H01; hence for every v∈H01(Ω) one has a(e,v)=aμ(e,v)−μ(e,v)L2=(ν−1−μ)(e,v)L2. Conversely if (λ,u) is a weak eigenpair of the symmetric case, then aμ(u,v)=(λ+μ)(u,v)L2 for all v, so Kμ((λ+μ)u)=u by uniqueness, and λ+μ>0 because 0<aμ(u,u)=(λ+μ)∥u∥L22; hence Kμu=νu with ν=(λ+μ)−1 (The shifted elliptic solution operator, Symmetric elliptic weak eigenpairs, The associated elliptic operator is densely defined, symmetric and lower bounded, The symmetric elliptic form operator is self-adjoint with compact resolvent).

[F4]

Finite-dimensional Hilbert spaces have orthonormal bases (Every finite-dimensional real or complex inner product space has an orthonormal basis), and Garding's inequality gives a(u,u)≥−β∥u∥L22 for all u∈H01(Ω), with β the constant of Garding's inequality for a divergence-form elliptic operator.

Proof

technique · direct
1.1F1F2given

Spectral data of Kμ. By [F1] and [F2] the nonzero eigenvalues ν of Kμ are real and of finite multiplicity; positivity gives ν>0 for each of them, and they accumulate only at 0. The eigenspaces Eν are finite dimensional and pairwise orthogonal, and their union spans a dense subspace: its closed span is (ker⁡Kμ)⊥=L2(Ω).

2.1F3step 1.1givenalgebra

Translation. Let ν>0 be an eigenvalue of Kμ with eigenvector e. Since Kμe∈H01(Ω) and Kμe=νe, we have e∈H01(Ω); then [F3] shows a(e,v)=(ν−1−μ)(e,v)L2 for every v∈H01(Ω), so (ν−1−μ,e) is a weak eigenpair with finite-dimensional eigenspace equal to the ν-eigenspace of Kμ; conversely every weak eigenpair (λ,u) arises this way from ν=(λ+μ)−1, and λ=ν−1−μ. In particular the two eigenvalue lists correspond bijectively, and each weak eigenvalue is real and of finite multiplicity.

3.1F1F2F4step 1.1step 2.1givenchoose

Enumeration. By [F2] the closed span of the nonzero eigenspaces is all of L2(Ω), which is infinite dimensional by [F1]. Since each eigenspace is finite dimensional, there must be infinitely many nonzero eigenvalues; compactness gives at most countably many. By [F4], together with Countable Choice, choose an orthonormal basis of each eigenspace Eν; their union {ej}j≥1 is an orthonormal family whose closed span is L2(Ω) by step 1.1, hence a Hilbert basis of L2(Ω) with ej∈H01(Ω) and Kμej=νjej, where the eigenvalues νj>0 are listed in decreasing order with multiplicity, so that νj↓0. Set λj:=νj−1−μ; then λj is nondecreasing and tends to +∞, and step 2.1 gives a(ej,v)=λj(ej,v)L2 for every v∈H01(Ω), equivalently Lej=λjej by Symmetric elliptic weak eigenpairs.

4.1F2F4step 2.1step 3.1givenalgebra

Claim 2 and the lower bounds. Every weak eigenvalue occurs in the list {λj} by step 2.1, and each listed λj is a weak eigenvalue; eigenspaces for distinct eigenvalues are L2-orthogonal by [F2], since they are eigenspaces of Kμ for distinct ν. Finally λj=νj−1−μ>−μ because νj>0, and Garding's inequality gives a(u,u)≥−β∥u∥L22 for every u∈H01(Ω).

5.1F1step 3.1step 4.1given∎

Conclusion. Steps 3.1 and 4.1 establish all three assertions: the list {λj}, the orthonormal basis {ej} with the weak eigenrelations and the operator form Lej=λjej, the completeness of the eigenvalue list with finite multiplicities and orthogonality of distinct eigenspaces, and the lower bounds λj>−μ and a(u,u)≥−β∥u∥L22. No Hilbert basis of ker⁡Kμ was selected, because Kμ is injective by [F1]; only orthonormal bases of the finite-dimensional nonzero eigenspaces were chosen.

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