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A common separating resolvent contour certifies a Lipschitz response map

Statement

Let K⊆U be a set of Hermitian inputs and suppose F:K→Hn is LF-Lipschitz in Frobenius norm. Assume that for some Hermitian H0 with occupied gap g>0, every F(X) lies in the open operator-norm ball of radius g/4 about H0. Use the common circle Γ of A spectral gap persists on a computable matrix ball with a uniform resolvent bound, with R=(λr(H0)+λr+1(H0))/2−λ1(H0). Then ∥Φ(X)−Φ(Y)∥F≤q∥X−Y∥F,q:=16Rg2LF. Thus q<1 is a checkable contraction certificate when also Φ(K)⊆K; a positive gap by itself does not establish that inequality.

Facts & Assumptions

Given: A set K⊆U, a map F:K→Hn, a Lipschitz constant LF≥0, and a Hermitian reference matrix H0 with gap g>0 such that ∥F(X)−H0∥op<g/4 for every X∈K.

[F1]

The occupied projector Φ(X) is the rank-r spectral projector of F(X) (The occupied-projector response map on its strict-gap domain).

[F2]

The same contour separates all matrices in the stated ball and has resolvent bound 4/g (A spectral gap persists on a computable matrix ball with a uniform resolvent bound).

[F3]

On the open operator-norm ball of radius g/4 about H0, the occupied block projector Πr is real Frechet C1 and ∥DΠr(H)[E]∥F≤(16R/g2)∥E∥F for every Hermitian E (A separated block spectral projector is Frechet differentiable with a resolvent bound).

[F5]

A continuous path h:[0,1]→Rm that is differentiable on (0,1) with ∥h′(t)∥2≤M satisfies ∥h(1)−h(0)∥2≤M (If f:[a,b]→Rm is differentiable with integrable f′ then ∫abf′=f(b)−f(a); and a bounded derivative makes f Lipschitz).

[L1]

A strict gap makes the rank-r occupied projector unique (A strict occupied gap defines a unique rank-r spectral projector).

Proof

1.1givenF1F2F3L1algebra

For X,Y∈K, set HX=F(X), HY=F(Y), Δ=HX−HY, and H(t)=(1−t)HY+tHX. For 0≤t≤1, the operator-norm triangle inequality gives ∥H(t)−H0∥op≤(1−t)∥HY−H0∥op+t∥HX−H0∥op<g/4. Thus the whole matrix segment lies in the open ball of [F3], even when K is not convex. By [F2] and [L1] its occupied projector is well-defined, and by [F1] the path h(t)=Πr(H(t)) has endpoints h(0)=Φ(Y) and h(1)=Φ(X).

2.1step 1.1F3F4F5algebra

The path h is continuous on [0,1] by [F3]. At each t∈(0,1), the Frechet expansion in the direction Δ gives h(t+s)−h(t)=sDΠr(H(t))[Δ]+o(∣s∣), so h′(t)=DΠr(H(t))[Δ]; if Δ=0, the path is constant and this identity still holds. By [F3], ∥h′(t)∥F≤(16R/g2)∥F(X)−F(Y)∥F. Listing the real and imaginary parts of all matrix entries identifies the Frobenius norm with the Euclidean norm on R2n2 by [F4], so [F5] applies to this path with precisely that bound.

3.1step 1.1step 2.1F5givenalgebra∎

By [F5] and the endpoint identities from step 1.1, ∥Φ(X)−Φ(Y)∥F≤(16R/g2)∥F(X)−F(Y)∥F≤(16RLF/g2)∥X−Y∥F. This is the asserted estimate with q=16RLF/g2. If q<1 and Φ(K)⊆K, it is exactly the contraction condition on K.

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