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Simple complete spectrum of the separated Robin realisation

Statement

Assume the Axiom of Choice and Countable Choice (The Axiom of Choice, The Axiom of Countable Choice (ACω)). Let 0<L<∞, α,β∈R, V∈C([0,L];R), and let A be the Robin realisation of Green resolvent for separated Robin boundary conditions: D(A)={u∈H2(0,L):u′∗(0)=αu∗(0), u′∗(L)=βu∗(L)},Au=−D2u+Vu. Then:

(a) A has compact resolvent; there is a complete orthonormal family (ψn)n≥1 of eigenvectors of A, every eigenspace of A is one-dimensional, and the spectrum of A consists exactly of the eigenvalues λn of A, listed with multiplicity, which satisfy λn→∞ and σess(A)=∅;

(b) in particular the eigenvalues can be listed strictly increasingly as λ1<λ2<⋯ (each simple), and if Aψ=λψ with ψ≠0, then ψ is a nonzero multiple of the solution ua(⋅,λ) of −u′′+Vu=λu, u(0)=1, u′(0)=α, and the eigenvalue condition is β=ua′(L,λ)ua(L,λ) when ua(L,λ)≠0, while ua(L,λ)=0 occurs for no eigenvalue.

Facts & Assumptions

[F1]

A is self-adjoint, its resolvent is an integral operator with continuous kernel, and (A−z)−1 is compact for every z in the resolvent set (Green resolvent for separated Robin boundary conditions).

[F2]

Compact-resolvent structure (Self-adjoint operators with compact resolvent: eigenbasis and discrete spectrum): a self-adjoint operator with compact resolvent on an infinite-dimensional Hilbert space has a complete orthonormal family (ψn)n≥1 of eigenvectors with eigenvalues μn satisfying ∣μn∣→∞, all eigenspaces finite dimensional, spectrum exactly the eigenvalue set, and empty essential spectrum (Orthonormal families, complete orthonormal systems and Hilbert bases).

[F3]

For every λ∈R the unique solution ua(⋅,λ) of −u′′+Vu=λu, u(0)=1, u′(0)=α, exists and is C2; every eigenfunction of A with eigenvalue λ satisfies the left boundary condition and hence, together with its value at 0, is determined by ua(⋅,λ) up to the scalar u(0) (Regular interval IVP: existence, a priori bound and entire spectral-parameter dependence).

[F5]

For u∈D(A), the first-order identity of Integration by parts and the endpoint-vanishing space on intervals clause (a) applied to the pair (u′,u) (both in H1(0,L) because u∈H2(0,L)), together with the boundary conditions u′∗(0)=αu∗(0) and u′∗(L)=βu∗(L) and the reality of α,β, gives ⟨Au,u⟩=∫0L∣u′∣2+∫0LV∣u∣2+α∣u(0)∣2−β∣u(L)∣2; and the trace bound of Endpoint trace bound and decay of H1 functions clause (a) on the intervals (0,δ) and (L−δ,L), 0<δ≤L, gives ∣u(0)∣2,∣u(L)∣2≤2δ−1∥u∥L22+2δ∥u′∥L22.

[F6]

Under Countable Choice, a closed linear subspace M of a Hilbert space satisfies H=M⊕M⊥ (Orthogonal decomposition by a closed subspace). For a densely defined operator, orthogonality of y to ran⁡(A−c) gives y∈D((A−c)∗) and (A−c)∗y=0 by Adjoint of a densely defined operator; for real c and self-adjoint A, testing the adjoint identity gives (A−c)∗=A−c. Cauchy-Schwarz gives ∣⟨(A−c)u,u⟩∣≤∥(A−c)u∥∥u∥ (Cauchy–Schwarz: ∣⟨u,v⟩∣≤∥u∥∥v∥, with equality exactly for linearly dependent vectors).

Proof

1.1F1F4

[Compact resolvent and infinite dimension] By [F1], (A−i)−1 is compact and i lies in the resolvent set of the self-adjoint operator A. By [F4], L2(0,L;C) is infinite dimensional.

1.2F5givenalgebra

[Boundedness below] Put V∞:=max⁡[0,L]∣V∣ and δ:=min⁡{L,(4(∣α∣+∣β∣+1))−1}, so that 2δ(∣α∣+∣β∣)≤12. For u∈D(A), [F5] gives ⟨Au,u⟩=∥u′∥L22+∫0LV∣u∣2+α∣u(0)∣2−β∣u(L)∣2≥(1−2δ(∣α∣+∣β∣))∥u′∥L22−(V∞+2δ−1(∣α∣+∣β∣))∥u∥L22≥−C∥u∥L22, where C:=V∞+2δ−1(∣α∣+∣β∣): the integral term is at least −V∞∥u∥2, each of the two boundary terms is at least −∣α∣ resp. −∣β∣ times the trace bound of [F5], and the coefficient of ∥u′∥2 is at least 12≥0. In particular every eigenvalue λ of A satisfies λ≥−C, because λ∥u∥L22=⟨Au,u⟩≥−C∥u∥L22 for an eigenvector u≠0.

2.1step 1.1F3algebra

[Simplicity] Let Aψ=λψ with ψ≠0. By [F3] the solution ua(⋅,λ) is the unique solution of the initial value problem with data (1,α) at 0, so the C2 representative of ψ equals ψ∗(0)ua(⋅,λ); here ψ∗(0)≠0, because otherwise the representative vanishes at 0 together with its derivative αψ∗(0)=0, forcing ψ=0 by uniqueness. Hence ker⁡(A−λ)=Cua(⋅,λ) is one-dimensional: every nonzero eigenfunction at λ is a nonzero multiple of ua(⋅,λ). The eigenvalue condition is the right boundary condition evaluated on ua(⋅,λ); ua(L,λ)=0 would give ua′(L,λ)=βua(L,λ)=0 and hence ua≡0 by uniqueness, which is impossible since ua(0)=1.

3.1step 1.1step 1.2step 2.1F1F2F6algebra∎

[A real resolvent point, eigenbasis and increasing list] Put c=−C−1 with C from step 1.2. For u∈D(A), that lower bound and Cauchy-Schwarz give ∥(A−c)u∥≥∥u∥. The range of A−c is closed: if (A−c)uj→f, this estimate makes uj Cauchy, and closedness of the self-adjoint operator gives a limit u∈D(A) with (A−c)u=f. By Orthogonal decomposition by a closed subspace, its closed range is all of L2 once its orthogonal complement is zero. A vector orthogonal to it belongs to ker⁡((A−c)∗)=ker⁡(A−c)={0} by the adjoint definition and the same estimate. Thus A−c is bijective with inverse norm at most one, so c∈ρ(A). The resolvent identity gives (A−c)−1=(A−i)−1[I+(c−i)(A−c)−1]; the compactness for every resolvent in [F1] therefore gives compactness at this real c. Now [F2] applies: a complete orthonormal eigenfamily exists, all eigenspaces are finite dimensional, the spectrum is exactly the eigenvalue set, and the essential spectrum is empty, with ∣μn∣→∞. Step 1.2 gives μn≥−C, hence μn→+∞. By step 2.1 the eigenvalues are pairwise distinct; their increasing enumeration is consequently λ1<λ2<⋯ with λn→∞. This proves (a) and (b).

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