Spectral sections : two proofs of a theorem of Melrose–Piazza
Nikolai V. Ivanov
Spectral sections of families of self-adjoint Fredholm operators were introduced by Melrose and Piazza [] for the needs of index theory. The basic result about spectral sections is a theorem of Melrose and Piazza to the effect that a family admits a spectral section if and only if its analytic index vanishes. See [], Proposition 1. Melrose and Piazza [] gloss over the definition of the analytic index and the notion of a trivialization of a Hilbert bundle implicitly used in their proof. Since passing from one trivializations of a Hilbert bundle to another rarely preserves the norm continuity of families of Hilbert space operators, the straightforward interpretation of Melrose–Piazza proof works only for families of operators in a fixed Hilbert space. The author learned about this issue from M. Prokhorova [].
The present paper is devoted to the proofs of these two versions
of Melrose–Piazza theorem. The ideas of Atiyah–Singer [AS] play a key role, but, in contrast with [M] and [AS], compact operators are not used even implicitly in the proof of the first, more general, version. The proof of the second version is closer to the ideas of Melrose [M] and uses
compact operators and some ideas of Atiyah–Segal [ASe]. Both proofs are presented as complements to []. This forces us to deal only with compact spaces of parameters. If one replaces references to [] by references to [], the same proofs would work for paracompact spaces.
The framework.
Let be a separable infinite dimensional Hilbert space over . Let be a locally trivial Hilbert bundle with a paracompact base and fibers isomorphic to . We will treat as a family of Hilbert spaces. We will assume that the space is paracompact. Let be a family of self-adjoint Fredholm operators. We will assume that either all operators are bounded, or that they are closed and densely defined. In the first case
we will assume that the family is continuous as a self-map of the total space of . In the second case we will assume that the bounded transform , where , has this property. By a well known reason we assume that operators are neither
essentially positive, nor essentially negative.
Enhanced operators.
An enhanced (self-adjoint Fredholm) operator is a pair , where is a self-adjoint Fredholm operator, , such that and the interval is disjoint from the essential spectrum of . Then the spectral projection has finitely dimensional image. If is an enhanced operator and is a
self-adjoint Fredholm operator sufficiently close to in the norm topology or in the uniform resolvent sense, then is also an enhanced operator. The spectral projection
continuously depend on for
sufficiently close to .
Fredholm families.
The family is said to be a Fredholm family if all operators are Fredholm and for every there exists and a neighborhood of
such that is an enhanced operator for every , the subspaces
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continuously depend on , and the operators
induced by also continuously depend on . Two families and are said to be Fredholm homotopic if there exists a homotopy , which is Fredholm as a family and such that and for every .
Strictly Fredholm families.
Suppose first that is the trivial bundle
with the fiber . We will say that the family , is strictly Fredholm if it is Fredholm and for every there exists and a neighborhood of such that is an enhanced operator for every and the spectral projection continuously depends on in the norm topology for .
In general, , is said to be a strictly Fredholm family if for every there exists a neighborhood of and a local trivialization of over turning the restriction , into a strictly Fredholm family in the above sense. Such a local trivialization is said to be strictly adapted to the family . A trivialization of is said to be strictly adapted to if for every there exists a neighborhood of such that its restriction to is strictly adapted to .
Fully Fredholm families.
Suppose that is a family of bounded operators. We say that it is fully Fredholm if for every there exists a neighborhood of and a local trivialization of over turning the restriction , into a family continuous in the norm topology. Such a local trivialization is said to be fully adapted to . Clearly, a fully Fredholm family is strictly Fredholm.
If , is a family of closed densely defined operators, we will say that it is fully Fredholm if the bounded transform is fully Fredholm. The fully adapted ( local ) trivializations of such families
are defined in the obvious way.
Polarizations and restricted Grassmannians.
A polarization of a Hilbert space is a presentation of as an orthogonal direct sum of two closed infinitely dimensional subspaces . A polarization leads to the restricted Grassmannian , the space of subspaces commensurable with , i.e. such that the intersection is closed and has finite codimension in both and . The topology of is defined by the norm topology of orthogonal projections .
Grassmannian bundles and weak spectral sections.
Suppose that , is a strictly Fredholm family. If and is an enhanced operator, then
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is a polarization of . This polarization leads to a restricted Grassmannian, which we will denote by . Since the family is strictly Fredholm, the family of restricted Grassmannians forms a locally trivial bundle . Continuous sections of this bundle are called weak spectral sections of the family .
Discrete-spectrum families and spectral sections.
The family , is said to be a discrete-spectrum family if for every the family of operators , is a Fredholm family. In particular, operators are Fredholm for every . The operators in such a family have discrete spectrum
and cannot be bounded. Since they are self-adjoint, they are necessarily closed and densely defined.
Let be a strictly Fredholm and discrete-spectrum family. A weak spectral section is said to be a spectral section if
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for a continuous function
and every . This is a generalization of the notion of spectral sections
introduced by Melrose and Piazza [].
Discrete-spectrum families and classical operator topologies.
The material of this subsection is not used in the rest of the paper.
The discrete-spectrum families were introduced by the author [] as a natural analogue of the notion of a Fredholm family for families of operators with discrete spectrum. At the same time such families are exactly the
families for which the proof of Theorem Spectral sections : two proofs of a theorem of Melrose–Piazza below about the existence of spectral sections works.
Recently M. Prokhorova [] related the notion of a discrete-spectrum family
with classical continuity properties. Note that every operator in a discrete-spectrum family is a closed densely defined operator with compact resolvent. Let , be a family of self-adjoint operators
with compact resolvent in a fixed Hilbert space . Then , is a discrete-spectrum family if and only if , is continuous in the topology of convergence in the norm resolvent sense. Also, for discrete-spectrum families every strictly adapted local trivialization is fully adapted. In particular, a discrete-spectrum family is strictly Fredholm if and only if it is fully Fredholm. See [], Theorems 2 and 3.
Classical contractibility theorems.
Let be a separable infinite dimensional Hilbert space. Let us consider the group of isometries and denote by
this group equipped with the norm topology. The group is contractible by a theorem of Kuiper [K].
Another useful topology on this group is the compact-open one. We will denote by this group equipped with topology induced from the product of compact-open topologies
by the map . Actually, this topology coincides with the strong operator topology, but the author prefers to ignore this fact. The group is contractible by a theorem of Atiyah and Segal [ASe], who adapted an argument of Dixmier and Douady [DD].
Another important space is the space of polarizations with the topology defined by the norm topology of orthogonal projections . By an observation of Atiyah and Singer [AS], Kuiper’s theorem implies that this space is also contractible.
3.1. Theorem.
If is a strictly Fredholm family, then there exists a trivialization of strictly adapted to .
Proof. The proof is simpler if there exists a triangulation of the space , perhaps infinite. In this case one can argue by an induction by skeletons, using at each step both the contractibility of the space of polarizations and the contractibility of the groups . The latter is applied to for polarizations . The case of triangulable space is sufficient for applications. The general case of a paracompact space requires more sophisticated tools from the homotopy theory. See [], Theorems 4.5 and 4.6.
3.2. Theorem.
If is a discrete-spectrum and strictly Fredholm family, then every weak spectral section of is homotopic to
a spectral section.
Proof. This is an explicit form of the last paragraph in the proof of Proposition 1 of Melrose and Piazza [], who claim that a weak spectral section can be transformed into a spectral section “simply by smoothly truncating the eigenfunction expansion”. See [], Theorem 6.1 for a detailed geometric version
of this argument.
3.3. Theorem.
Let , be a norm continuous family of Fredholm self-adjoint operators in a
fixed Hilbert space . Then admits a weak spectral section if and only if it is homotopic in the class of such families to a family of invertible operators.
Remark.
Suppose that , is a family of (closed densely defined ) self-adjoint operators. The results of Prokhorova [] mentioned at the end of Section Spectral sections : two proofs of a theorem of Melrose–Piazza imply that , is a discrete-spectrum and strictly Fredholm family if and only if are
operators with compact resolvent and the family of bounded transforms , is norm continuous. In view of this equivalence, the analogues of Theorems Spectral sections : two proofs of a theorem of Melrose–Piazza and Spectral sections : two proofs of a theorem of Melrose–Piazza for such families with paracompact follow from the results of Prokhorova []. See [], Theorem 4.4 (note that every weak spectral section is a generalized spectral section).
Finite-polarized replacements.
We will call a self-adjoint operator in a Hilbert space finite-polarized if , the essential spectrum of consists of two points , and the spectral projection is an operator of finite rank. If we omit the last property, we will get exactly the operators from the space
from [AS], Section 2.
Suppose that the family is Fredholm. We would like to replace it by a family of finite-polarized operators without affecting analytic index and weak spectral sections. This can be done by a spectral deformation similar to
one used in [AS]. Let us choose for each a neighborhood of
and a number such that the properties from the definition of Fredholm families hold. Since is paracompact, we can assume that for some the family is a locally finite covering of and there exists a partition of unity subordinated to this covering. Let be the function from this partition of unity
corresponding to . Let
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Then and , where the maximum is over such that , for every . It follows that for every the essential spectrum of is disjoint from . For let be an odd increasing function such that
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We assume that continuously depends on in the -norm topology. For let
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The operators are finite-polarized and is a Fredholm family. The family is our finite-polarized replacement of .
4.1. Lemma.
If the family is strictly Fredholm, then is also strictly Fredholm, and these two families have the same weak spectral sections.
Proof. Clearly, if , then
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It follows that if is strictly Fredholm, then is also strictly Fredholm. This also implies that the bundles and corresponding to these two families
are equal (not only isomorphic, but equal ). Therefore these bundles have the same sections, i.e. weak spectral sections are the same.
4.2. Lemma.
Every local trivialization strictly adapted to the family is fully adapted to the family . In particular, if the family is strictly Fredholm, then the family is fully Fredholm.
Proof. Let . There exist and a neighborhood of such that is an enhanced operator and for every . If is sufficiently small, then
a strictly adapted trivialization over turns the family
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into a norm-continuous one. But differs from it by a norm continuous family of operators of finite rank. This implies that the same local trivialization turns the family into a norm continuous one.
4.3. Lemma.
If the family is fully Fredholm, then there exists a fully Fredholm homotopy between and .
Proof. It is sufficient to consider the case when is a family of bounded operators, since the case of closed densely defined operators reduces to it by applying the bounded transform to both families. The linear homotopies between the identity and the functions define a homotopy between and . If is fully Fredholm, then this homotopy is also fully Fredholm.
Atiyah–Singer approach to the analytic index.
Let , be a Fredholm family of bounded operators in a fixed Hilbert space . Let us consider the family of Fredholm operators (not assumed to be self-adjoint ) defined by the formula
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where is the identity operator and . The idea is to define the analytic index of as the analytic index of the family . The latter should be considered relatively to , reflecting the fact that and for every . More precisely, the analytic index is either an element of , where is the suspension of or a homotopy class of a map from to an appropriate classifying space with respect to homotopies
fixed on and .
If is fully Fredholm, then the family (1) is fully Fredholm in the sense that over an open neighborhood of every there exists a trivialization of turning this family into a norm-continuous family. The definition of the analytic index in the non-self-adjoint case [A], [] trivially extends to such families, at least for compact . Hence we can extend the definition of the analytic index to fully Fredholm families of self-adjoint operators. Clearly, it is invariant under fully Fredholm homotopies. If is only paracompact, one needs to use Segal’s definition [S] of the analytic index
and more work is required. See [], Sections 7 and 8, for this case.
It is easy to see that the bounded transform has the same analytic index as . This allows to extend the above definition of the analytic index to families of closed densely defined self-adjoint Fredholm operators in . Namely, given such a family , one defines its index as the index of the bounded transform .
Theorem Spectral sections : two proofs of a theorem of Melrose–Piazza allows to extend this definition to strictly Fredholm families of operators in the fibers of a Hilbert bundle. The index does not depend on the choice of trivialization by the relative version of Theorem Spectral sections : two proofs of a theorem of Melrose–Piazza. See [], Theorem 4.7 for the latter.
4.4. Theorem
Suppose that the family is fully Fredholm. A weak spectral section for the family exists if and only if the analytic index of vanishes.
Proof. We will limit ourselves by the case of compact . Suppose that there exists a weak spectral section. Then the arguments in the first part of the proof of Proposition 1 in [] together with the principle of uniform boundedness show that there exists a fully Fredholm homotopy between and a family of invertible operators. Hence we may assume that operators are invertible. Then all operators (1) are also invertible. In the non-self-adjoint case the analytic index of families of invertible operators vanishes essentially by the definition. The “only if” part follows.
Suppose now that the analytic index of vanishes. Lemma Spectral sections : two proofs of a theorem of Melrose–Piazza implies that the analytic index of our finite-polarized replacement also vanishes. By Theorem Spectral sections : two proofs of a theorem of Melrose–Piazza there exists a strictly adapted to trivialization of . By Lemma Spectral sections : two proofs of a theorem of Melrose–Piazza such trivialization turns the family into a norm continuous one. The analytic index of a norm continuous family vanishes if and only if it is homotopic to a constant family. Since a self-adjoint operator can be deformed to an invertible
self-adjoint operator, in this case is homotopic to a family of invertible operators. By Theorem Spectral sections : two proofs of a theorem of Melrose–Piazza this implies that there exists a weak spectral section of . Lemma Spectral sections : two proofs of a theorem of Melrose–Piazza implies that this weak spectral section is also a weak spectral section for . This proves the “if” part.
4.5. Corollary.
Suppose that is a discrete-spectrum and fully Fredholm family. A spectral section for exists if and only if the analytic index of vanishes.
Proof. It is sufficient to combine Theorems Spectral sections : two proofs of a theorem of Melrose–Piazza and Spectral sections : two proofs of a theorem of Melrose–Piazza.
Remark.
In Theorem Spectral sections : two proofs of a theorem of Melrose–Piazza and Corollary Spectral sections : two proofs of a theorem of Melrose–Piazza it is sufficient to assume that is a strictly Fredholm family. This follows from [], Theorems 5.2 and Corollary 6.2, if one takes into account the equivalence of the definition of the analytic index suggested in [] and the classical definition. This equivalence is proved in [], Theorem 8.5. The proofs automatically work for paracompact . The proof of the equivalence of two definitions
of the analytic index is simpler for compact , where in the non-self-adjoint case
one can use Atiyah’s definition [A]. For paracompact one needs to use Segal’s definition [S]. The resulting proof of the “only if” parts depends on the theory developed in [].
Families of elliptic operators.
Let be a locally trivial bundle over
with closed manifolds as fibers. Let us consider
a continuous family of elliptic pseudo-differential operators
of order acting on fibers of . It defines a family of bounded operators acting in fibers of a Hilbert bundle over . Classical results of Seeley [Se] and Atiyah and Singer [] show that the latter family is fully Fredholm. Hence Theorem Spectral sections : two proofs of a theorem of Melrose–Piazza applies to such families.
Suppose now that we are given a
family of elliptic self-adjoint differential operators of order
acting on fibers of . This is the class of families considered in [], Proposition 1. Such a family defines a family of closed densely defined operators acting in fibers of a Hilbert bundle over . It is well known that has the properties defining discrete-spectrum fully Fredholm families. Hence Corollary Spectral sections : two proofs of a theorem of Melrose–Piazza applies to such families.
Compactly-polarized operators.
Let us call a self-adjoint operator in a Hilbert space compactly-polarized if and the essential spectrum of consists of two points , i.e. belongs to Atiyah–Singer [AS] space . Such operator is automatically Fredholm. One can also define compactly-polarized operators as essentially unitary operators with the norm . The term compactly-polarized is intended to stress the obvious
analogy with finitely-polarized operators from Section Spectral sections : two proofs of a theorem of Melrose–Piazza.
We claim that every compactly-polarized operator has the form , where is a unitary self-adjoint operator and is a compact self-adjoint operator. Of course, this is well known, but we need some notations from the proof. Let be a compactly-polarized operator and let be such that is an enhanced operator. Let
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Clearly, for some continuous function equal to in a neighborhood of and to in a neighborhood of . Let be the images of respectively in the Calkin algebra of . Then . At the same time the spectrum of is equal to the essential spectrum of and hence consists of two points . It follows that and hence . In turn, this implies that is compact.
Compactly-polarized families.
Let be a family of self-adjoint operators. We will say that such a family is a compactly-polarized family if it is fully Fredholm and all operators are compactly-polarized.
5.1. Lemma.
Suppose that is a compactly-polarized family. Then every strictly adapted ( local ) trivialization is fully adapted.
Proof. Let , , and be a neighborhood of such that is an enhanced operator for every . Suppose that we are given a strictly adapted local trivialization over . Such a local trivialization turns into a norm continuous family, and hence also turns into a norm continuous family. It is fully adapted if and only if it turns into a norm continuous family. Since , for strictly adapted trivializations the latter condition is equivalent to turning into a norm continuous family.
Let be the space of compact operators with the norm topology. By a theorem of Atiyah and Segal [ASe] the action of the group on by conjugations is continuous. It follows that if the family is norm-continuous in one trivialization, then it is norm-continuous in every trivialization.
Since is fully Fredholm, the first paragraph of the proof implies that for some some strictly adapted trivialization over turns into a norm continuous family. Then by the previous paragraph every trivialization
over turns into a norm continuous family, and hence every strictly adapted trivialization turns the family into a norm continuous family. The lemma follows.
5.2. Theorem.
Suppose that the family is compactly-polarized. Then a weak spectral section for exists if and only if the analytic index of vanishes.
Proof. As in the proof of Theorem Spectral sections : two proofs of a theorem of Melrose–Piazza we will assume that is compact. By Theorem Spectral sections : two proofs of a theorem of Melrose–Piazza there exists a strictly adapted trivialization of . By Lemma Spectral sections : two proofs of a theorem of Melrose–Piazza such trivialization is fully adapted. Hence it is sufficient to consider norm-continuous families of operators in a fixed Hilbert space . In this case Theorem Spectral sections : two proofs of a theorem of Melrose–Piazza implies that a weak spectral section exists if and only if the family is homotopic to a family of invertible operators. But the latter condition is equivalent to the vanishing of the analytic index (cf. the proof of Theorem Spectral sections : two proofs of a theorem of Melrose–Piazza).
5.3. Theorem
Let is be a discrete-spectrum and fully Fredholm family. Then a weak spectral section for exists if and only if its analytic index vanishes.
Proof. Since is fully Fredholm, the family is also fully Fredholm. Clearly, every operator is compactly-polarized. It follows that the family is compactly-polarized. By Theorem Spectral sections : two proofs of a theorem of Melrose–Piazza the family admits a weak spectral section if and only if its analytic index, which is equal to the analytic index of , vanishes. At the same time every weak spectral section of is a weak spectral section of , and the converse is also true. The theorem follows.
5.4. Corollary.
Suppose that is a discrete-spectrum and fully Fredholm family. A spectral section for exists if and only if the analytic index of vanishes.
Proof. It is sufficient to combine Theorems Spectral sections : two proofs of a theorem of Melrose–Piazza and Spectral sections : two proofs of a theorem of Melrose–Piazza.
Remark.
While Corollaries Spectral sections : two proofs of a theorem of Melrose–Piazza and Spectral sections : two proofs of a theorem of Melrose–Piazza are identical, the proof of Theorem Spectral sections : two proofs of a theorem of Melrose–Piazza, in contrast with the proof of Theorem Spectral sections : two proofs of a theorem of Melrose–Piazza, works only for discrete-spectrum families, because it depends on the properties of compactly-polarized families.
Remark.
As the reader certainly noticed, we did not really work with unbounded operators. The definition of spectral sections looks nicer for unbounded operators, but can be easily reformulated in terms of their bounded transforms. Strictly speaking, Corollaries Spectral sections : two proofs of a theorem of Melrose–Piazza and Spectral sections : two proofs of a theorem of Melrose–Piazza are
concerned with the image of the bounded transform, i.e. with the families of self-adjoint strictly contracting operators. But in applications such families usually arise from closed and densely defined unbounded operators.
Remark.
Recent results of Prokhorova [] allow to strengthen the results of this section. Namely, in Lemma Spectral sections : two proofs of a theorem of Melrose–Piazza and Theorem Spectral sections : two proofs of a theorem of Melrose–Piazza it is sufficient to assume that is a family of compactly-polarized operators which is strictly Fredholm and such that is a Fredholm family for every . In fact, such families are automatically fully Fredholm. See [], Theorem 5. In Theorem Spectral sections : two proofs of a theorem of Melrose–Piazza
and Corollary Spectral sections : two proofs of a theorem of Melrose–Piazza it is sufficient to assume that is a discrete-spectrum and strictly Fredholm family. As we pointed out at the end of Section Spectral sections : two proofs of a theorem of Melrose–Piazza, the same is true for Theorem Spectral sections : two proofs of a theorem of Melrose–Piazza and Corollary Spectral sections : two proofs of a theorem of Melrose–Piazza. It seems that strictly Fredholm families provide
a proper context for dealing with spectral sections.
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November 29, 2021. Revised January 25, 2022
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E-mail : nikolai.v.ivanov @ icloud.com
Department of Mathematics, Michigan State University