A NNALES DE L ’I. H. P., SECTION A
K ARL M ICHAEL S CHMIDT
On the genericity of nonvanishing instability intervals in periodic Dirac systems
Annales de l’I. H. P., section A, tome 59, n
o3 (1993), p. 315-326
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315
On the genericity of nonvanishing instability intervals
in periodic Dirac systems
Karl Michael SCHMIDT Mathematisches Institut der Universitat,
Theresienstrape 39, D-80333 Munchen, Germany
Vol. 59, n° 3, 1993, Physique théorique
ABSTRACT. -
Using Floquet-Lyapunov theory,
it is shown that for Baire-almost everyperiodic potential
the Diracsystem
has all itsinstability
intervals open.
Consequently,
one-dimensional Diracoperators
withperiodic potentials generically
possessinfinitely
manyspectral
gaps. These results also hold true ifonly
evenpotentials
are admitted.RESUME. 2014 Utilisant la theorie de
Floquet
etLiapounoff,
il est demontreque pour Baire presque tous
potentiels periodiques
tous les intervalles d’instabilite dusysteme
Dirac sont ouverts. Enconsequence,
lesoperateurs
de Dirac unidimensionnels a
potentiel periodique possedent generiquement
une infinite de lacunes
spectrales.
Ces resultats restent vraisquand
onn’admet que des
potentiels pairs.
1. INTRODUCTION
Floquet-Lyapunov theory provides
a very useful tool tostudy
thespectral properties
ofself-adjoint
one-dimensionalSchrodinger
and Diracoperators h with
periodic potentials:
the discriminant D(X)
of the corre-sponding eigenvalue equation,
(/!-~)M=0,
Annales de l’lnstitut Henri Poincaré - Physique théorique - 0246-0211 1
defined as the trace of the canonical fundamental
system
of thisordinary
differential
equation.
It is a smooth function of thespectral parameter À,
and is associated to thespectrum
of hby
means of thefollowing
well-known
properties (cf [6], [16]):
A)
B)
D isstrictly
monotonous within each of thestability
intervals{ À E lR D(~) 2};
C)
ifhp
andha
denote theselfadjoint
realizations of theoperator
h ona
periodicity
interval withperiodic
andantiperiodic boundary conditions, respectively,
then cr(hp)
=D -1 (2),
and 03C3(ha)
=D -1 (
-2).
Both areunbounded discrete
sets; À
is adegenerate (double) eigenvalue
ofhp [ha]
ifand
only
if it is a double zero of D - 2[D
+2].
It follows that the
spectrum
of h has band structure as it is the closure of the union of thestability intervals;
inparticular,
h has no discretespectrum.
This extreme structuralsimplicity
of thespectrum
is confinedto
strictly periodic potentials;
even moderate relaxation of thisrequirement,
such as almost
periodicity, already
unfolds the whole range ofspectral variability ([2], [13]).
Whenever there is a
non-degenerate (closed)
interval between twoneigh- bouring stability intervals,
its interior(a nonvanishing instability
intervalof the
eigenvalue equation)
is a gap in thespectrum. If, however,
twostability
intervals areseparated by
asingle point À,
thispoint belongs
tothe
spectrum,
which is a closed subset ofR; by
abuse oflanguage,
onethen
speaks
of avanishing instability interval, regarding
theempty
interior of thepointlike degenerate
interval as aninstability
interval in statu nascendi. In thiscase, À
is also called a coexistencevalue,
since it is characterizedby
the simultaneous existence of twolinearly independent periodic
orantiperiodic
solutions of theeigenvalue equation (as À
is adouble
eigenvalue
ofhp
orha).
Although
one-dimensionalSchrodinger
and Diracoperators
withperiodic potentials always
possessinfinitely
manyinstability
intervals(note
that
h p
andha
areunbounded),
the number ofspectral
gaps mayactually
be
considerably
smaller: e. g., the zeropotential
isclearly periodic, yet
thepotential-free
Diracoperator
hasonly
onespectral
gap,i. e.,
onenonvanishing
andinfinitely
manyvanishing instability
intervals. On the otherhand,
the Meissner and the Dirac-Meissneroperators (with
non-zero
piecewise
constantperiodic potential)
haveinfinitely
manyspectral
gaps
(see [16]
17.D), G)); however,
in theseexamples
someinstability
intervals can still be observed to vanish. A famous
example
where noinstability
interval vanishes is the Mathieuequation,
Annales de l’lnstitut Henri Poincaré - Physique théorique
(Ince [7];
see also[4]
and the referencesgiven there). However,
theconjec-
ture that in
general,
coexistence values aretotally
absent in one-dimen- sionalSchrodinger equations
with non-zero evenperiodic potentials ([8], [12])
was far toooptimistic,
as waspointed
outby Borg [3]
withreference to the Meissner
equation. Indeed, already
the addition of a cos 2 x term in the Mathieuequation produces
coexistence values[11].
Another
particularly striking counterexample
with a smoothpotential
isthe Lame
equation,
(with
2 co’ theimaginary period
of thedoubly-periodic
Weierstrass Jfunction),
which hasexactly n nonvanishing instability
intervals([9], [ 1 ]).
These
examples
show that it iscertainly
nogeneral property
ofperiodic
one-dimensional
Schrodinger operators
to have allinstability
intervalsnonvanishing.
Yet it has been proven([15], [13])
that it is ageneric property,
insofar as it isonly
for a "small" set ofexceptions
that some oreven
infinitely
manyinstability
intervals vanish.The purpose of the
present
paper is to establish thecorresponding
resultfor the one-dimensional Dirac
system;
this is ofparticular
interest as forthis
equation,
noexample
like the Mathieuequation
appears to be known.We shall show that the
ordinary
differentialequation system
with matrices
6 - ~ - i , (73= 0 -1 ),
and two-component
u, hasno coexistence values for "almost
every" (real-valued periodic) potential
q.Of course, the notion of "almost
every"
must begiven
aprecise meaning;
we use the Bairean
topological
definition(cf. [5] 7.1) :
A statement holds
generically
in a Bairetopological
spaceX,
orfor
Baire-almost every x
E X,
if the set ofexceptions
is a countable union of nowhere dense subsetsof X,
a subsetbeing
called nowhere dense if its closure hasempty
interior.We remark that
although
the"generic"
case may beregarded
astypical
in
general,
obviousexamples
oftenbelong
to the set ofexceptions,
andexamples
for thegeneric
case are notalways easily
constructed: e. g., thegeneric
continuous function is nowhere differentiable([5]
Ex.7. 14).
The condition that X be a Baire space is crucial if
"generically"
is tosignify "up
to fewexceptions".
Intopological
spaces of the first Bairecategory,
which are countable unions of nowhere dense setsthemselves, anything
is true"generically".
Thus a
"generic"
statement aboutperiodic
Dirac systems presupposes that we choose a Baire space of admissiblepotentials, subject
toperiodicity
and
regularity requirements.
Inparticular,
allpotentials
will belocally
integrable,
so that the solutionsof (* )
arepairs (written
as columnvectors)
of
locally absolutely
continuous functions that areuniquely
determinedby
their initial value.DEFINITION 1. - Let m > 0. Whenever Y is a space of real-valued
functions,
denoteby Ym
thesubspace
ofm-periodic
functions. We call a Bairetopological
space X a suitablepotential
classof period
m ifa)
X is a linearsubspace
ofL~ (R, R) containing
the constantfunctions,
is continuous in the
topology of X,
andc)
thefollowing consistency requirement
is fulfilled:if q
EX, ~,
a coexist-ence value of the differential
equation (* ),
and(u, v)
thecorresponding (real-valued)
canonical fundamentalsystem,
thenvTv~X (by uT
weindicate the
pointwise transpose
of u, considered as a 2 x 1matrix).
Remark 1. -
Requirement c)
may appear ratherimplicit
but is notdifficult to
satisfy provided
X is chosenlarge enough;
forinstance,
we admit aspotential
classes the real Banach spacesR),
andCkm (R, R)
with thenorm II = 03A3~djf~,
as well as the Frechet spacej=o dxJ ~
C~ (R, fR)
considered in[15].
Remark 2. - With
regard
to theapplication
of thegenericity
theoremin situations
demanding
that allpotentials
are even, e. g. whenstudying spherically symmetric
three-dimensional Diracoperators (cf. [14]),
it is ofinterest to note that if
Xl
is a suitablepotential class,
so is thesubspace
of even
potentials, X2 : _ ~ , f ’E X 1 ~ /(2014 ’) =/ }.
Indeed,
and(u, v)
thecorresponding
canonical fundamen- talsystem of (* ),
then the functionsU:=(T3M(2014 -)
andV:= 2014c~(2014 ’)
also constitute a canonical fundamental
system. By uniqueness
it follows thatM(2014 ’)~M(2014 ’)=(73U)~((73U)=M~M,
andaccordingly
for v, soX2
satisfies
requirement c).
2. THE GENERICITY THEOREM
THEOREM 1. -
If
X is a suitablepotential class,
thenfor
Baire-almost everyq E X, Eq. ( * )
possesses no coexistence values.COROLLARY. - Periodic one-dimensional Dirac operators
generically
pos-sess
infinitely
manyspectral
gaps. This also holds truef only
evenpotentials
are considered.
In order to prove Theorem
1,
weproceed
as follows.First we use
eigenvalue perturbation theory
to show that it ispossible
to
keep
track of individualinstability
intervals as the(essentially bounded)
Annales de I’Institut Henri Poincaré - Physique théorique
potential
varies(Corollary
1 to Lemma1 ),
and thatnonvanishing
instabil-ity
intervals arestable,
i. e. do notsuddenly
vanish underpotential pertur-
bations(Corollary
2 to Lemma1).
The central
part
of theproof
is devoted toestablishing that,
on theother
hand,
avanishing instability
interval is unstable in the sense that if anappropriate arbitrarily
smallperturbing potential
isadded,
theinstability
interval opens up to a
non-degenerate
intervalcontaining
the former coexistence value. To thisend,
weexpand
the discriminant of theperturbed equation
in aTaylor
series around 0 withrespect
to theperturbation coupling parameter.
Thisprocedure
has beenapplied
to the one-dimen-sional
Schrodinger equation
withperiodic potential by
Moser[13].
Incontrast, Simon
[ 15] (see
also[2]) applied degenerate eigenvalue perturba-
tion
theory
to the coexistencevalue,
seen as a doubleeigenvalue of hp
or
ha:
since the canonical fundamentalsystem (u, v)
of the one-dimensionalSchrodinger equation
satisfies1,
butv~ x5 0
near theorigin,
it is easyto find a
perturbation
that removes thedegeneracy
of the coexistence value to first order.However,
the canonical fundamentalsystem
of a Diracsystem
has near theorigin,
so we cannot argue in thesame way.
We find that at a coexistence value
À, where
D(À) = 2,
the firstderivative with
respect
to theperturbation always vanishes,
whereas the second derivativeprovides
aquadratic
form for theperturbing potential,
whose
parameters
are determinedby
the solutions of theunperturbed equation (Proposition 1 ).
This resultformally
coincides with thefindings
of
[13]
for the one-dimensionalSchrodinger equation; however,
while it is obvious that thequadratic
form is notactually nonpositive
on the wholeof X in the
Schrodinger
case, we here have to enter a more detailedanalysis
of theproperties
of the solutions in the case of coexistence(Lemma 2). Having
thus verified the existence of aperturbation
for whichthe
quadratic
form takes apositive
value(Proposition 2),
we find thatthis
perturbation
liftsD (À) I
above 2 and thusproduces
anonvanishing instability
interval as desired(Proposition 3).
Finally,
we collect the informationgained
about each of theinfinitely
many
instability
intervals to obtain thegeneral genericity
result.The first
step
of theproof
of Theorem 1 is a direct consequence of thefollowing special
case of the well-knownstability
theorem foreigenvalues, cf [10]
Theorem IV 3.16 :LEMMA 1. - Let X be a suitable
potential
classof period
m, q EX, hp [ha]
the
self-adjoint
realizationof
thesymmetric ordinary differential
operator,- i + a3
+ , q
on[0, m] with periodic [antiperiodic] boundary conditions,
dx
À an
eigenvalue of multiplicity 1, 2} of
the operatorhp
and r aclosed curve in C which encloses
X,
but no other partsof [cr (ha)].
Then there such
that for
every thepart [(7 (hQ)]
enclosedby
F has totalmultiplicity
v.COROLLARY 1. - The
instability
intervals may beindexed, using ~
asindex set, in such a way that the n-th
instability
interval behavescontinuously
under bounded
perturbations of
thepotential, for
each n E ~.This follows
immediately
from the fact that every coexistence value is adouble
eigenvalue,
and the endpoints
of anynonvanishing instability
interval are
simple eigenvalues
of eitherhp
orha.
COROLLARY 2. - For each
un. ~ _ ~ q E X I the
n-thinstability
intervalof {*)
does notvanish }
is an open subset
of
X.Indeed,
forq E En
there are twodisjoint
closed curvesrB, r 2
in C whichenclose each
precisely
one endpoint
of the n-thinstability interval,
butno other
parts
of thespectrum
ofhp
orha. By
Lemma1,
the endpoints
remain within their
respective
curves under smallperturbations,
sothey
cannot coincide.
For the second
step
of theproof
of Theorem1,
we now assumethrough-
out that X is a suitable
potential
class ofperiod
m, q,g E X
and f~.We
perturb
theoriginal
Diracsystem (* ) by
the additionalpotential
term
Writing
theperturbed equation
as a matrix differentialequation,
the canonical fundamentalsystem
’P(., n),
for some fixed value of thecoupling parameter
p, is the solution of the initial valueproblem
(1
here denotes the 2x2 unitmatrix.)
The discriminant isnote that we
study
theproperties
of the discriminant as a function of theperturbation coupling parameter whereas though arbitrary,
isalways kept
fixed in thefollowing.
The canonical fundamentalsystem
of theunperturbed equation
will be denoted(., 0) = (u, v).
Now we calculate the first and second
partial
derivative of the discrimi- nant with respect to ~using
the well-known fact that the n-th derivative(with respect
to theparameter)
of a solution is a solution of the differentialequation
obtainedby formally differentiating n
times theoriginal equation.
Since in our case, the initial conditions are
independent of u,
the initial value of the derivatives will be the zero matrix.Annales de l’lnstitut Henri Poincaré - Physique théorique
For the first
derivative,
we obtain the differentialequation
and thus
for Jl=O
the initial valueproblem
The solution ~ of the
unperturbed
initial valueproblem (0)
occurs as a( fixed ) inhomogeneity;
thehomogeneous equation for ~ ~ 03A8
is identical to theunperturbed equation (0).
Thus we may solve( 1 ) by
variation ofconstants,
finding
and for the
discriminant,
where
S (t) : _ ~ -1 (t) ( - i a2) ~ (t) (t
e[0, m]).
The initial value
problem
for the second derivative withrespect
to J.1,again
has theunperturbed
differentialequation (0)
as itshomogeneous part,
soiterating
the variation of constants we findand
The
following propositions,
which constitute the remainder of the secondpart
of theproof
of Theorem1,
restrict our attention to the situation in which is a coexistence value of(* );
in this case, all solutions of(* )
areperiodic [if
D(À, 0)
=2]
orantiperiodic [if
D(À, 0) = - 2]
withperiod
m.PROPOSITION 1. - is a coexistence value
of ( *),
thenwith v = sgn D
{~,, 0),
and thecoefficient functions (u, v)
as
=1 /2 (M~
u+ vT v),
cp 2 :=1 /2 (M~ v)
and cp 3 : =M~
v.Remark. -
Though formally
similar and ofcomparable significance,
the
(p~
differ from those of[ 13]
in that bothcomponents
of u and v areinvolved,
while in theSchrodinger
caseonly
thefunctions,
but not theirderivatives come in.
Proo_ f. - By (anti-) periodicity, 03C6(m) = 03BD(03BB)1,
and as the Wronskianwe obtain
) (s):
Thus tr S -
0,
whichimplies ~ ~
D(X, 0)
= 0 .Concerning
the second deriva-lp
tive,
we observe thatas the
integrand
issymmetric
underpermutation
of sand t. If we nowinsert
Annales de flnstitut Henri Poincaré - Physique théorique
and remember u
= a , c
v= b , d it turns out that
Proposition
1 shows that the second variation of the discriminant withrespect
to theperturbing potential g
isgiven by
aquadratic
form for g. Ifwe can find some
geX
for which this form takes apositive value,
the absolute value of the discriminant at À will rise above 2 for small valuesso we will have removed the
degeneracy,
the coexistence valuebroadening
to anonvanishing instability
interval. In order to prove thatthe
quadratic
form is notaltogether nonpositive,
we have to take a closerlook at the coefficient function cp2.
LEMMA 2. - cp2 - 0
implies
q = X.Remark. -
If q = À,
then X sits in the middle of theonly nonvanishing instability
interval and therefore cannot be a coexistence value.By
contra-position,
if À is a coexistencevalue,
then03C62 ~
0.It can also be shown that
cp3 --- 0 implies q * X.
From theuniqueness
ofthe solutions of
(* )
it followsimmediately
that cp 1# 0
evenpointwise.
Proof. -
Weapply
Prufer’s transformationsubstituting
the two com-ponents
of u and vby
thepolar
functions r J,8 J, j E ~ 1, 2 } : cos
sin~ ),
,01 ~
v = r2
As u and v are solutions of the differentialequation (* ),
we find
Taking
theM
scalarproduct by and (-sin 03B8j cos 03B8j) 8j ), respectively,
wefind the differential
equations
for8j
andrj:
J J J J oJ
The initial values are r1
(0) = r2 (0) = 1 (0)
=0, 82 (0) = 03C0/2.
Now cp2 *0
implies
so It follows thatri - r2,
sosin 2
61 =
sin 282,
whichimplies 82 e { 61 (t), 7T/2 - 81 (t) ~
mod 2 x(t
E[0, m]).
Uniqueness
of the solutions rules out the firstpossibility,
and as thesolutions are
continuous, 20~=7r201426i,
and thus both62="~
andcos
2 82 - -
cos 291. Using
theequations
for8~,
we find(~-~)+cos28i=e~= -e~==-(~-~)-cos2e2= -(~-~)+cos2ei.
Consequently, (q - ~,) = 0.
DPROPOSITION 2. - is a coexistence value
~(~),
there existsg E X
such that
1, N ~,
whereN:={(p~, cp2 ~1. g may be
chosen ortho-gonal to
Remark. - In
span~ ~ 1, N ~,
1represents
the constant functiontaking
the value
1; by
Definition1. a)
the constant functionsbelong
to X.Moser
[13]
considers the smallerN:=={(pi,
cp2,cp3 ~1
so thatonly
or
cp3 ~ 0
is needed. With thischoice, however,
one has tostrengthen
Definition 1.
c), demanding
eX as well. This woulddestroy
thepossibil- ity pointed
out in Remark 2 to Definition1,
oftaking
for X a space ofeven
potential functions,
since in that case cpl and cp2 are even, but (pg is odd. Therefore weprefer
to leave (pg out of consideration.Proof. -
If we assume that for every/~
X there is a c e R such that-m
f- c e N,
z.?.0 (f2014c)03C6j=0(j~{1,2}), this holds in particular
for cp 1
and cp2, which belong
to X by
Definition 1. c).
Thus we find real numbers
m
ci, c2 such that
Jo (/, 1, 2 )). Consequently,
Regarding X
as a subset of the Hilbert spaceL2 ([0, m])
in the obvious way, andusing
theproperties
of theCauchy-Schwarz inequality,
we findsome with 03C62~03B103C61. As 03C61
(0)= 1
and cp2(0)=0,
it follows thata==0,
i. e. cp2 *0 which contradicts Lemma 2. Therefore there is somespan~ { 1, N}.
Since a function fromspan~ { 1, N }
remains in this space upon the addition of a constant, the functionwhich is
orthogonal
to(pi, has
the desiredproperties.
DThe
following proposition
concludes the second part of theproof
ofTheorem 1.
Annales de I’Institut Henri Poincaré - Physique théorique
PROPOSITION 3. -
IF X is
a suitablepotential class, then for
everyE~
is dense in X.Proof. -
Letq E X,
such that the n-thinstability
interval vanishes(i. e. ~~EJ, ~
thecorresponding
coexistence value andv : = sgn D (X, 0).
m m
By Proposition 2,
there is ag E X
such that0
0g03C61=0, 0 0 g03C62~0.
Thus
by Proposition 1,
The discriminant is also three times
continuously
differentiable withrespect
to ’.1. Hence there are constants M > 0 and
C 1
> 0 such thatExpanding D(~, .)
in aTaylor
series around 0 up to thirdorder,
we therefore haveConsequently,
forsufficiently
small non-zero j~, thedegeneracy
is remo-ved,
and the former coexistence value X lies within anonvanishing
instabil-ity
interval. In other words: DNow we conclude the
proof
of Theorem 1.Corollary
2 andProposition
3 have shown that8n
is a dense open subset ofX,
for eachn E Z. This means
that,
for every n EZ,
X is theonly
closed subset of Xcontaining ~,n,
so the interior of isempty.
Thus the set Un~Z
of all
potentials
from X for which at least oneinstability
intervalvanishes,
is a countable union of nowhere dense sets. D
ACKNOWLEDGEMENTS
It is a
pleasure
to thank Prof. Dr. H. Kalf for hisstimulating
encourage- ment and constantsupport.
The author isgrateful
to Priv.-Doz. Dr.R.
Hempel,
Priv.-Doz. Dr. A. Hinz and Prof. Dr. E. Wienholtz for their interest in this work. This paper is based onpart
of the author’s doctoraldissertation. ’
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Annales de l’Institut Henri Poincaré - Physique théorique