R ENDICONTI
del
S EMINARIO M ATEMATICO
della
U NIVERSITÀ DI P ADOVA
F. N ICOLA
Weyl formula for quasi-elliptic pseudo- differential operators
Rendiconti del Seminario Matematico della Università di Padova, tome 105 (2001), p. 215-231
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Pseudo-Differential Operators.
F.
NICOLA (*)
1. Introduction.
This paper is devoted to the
asymptotic
behaviour forlarge A
of thecounting
function associated withquasi-elliptic anisotropic pseudo-
differential
operators
oncompact
manifolds.Anisotropic operators
are definedlocally
asstandard, by imposing
different
weight
to derivatives withrespect
to different groups of varia- bles.Precisely,
in an open subset ,S~ ofRn,
thesymbols
classesS Ii, q (Q
xx
Rn) (whereu
is a real numberand q
is agiven n-tuple
of rational num-bers >
1)
are definedby
theinequalities:
for x in a fixed
compact
subset K c S~and ~
in Rn. Here theweight
fun-is defined
by
and(~, .)
denotes the inner pro- duct in RB The related calculus is dueoriginally
toHunt,
Piriou[10], [11],
whereas the invariance of theseoperators
withrespect
to certainclasses of
diffeomorphisms
has beeninvestigated
in Parenti[15],
whereit is also shown that the definition of
anisotropic operators
can be tran- sferred to a foliated manifoldM, provided
the foliation preserves theprevious
groups of variables. Our work looks as a continuation of[15]
in the new direction of thespectral theory.
We
begin by seeing
that thequasi-homogeneous principal symbol
ofan
anisotropic operator
takes invariantmeaning
on a new vector bundle(*) Indirizzo dell’A.: Via S. Pellico 7, 10067
Vigone (TO), Italy;
e-mail:Tq M
whichreplaces
thecotangent
bundle T * M of thehomogeneous
ca-se. Attention is here fixed on a
self-adjoint quasi-elliptic operator
A on acompact
Riemannian manifold M . In order to reach the so-calledWeyl’s formula,
we shall use the heat method(cf. Gilkey [3], Maniccia,
Panarese[12],
Grubb[4], Grubb, Seeley [5],
Melrose[13],
Gil[2], Taylor [18]).
In
general
one can associate severalinteresting operator-functions
Fwith a
quasi-elliptic operator A,
such thatF(A)
is trace class. Inparticu- lar,
thefollowing
have been studied forelliptic operators:
the resolvent(A - A) - 1 (when
A has order > dimM),
the poweroperator
A - s for Re ssufficiently large,
and the heatoperator
for t > 0(see
forexample
Grubb
[4]
for relations between these threefunctions).
It is well-known that in any case theasymptotic
behaviour ofN(~, )
can beinvestigated studying
the trace TrF(A)
ofF(A )
and thereforestudying
its kernelKF :
1 is
the sequence of theeigenvalues
ofA ,
and thenapplying
Tauberian theorems to deduce the
asymptotic
behaviour ofNow, usually
one is able to obtain anexplicit enough expression
forKF(x, x) (for instance, using pseudo-differential techniques),
and there-fore direct estimates on
KF yield
thesought
informations.The heat method
develops
this program for the heatoperator
inthis way we shall find a formula with remainder for the trace Tr
e - IA
ast ~ 0 + ,
fromwhich, by
Karamata’s TauberianTheorem,
theWeyl’s
for-mula will follow.
Namely
with I
; andwhere
ale
is thequasi-homogeneous principal symbol
of A anddx dç
is thecanonical volume
density
inTq M .
As an
example,
we shall consider the differentialoperator
P =- a e 2
on the flat foliated torusT2
=Let us observe that the
spectrum
ofquasi-elliptic operators
in has been studied inHelffer,
Robert[7],
Mohamed[14], Boggiatto, Buzano,
Rodino
[1], using
othermethods,
cf. H6rmander[9],
andobtaining preci-
se estimates of the remainder in the
Weyl’s
formula. In our case, similarsharp
remainders willbe, hopefully,
obtainedby using
theanisotropic
Fourier
integral operators
ofParenti, Segala [16];
we leave to the futurethe full
development
of these ideas.Finally,
I thank Professor L. Rodino whosuggested
theargument
ofthe research and
guided
the work.2.
Anisotropic operators.
In this section we recall in short the definition and the main proper- ties of the
anisotropic operators;
for more details we refer to Parenti[15].
Let
Q,
X be open subsets of W andR~, respectively.
Let(m1, ..., mn)
be agiven n-tuple
ofinteger numbers;
we set m =DEFINITION 2.1. Let ,u be a real
number;
we shall denoteby SI1, q(X
XRn)
the spaceof
allfunctions ~( x , ~ )
E COO(X
xRn) satisfying
the
following
condition:for
every multi-index a ,~3
andfor
every com-pact
subset K c X there existsCa,
p, K > 0 such thatfor
every x EK, ~ E=- W,
whereDEFINITION 2.2.
If
X S~ XRn),
thepseudo-differential operator
A =Op (a)
withamplitude
a isdefined for feCoOO(Q) by
where the
integral
is understood as anoscillatory integral.
We shall de-note
by
L ~‘ ~ the spaceof
alloperators of
thisform.
If A E L ~‘ ~
q (Q)
is definedby
anamplitude a(x , ;) independent
of y(i.e.
asymbol),
we write A =a(x, D).
Moreover oneeasily
sees thatL- oo, q(Q) : = n L 11, q (Q)
isexactly
the space of allregularizing
opera-03BC
tors, namely having
kernel in xQ).
We remark that the
image
of theq)
consists of the(non-negative) integer multiplies
of the rational numberwhere m ’ =
m.c.m. ~ ml , ... ,
and Observeagain
that 0 0 - 1 and 0 = 1 if andonly
if mj divide m forevery j
== 1,
..., n . This number 0 arises in theasymptotic
formulas of thesymbo-
lic
calculus;
forinstance,
theproduct
of twooperators p(x , D)
and
q(x, D)
one of the themproperly supported,
with sym- bols~)
andq(x, ~) respectively,
is inand,
up toregula- rizing operators,
it has asymbol
DEFINITION 2.3. We say that P =
D)
E LIl, hasquasi-ho-
mogeneous
principal symbol if
there existsPll,q(x,;) eCOO(Q
Xx
(R")(0))) quasi-homogeneous of degree
,u withrespect to ; (i. e.
...,
t qn ç n)
=t Il P q, Il (x, ;) for
every t >0,
x E,5~,
esuch that
p(x,
+ 00,uniformly for
x incompact
subsetsof
Q andfor
some E > 0.DEFINITION 2.4. An
operator
P =D)
withquasi- homogeneous principal symbol
Pu,q(x,;)
is calledquasi-elliptic if Py, q (X, ç)
allxeQ, ;eRn.
Let us come now to
study
the behaviour of theseoperators
as it con-cerns the
changes
of variables.DEFINITION 2.5.
Suppose
that the(ml , ... , mn ) satisfies
the
following
condition: there existpositive integer
numbers r1, ... , rvsuch that
Then,
denotedby GL(n, R)
the Lie groupof
the invertible real n x nmatrices,
we writeGLq(n, R) for
thesubgroup of
all matricesof
theform (in
block matrixnotation)
A =(Aij)i, j
=1, 2, ..., v ~ whereAij
is a ri xIn other
words,
the matrixI
i, f
andonLy if
a~k = 0 when m~ > mk . From now on we shall assumesatisfy
theassumptions
of DefinitionTHEOREM 2.6. Let
S~ ,
,~ ’ be open subsetsof Rn; let 0 :
S~ -~ SZ ’ be adiffeomorphism, and (p’
its Jacobian matrix.Then, if t 0’ E-=
I for
every A E Lfl, q(Q),
theoperator
A ødefined for
Definition 2.5 and Theorem 2.6 were in Parenti
[15];
one caneasily
establish the
following result, concerning
thecorresponding quasi-ho-
mogeneous
principal symbols.
THEOREM 2.7.
Let 0 :
be adiffeomorphism
with=
(Aij )i, j =
1, ... , v E Coo( S~ , GLq ( n , IE~ ) ) (in
block matrixnotation).
Let P E withquasi-homogeneous principal symbol ~ro~ (x, ~).
Then theoperator A 9, defined
in(2.6),
hasquasi-homogeneous principal symbol
p; (y, r~ ) given by
Theorem 2.6 allows us to define our
operators
on those foliated mani- folds(cf. Haefliger [6])
with thefollowing property:
each leaf mustagain
have a structure of foliated manifold and so on, until the vth foliation on
which any condition is not
given.
DEFINITION 2.8.
(i)
Let M be a n-dimensional Coomanifold.
Wesay that M is a
q-manifold if it
has a(maximal)
atlas a =(C~2 ,
sati-sfying
thefollowing
condition:for
everyi , j , t(o 1 ) ~ E
C 00 nn
C~~ ), GLq (n, R)).
(ii)
Let M be aq-manifold,
and let A be a continuous linear map A :Co (M) -~
Coo(M).
We say that A is apseudo-differential operator
in
if,
,given
any local chart(O, X),
thetransfer A6
=
(X -1)* 0
X * :Co (x(~‘~) )
~ C 00(x((~) )
is apseudo-differential
opera- tor in L ~‘ ~q (x((~) ),
whereAð
denotes thecomposition of
the extensionCo (.9)
-Co (M), of
theoperator
A andof
the restriction C 00(M) -
~C 00
(.9).
(iii)
We say that A eLIi’q(M)
hasquasi-homogeneous principal symbol if, given
any local chart(O, X),
thetransfer A6
hasquasi-homo-
geneous
principal symbol according
toDefinition
2.3.Observe that
by
Theorem 2.7 thequasi-homogeneous principal
sym- bol cannot have invariantmeaning
on thecotangent
bundle T * M . Thisjustifies
thefollowing
construction of a new vector bundle on aq-mani-
fold M.
PROPOSITION 2.9. On any
q-manifold
M there is aparticular
C 00vector bundle
Tq* M,
see the nextproof for
theprecise definition,
suchthat the
quasi-homogeneous principal symbol of
anoperator
P Eq (M)
can beinterpreted
as afunction
in Coo(Tq* MBO).
PROOF. Let us argue in the case of two groups of
variables,
i.e. v = 2with the notations of Definition 2.5. As a consequence of the
given
folia-tion two
particular
vector bundles are defined on M . Infact,
this folia- tion defines a(completely integrable)
fieldF of (n - r1)-planes (that
arethe
tangent
spaces toleaves).
Then we consider the vector bundleN*,’-f’
on
M,
that is a sub-bundle of T *M,
with fiber at x E Mgiven by
the po-lar,
ororthogonal,
inTx M
of thetangent
space at x to the leafcontaining
x;
similarly
we can consider the vector bundle T *F on
M with fiber at xgiven by
thecotangent
space at x to leafcontaining
x .By
Theorem2.7,
ifwe assume on N * M and T * M fiber coordinates induced
by
the ones inT * M,
it isstraightforward
to convince ourselves that in thecomplement
of the null section
(Withney sum)
thequasi-ho-
mogeneous
principal symbol
can beinvariantly
defined. In thegeneral
case,
using
inductivearguments,
we shall set with obvious notationsIn the
following,
tointegrate
functions defined inTq* M,
we shall re-fer to canonicaL volume
density
defined(invariantly
andlocally) by
~B ... ... .
DEFINITION 2.10. Let M be a
q-manifold
and withquasi-homogeneous principal symboL
p~ . We say that P isquasi-ellip-
tic in
Tq MB0.
Finally,
we need introduce a scale ofweighted
Sobolev spaces.DEFINITION 2.11. Let denote
by
the spaceof
alldistributions ue such that
( 1 + 1;1~)s/2û(ç)
As
usual,
one defines the spaces and the Hilbert spacesHS’ q(M)
if M is acompact q-manifold.
Then anoperator
A Ecan be
regarded
as continuous map-~ H s -,~’ q (M).
3. The heat
semigroup e - ~.
Let M be a
compact
Riemannianq-manifold.
Aquasi-elliptic operator
A >
0,
can beregarded
as a closed unboundedoperator
onL 2 (M)
with dense domain7~’~(M).
Standardarguments (cf.
Shubin[17])
show that its resolvent iscompact,
andtherefore,
if A isformally self-adjoint,
it has aspectrum
made of realof
finitemultiplicity, clustering
atinfinity. Studying
theasymptotic
behaviour of thespectrum,
we assume A satisfies thefollowing properties:
(3.1)
withquasi-homogeneous principal symbol
In
particular,
for any chart(9, x),
calleda(x, ~)
asymbol
for the transfeA 0 1,
this means thatuniformly
for x incompact
subsets and for some e > 0. This num-which
might depend
on the localchart,
will be assumed constant.By
thepositivity
of theprincipal symbol,
A is semi-bounded from be- low and so the sequence ofeigenvalues
isdefinitively positive. Moreover,
denoted
by ~A~, ~
thespectral
resolution ofA,
for t ~ 0 is well definedas
one-parameter semigroup
of boundedoperators
L 2 (M) ~ L 2 (M)
or, moregenerally,
for any inte-ger s
(this
follows from the fact thatif A ~ c ,
thene ~"
commutes with(A -
c +1)8
for any s and the H s norm of u isequivalent
to theL 2
normof
(A - c + 1 )S u).
Our purpose is to determine the
singularities
of the heat kernelH( t ,
x ,y )
ofe ~"
for small t .THEOREM 3.1. For t E
[0, + 00)
one canrepresent
e -tA in theform of a
sumof an operator
with kernel smooth int ,
x , y and apseudo-dif- ferential operator U(t).
In any local chartð, U(t)
has asymbol u( t , x, ç)
smooth in t andsatisfying
thefollowing
condition:for
anycompact
subset K cð, E Z+,
T E(0, + oo)
there exists C > 0 such thatfor
all t E[ 0, T], ~
ERn and x E K. Inparticular, U(t)
andtherefore e - IA
are
regularizing for
t > 0.PROOF.
Following
a standardpattern,
see forexample Taylor [18],
we limit ourselves here to the main lines. Let us construct the
pseudo-
differential
operator U(t),
whichapproximates e - ~ ,
as solution of theproblem
More
precisely,
the left side of the firstequation
in(3.3)
will also be asmooth function of t for t ~
0,
with values in L - 00(M).
Thelinearity
ofthe
problem
allows areduction, using
apartition
ofunity,
to the case ofconstructing
thesymbol u(t ,
x,~)
ofU(t)
in a local chart 0. We assumethe
given
volumedensity
in C9 agrees with theLebesgue
measure andwe choose a
properly supported representative a(x, D)
of A in 0. It is natural to look foru( t , x , ~ )
withasymptotic expansion
!f) - E
E,S -ej ((~
xR") (where
8 is defined in(2.3)).
j > 0
By (2.4)
we can write theproblem (3.3)
in terms ofsymbols; regrouping
the terms of the same
order,
we deduce thefollowing transport equation, coupled
with therespective
initial conditions:By
inductivearguments
it iseasily proved
thatwhere
,S k
stands for a function inIn order to make this formal construction
meaningful
and prove theregularity properties
withrespect
to thevariable t ,
we observe that from(3.5)
we have forevery j ~ 0, a, f3 e Z + ,
where
s * ( a , ~3 , L , j ) ~ 0 .
Itreadily
follows from thepositivity
of theprincipal symbol
that for everycompact
subset K cð,
T E(0, + 00 ),
N Ee Z+ ,
there exists a constant C > 0 such thatfor all t E
[ o , T ], Now,
it is a standardprocedure
to con-satisfying
the estimatesfor all
The
regularity properties
of . withrespect
to tfollow from the ones of
u( t , x , ~ ).
B at IThen it suffices to observe that
by (3.3)
it follows thatas an
equality
betweenoperators
from C °°(M)
in itself. Sincee -’
defi-nes a continuous map we conclude that
e 4- U(t)
has kernel inCoo ([0, + 00) x M x M)..
4. Heat trace
asymptotics.
Let M be a
compact
Riemannianq-manifold
and let A be anoperator satisfying (3.1 ).
This section is directed tostudy
theasymptotic
beha-viour of the
counting
functionN(A) := 2:
1 associated with A .By
Theo-Aj A
rem
3.1,
isregularizing
for t >0,
therefore trace class. Thestudy
ofTr
e -’,
which we aregoing
to carryout,
will thereforeprovide, by
means of Karamata’s Tauberian
Theorem,
theWeyl’s
estimate forwe are
seeking.
Denote
by
T the Euler’s Gamma Function.THEOREM 4.1. Let M be a
compact
Riemannianq-manifold
and LetA be an
operatori satisfying (3.1).
Then the traceof
thecorresponding
heat
semigroup e -tA
can be estimateby
where 0 and E are
defined in (2.3)
and(3.2) respectively,
and
where
dx d~
is the canonical volumedensity
inTq* M.
We need some technical lemmas. We
begin by considering
the fun-ction where m are the
integer
numbers
defining
then-tuple q (cf.
thebeginning
of Section2).
Observethat a is continuous and
(7~B{o}~=C~(R"B{0}).
Then we denotebY f q
the manifold of
equation
= 1.REMARK 4.2. It is
readily
seen that forall ;
E Rn.Hence,
R >0 ,
theweight
functions~( ~), ~ ~ ~ q
and1
+ [ 1 q
are allequivalent.
LEMMA 4.3. Let Q c W be x
(R’l )( 0 ) ))
and let ussuppose there exists 1 > 0 such ... , =
for
all(x, E)
E Q x(Rn B f 0 1)
and t > 0 . For anyfixed
k > -I , define
, then
for
anyfixed
x e S2 wewhere dO is a suitable volume
density defined
as in the subse-quent proof.
PROOF. We
begin by defining
theanisotropic polar
coordinates a, 0 =(el,
...,en_1> by
where stands for
(working
with such coordinates weleave out the
points
of the coordinateplanes).
Denotedby 0)
the Ja- cobian determinant of thistransformation,
we have9 )
==
0, lql - ~( 1, 0). Moreover,
themanifold
has( 4 . 4 )
with a = 1 as para-metric
equations.
we assume~( 1, 0)
d811 A
... Ade n -1 1 ~ 1
as volu-me
density;
in short it will be denotedby
d0. Let us switch to such coor-dinates and let us
put 9 ) for Ø(x, ~( 1, 0)),
the left-hand side of
(4.3)
becomesThis concludes the
proof.
LEMMA 4.4. For any
fixed
x, thefollowing formula
holds:PROOF.
Switching
to theanisotropic polar
coordinates( a~, 0) given by (4.4),
we havewhere the
positive
real numberd(O)
is definedby
the conditionall (x, 0),
...,0))
= 1.By
thequasi-homogeneity
of all’ weget d( 8 )
= all( x , 8 ) -1~~‘ .
Substitu-ting
thisexpression
ford(O)
in(4.6),
we obtain(4.5). o
LEMMA 4.5. Let be a coordinate open
subset, o
ES k,
x
Rn)
and let a and all berespectively
thesymbol
and thequasi-homoge-
neous
principal symbol of
A in C~. Then- , , I
as t -
0 + , uniformly for
x incompact
subsetsof
C~.PROOF. Let K be an
arbitrary compact
subset of ð and x E K. In thisproof
eachasymptotic
formula is meantuniformly
for x in K. DefineIt is clear that
for any fixed r > 0. Now we
distinguish
twoI
+ k andE > |q| + k.
In the first case, let us
verify
thatas t ~ 0 + .
Switching
to theanisotropic polar
coordinates( a~, 8 ) given by (4.4)
andputting
, theexpression
in(4.7)
turns intowith
g(t,
x, e,0)
=ç(a, 0)) - a(x, ç(a, 0))) (we
recall that a is functionof (2, t,
x,0)
and(fi(t,
x, ~o,0) = O(x, 0)). By (3.2)
and Re- mark 4.2 there exists a constant C > 0 such thatfor r
large enough.
Hence in theintegration
domain we havex , e,
S) 1/ Q ~ 8 ) ~
C ’ r - f for a suitable constant C’ >> 0 .
So,
for a fixedE o E ( o , 1 ),
we can find r solarge
to havex , Q,
0) ~
E o o .Taking
this fact intoaccount,
anapplication
of theMac Laurin
expansion
for theexponential
functionyields
Hence,
in view of(4.9),
weget
As it concerns the
function ~ ( t , x , o , 8 ), again
on theintegration
do-main, by
Remark4.2,
we havefor a suitable constant C" > 0. We return now to the
integrals
which ap- pear in theright-hand
side of(4.8).
The most internalintegral
can be re-+ m
placed by
anintegral f
if onemultiplies
the function under theintegral
0
sign by
the characteristic function of0), +00). So, granted (4.10)
and(4.11),
the new function tointegrate
is dominatedby
which is
clearly integrable
withrespect
to O, B. This concludes theproof
in the case
I
+ k.IVhen E >
q ~ I
+k,
we must prove thatIn
fact,
in this case we have~) - a~ (x, ~) = 0( ~ ~ ~ q - ~’ )
asq
++ oo , with
I
+ k . Therefore it follows from the firstpart
of theproof
that
( 4 . 8 )
holds with Ereplaced by E’,
which is our thesis. The lemma isproved.
PROOF OF THEOREM 4.1. With the notations of the
proof
of Theorem3.1, by (3.7)
we have Tre -tA -
TrU(t)
= as t --~ 0 + .Hence,
it suffices to prove that(4.1)
holds with Trreplaced by
TrU( t ).
On the otherhand, by
the well-known formula for the kernel of apseudo-differential operator,
for t > 0 we can write TrU( t ) = j a(t, x )
dxwhere,
for any fi-M
xed
integer
N ~1, a(t, x)
can beexpressed
in a local chart O as sum ofthe terms
with
Now we establish
asymptotic
formulas as t - 0+ for11,12,13,
whichhold
uniformly
for x in anarbitrarily
fixedcompact
subset K of ð.If we take N
= ill
+1, by (3.6)
we see at once thatI3 ( t , x )
is0(l)
as0
t ~ 0 +
(we
have used the fact that the functiona( f,)k
isintegrable
inI f, I
>R > 0 if 1~ -Concerning I2 (t, x),
it can bewritten, by
theexpression
for ujgiven
Inl I
in
(3.5),
as sum over , and h =2,
...,2j
of the termsIn view of Lemma 4.5 with
= h,u - Sj,
we havewith
On the other
hand,
there exists a constant C > 0 such that for x E KWe stress that and therefore Lemma 4.5 ensures the estimates .
Hence,
for every j= 2,
...,2j
weget h (t)
As far as
h
isconcerned, again by
Lemma 4.5with 0
= 1 we haveTaking
Lemma 4.3 and(4.5)
into account andadding together
the contri- butionsgiven by
every chartby
apartition
ofunity,
we obtain(4.1).
THEOREM 4.6.
(Weyl’s Formula)
Let M be acompact
Riemannianq-manifold
and let A be anoperator satisfying (3.1).
Then the corre-sponding counting function N(A)
can be estimate asfollows:
where C is
defined
in(4.2).
PROOF.
Taking
Theorem 4.1 intoaccount, apply
the Karamata’sTheorem
([18],
pg.89).
EXAMPLE 4.7. Consider the differential
operator
P =a e 1 -
onthe flat foliated torus
T2
= with leavesgiven by
the cir-cumferences of
equation 9 2 = const .;
we haveP E L 4’ ~ 1, 2 ) ( ~2 ).
Itsquasi- homogeneous principal symbol
isgiven by ~ro( ~ 1, ~ 2 ) + ~ 2 ,
and the-refore P is
quasi-elliptic.
Moreover P isself-adjoint;
in fact it can bewritten as P =
Q * Q
=QQ * where Q
=ae 2 - 2) (T2)
is the heatoperator
in two variables.Now,
one sees at once thatPe’(n, 0 1 + n2 02)
=
n2 ) e
i(nl ()I + ~()2) for all( n1, 0 Z, giving
all theeigenvalues
of
P ,
hence a direct calculus of theintegral
in theWeyl’s
formula shows thatREFERENCES
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