C OMPOSITIO M ATHEMATICA
H. J. B RASCAMP
The Fredholm theory of integral equations for special types of compact operators on a separable Hilbert space
Compositio Mathematica, tome 21, n
o1 (1969), p. 59-80
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59
for special types of compact operators
on a
separable Hilbert
space byH. J.
Brascamp
1. Introduction
In the classical Fredholm
theory (Fredholm [8], Plemelj [9])
one is concerned with the
integral equation
The function
f o(x)
is continuous on a finite interval[a, b],
andK(x, y )
is continuous on[a, b]
X[a, b];
one seeks the continuous functionsf(x) satisfying
theequation.
The
theory
has been madeapplicable
to moregeneral
functionalequations
of the formFor
example, f o
andf
may be elements of somegeneral
Banachspace
(Ruston [10], [11],
Lezanski[13]);
the Fredholm solution is then valid for Kbelonging
to the trace-class ofoperators
on thisBanach space. The trace-class thus seems to be the natural domain for the Fredholm
theory.
However,
a modification of the formulae has been madeby
Carleman
[15]
and Smithies[1]
to make themapplicable
tooperators
Kbelonging
to the Schmidt-class of aseparable
Hilbertspace. In the
present
paper a further modification is carried out in order to make itpossible
for K tobelong
tolarger
classes ofoperators.
The urge for it was arousedby
the author’s work under thesupervision
of Prof. Clasine van Winter on finitesystems
ofinteracting particles [14].
In section 3 the
equation (1.2)
will be solved foroperators K such,
that(K* K)2 belongs
to the trace-class. Thisimmediately
leads to the solution of the
integral equation (1.1),
where K is aspecial type
ofintegral operator
introduced in section 2.3.All this can
easily
be carried over tooperators
K with(K*Kl’n (m
= 1, 2,3, ’ ’ ’) belonging
to the trace-class. Some indications will begiven
in section 4.2.
Compact operators
2.1 The classesStp
In this section we will
repeat
someproperties
of bounded linearoperators
on aseparable
Hilbertspace S),
asgiven by
Schatten[3].
The set of bounded linear
operators A,
with thebound 1 J A
as a norm, is a Banach
algebra
B. A subset 9 C S is an idealin
B,
if it follows from A E 9 andX,
Y E B that XAY E 9.Moreover, s
is a norm ideal if thefollowing
conditions arefulfilled
([3],
Ch. V.1 ).
a)
On I a norm oc isdefined, satisfying
)
precisely
if A = 0for any
complex
number cfor
operators
A of rank 1b)
9 iscomplete
withrespect
to the norm «.An
operator
A iscompact
orcompletely
continuous([3],
Ch.1) precisely
if it has apolar decomposition
v
with orthonormal sequences
{c!>i}
and{1fJi}
andpositive
numbersÀi;
the sum may be finite or
infinite,
in the lattercase Ài tending
to0 for i --> cc.
The bound of an
operator
of the form(2.4)
isWith this bound as a norm, the class 0152 of
compact operators
is anorm ideal in 0.
Now introduce the
subsets St:p(l p oo)
of OE. Theclass 9,
consists of the
compact operators
A for which the seriesliÂ,
converges. With the norm
Sfp
is a norm ideal in ?([3],
Ch. V.6-7).
It is clear that A*and A have the same p-norms, and that
for any
p
q.Some
special examples
of classesSftp
are thefollowing.
The Schmidt-class
(Jc) ([3],
Ch.II)
consists of the boundedoperators
with theproperty
The sets
{Xi}
and{Wj}
arearbitrary complete
orthonormalsystems.
An
operator satisfying
eq.(2.7)
iscompact. Hence,
with eqs.(2.4)
and
(2.7), a(A) == 11 A Il 21
so(ac) == 92 -
The Schmidt-class is made a Hilbert space
by
the innerproduct
The trace-class
(ic) ([3],
Ch.III)
consists of theoperators
which are the
product
of twoSchmidt-operators.
Let A =BC;
the trace of A is then defined
by
A norm 7: is defined
by
It is clear that
T(A) = 11 A 11 1
and(rc)
=91.
The norms and T are connected
by
Finally,
we will introduce the class(pc)
as the nextstep
after(rc)
-+(oc).
The class(pc)
is defined to exist of the boundedoperators
A such that A*A e(ac).
Thecorresponding
norm isp(A) == la(-4*-4)1i.
Because A*A e
(ac),
it iscompact;
but then also(A * A )1
andA are
compact ([3],
Ch.I. 3-4).
With eq.(2.4), p(A) == IIAI14
and
(pc)
_St4.
The class(pc)
defined here is thus a norm ideal in 0.The norms p and a are connected
by
formulaeanalogous
to eq.
(2.11),
which will be derived here. LetA,
B E(pc),
Then
Hence
Combination of eqs.
(2.11)
and(2.12) gives
2.2
Operators
on a finite dimensional Hilbert space LetCP1’ ..., CPn
be a basis for the n-dimensional Hilbert spaceS)n.
An element
f
can berepresented by n complex
numbers(column vector) f
=(f, CPi). Every
linearoperator
A can then be repre- sentedby
an n X n matrixA i j
=(Acpj, CPi).
Theoperator
A actson an element
f by (A f)
=!jAijfj,
theproduct
of twooperators
is
given by
the matrixmultiplication (A B)ij
-!kAikBkj.
In this case the classes
S, 6
andAù,,,
mentioned in thepreceding section,
coincide. The Schmidt-norm is foundby (cf.
eq.(2.7 ))
the trace
by (cf.
eq.(2.9))
Every operator
hasprecisely n eigenvalues
oci , viz. the solutions of theequation
det(A-lJ.)
= 0. Anappropriate
choice of the basis{Pi}
castsAij
into thesemi-diagonal
form([4],
Ch.9.13)
As a consequence, one has
Finally, writing
out[U(A*A)]2 according
to eq.(2.14),
2.3
Intégral operators
The Hilbert space
L2(X )
consists of the(equivalence
classesof)
measurable and
quadratic integrable
functions on X. The innerproduct
isFor
simplicity,
X will be taken as a finite or infinite interval of Rn X Zm. Thatis,
everypoint x
E X isgiven by n
real numbers xi and minteger
numbers si . TheLebesgue integral
of an inte-grable
functionh(x)
is thenFor such X the Hilbert space
L2(X)
has denumerable infinite dimension(unless
X is a finite interval ofZm;
then the dimensionis
finite).
In
introducing
the idea ofintegral operator,
we will use thefollowing
strict definition. A linearoperator
A onL2(X)
is calledan
integral operator,
if there exists a measurable function A(x, y)
on X X X such that for every
f
EL2(X)
and
both for almost every x. The function
A (0153, y)
is theintegral
kernel of A.
A
special
class ofintegral operators
has been introducedby
Zaanen
([2],
Ch.9, § 720138).
It consists of theintegral operators
A whose kernels
A (x, y) satisfy
for every
f
EL2(X ).
This class of
operators
has thefollowing important properties.
Let the
operators A, A 1
andA2 satisfy
eq.(2.22).
Then theadjoint operator
A * has theintegral
kerneland the
product AlA2
has theintegral
kernelThe
integral (2.24)
convergesabsolutely
for almost every(x, y).
The
operators
A* andAlA2 again
haveproperty (2.22). Finally,
the
operators
withproperty (2.22)
are bounded.Let us now confine our attention to the classes of
operators,
defined in section 2.1. The Schmidt-class
(ac)
ofoperators
onL2(X) precisely
consists of theintegral operators
whose kernelsare functions in
L2(X X X). (The proof given
in[3],
Ch. II.2 forL2[O, 1]
also holds forL2(X)).
The innerproduct
defined in eq.(2.8) corresponds
to the innerproduct
inL2(X X X),
that isThe
Schmidt-operators clearly satisfy
eq.(2.22),
and therefore also eqs.(2.23)
and(2.24).
Let now Abelong
to thetrace-class,
so A = BC with
B,
C e(ac).
Theintegral
kernel of A isWith eq.
(2.9),
Unlike the
Schmidt-class,
the class(pc)
does notmerely
consistof
integral operators.
This will be shownby
thefollowing example.
The function
q(x) (- 00 0153 (0)
hasperiod
2, andThe
operator Q
onL2[-I@ 1]
is definedby
Since
Q
does notsatisfy
eq.(2.20)
it is not anintegral operator
inthe sense used here. Now choose on
L2[-1, 1]
thecomplete
orthonormal set
{cf>n},
- 00 n 00,Then
clearly
where
Owing
to Titchmarsh([5],
section4.11)
thenumbers qn
arefinite,
and
Hence
that
is,
theoperator Q belongs
to the class(pc).
We will now introduce a subset of
(pc)
whichonly
containsintegral operators.
First consider a measurable functionA (x, y) satisfying
According
to the theoremsby
Fubini andTonell i,
the order ofintegration
isarbitrary ([7],
Ch. XII.2).
Take any
f
EL2(X). Then,
with Schwarz’sinequality,
Hence,
the function A(x, y )
may be considered as the kernel of anintegral operator
withproperty (2.22).
It further follows from eq.(2.29) that,
for everyf,
g EL2(X),
The set of measurable functions
A (x, y) satisfying
eq.(2.28)
defines a class of
integral operators,
which will be denotedby (rc).
We have seen thatoperators belonging
to this classsatisfy
eq.
(2.22),
and therefore eqs.(2.23)
and(2.24).
Particularly,
eq.(2.23) yields
LEMMA 2.1. An estimation
of
the sizeof
the class(rc)
isgiven by
The
equalities only
hold in the caseof
afinite
dimensional Hilbert space.Il
A E(rc),
B E(ac),
PROOF. Let A E
(rc). By
eqs.(2.23)
and(2.24),
theintegral
kernel of A * A is
Since
p(A )
=[a(A * A )J! by definition,
eqs.(2.25)
and(2.28) give,
that
p(A) r(A),
and so(rc) Ç (pc).
We find further that the p-norm of anoperator
A e(rc)
isgiven by
Let now B E
(ac).
Denoteby Bo
theoperator
withintegral kernel IB(x, y )].
Thenr ( B )
-p(Bo) and a(B)
=:a(Bo).
Becausep(Bo) a(Bo) (eq. (2.6)),
it follows thatr(B) a(B),
hence(rc) D (Jc).
For a finite dimensional Hilbert space
( pc )
-(orc),
soIf the dimension is
infinite,
theexample (2.27)
shows that(rc)
isreally
smaller than(pc).
Now consideroperators
withintegral
kernels
such that g E
L4(X)
and h EL3(X).
Itimmediately
follows fromeq.
(2.28)
that theseoperators belong
to(rc). If, however,
not both g and hbelong
toL2(X ), they
do notbelong
to(ae).
Thisproves that
(6c)
isreally
smaller than(rc).
LEMMA 2.2. With the
quantity r(A )
considered as the normof
A E
(rc ),
the class(rc)
is a Banachalgebra.
PROOF. Let us first show that
r(A)
isreally
a norm. Theonly
non-trivial relations to be verified are
The first one follows from eqs.
(2.12)
and(2.33 ),
For the second one, remark that
Hence
It
only
remains to prove that(rc )
iscomplete.
Choose aCauchy
sequence
{An}
E(rc).
Then there exists a set of indices ni suchthat ni
ni+l andDefine
B,
=Ani’ Bi+,
=Ani+1 -Ani. Then,
for everyf,
g EL2(X )
As a consequence,
z ] B, (r, Y)I
converges for almost every(x, y ).
Define
A (x, y )
-Zi Bi(x, y).
Thenso A E
(rc).
FurtherBecause
r(A -An) r(A -An.) +r(An.-An),
it follows thatlimn-+oo r(A -An)
- 0. This proves thelemma.
During
theproof,
thefollowing property
has been found. For every sequence{A,,l converging
to A in the r-norm, there exists asubsequence {Ani}
such that{A.,(x, y)l
converges toA (x, y)
almost
every where.
To conclude this
section,
remark that the class(rc)
is not anideal in 0. For as the
example (2.27) shows, (rc )
is notunitarily
invariant.
3. The functional
equation
f =fo+AKf
3.1. The
equation
in the space CP The solution of theequation
in the
p-dimensional
Euclidian space Cp will be cast in ashape
that remains valid for a Hilbert space of denumerable infinite
dimension,
with anoperator K belonging
to the class(pc).
For asmaller class of
operators,
the Schmidt-class(acj,
this has been worked outby
Smithies([l],
Ch.VI).
See further Zaanen([2],
Ch.
9, § 16201317).
Eq. (3.1)
has aunique
solution if andonly
if À-1 is not aneigenvalue of K;
the matrix 1 - ÀK is thennon-singular,
its inversebeing
with
that is
The
quantities d(A)
andD(Â)
arepolynomials
ofdegree
p,The coefficients follow from the recurrence relations
Explicit expressions
are(with
a, = trK’ )
The
preceding
formulae are modifiedby
Smithies as follows.Put (Â)
=d(À)
exp(O’lÀ)
andL1(Â)
=D(Â)
exp(O’lÀ).
Thequanti- ties (À)
andL1 (À)
are power series in Â. The coefficientsô,,
andL1n
are
given by
determinants of the form(3.5)
witheverywhere
0’1replaced by
0([1],
section 6.5 and[2],
Ch.9 §16).
The newformulae remain valid for a Hilbert space of denumerable infinite dimension with K E
(O’c).
The essentialpoint is,
that for K E(Jc)
the
traces a,
= tr K’ are finitefor j
> 2([l],
section 6.6 and[2],
Ch.
9 § 17).
The
theory
will be extended here to an infinite dimensional Hilbert space with K E(pc ).
In that case, the traces arl, U2 and a3do not
necessarily exist; however, aj
oofor j
> 4(eq. (2.13 ) ) .
Therefore the formulae
(3.3 -5 )
are modified in such a way, that 0’1’ 5 a2 and a3 nolonger
occur. DefineThe coefficients of the power series
satisfy expressions
like(3.5),
witheverywhere
al’ a2 and Q3replaced by
0. The coefficients may as well be found from therecurrence relations
These relations are
proved
in much the same way as Smithies’s modified formulae.3.2. Further
investigation
of the power seriesIn this section we will derive estimations for the
quantities
ô(Â), ô., 11,J(Â)11 and
.LEMMA 3.1. For any
complexe
number z,PROOF. Define With
Clearly, f(x, y )
-+ 0 forr2+y2 -
00.Straightforward
calculationsgive,
thatf(0153, y )
has maximaprecisely
for(0153, y )
==(0, 0 )
and(r, y )
==(§, o).
The values in thesepoints
aref(O, 0 )
- 1 andf(f, 0 ) = j
exp1801
1.Hence, f(r, y ) Ç
l for any(r, y ),
whichconcludes the
proof.
LEMMA 3.2. Let A be any X p matrix. Then
[ det ( i - A ) exp (tr A + ] tr A 2 +§ tr A 3 ) ] exp {![p(A )J4}.
PROOF. Denote
by
oci theeigenvalues
of A. ThenIdet ( i - A )
exp(tr A+itr A2+t tr A3)1 ]
with eqs.
(2.17-19)
and lemma 3.1.LEMMA 3.3. The
numbers ô(Â)
andbn satis f y
PROOF.
Eqs. (3.3)
and(3.6) yield
Eq. (3.9)
is now an immediate consequence of lemma 3.2. The functionô(Â)
isanalytic
in thecomplex Â-plane,
soCauchy’s inequality yields ([6],
Section2.5)
for any r > 0.
Taking
r ===(n/3)![p(K)J-1,
we find(3.10).
LEMMA 3.4. The
operators L1 (À)
andL1n satisfy
PROOF.
Eqs. (3.4)
and(3.6) yield
with
clearly,
Writing
out the matrixmultiplications
A 2 andA 3,
one findsApplication
of eqs.(3.14-16)
and lemma 3.2 to eq.(3.13) yields
Write out the matrix
product
A * A . With eq.(2.14),
Substitute this
result,
andtake 1 lil 1 = 1 Igl 1
= 1. Thenfor any
f,
g E Cpwith 11 f 11 [ = 11 g 11 [
= 1. Thisinequality
isequivalent
with eq.
(3.11).
Application
ofCauchy’s inequality
to theanalytic
function(LI (À )g, f) yields
Eq. (3.12)
followsby taking
=(nl3)1[p(K)]-l.
3.3.
Approximation
of anoperator
Ke(pc) by
operators of finite rank.Let the
operator
Kbelong
to the class(pc)
of an infinite dimen- sional Hilbert space§. Its polar decomposition
bewith
Define
([2],
Ch.9, § 17)
where
P p
is theorthogonal projection
An immediate consequence of eq.
(2.3)
is thatLEMMA 3.5. With
operators
K andKp
a8defined above,
thefollowing properties
hold true.PROOF.
The two terms in the
right
member will be treatedseparately.
First,
chooseQ
solarge
that!i>QÀ (e4/8). Now,
with everyfixed i Q
a numberNi
exists such thatThen, for p > N2
=maxi,QNi,
The result
is,
thatCombining a)
andb),
we find thatwhich concludes the
proof
ofpart i).
The
proof
of lemma 3.5 has thus been concluded.3.4. The
équation
in an infinité dimensional Hilbert spaceAgain
theoperator
K issupposed
tobelong
to the class(pc)
of the infinite dimensional Hilbert space
jj,
so the tracescrn = tr Kn are finite
for n >
4. It is thereforepossible
to definethe
quantities bn and dn according
to the recurrence relations(3.8).
LEMMA 3.6. The absolute value
of ô,,
and the boundo f L1n satisfy
eqs.
(3.10)
and(3.12).
The power seriesdefine
theanalytic functions à(À)
and(L1 (À )g, f).
Theoperator L1 (À)
thus
defined
is bounded.PROOF. For
K.
instead of K(section 3.3),
defineby
the recur-rence relations
(3.8)
thequantities Õnp
andL1np.
Theoperators
K p
andL1np
may then be considered asoperators
on ap-dimen-
sional
subspace
ofSj,
without difference for the traces and thenorms. One may thus
apply
the lemmas 3.3 and 3.4 and eq.(3.17)
to obtain
for any p and 1 lil 1 = 1 Igl 1
- 1.It follows now from the recurrence relations and lemma 3.5, that
The
required inequalities
are obtainedby letting p ->
oo in eq.(3.19).
Theanalyticity of l5(À)
and(,d (Â)g, f)
follows from the absolute convergence of the power series(3.18). Finally,
notethat the series
111 A,, 111 Â 1 Il
converges, soL1 (Â)
is bounded andCOROLLARY. The recurrence relations
(3.8 ) yield
The series converge, so, with
d 0
= 1,ôo
= 1,Ôl
=Ó2
=Ó3
= 0,The
following
theoremsgive
theunique
solution of the func- tionalequation.
THEOREM 3.7. The
function à(À )
has a zerofor
À =Âi, precisely i f
thehoinogeneous equation f
==À,Kf
has a solutionf
=A 0; thatis, i f ¡I
is aneigenvalue of
K.PROOF. Let
(1 -À,K)f,
= 0, withf, :A
0.Eq. (3.21) yields
thenthat
is, (Ài)
== 0.On the other
hand, let ô(îi)
= 0. Becauseô(Â)
is ananalytic function,
andô(Â) #
0(b(O) = ôo
==1),
it can haveonly
isolatedzeros
Âi,
in theneighbourhood
of whichThen (Â)
has a zero oforder q,
andLet us assume now that the
equation f
=ÂiKf
has the solutionf
= 0only.
We will show that this leads to a contradiction.Because ô(îi)
- 0,for any
f
ESj,
soj (Ài)f
= 0 for anyf
ESj,
ord (Âi)
= 0. Differ-entiation of eq.
(8.21) yields,
for À ==Âi,
and hence
J’(Âi)
== 0.Repeating
thisprocedure,
onegets,
aftersubsequently differentiating q -1 times,
Now differentiate eq.
(3.22) q -1 times,
andput À
=Âi.
But then
àQ>(À,)
= 0, which is thepromised
contradiction. Theequation f
=ÀiKf
thusnecessarily
has a solutionf
# 0, whichconcludes the
proof
of this theorem.THEOREM 3.8.
Il !5(Â)
:A 0, theequation f
=fo+ÂKf
has at mostone solution.
PROOF. Let
fi
andf2
be two solutions. Then Becauseô(Â)
# 0,f 1
=/2 by
theorem 3.7.THEOREM 3.9.
I f b(Â) :A
0, theequation
has the
unique
solutionPROOF. This final result
immediately
follows from eq.(3.21)
and the theorems 3.7 and 3.8.
3.5.
Integral equations
onL2(X)
In order to make the solution of theorem 3.9
applicable
tointegral equations,
we introduce thefollowing quantities.
Since K
belongs
to(pc) and L1n
and L1(À)
arebounded,
theoperators En
andE(î) belong
to(pc)
andZ.
andZ(À) belong
to(6c).
According
to eq.(3.20),
the seriesconverges in the p-norm, and the series
converges in the a-norm. It follows from eq.
(3.21),
thatSubstituted in eq.
(3.23),
theseexpressions provide
somewhatdifferent forms of the solution. The
quantities E(Â)
andZ(À)
may be founddirectly
from the recurrence relations(cf.
eq.(3.8))
Now suppose that the Hilbert space is
L2(X),
and let K be anoperator belonging
to(rc ).
Then it follows fromthat the
operators E(Â)
andEn belong
to the class(rc )
and thatthe series
(3.24)
converges in the r-norm. Further it follows from thefact,
that the seriesconverge and from
arguments
likethose, given
in theproof
oflemma 2.2, that the series
converge
absolutely
for almost every(x, y).
The solution of the
equation
now can be written as
The kernels
E(x,
y;À)
andZ(x,
y;À)
are found from the series(3.30)
and(3.31);
the coefficientsE.(x, y)
andZn(ae, y) satisfy
recurrence relations which follow from eqs.
(3.27)
and(3.28) by replacing
theoperators by
their kernels andapplying
the rules(2.24)
and(2.26)
for themultiplication
and the trace. The proper- ties of the class(rc ) yield
the absolute convergence of allintegrals occurring.
Let us conclude
deriving inequalities
for the kernelsE,,(x, y)
and
Zn(x, y). Eq. (3.28) yields
That is,
where
M(0153, y )
is theintegral
kernel ofK2L1n-2K2.
Because K2 E
(Gc)
andL1n-2
isbounded,
we have for almost every(x, y) ([2],
Ch.9, § 10)
where
So almost
everywhere
Finally,
it follows from eq.(3.29)
thatThese
inequalities
once more prove the absolute convergence of the series(3.30)
and(3.31).
4.
Concluding
remarks1. Since the
proof
of theorem 3.9only
seems todepend
on thefirst of the recurrence relations
(3.8),
one is lead to suppose some arbitrariness in the choiceof ô(Â)
andL1 (À).
Infact,
Ruston[12]
showed that any
analytic funetion ô(Â)
whose zeros areprecisely
the inverses of the
eigenvalues
of thecompact operator
K leadsto a solution of the
equation.
2. The
arguments
of sections 3.1- 3.4 can beeasily
extendedto
operators
Kbelonging
to the class92-1 (m
== 1, 2,3, - - .).
The recurrence relations that define the solution become then
In
agreement
with the firstremark,
the first recurrence relation isindependent
of m.3.
Finally,
we will indicate ho"v to define classesf2m
ofintegral operators
onL2(X)
which are related tog2,,,
in the same way as(rc)
is related to(pc).
Given a functionA (x, y),
define for nota-tional convenience
Let now
A (x, y )
be a measurable function such thatThe functions
A (x, y)
with theseproperties
define the classf2,,,,
of
integral operators.
Theseintegral operators
haveproperty (2.22).
The classf2m
with thenorm 111 A Il 12.
is a Banachalgebra,
and
We will
only
prove, for m = 3, the essentialinequality
for any
f
eL2(X).
Withfo(x)
::=If(0153)1 we
haveIn
fact,
one should readintegrals,
like in eq.(2.29),
for the normsand inner
products. Going
over to theadjoint operator
then meanschanging
the order ofintegration,
which isjustified
because ofthe absolute convergence of the
integrals.
The
proofs
for other numbers mproceed
in the same way. The furtherproperties
of the classesf2m
areproved by
the methodsgiven
in the lemmas 2.1 and 2.2.With the remarks 2 and 3 it will be
clear,
that the Fredholmtheory
forintegral equations, given
in section 3.5, can be extended to the case, that K is anintegral operator belonging
tof2m’
Acknowledgements
The work described in this paper is
part
of the research program of the "Foundation for Fundamental Research on Matter"(F.O.M.),
which isfinancially supported by
the "NetherlandsOrganization
for Pure Research"(Z.W.O.).
The author wishesto thank Prof. Clasine van Winter for her interest in the
problem,
which
greatly
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