Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem.

Characterizing operators with purely continuo

Math212a0815
Lorchs proof of the spectral theorem.
Shlomo Sternberg

November 20, 2008

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

1 Review.
2 The Riesz-Dunford calculus.
3 Lorchs proof of the spectral theorem.

The point spectrum.

Partition into pure types.
Completion of the proof.
4 Characterizing operators with purely continuous spectrum.

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Gelfands formula for the spectral radius.

The spectral radius of a bounded operator B on a Hilbert space
was defined by
|B|sp := l.u.b.{|z|, z Spec(B)}.
Gelfands formula says that the limit
1

lim kB n k n

exists and the spectral radius of B is given by

1

|B|sp = lim kB n k n .
n

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

The spectral radius of a normal operator T is kT k.

We recall the proof: We first prove that
If T is normal then kT k = kT k.

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

The spectral radius of a normal operator T is kT k.

We recall the proof: We first prove that
If T is normal then kT k = kT k.
Proof.
For any f in our Hilbert space we have
kTf k2 = (Tf , TF ) = (T Tf , f ) = (TT F , F ) =
(T F , T F ) = kT f k2 .

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

We next prove that if T is normal then

kT 2 k = kT k2 .
Proof.
Since kBC k kBkkC k for any pair of bounded operators we know
that kT 2 k kT k2 . To prove the reverse inequality choose f with
kf k = 1 and kTf k kT k . Then
(kT k )2 kTf k2 = (Tf , Tf ) = (T Tf , f ) = (TT f , f )
= (T f , T f ) = kT f k2 kT k2 .
Since f can be chosen with as small as we like, this shows that
kT k2 kT k2 = kT k2 .
Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Completion of the proof that for a normal operator

kT k = |T |sp .
Proof.
k

kT k2 kT k2 = kT k2 implies that kT 2 k = kT k2 for any k

and hence passing to the limit in Gelfands formula
1
|T |sp = limn kT n k n with n = 2k proves that
|T |sp = kT k
when T is normal.

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Definition
We say that the bounded self-adjoint operator C is non-negative
(and we write C 0) if (Cf , f ) 0 for all f H.

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Definition
We say that the bounded self-adjoint operator C is non-negative
(and we write C 0) if (Cf , f ) 0 for all f H.
If A and B are bounded self-adjoint operators we say A B if
AB 0

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Theorem
If A I is a bounded self-adjoint operator then A1 exists and
kA1 k 1

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Theorem
If A I is a bounded self-adjoint operator then A1 exists and
kA1 k 1
For any f H we have, by Cauchy-Schwarz,
kAf kkf k (Af , f ) (f , f ) = kf k2
and so
kAf k kf k
so A is injective, and A1 (defined on the range of A) satisfies
kA1 k 1.

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Theorem
If A I is a bounded self-adjoint operator then A1 exists and
kA1 k 1
For any f H we have, by Cauchy-Schwarz,
kAf kkf k (Af , f ) (f , f ) = kf k2
and so
kAf k kf k
so A is injective, and A1 (defined on the range of A) satisfies
kA1 k 1.
We must show that the range of A is all of H.
Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

The range of A is dense.

If not, there is an f H with 0 = (f , Ag ) = (Af , g ) for all g H
so Af = 0 and hence f = 0.

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

The range of A is dense.

If not, there is an f H with 0 = (f , Ag ) = (Af , g ) for all g H
so Af = 0 and hence f = 0.
The range of A is all of H.
Let g H and choose fn with Afn g . Since
kfn fm k kAfn Afm k we see that {fn } is Cauchy. So fn f
for some f H and hence Af = g . 

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Corollary
If A 0 then Spec(A) [0, ).

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Corollary
If A 0 then Spec(A) [0, ).
Proof.
If > 0 and B is a self-adjoint operator with B I then it
follows the preceding theorem that B 1 exists. Hence (A + I )1
exists, so is in the resolvent set of A for any > 0.

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Theorem
For any self-adjoint transformation A we have
kAk 1 I A I .

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Theorem
For any self-adjoint transformation A we have
kAk 1 I A I .

Proof.
: (Af , f ) kAf kkf k kf k2 so ((I A)f , f ) 0 so A I .
Similarly, A I .

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Theorem
For any self-adjoint transformation A we have
kAk 1 I A I .

Proof.
: (Af , f ) kAf kkf k kf k2 so ((I A)f , f ) 0 so A I .
Similarly, A I .
. Since I A 0 it follows from the preceding corollary that
Spec(A) (, 1] and similarly Spec(A) [1, ) so
Spec(A) [1, 1]. So |A|sp , the spectral radius of A is 1. But
|A|sp = kAk.
Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

An immediate corollary of the theorem is the following: Suppose

that is a real number. Then kA I k  is equivalent to
( )I A ( + )I . So one way of interpreting the spectral
theorem
Z
A=
dE

is to say that for any doubly infinite sequence

< 2 < 1 < 0 < 1 < 2 <
with n and n there is a corresponding Hilbert
space direct sum decomposition
M
H=
Hi
invariant under A and such that the restriction of A to Hi satisfies
i I A|Hi i+1 I .
Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

The decomposition
H=

Hi

is invariant under A and is such that the restriction of A to Hi

satisfies
i I A|Hi i+1 I .
If i := 21 (i + i+1 ) then another way of writing the preceding
inequality is
1
kA|Hi i I k (i+1 i ).
2

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

The Riesz-Dunford calculus.

We will develop this calculus over the next few slides.
Suppose that we have a continuous map z 7 Sz defined on some
open set of complex numbers, where Sz is a bounded operator on
some fixed Banach space and by continuity, we mean continuity
relative to the uniform metric on operators. If C is a continuous
piecewise differentiable (or more generally any rectifiable) curve
lying in this open set, and if t 7 z(t) is a piecewise smooth (or
rectifiable) parametrization of this curve, then the map t 7 Sz(t)
is continuous.

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

The Riemann integral over a curve.

For any partition 0 = t0 t1 tn = 1 of the unit interval we
can form the Cauchy approximating sum
n
X
Sz(ti ) (z(ti ) z(ti1 ).
i=1

The usual proof of the existence of the Riemann integral shows

that this tends to a limit as the mesh becomes more and more
refined and the mesh distance tends to 0. We denote the limit by
Z
Sz dz.
C

This notation is justified because the change of variables formula

for an ordinary integral shows that this value does not depend on
the parametrization, but only on the orientation of C .
Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Applied to the resolvent.

We are going to apply this to Sz = Rz , the resolvent of an

operator, and the main equations we shall use are the resolvent
equation:
Rz Rw = (w z)Rz Rw
and the power series for the resolvent:
Rw = Rz (I + (z w )Rz + (z w )2 Rz2 + ).

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

We proved that the resolvent of a self-adjoint operator exists for all

non-real values of z.
But a lot of the theory goes over for the resolvent
Rz = R(z, T ) = (zI T )1
where T is an arbitrary operator on a Banach space, so long as we
restrict ourselves to the resolvent set, i.e. the set where the
resolvent exists as a bounded operator. So, following Lorch
Spectral Theory we first develop some facts about integrating the
resolvent in the more general Banach space setting (where our
principal application will be to the case where T is a bounded
operator).

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

For example, suppose that C is a simple closed curve contained in

the disk of convergence about z of the above power series for Rw .
Then we can integrate the series term by term. But
Z
(z w )n dw = 0
C

for all n 6= 1 so
Z
Rw dw = 0.
C

By the usual method of breaking any any deformation up into a

succession of small deformations and then breaking any small
deformation up into a sequence of small rectangles we conclude:

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Theorem
If two curves C0 and C1 lie in the resolvent set and are homotopic
by a family Ct of curves lying entirely in the resolvent set then
Z
Z
Rz dz.
Rz dz =
C0

C1

Here are some immediate consequences of this elementary result:

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Liouvilles argument.
Suppose that T is a bounded operator and |z| > kT k. Then
(zI T )1 = z 1 (I z 1 T )1 = z 1 (I + z 1 T + z 2 T 2 + )
exists because the series in parentheses converges in the uniform
metric. In other words, all points in the complex plane outside the
disk of radius kT k lie in the resolvent set of T . From this it
follows that the spectrum of any bounded operator can not be
empty (if the Banach space is not {0}). (Recall the the spectrum
is the complement of the resolvent set.)

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Proof.
Indeed, if the resolvent set were the whole plane, then the circle of
radius zero about the origin would be homotopic to a circle of
radius > kT k via a homotopy lying entirely in the resolvent set.
Integrating Rz around the circle of radius zero gives 0. We can
integrate around a large circle using the above power series. In
performing this integration, all terms vanish except the first which
give 2iI by the usual Cauchy integral (or by direct computation).
Thus 2I = 0 which is impossible in a non-zero vector space.

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Here is another very important (and easy) consequence of the

preceding theorem:
Theorem
Let C be a simple closed rectifiable curve lying entirely in the
resolvent set of T . Then
Z
1
P :=
Rz dz
2i C
is a projection which commutes with T , i.e.
P2 = P

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

and PT = TP.

(1)

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Proof.
Choose a simple closed curve C 0 disjoint from C but sufficiently
close to C so as to be homotopic to C via a homotopy lying in the
resolvent set. Thus
Z
1
Rw dw
P=
2i C 0
and so
2

(2i) P =

Z
Rz dz

C0

Z Z
Rw dw =
C

C0

(Rw Rz )(z w )1 dwdz

where we have used the resolvent equation

Rz Rw = (w z)Rz Rw .
Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

C'

(2i)2 P 2 =

Z
Rz dz

C0

Z Z
Rw dw =

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

C0

(Rw Rz )(z w )1 dwdz.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Z Z

(2i) P =
C

C0

(Rw Rz )(z w )1 dwdz

We write this last expression as a sum of two terms,

Z
Z
Z
Z
1
1
Rw
dzdw
Rz
dwdz.
z

w
z

w
0
0
C
C
C
C
Choose C 0 toR lie entirely inside C . Then the first expression above
is just (2i) C 0 Rw dw while the second expression vanishes, all by
the elementary Cauchy integral of 1/(z w ).

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

We write this last expression as a sum of two terms,

Z
Z
Z
Z
1
1
Rw
dzdw
Rz
dwdz.
z

w
z

w
0
0
C
C
C
C
Choose C 0 toR lie entirely inside C . Then the first expression above
is just (2i) C 0 Rw dw while the second expression vanishes, all by
the elementary Cauchy integral of 1/(z w ).
Thus we get
(2i)2 P 2 = (2i)2 P
or P 2 = P.

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

We write this last expression as a sum of two terms,

Z
Z
Z
Z
1
1
Rw
dzdw
Rz
dwdz.
z

w
z

w
0
0
C
C
C
C
Choose C 0 toR lie entirely inside C . Then the first expression above
is just (2i) C 0 Rw dw while the second expression vanishes, all by
the elementary Cauchy integral of 1/(z w ).
Thus we get
(2i)2 P 2 = (2i)2 P
or P 2 = P. So P is a projection. It commutes with T because it is
an integral whose integrand Rz commutes with T for all z. 
Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

The same argument proves

Theorem
Let C and C 0 be simple closed curves each lying in the resolvent
set, and let P and P 0 be the corresponding projections given by
(1). Then PP 0 = 0 if the curves lie exterior to one another while
PP 0 = P 0 if C 0 is interior to C .

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Let us decompose our Banach space B asB = B 0 B 00 where

B 0 := PB,

B 00 = (I P)B

are the images of the projections P and I P where P is given by

Z
1
Rz dz.
P :=
2i C

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Let us decompose our Banach space B asB = B 0 B 00 where

B 0 := PB,

B 00 = (I P)B

are the images of the projections P and I P where P is given by

Z
1
Rz dz.
P :=
2i C
Each of these spaces is invariant under T and hence under Rz
because PT = TP and hence PRz = Rz P.
For any transformation S commuting with P let us write
S 0 := PS = SP = PSP and S 00 = (I P)S = S(I P) = (I P)S(I P)
so that S 0 and S 0 are the restrictions of S to B 0 and B 00
respectively.
Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

For example, we may consider Rz0 = PRz = Rz P. For x 0 B 0 we

have Rz0 (zI T 0 )x 0 = Rz P(zI TP)x 0 = Rz (zI T )Px 0 = x 0 . In
other words Rz0 is the resolvent of T 0 (on B 0 ) and similarly for Rz00 .
So if z is in the resolvent set for T it is in the resolvent set for T 0
and T 00 .
Conversely, suppose that z is in the resolvent set for both T 0 and
T 00 . Then there exists an inverse A1 for zI 0 T 0 on B 0 and an
inverse A2 for zI 00 T 00 on B 00 and so A1 A2 is the inverse of
zI T on B = B 0 B 00 .

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

So a point belongs to the resolvent set of T if and only if it

belongs to the resolvent set of T 0 and of T 00 . Since the spectrum
is the complement of the resolvent set, we can say that a point
belongs to the spectrum of T if and only if it belongs either to the
spectrum of T 0 or of T 00 :
Spec(T ) = Spec(T 0 ) Spec(T 00 ).
We now show that this decomposition is in fact the decomposition
of Spec(T ) into those points which lie inside C and outside C .

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

So we must show that if z lies exterior to C then it lies in the

resolvent set of T 0 . This will certainly be true if we can find a
transformation A on B which commutes with T and such that
A(zI T ) = P
for then A0 will be the resolvent at z of T 0 . Now
(zI T )Rw = (wI T )Rw + (z w )Rw = I + (z w )Rw
so

Z
1
1
(zI T )
Rw
dw =
2i C
z w
Z
Z
1
1
1
=
dw I +
Rw dw = 0 + P = P.
2i C z w
2i C

We have thus proved:

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

(2)

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Theorem
Let T be a bounded linear transformation on a Banach space and
C a simple closed curve lying in its resolvent set. Let P be the
projection given by
Z
1
P :=
Rz dz
2i C
and
B = B 0 B 00 ,

T = T 0 T 00

the corresponding decomposition of B and of T . Then Spec(T 0 )

consists of those points of Spec(T ) which lie inside C and
Spec(T 00 ) consists of those points of Spec(T ) which lie exterior to
C.

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Relation to Stones formula.

We now begin to have a better understanding of Stones formula:
Suppose A is a self-adjoint operator. We know that its spectrum
lies on the real axis. If we draw a rectangle whose upper and lower
sides are parallel to the axis, and whose vertical sides do not
intersect Spec(A), we would get a projection onto a subspace M of
our Hilbert space which is invariant under A, and such that the
spectrum of A when restricted to M lies in the interval cut out on
the real axis by our rectangle. The problem is how to make sense
of this procedure when the vertical edges of the rectangle might
cut through the spectrum, in which case the integral
Z
1
P :=
Rz dz
2i C
might not even be defined.
Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

The problem is how to make sense of this procedure when the

vertical edges of the rectangle might cut through the spectrum, in
which case the integral
Z
1
P :=
Rz dz
2i C
might not even be defined.

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

The problem is how to make sense of this procedure when the

vertical edges of the rectangle might cut through the spectrum, in
which case the integral
Z
1
P :=
Rz dz
2i C
might not even be defined.
This is resolved by the method of Lorch (the exposition is taken
from his book) which we explain in the next section.

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

The point spectrum.

The point spectrum.

We now let A denote an arbitrary (not necessarily bounded) self
adjoint transformation. We say that belongs to the point
spectrum of A if there exists an x D(A) such that x 6= 0 and
Ax = x. In other words if is an eigenvalue of A. Notice that
eigenvectors corresponding to distinct eigenvalues are orthogonal:
if Ax = x and Ay = y then
(x, y ) = (x, y ) = (Ax, y ) = (x, Ay ) = (x, y ) = (x, y )
implying that (x, y ) = 0 if 6= .
Also, the fact that a self-adjoint operator is closed implies that the
space of eigenvectors corresponding to a fixed eigenvalue is a
closed subspace of H. We let N denote the space of eigenvectors
corresponding to an eigenvalue .
Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

The point spectrum.

Operators with pure point spectrum.

We say that A has pure point spectrum if its eigenvectors span
H, in other words if
M
H=
N i
where the i range over the set of eigenvalues of A. Suppose that
this is the case. Then let
M
M :=
N
<

where this denotes the Hilbert space direct sum, i.e. the closure of
the algebraic direct sum. Let E denote projection onto M .
Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

The point spectrum.

M :=

<

where this denotes the Hilbert space direct sum, i.e. the closure of
the algebraic direct sum. Let E denote projection onto M . Then
it is immediate that the E satisfy the conditions of the spectral
theorem.

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

The point spectrum.

M :=

<

where this denotes the Hilbert space direct sum, i.e. the closure of
the algebraic direct sum. Let E denote projection onto M . Then
it is immediate that the E satisfy the conditions of the spectral
theorem.
We thus have a proof of the spectral theorem for operators with
pure point spectrum.

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Partition into pure types.

Now consider a general self-adjoint operator A, and let

M
H1 :=
N
(Hilbert space direct sum) and set
H2 := H
1.
The space H1 and hence the space H2 are invariant under A in the
sense that A maps D(A) H1 to H1 and similarly for H2 .

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Partition into pure types.

We let P denote orthogonal projection onto H1 so I P is

orthogonal projection onto H2 . We claim that
P[D(A)] = D(A) H1

and

(I P)[D(A)] = D(A) H2 . (3)

Suppose that x D(A). We must show that Px D(A) for then

x = Px + (I P)x is a decomposition of every element of D(A)
into a sum of elements of D(A) H1 and D(A) H2 .

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Partition into pure types.

By definition, we can find an orthonormal basis of H1 consisting of

eigenvectors ui of A, and then
X
Px =
ai ui ai := (x, ui ).
The sum on the right is (in general) infinite. Let y denote any
finite partial sum. Since eigenvectors belong to D(A) we know that
y D(A). We have
(A[x y ], Ay ) = ([x y ], A2 y ) = 0
since x y is orthogonal to all the eigenvectors occurring in the
expression for y . We thus have
kAxk2 = kA(x y )k2 + kAy k2
From this we see (as we let the number of terms in y increase)
that both y converges to Px and the Ay converge. Hence
Px D(A) proving our contention.
Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Partition into pure types.

Let A1 denote the operator A restricted to P[D(A)] = D(A) H1

with similar notation for A2 . We claim that A1 is self adjoint (as is
A2 ). Clearly D(A1 ) := P(D(A)) is dense in H1 , for if there were a
vector y H1 orthogonal to D(A1 ) it would be orthogonal to
D(A) in H which is impossible. Similarly D(A2 ) := D(A) H2 is
dense in H2 .

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Partition into pure types.

Now suppose that y1 and z1 are elements of H1 such that

(A1 x1 , y1 ) = (x1 , z1 ) x1 D(A1 ).
Since A1 x1 = Ax1 and x1 = x x2 for some x D(A), and since
y1 and z1 are orthogonal to x2 , we can write the above equation as
(Ax, y1 ) = (x, z1 )

x D(A)

which implies that y1 D(A) H1 = D(A1 ) and A1 y1 = Ay1 = z1 .

In other words, A1 is self-adjoint. Similarly, so is A2 . We have thus
proved

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Partition into pure types.

Theorem
Let A be a self-adjoint transformation on a Hilbert space H. Then
H = H1 H2 ,
with self-adjoint transformations A1 on H1 having pure point
spectrum and A2 on H2 having no point spectrum such that
D(A) = D(A1 ) D(A2 )
and
A = A1 A2 .

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Partition into pure types.

We have proved the spectral theorem for a self adjoint operator

with pure point spectrum. Our proof of the full spectral theorem
will be complete once we prove it for operators with no point
spectrum.

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Completion of the proof.

In this subsection we will assume that A is a self-adjoint operator

with no point spectrum, i.e. no eigenvalues.
Let < be real numbers and let C be a closed piecewise smooth
curve in the complex plane which is symmetrical about the real
axis and cuts the real axis at non-zero angle at the two points
and (only). Let m > 0 and n > 0 be positive integers, and let
Z
1
(z )m (z )n Rz dz.
(4)
K (m, n) :=
2i C
In fact, we would like to be able to consider the above integral
when m = n = 0, in which case it should give us a projection onto
a subspace where I A I . But unfortunately if or belong
to Spec(A) the above integral need not converge with m = n = 0.
Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Completion of the proof.

1
K (m, n) :=
2i

(z )m (z )n Rz dz.

(4).

Unfortunately if or belong to Spec(A) the above integral need

not converge with m = n = 0. However we do know that
kRz k (|im z|)1 so that the blow up in the integrand at and
is killed by (z )m and ( z)n when m 1 and n 1 since the
curve makes non-zero angle with the real axis. Since the curve is
symmetric about the real axis, the (bounded) operator K (m, n)
is self-adjoint. Furthermore, modifying the curve C to a curve C 0
lying inside C , again intersecting the real axis only at the points
and and having these intersections at non-zero angles does not
change the value: K (m, n).

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Completion of the proof.

1
K (m, n) :=
2i

(z )m (z )n Rz dz.

(4).

Unfortunately if or belong to Spec(A) the above integral need

not converge with m = n = 0. However we do know that
kRz k (|im z|)1 so that the blow up in the integrand at and
is killed by (z )m and ( z)n when m 1 and n 1 since the
curve makes non-zero angle with the real axis. Since the curve is
symmetric about the real axis, the (bounded) operator K (m, n)
is self-adjoint. Furthermore, modifying the curve C to a curve C 0
lying inside C , again intersecting the real axis only at the points
and and having these intersections at non-zero angles does not
change the value: K (m, n).
We will now prove a succession of facts about K (m, n):
Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Completion of the proof.

K (m, n) K (m0 , n0 ) = K (m + m0 , n + n0 ).

(5)

Proof.
Calculate the product using a curve C 0 for K (m0 , n0 ) as indicated
above. Then use the functional equation for the resolvent and
Cauchys integral formula exactly as in the proof of the Theorem
about projections that we proved before :
(2i)2 K (m, n) K (m0 , n0 ) =
Z Z
1
0
0
[Rw Rz ]dzdw
(z )m ( z)n (w )m ( w )n
z w
C C0
which we write as a sum of two integrals, the first giving
(2i)2 K (m + m0 , n + n0 ) and the second giving zero.
Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Completion of the proof.

A similar argument (similar to the proof of the Theorem about

curves exterior to each other) shows that
K (m, n) K0 0 (m0 , n0 ) = 0 if (, ) (0 , 0 ) = .

(6)

Proposition
There exists a bounded self-adjoint operator L (m, n) such that
L (m, n)2 = K (m, n).

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Completion of the proof.

Proof.
The function z 7 (z )m/2 ( z)n/2 is defined and holomorphic
on the complex plane with the closed intervals (, ] and [, )
removed. The integral
Z
1
L (m, n) =
(z )m/2 ( z)n/2 Rz dz
2i C
is well defined since, if m = 1 or n = 1 the singularity is of the
1
form |im z| 2 at worst, which is integrable. Then the proof of (5)
applies to prove the proposition.

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Completion of the proof.

For each non-real z we know that Rz x D(A). Hence

(A I )Rz x = (A zI )Rz x + (z )Rz x = x + (z )Rz x.
By writing the integral defining K (m, n) as a limit of
approximating sums, we see that (A I )K (m, n) is defined and
that it is given by the sum of two integrals, the first of which
vanishes (by Cauchys theorem) and the second gives
K (m + 1, n).
We have thus shown that K (m, n) maps H into D(A) and
(A I )K (m, n) = K (m + 1, n).

(7)

(I A)K (m, n) = K (m, n + 1).

(8)

Similarly

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Completion of the proof.

We also have
(x, x) (Ax, x) (x, x) for x im K (m, n).
Proof.
We have

([A I ]K (m, n)y , K (m, n)y )

=

(K (m + 1, n)y , K (m, n)y )

(K (m, n)K (m + 1, n)y , y )

(K (2m + 1, 2n)y , y )

(L (2m + 1, 2n)2 y , y )

(L (2m + 1, 2n)y , L (2m + 1, 2n)y ) 0.

A I on im K (m, n).
A similar argument shows that A I there.
Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

(9)

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Completion of the proof.

Thus if we define M (m, n) to be the closure of im K (m, n) we

see that A is bounded when restricted to M (m, n) and
I A I
there.
We let N (m, n) denote the kernel of K (m, n) so that
M (m, n) and N (m, n) are the orthogonal complements of one
another.

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Completion of the proof.

Thus if we define M (m, n) to be the closure of im K (m, n) we

see that A is bounded when restricted to M (m, n) and
I A I
there.
We let N (m, n) denote the kernel of K (m, n) so that
M (m, n) and N (m, n) are the orthogonal complements of one
another.
So far we have not made use of the assumption that A has no
point spectrum. Here is where we will use this assumption:

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Completion of the proof.

Since
(A I )K (m, n) = K (m + 1, n)
we see that if K (m + 1, n)x = 0 we must have
(A I )K (m, n)x = 0 which, by our assumption implies that
K (m, n)x = 0. In other words,
Proposition
The space N (m, n), and hence its orthogonal complement
M (m, n) is independent of m and n.

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Completion of the proof.

Since
(A I )K (m, n) = K (m + 1, n)
we see that if K (m + 1, n)x = 0 we must have
(A I )K (m, n)x = 0 which, by our assumption implies that
K (m, n)x = 0. In other words,
Proposition
The space N (m, n), and hence its orthogonal complement
M (m, n) is independent of m and n.
We will denote the common space M (m, n) by M . We have
proved that A is a bounded operator when restricted to M and
satisfies
I A I on M
there.
Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Completion of the proof.

We now claim
Proposition
If < < then

M = M M .

(10)

Proof.
Let C denote the rectangle of height one parallel to the real axis
and cutting the real axis at the points and . Use similar
notation to define the rectangles C and C .

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Completion of the proof.

Consider the integrand

Sz := (z )(z )(z )Rz
and let
T

1
:=
2i

Z
Sz dz
C

with similar notation for the integrals over the other two rectangles
of the same integrand. Then clearly
T = T + T

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

and T T = 0.

(11)

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Completion of the proof.

T = T + T

and T T = 0. (11).

Also, writing zI A = (z )I + (I A) we see that

(I A)K (1, 1) = T
Since A has no point spectrum, the closure of the image of T is
the same as the closure of the image of K (1, 1), namely M .
The proposition now follows from (11). 

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Completion of the proof.

If < < then

M = M M .(10).

If we now have a doubly infinite sequence as in our reformulation

of the spectral theorem, and we set Mi := Mi i+1 we have proved
the spectral theorem (in the no point spectrum case - and hence in
the general case) if we show that
M
Mi = H.
In view of (10) it is enough to prove that the closure of the limit of
Mrr is all of H as r , or, what amounts to the same thing, if
y is perpendicular to all Krr (1, 1)x then y must be zero.
Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Completion of the proof.

Now
(Krr (1, 1)x, y ) = (x, Krr (1, 1)y )
so we must show that if Krr y = 0 for all r then y = 0. Now
Z
Z
1
1
(z + r )(r z)Rz dz =
(z 2 r 2 )Rz
Krr =
2i C
2i
where we may take C to be the circle of radius r centered at the
origin. We also have
Z 2
1
r z2
1=
dz.
2ir 2 C
z
So
y=

1
2ir 2

Z
C

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

(r 2 z 2 )[z 1 I Rz ]dz y .

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Completion of the proof.

1
y=
2ir 2

(r 2 z 2 )[z 1 I Rz ]dz y .

Now (zI A)Rz = I so ARz = I zRz or

z 1 I Rz = z 1 ARz
so (pulling the A out from under the integral sign) we can write
the above equation as
Z
1
y = Agr where gr =
(r 2 z 2 )z 1 Rz dz y .
2ir 2 C

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Completion of the proof.

y = Agr

where gr =

On C we have z =
hence

re i

so

z2

1
2ir 2
=

C
2
2i
r e

(r 2 z 2 )z 1 Rz dz y .
= r 2 (cos 2 + i sin 2) and

z 2 r 2 = r 2 (cos 2 1 + i sin 2) = 2r 2 ( sin2 + i sin cos ).

Now kRz k |r sin |1 so we see that
k(z 2 r 2 )Rz k 4r .
Since |z 1 | = r 1 on C , we can bound kgr k by
kgr | (2r 2 )1 r 1 4r 2r ky k = 4r 1 ky k 0
as r . Since y = Agr and A is closed (being self-adjoint) we
conclude that y = 0. This concludes Lorchs proof of the spectral
theorem.
Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Suppose that A is a self-adjoint operator with only continuous

spectrum. Let
E := P((, ))
be its spectral resolution. For any H the function
7 (E , )
is continuous. It is also a monotone increasing function of . For
any  > 0 we can find a sufficiently negative a such that
|(Ea , )| < /2 and a sufficiently large b such that
kk2 (Eb , ) < /2. On the compact interval [a, b] any
continuous function is uniformly continuous. Therefore the
function 7 (E , ) is uniformly continuous on R.
Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Now let and be elements of H and consider the product

measure
d(E , )d(E , )
on the plane R2 , the , plane.
Lemma
The diagonal line = has measure zero relative to the above
product measure.

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Proof.
We may assume that 6= 0. For any  > 0 we can find a > 0
such that

(E+ , ) E , ) <
kk2
for all R. So
Z

d(E , )
R

d(E , ) < .

This says that the measure of the band of width about the
diagonal has measure less that . Letting shrink to 0 shows that
the diagonal line has measure zero.

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

We can restate this lemma more abstractly as follows: Consider the

(the completion of the tensor product H H).
Hilbert space HH
The E and E determine a projection valued measure Q on the

plane with values in HH.

The spectral measure associated with
the operator A I I A is then F := Q({(, )| < }).
So an abstract way of formulating the lemma is
Proposition
A has only continuous spectrum if and only if 0 is not an

eigenvalue of A I I A on HH,

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

We can restate this lemma more abstractly as follows: Consider the

(the completion of the tensor product H H).
Hilbert space HH
The E and E determine a projection valued measure Q on the

plane with values in HH.

The spectral measure associated with
the operator A I I A is then F := Q({(, )| < }).
So an abstract way of formulating the lemma is
Proposition
A has only continuous spectrum if and only if 0 is not an

eigenvalue of A I I A on HH,
We may make use of this fact if and when we study the relation
between the continuous spectrum and scattering states in quantum
mechanics.
Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.

Outline Review. The Riesz-Dunford calculus. Lorchs proof of the spectral theorem. Characterizing operators with purely continuo

Shlomo Sternberg
Math212a0815 Lorchs proof of the spectral theorem.