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Franciszek Hugon Szafraniec a

a

Instytut Matematyki, Uniwersytet Jagielloński, ul, 30 348 Kraków, Poland

To cite this Article Hugon Szafraniec, Franciszek(2009) 'Decomposing numerical ranges along with spectral sets', Linear

and Multilinear Algebra, 57: 5, 431 — 437

To link to this Article: DOI: 10.1080/03081080902899085

URL: http://dx.doi.org/10.1080/03081080902899085

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Linear and Multilinear Algebra

Vol. 57, No. 5, July 2009, 431–437

Franciszek Hugon Szafraniec*

Communicated by C.-K. Li

(Received 30 November 2008; final version received 2 March 2009)

This note is to indicate the new sphere of applicability of the method developed by

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Mlak (W. Mlak, Partitions of spectral sets, Ann. Polon. Math. 25 (1971),

pp. 281–288) as well as by the author. Restoring those ideas is summoned by

current developments concerning K-spectral sets on numerical ranges.

Keywords: K-spectral set; numerical range; function algebra; set of antisymmetry;

Gleason part; F. and M. Riesz theorem; elementary spectral measure; similarity;

orthogonal decomposition; contraction; C operators

AMS Subject Classifications: primary 47A12; 47A25; secondary 47A60; 46J10

1. Introduction

The decomposition of numerical ranges the title refers to is ([13], p. 42)

WðA BÞ ¼ convðWðAÞ [ WðBÞÞ; ð1Þ

which can be proved for any two Hilbert space operators A and B. The other

decomposition is that of the spectrum of a function algebra related to a Hilbert space

operator. These are the two leading topics of the current article.

Here X stands always for a compact subset of C and C(X) does for the algebra of all

continuous functions on X, with the supremum norm. Denote by R(X) the closure in C(X)

of the algebra of all rational functions with poles off X. The spectrum1 X of R(X), that is

the set of all the characters (¼non-trivial multiplicative functionals) of R(X), can be

identified with X itself via the evaluation functionals (which are apparently characters)

def

X 3 x ! x 2 X ; x ðuÞ ¼ uðxÞ; u 2 RðXÞ; ð2Þ

this mapping is in fact a homeomorphism with respect to the topologies: this of C and that

of the – weak topology of RðXÞ0 , the topological dual (see [19, Proposition 6.28] for

a direct argument2).

*Email: franciszek.szafraniec@im.uj.edu.pl

ß 2009 Taylor & Francis

DOI: 10.1080/03081080902899085

http://www.informaworld.com

432 F. Hugon Szafraniec

according to the above identification, as the corresponding characters x)

Z

x ðuÞ ¼ uðxÞ ¼ u dx ; u 2 RðXÞ:

X

measure of x then x is called a Choquet point of R(X). All the Choquet points form the

Choquet boundary of R(X) and its closure is just the Shilov boundary of R(X).

Call subset A of X a set of antisymmetry of a function algebra A if, for u in A, u real valued

def

on A implies u is constant on A. Let ujA be the restriction of u to A, AjA ¼ fujA : u 2 Ag.

Then we can restate Bishop’s theorem [4] as

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The collection A of maximal sets of antisymmetry forms a pairwise disjoint, closed covering

of X satisfying

(a) u 2 CðXÞ and ujA 2 AjA for every A 2 A imply u 2 A;

(b) AjA is closed in C(A), A 2 A.

An additional piece of information we are going to use here comes from [11] (see also

[9, Chapter II, Theorem 12.7] for more explicit exposition).

THEOREM 2 Every maximal set of antisymmetry A is an intersection of peak sets. A is an

intersection of peak set if and only if ? A implies jA ? A.

Due to the identification established by (2) X considered as the spectrum of R(X)

decomposes disjointly into the sets, called the Gleason parts of R(X), according to the

relation3 kx1 x2 k 5 2, x1 ; x2 2 X with the norm being that of RðXÞ0 ; this relation turns

out to be an equivalence, cf [10]. The crucial point is that if x1 and x2 are in the same

Gleason part then there are measures 1 and 2 on representing these points and such

that c2 1 and c1 2 with some 0 5 c 5 1, see [5]. This allows us to think of complex

measures absolutely continuous with respect to a Gleason part G, in short G-continuous.

Denote by G a G-continuous part of with respect to a Gleason part G. Let ðG Þ be

the collection of all Gleason parts of R(X). It is known from [12] (see also [9, ChapterVI,

Theorem 3.4]) that

THEOREM 3 Suppose X C is compact. Then

(i) for every 2 MðXÞ there exists a unique 0 2 MðXÞ and a sequence ðn Þ such that

X

¼ þ 0

n Gn

(ii) G and 0 are in A? provided so is ;

(iii) G ? G ¼ 0 if 6¼ and G ? G0 ¼ 0 for all .

Linear and Multilinear Algebra 433

What relates Gleason parts to pick points is [9, Chapter VI, Theorem 3.1].

THEOREM 4 If fxg, x 2 X, is a peak set for R(X) then the Gleason part which contains x

has a positive planar Lebesque measure.

An algebra homomorphism of R(X) into BðHÞ, the algebra of all bounded linear

operators on a Hilbert space H, is called a representation of R(X) on H if it is bounded and

ð1Þ ¼ I. It follows from the Hahn–Banach theorem and Riesz representation theorem

that for every f; g 2 H there a complex measure f;g such that

Z

hðuÞ f, gi ¼ u df;g ; u 2 RðXÞ;

X

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kf;g k kkkfkkgk:

Call any system ff;g gf;g2H that of elementary spectral measure of ; we refer also to the

system ff;g gf;g2H as elementary measures of the operator

def

T ¼ ðu1 Þ where u1 ðzÞ ¼ z on X: ð3Þ

With notation u1 ðzÞ ¼ z one can show immediately that the spectrum sp(T) of

def

T ¼ ðu1 Þ is contained in X.

Given a bounded projection (¼idempotent) Q on M(X), the dual of C(X). We say that

Q has the property R, after F. and M. Riesz, if

ð4Þ

uQ ¼ QðuÞ; u 2 CðXÞ; 2 MðXÞ:

The important observation (see [22], p. 102 and more in Section 3 of [20]) is that for

a system Q of commuting projections having the property R so does any member of the

Boolean algebra BðQÞ of projections the system generates.

For a system ff;g gf;g of elementary spectral measures of a representation one may try

to define a representation Q by

Z

def

hQ ðuÞ f; gi ¼ u dQf;g ; u 2 RðXÞ; f; g 2 H:

X

def

If the projection Q has the property R, then Q is uniquely determined and PQ ¼ Q ð1Þ is

a projection in BðHÞ such that

def

Q is a representation of R ðXÞ on HQ ¼ PQ H;

PQ1 PQ2 ¼ PQ2 PQ1 ¼ 0 if Q1 and Q2 are such with Q1 Q2 ¼ Q2 Q1 ¼ 0;

if kk ¼ 1 the projections PQ are orthogonal:

Call Q the Q-part of ; this definition applies to the operator T ¼ ðu1 Þ as well.

Referring to the above let us restate Theorem 5.3 of [22] as follows.4

434 F. Hugon Szafraniec

commuting projections having the property R and fQ g BðQÞ is composed of

projections such that Q Q ¼ 0 for 6¼ then there exists S 2 BðHÞ with S1 2 BðHÞ

such that

M

S1 ðuÞS ¼ ðuÞ 0 ðuÞ; u 2 RðXÞ; ð5Þ

V

where is the Q-part of and 0 is the ðI Q Þ-part of (the latter refers to the

Boolean operation in BðQÞ.

When is contractive, all the projections PQ become contractive as well and there is no

need to look for any similarity S; this was developed in [15] where a dilation free extension

of results of [18] is treated, for some application to subnormal operators see [14]. There is

one more instance when the same effect appears, see [21].

Downloaded By: [Universidad Publica de Navarra] At: 10:07 11 May 2010

THEOREM 6 Under the assumptions of Theorem 5 the operator S appearing there can be

chosen to be the identity operator provided there exists a system ff;g gf;g of elementary

spectral measures of such that

the measures f ;f ; f 2 H; are real, ð6Þ

It is clear that the above happens because, due to (6) and (7), all the projections PQ

involved become selfadjoint. Notice also that, under these circumstances the result may be

applicable to, the condition (7) is automatically satisfied.

Given K 4 0, call a compact set X C a K-spectral set of T 2 BðHÞ

kuðT Þk K supz2X juðzÞj; for all rational functions u with poles off X:

If K can be chosen to be 1 call X a von Neumann spectral set of T. Moreover, if for X and T

there is K such that X is a K-spectral set of T, we say that X is just a spectral set of T 5.

Von Neumann’s celebrated theorem says that the unit disc is a von Neumann spectral

set for a contraction. In fact, positive results in the matter compete with negative ones;

mostly because the number one candidate as spectrum of an operator, with all its possible

oddities like holes, gives real trouble. It seems that spectral sets (or one may prefer

K-spectral sets) in fact involve two parameters X and K and this opens the doors to

some activity, which has been done for a long time, including for those who like to

optimize.

One of the results we have just had in mind is this [8] which follows. It is in a sense

far-reaching.6

THEOREM 7 Let T be an operator on a Hilbert space and X be a bounded convex subset of C

containing WðTÞ. Then X is a spectral set of T.

Linear and Multilinear Algebra 435

THEOREM 8 Let X be as in Theorem 7 and assume that it has a piecewise C1 boundary @X.

Denote by Cð@XÞ the space of continuous functions on @X endowed with the uniform norm.

Under the assumptions of Theorem 7, there exists a continuous linear operator S on Cð@XÞ

and a semispectral measure F on @X such that

Z

uðTÞ ¼ Su dF

@X

A few years later the above theorem was subsumed by Putinar and Sandberg [17] into

the double layer potential theory of Carl Neumann, which resulted in a kind of normal

dilation theorem. The latter can be read as follows.

THEOREM 9 Let T be a bounded linear operator in a Hilbert space H and let X be a compact

convex set which contains the numerical range of T. Then there exists a normal operator

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N 2 BðKÞ, acting on a larger space K, with spectrum on the curve @X, such that:

uðTÞ ¼ 2P½ðI þ KÞ1 uðNÞP ð8Þ

for any function u continuous on X and harmonic in the interior of X. Here P is the

orthogonal projection of K onto H and the linear continuous transformation

K : C ð@XÞ ! C ð@XÞ is the classical Neumann–Poincare singular integral operator.

Therefore, the relation between Theorems 8 and 9 is in

S ¼ 2½ðI þ KÞ1 :

We set up Theorem 9 into further inquiry ending in a little lemma. For any f 2 H there is

a unique measure f such that

Z

u df ¼ h2P½ðI þ KÞ1 uðNÞPf, fi:

@X

Proof Just a couple of words for the proof: as the Neumann–Poincaré integral operator

of Cð@XÞ into itself, which really K is, maps real functions into real themselves, the whole

argument with Neumann series for ðI þ KÞ1 from the very bottom of p. 348 of [17] (after

Theorem 1 therein) applied to a real u makes therefore the measures f real. g

Remark 11 In [21] a generalization of -dilatability was proposed, very much in flavour of

(8). It was designed to generate real elementary measures like C operators do.

Notice that either from Theorem 7 or from Theorem 9, depending on the kind of

assumption on X one wants to impose, it follows that X is a spectral set of T. Consequently

T generates a representation, say , of R(X), according to (3).

Now we are in a position to state our decomposition result.

THEOREM 12 Suppose T 2 BðHÞ and X C are as in Theorem 9 and there is a system of

elementary spectral measures of T such that (6) holds. Suppose Q is a system of commuting

436 F. Hugon Szafraniec

projections having the property R, satisfying (4) and (7) and fQ g BðQÞ is composed of

projections such that Q Q ¼ 0 for 6¼ then there exists a system fS g [ fS0 g of

def def

similarities in H ¼ P H and H0 ¼ P0 H such that

M

ðuÞ ¼ S1 1

ðuÞS S0 0 ðuÞS0 ; u 2 RðXÞ; ð9Þ

V

where S1 1

S is the Q-part of and S0 0 S0 is the ðI Q Þ-part of .

The representations and 0 are contractive.

Proof The only thing which requires some explanation is appearance of the similarities

S and S0. The representations and 0 which can be got from (9) with S ¼ I according

to Theorem 6, or rather the corresponding operators T ¼ ðu1 Þ and T0 ¼ 0 ðu1 Þ have

their numerical ranges contained in X as well; this is due to (1). Theorem 2 of [6] tells us

that each of those T ¼ ðu1 Þ0 s as well as T0 ¼ 0 ðu1 Þ are completely bounded. Now an

Downloaded By: [Universidad Publica de Navarra] At: 10:07 11 May 2010

Notice that one of the new ingredients in Theorem 12 compared to what is in [21] is the

appearance of similarities within the orthogonal decomposition, or in other words, a kind of

diagonalization with respect to the aforesaid orthogonal decomposition.

The two particular cases we can apply Theorem 12 to are the decompositions determined

by those for sets of antisymmetry (Theorem 1) and Gleason parts (Theorem 3). To state

the relevant results for an operator T which generates the representation is a matter of

necessity. Let us mention only that the assumptions of (4) and (7) to hold can be removed

due to the nature of projections Q involved.

Acknowledgements

This work was partially supported by the MNiSzW grant N201 026 32/1350. The author would like

to acknowledge an assistance of the EU Sixth Framework Programme for the Transfer of

Knowledge ‘Operator theory methods for differential equations’ (TODEQ) # MTKD-CT-2005-

030042.

Notes

1. Pretty often it is known under the name of the maximal ideal space of the algebra.

2. From the monographs on function algebras, we recommend [9] as the most accessible one, also

for missing here terminology; the source [19] has also to be mentioned.

3. A full description of this relation, in the general case of a function algebra, can be found, for

instance in [19, Theorem 3.12], see [4] and [2] for the master results.

4. These results have passed unnoticed because, presumably, the people recognized in the area

have not found it deserving of any attention; even in so authoritative monographs like [16] there

is no mention of it though similarity is one of the leading topics therein; winner takes all!

5. Please notice a little deviation from the standard terminology.

6. Except that in [17], cf. Theorem 9, we ought to mention also (some of) other which come up: [6]

as well as [7], [1] and [3].

Linear and Multilinear Algebra 437

References

[1] C. Badea, M. Crouzeix, and B. Delyon, Convex domains and K-spectral sets, Math. Ann. 252

(2006), pp. 345–365.

[2] H.S. Bear, A geometric characterization of Gleason parts, Proc. Am. Math. Soc. 16 (1965),

pp. 407–412.

[3] B. Beckermann and M. Crouzeix, A lenticular version of a von Neumann inequality, Archiv der

Mathematik 86 (2006), pp. 352–355.

[4] E. Bishop, A generalization of the Stone–Weierstrass theorem, Pacific J. Math. 11 (1961),

pp. 777–783.

[5] E. Bishop, Representing points in a uniform algebra, Bull. Am. Math. Soc. 70 (1964),

pp. 121–122.

[6] M. Crouzeix, Numerical range and functional calculus in Hilbert space, J. Funct. Anal. 244

(2007), pp. 668–690.

[7] M. Crouzeix, A functional calculus based on the numerical range: applications, Linear Multilinear

Alg. 56 (2008), pp. 81–103.

Downloaded By: [Universidad Publica de Navarra] At: 10:07 11 May 2010

[8] B. Delyon and F. Delyon, Generalization of von Neumann’s spectral sets and integral

representation of operators, Bull. Soc. Math. France 127 (1999), pp. 25–41.

[9] T.W. Gamelin, Uniform Algebras, Prentice-Hall Inc, Eaglewood Clifs, NJ, 1969.

[10] A. Gleason, Function algebras, in Seminar on analytic functions. Vol. II, Institute for Advanced

Study, Princeton, New Jersey, 1957, pp. 213–226.

[11] I. Glicksberg, Measures orthogonal to algebras and sets of antisymmetry, Trans. Am. Math. Soc.

105 (1962), pp. 415–435.

[12] I. Glicksberg, The abstract F and M Riesz property, J. Funct. Anal. 1 (1967), pp. 109–122.

[13] K.E. Gustafson and D.K.M. Rao, Numerical Range: The Field of Values of Linear Operators

and Matrices, Springer Verlag, New York, Berlin, Heidelberg, 1997.

[14] R.G. Lautzenheiser, Spectral theory for subnormal operators, Trans. Am. Math. Soc. 255 (1979),

pp. 301–314.

[15] W. Mlak, Partitions of spectral sets, Ann. Polon. Math. 25 (1971), pp. 281–288.

[16] V. Paulsen, Completely Bounded Maps and Operator Algebras, Cambridge Studies in Advanced

Mathematics 78, Cambridge University Press, Cambridge, UK, 2002.

[17] M. Putinar and S. Sandberg, A skew normal dilation on the numerical range of an operator, Math.

Ann. 331 (2005), pp. 345–357.

[18] D. Sarason, On spectral sets having connected complement, Acta Sci. Math. (Szeged) 26 (1965),

pp. 289–299.

[19] I. Suciu, Function algebras, Editura Academiei Republicii Socialiste România, Bucarest, 1973.

[20] F.H. Szafraniec, Decompositions of non-contractive operator valued representations of Banach

algebras, Polish Academy of Sciences, Institute of Mathematics (1971), p. 29, Preprint no 13,

May (this is a well extended version of [22], unpublished; available from the author upon

request).

[21] F.H. Szafraniec, Orthogonal decompositions of non-contractive operator valued representations of

Banach algebras, Bull. Acad. Polon. Sci., Sér. Sci. Math. Astr. et Phys. 19 (1971), pp. 937–940.

[22] F.H. Szafraniec, Decompositions of non-contractive operator valued representations of Banach

algebras, Studia Math. 42 (1972), pp. 97–108.

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