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 Provisional chapter

Nonnegative Inverse Eigenvalue Problem

Ricardo L. Soto

Additional information is available at the end of the chapter

http://dx.doi.org/10.5772/48279

. Introduction

Nonnegative matrices have long been a sorce of interesting and challenging mathematical
problems. They are real matrices with all their entries being nonnegative and arise in a num‐
ber of important application areas communications systems, biological systems, economics,
ecology, computer sciences, machine learning, and many other engineering systems. Inverse
eigenvalue problems constitute an important subclass of inverse problems that arise in the
context of mathematical modeling and parameter identification. A simple application of
such problems is the construction of Leontief models in economics [ ]-[ ].

The nonneμative inverse eiμenvalue problem NIEP is the problem of characterizing those lists
Λ = { , , ..., n } of complex numbers which can be the spectra of n × n entrywise nonnega‐
tive matrices. If there exists a nonnegative matrix A with spectrum Λ we say that Λ is realiz‐
ed by A and that A is the realizing matrix. A set K of conditions is said to be a realizability
criterion if any list Λ = { , , ..., n }, real or complex, satisfying conditions K is realizable.
The NIEP is an open problem. A full solution is unlikely in the near future. The problem has
only been solved for n = by Loewy and London [ ], and for n = by Meehan [ ],
and Torre-Mayo et al. [ ], . The case n = has been solved for matrices of trace
zero in [ ], . Other results, mostly in terms of sufficient conditions for the problem to
have a solution in the case of a complex list Λ , have been obtained, in chronological order,
in [ ]-[ ].

Two main subproblems of the NIEP are of great interest the real nonneμative inverse eiμenval‐
ue problem RNIEP , in which Λ is a list of real numbers, and the symmetric nonneμative inverse
eiμenvalue problem SNIEP , in which the realizing matrix must be symmetric. Both problems,
RNIEP and SNIEP are equivalent for n ≤ see [ ] , but they are different otherwise see
[ ] . Moreover, both problems remains unsolved for n ≥ . The NIEP is also of interest for

© 2012 Soto; licensee InTech. This is an open access article distributed under the terms of the Creative
Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use,
distribution, and reproduction in any medium, provided the original work is properly cited.
2 Linear Algebra

nonnegative matrices with a particular structure, like stochastic and doubly stochastic, circu‐
lant, persymmetric, centrosymmetric, Hermitian, Toeplitz, etc.

The first sufficient conditions for the existence of a nonnegative matrix with a given real
spectrum RNIEP were obtained by Suleimanova [ ], and Perfect [ ], [ ],
and . Other sufficient conditions have also been obtained, in chronological order in
[ ]-[ ], see also [ ], [ ], and references therein for a comprehensive survey .

The first sufficient conditions for the SNIEP were obtained by Fiedler [ ], . Other re‐
sults for symmetric realizability have been obtained in [ ], [ ] and [ ]-[ ]. Recently, new
sufficient conditions for the SNIEP have been given in [ ]-[ ].

. . Necessary conditions

Let A be a nonnegative matrix with spectrum Λ = { , , ..., n }. Then, from the Perron Fro‐
benius theory we have the following basic necessary conditions

Λ̄ = { ¯ , ..., ¯n } = Λ
max j {| j |} ∈ Λ
id
n
m
sm Λ = ∑ j ≥ , m = , , ...,
j=

where Λ̄ = Λ means that Λ is closed under complex comjugation.

Moreover, we have

sk Λ m ≤ n m- skm Λ , k , m = , , ...
id
s Λ ≤ n- s Λ, n odd, tr A = .

Necessary condition is due to Loewy and London [ ]. Necessary condition , which is

a refinement of , is due to Laffey and Meehan [ ]. The list Λ = { , , - , - , - } for in‐
stance, satisfies all above necessary conditions, except condition . Therefore Λ is not a re‐
alizable list. In [ ] it was obtained a new necessary condition, which is independent of the
previous ones. This result is based on the Newton's inequalities associated to the normalized
coefficients of the characteristic polynomial of an M-matrix or an inverse M-matrix.

The chapter is organized as follows In section we introduce two important matrix results,
due to Brauer and Rado, which have allowed to obtain many of the most general sufficient
conditions for the RNIEP, the SNIEP and the complex case. In section we consider the real
case and we introduce, without proof we indicate where the the proofs can be found , two
sufficient conditions with illustrative examples. We consider, in section , the symmetric
case. Here we introduce a symmetric version of the Rado result, Theorem ▭, and we set,
without proof see the appropriate references , three sufficient conditions, which are, as far
as we know, the most general sufficient conditions for the SNIEP. In section , we discuss
 Nonnegative Inverse Eigenvalue Problem 3
http://dx.doi.org/10.5772/48279

the complex non real case. Here we present several results with illustrative examples. Sec‐
tion is devoted to discuss some Fiedler results and Guo results, which are very related
with the problem and have been employed with success to derive sufficient conditions. Fi‐
nally, in section , we introduce some open questions.

. Brauer and Rado Theorems

A real matrix A = aij n is said to have constant row sums if all its rows sum up to the same
i=
constant, say, , that is, n aij = , i = , ..., n. The set of all real matrices with constant row
j=
sums equal to is denoted by . It is clear that any matrix in has eigenvector
= , , ..., T corresponding to the eigenvalue . Denote by k the n - dimensional vector
with one in the k - th position and zeros elsewhere.

It is well known that the problem of finding a nonnegative matrix with spectrum
Λ = { , ..., n } is equivalent to the problem of finding a nonnegative matrix in with spec‐
trum Λ see [ ] . This will allow us to exploit the advantages of two important theorems,
Brauer Theorem and Rado Theorem, which will be introduced in this section.

The spectra of circulant nonnegative matrices have been characterized in [ ], while in [ ],

a simple complex generalization of Suleimanova result has been proved, and efficient and
general sufficient conditions for the realizability of partitioned spectra, with the partition al‐
lowing some of its pieces to be nonrealizable, provided there are other pieces, which are re‐
alizable and, in certain way, compensate the nonnrealizability of the former, have been
obtained. This is the procedure which we call neμativity compensation. This strategy, based in
the use of the following two perturbation results, together with the properties of real matri‐
ces with constant row sums, has proved to be successful.

Theorem Brauer [ ] Let A be an n × n arbitrary matrix with eiμenvalues , ..., n. Let

= v , ..., vn T an eiμenvector oλ A associated with the eiμenvalue and let = q , ..., qn T be any n-
k
T
dimensional vector. Then the matrix A + has eiμenvalues , ..., k- , k + v T q, k+ , ..., n.

Let U be an n × n nonsingular matrix such that

* ⋯ *
⋱ ⋮
U - AU =
⋱ *
n

is an upper triangular matrix, where we choose the first column of U as U there exists
from a well known result of Schur . Then,
4 Linear Algebra

T
+ * ⋯ *

T
q q ⋯ qn ⋱ ⋮
U- A+ U = U - AU + U = .
⋱ *
n

and the result follows.

This proof is due to Reams [ ].
Theorem Rado [ ] Let A be an n × n arbitrary matrix with eiμenvalues , ..., n and let
Ω = diaμ { , ..., r } λor some r ≤ n. Let X be an n × r matrix with rank r such that its columns
x , x , ..., xr satisλy Axi = i xi , i = , ..., r. Let C be an r × n arbitrary matrix. Then the matrix
A + XC has eiμenvalues , ..., r, r+ , ..., n, where , ..., r are eiμenvalues oλ the matrix
Ω + CX .

Let S = X ∣ Y a nonsingular matrix with S - = UV . Then UX = I r , VY = I n-r and VX = ,

UY = . Let C = C ∣ C , X = X X , Y = Y Y . Then, since AX = XΩ,

Ω UAY
S - AS = UV XΩ ∣ AY =
VAY

and

C C X Y CX CY
S - XCS = Ir C ∣ C S = = .
X Y

Thus,

Ω + CX UAY + CY
S - A + XC S = S - AS + S - XCS = ,
VAY

and we have σ A + XC = σ Ω + CX + σ A - σ Ω .

. Real nonnegative inverse eigenvalue problem.

Regarding the RNIEP, by applying Brauer Theorem and Rado Theorem, efficient and gener‐
al sufficient conditions have been obtained in [ ], [ ], [ ], [ ].
Theorem [ ] Let Λ = { , , ..., n } be a given list of real numbers. Suppose that
i There exists a partition Λ = Λ ∪ ... ∪ Λt , where
 Nonnegative Inverse Eigenvalue Problem 5
http://dx.doi.org/10.5772/48279

Λk = { k , k , ... k pk }, = , k ≥ ⋯ ≥ k pk , k ≥ ,

k = , ..., t, such that for each sublist Λk we associate a corresponding list

Γk = {ωk , k , ..., k pk }, ≤ ωk ≤ ,

which is realizable by a nonnegative matrix Ak ∈ CSωk of order pk .

ii There exists a nonnegative matrix B ∈ CS with eigenvalues , , ..., t the first ele‐
ments of the lists Λk and diagonal entries ω , ω , ..., ωt the first elements of the lists Γk .

Then Λ is realizable by a nonnegative matrix A ∈ CS .

Perfect [ ] gave conditions under which , , ..., t and ω , ω , ..., ωt are the eigenvalues
and the diagonal entries, respectively, of a t × t nonnegative matrix B ∈ CS . For t = it is
necessary and sufficient that + = ω + ω , with ≤ ωi ≤ . For t = Perfect gave the fol‐
lowing result

Theorem [ ] The real numbers , , and ω , ω , ω are the eigenvalues and the diago‐
nal entries, respectively, of a × nonnegative matrix B ∈ CS , if and only if

i ≤ ωi ≤ , i= , ,
ii + + =ω +ω +ω
id
iii + + ≤ω ω +ω ω +ω ω
iv maxk ωk ≥

Then, an appropriate × nonnegative matrix B is

ω -ω
B= -ω - p ω p , id
-ω ω

where

p= ω ω +ω ω +ω ω - + + .
-ω

For t ≥ , we only have a sufficient condition

6 Linear Algebra

i ≤ ωk ≤ , k = , , ...t,
ii ω + ω ⋯ + ωt = + ⋯ + t, id
iii ωk ≥ k, ω ≥ k, k = , , ..., t,

with the following matrix B ∈ CS having eigenvalues and diagonal entries , , ..., t

and ω , ω , ..., ωt , respectively

ω ω - ⋯ ωr - t
ω - ω ⋯ ωr - t
B= . id
⋮ ⋮ ⋱ ⋮
ω - t ω - ⋯ ωt

Example Let us consider the list Λ = { , , , - , - } with the partition

Λ = { , - }, Λ = { , - }, Λ ={ }

and the realizable associated lists

Γ = { , - }, Γ = { , - }, Γ = { }.

From ▭ we compute the × nonnegative matrix

B=

with eigenvalues , , , and diagonal entries , , . Then

 Nonnegative Inverse Eigenvalue Problem 7
http://dx.doi.org/10.5772/48279

A = +

is nonnegative with spectrum Λ.

A map of sufficient conditions for the RNIEP it was constructed in[ ], There, the sufficient
conditions were compared to establish inclusion or independence relations between them. It
is also shown in [ ] that the criterion given by Theorem ▭ contains all realizability criteria
for lists of real numbers studied therein. In [ ], from a new special partition, Theorem ▭ is
extended. Now, the first element k of the sublist Λk need not to be nonnegative and the
realizable auxiliar list Γk = {ωk , k , ..., k pk } contains one more element. Moreover, the num‐
ber of lists of the partition depend on the number of elements of the first list Λ , and some
lists Λk can be empty.

Theorem [ ] Let Λ = { , , ..., n } be a list of real numbers and let the partition
Λ = Λ ∪ ⋯ ∪ Λ p + be such that

Λk = { k , k , ... k pk }, = , k ≥ k ≥ ⋯ ≥ k pk ,

k = , ..., p + , where p is the number of elements of the list Λ and some of the lists Λk
can be empty. Let ω , ..., ω p + be real numbers satisfying ≤ ωk ≤ , k = , ..., p + . Sup‐
pose that the following conditions hold

i For each k = , ..., p + , there exists a nonnegative matrix Ak ∈ CSωk with spectrum
Γk = {ωk , k , ..., k pk },
ii There exists a p × p nonnegative matrix B ∈ CS , with spectrum Λ and with diagonal
entries ω , ..., ω p + .

Then Λ is realizable by a nonnegative matrix A ∈ CS .

Example With this extension, the authors show for instance, that the list
8 Linear Algebra

{ , , , - , - , - }

is realizable, which can not be done from the criterion given by Theorem ▭. In fact, let the
partition

Λ = { , , , - }, Λ = { - }, Λ = { - } with
Γ = { , - }, Γ = { , - }, Γ = Γ = { }.

The nonnegative matrix

B=

has spectrum Λ and diagonal entries , , , . It is clear that

A =A = realizes Γ = Γ .

Then

A
A
A= + =

has the desired spectrum { , , , - , - , - }.

. Symmetric nonnegative inverse eigenvalue problem

Several realizability criteria which were first obtained for the RNIEP have later been shown
to be symmetric realizability criteria as well. For example, Kellogg criterion [ ] was showed
by Fiedler [ ] to imply symmetric realizability. It was proved by Radwan [ ] that Borobia's
criterion [ ] is also a symmetric realizability criterion, and it was proved in [ ] that Soto's
criterion for the RNIEP is also a criterion for the SNIEP. In this section we shall consider the
most general and efficient symmetric realizability criteria for the SNIEP as far as we know
they are . We start by introducing a symmetric version of the Rado Theorem .
 Nonnegative Inverse Eigenvalue Problem 9
http://dx.doi.org/10.5772/48279

Theorem [ ] Let A be an n × n symmetric matrix with spectrum Λ = { , , ..., n } and

for some r ≤ n, let { , , ..., r } be an orthonormal set of eigenvectors of A spanning the invar‐
iant subspace associated with , , ..., r. Let X be the n × r matrix with i - th column i ,
let Ω = diaμ { , ..., r }, and let C be any r × r symmetric matrix. Then the symmetric matrix
A + XC X T has eigenvalues , , ..., r, r+ , ..., n, where , , ..., r are the eigenval‐
ues of the matrix Ω + C.
Since the columns of X are an orthonormal set, we may complete X to an orthogonal matrix
W = X Y , that is, X T X = I r , Y T Y = I n-r , X T Y = , Y T X = . Then

Ω X T AY
- T T
W AW = X Y A X Y =
Y T AY
C
W - XC X T W = Ir C Ir = .

Therefore,

Ω + C X T AY
W - A + XC X T W =
Y T AY

and A + XC X T is symmetric with eigenvalues , ..., r, r+ , ..., n.

By using Theorem ▭, the following sufficient condition was proved in [ ]

Theorem [ ] Let Λ = { , , ..., n } be a list of real numbers with ≥ ≥ ⋯ ≥ n and,
for some t ≤ n, let ω , ..., ωt be real numbers satisfying ≤ ωk ≤ , k = , ..., t. Suppose
there exists
i a partition Λ = Λ ∪ ⋯ ∪ Λt with

Λk = { k , k , ... k pk }, = , k ≥ , k ≥ k ≥ ⋯ ≥ k pk ,

such that for each k = , ..., t, the list Γk = {ωk , k , ..., k pk } is realizable by a symmetric non‐
negative matrix Ak of order pk , and

ii a t × t symmetric nonnegative matrix B with eigenvalues , , ..., t } and with diago‐

nal entries ω , ω , ..., ωt .

Then Λ is realizable by a symmetric nonnegative matrix.

Since Ak is a pk × pk symmetric nonnegative matrix realizing Γk , then
A = diaμ { A , A , ..., At } is symmetric nonnegative with spectrum Γ ∪ Γ ∪ ⋯ ∪ Γt . Let
10 Linear Algebra

{ , ..., t } be an orthonormal set of eigenvectors of A associated with ω , ..., ωt , respectively.

Then the n × t matrix X with i - th column i satisfies AX = XΩ for Ω = diμ {ω , ..., ωt }.
Moreover, X is entrywise nonnegative, since each i contains the Perron eigenvector of Ai
and zeros. Now, if we set C = B - Ω, the matrix C is symmetric nonnegative and Ω + C has
eigenvalues , ..., t. Therefore, by Theorem ▭ the symmetric matrix A + XC X T has spec‐
trum Λ. Besides, it is nonnegative since all the entries of A, X , and C are nonnegative.

Theorem ▭ not only ensures the existence of a realizing matrix, but it also allows to con‐
struct the realizing matrix. Of course, the key is to know under which conditions does there
exists a t × t symmetrix nonnegative matrix B with eigenvalues , ..., t and diagonal en‐
tries ω , ..., ωt .

The following conditions for the existence of a real symmetric matrix, not necessarily non‐
negative, with prescribed eigenvalues and diagonal entries are due to Horn [ ] There exists
a real symmetric matrix with eiμenvalues ≥ ≥ ⋯ ≥ t and diaμonal entries ω ≥ ω ≥ ⋯ ≥ ωt
iλ and only iλ

t
i=
k
i=
t
i =i=
k
i ≥i=

ωi
ωi , k = , ..., t -
} id

For t = , the conditions ▭ become

≥ω, + =ω +ω ,

and they are also sufficient for the existence of a × symmetric nonnegative matrix B with
eigenvalues ≥ and diagonal entries ω ≥ ω ≥ , namely,

ω -ω -ω
B= .
-ω -ω ω

For t = , we have the following conditions

Lemma [ ] The conditions

}
≥ω
+ ≥ω +ω
id
+ + =ω +ω +ω
ω ≥
 Nonnegative Inverse Eigenvalue Problem 11
http://dx.doi.org/10.5772/48279

are necessary and sufficient for the existence of a × symmetric nonnegative matrix B with
eigenvalues ≥ ≥ and diagonal entries ω ≥ ω ≥ ω ≥ .

In [ ], the following symmetric nonnegative matrix B, satisfying conditions ▭ , it was

constructed

-ω -ω
ω s s
-ω -ω -ω -ω

-ω
B= s ω -ω -ω , id
-ω -ω

-ω
s -ω -ω ω
-ω -ω

where = + -ω s = - -ω .

For t ≥ we have only a sufficient condition

Theorem Fiedler [ ] If ≥ ⋯ ≥ t and ω ≥ ⋯ ≥ ωt satisfy

}
s
i s
i ≥i= ωi , s = , ..., t -
i=
t id
ii t
i =i= ωi ,
i=
iii ωk - ≥ k, k = , ..., t -

then there exists a t × t symmetric nonnegative matrix with eigenvalues , ..., t and diago‐
nal entries ω , ..., ωt .

Observe that

B=

has eigenvalues , , , , but = > =ω.

Example Let us consider the list Λ = { , , , - , - , - } with the partition

12 Linear Algebra

Λ = { , - }, Λ = { , - }, Λ = { , - } with
Γ = { , - }, Γ = { , - }, Γ = { , - }.

We look for a symmetric nonnegative matrix B with eigenvalues , , and diagonal entries
, , . Then conditions ▭ are satisfied and from ▭ we compute

B= and C = B - Ω,

where Ω = diaμ { , , }. The symmetric matrices

A = , A = , A =

realize Γ , Γ , Γ . Then

A
A= A + XC X T , where X = ,
A

is symmetric nonnegative with spectrum Λ.

In the same way as Theorem ▭ was extended to Theorem ▭ in the real case , Theorem ▭
was also extended to the following result

Theorem [ ] Let Λ = { , , ..., n } be a list of real numbers and let the partition
Λ = Λ ∪ ⋯ ∪ Λ p + be such that
 Nonnegative Inverse Eigenvalue Problem 13
http://dx.doi.org/10.5772/48279

Λk = { k , k , ... k pk }, = , k ≥ k ≥ ⋯ ≥ k pk ,

k = , ..., p + , where Λ is symmetrically realizable, p is the number of elements of Λ

and some lists Λk can be empty. Let ω , ..., ω p + be real numbers satisfying ≤ ωk ≤ ,
k = , ..., p + . Suppose that the following conditions hold

i For each k = , ..., p + , there exists a symmetric nonnegative matrix Ak with spectrum
Γk = {ωk , k , ..., k pk },
ii There exists a p × p symmetric nonnegative matrix B with spectrum Λ and with diago‐
nal entries ω , ..., ω p + .

Then Λ is symmetrically realizable.

Example Now, from Theorem ▭, we can see that there exists a symmetric nonnegative ma‐
trix with spectrum Λ = { , , , - , - , - }, which can not be seen from Theorem ▭. More‐
over, we can compute a realizing matrix. In fact, let the partition

Λ = { , , , - }, Λ = { - }, Λ = { - } with
Γ = { , - }, Γ = { , - }, Γ = Γ = { }.

The symmetric nonnegative matrix

B=

has spectrum Λ and diagonal entries , , , . Let Ω = diaμ { , , , } and

X = , A =A = , C = B - Ω.
14 Linear Algebra

Then, from Theorem ▭ we obtain

A
A
A= + XC X T ,

which is symmetric nonnegative with spectrum Λ.

The following result, although is not written in the fashion of a sufficient condition, is in‐
deed a very general and efficient sufficient condition for the SNIEP.

Theorem [ ] Let A be an n × n irreducible symmetric nonnegative matrix with spectrum

Λ = { , , ..., n }, Perron eigenvalue and a diagonal element c. Let B be an m × m sym‐
metric nonnegative matrix with spectrum Γ = { , , ..., m } and Perron eigenvalue .
i If ≤ c, then there exists a symmetric nonnegative matrix C, of order n + m - , with
spectrum { , ..., n, , ..., m }.
ii If ≥ c, then there exists a symmetric nonnegative matrix C, of order n + m - , with
spectrum { + - c, , ..., n, , ..., m }.
Example The following example, given in [ ], shows that

{ , , , - , - , - } with the partition

Λ = { , , , - }, Γ = { , - },

satisfies conditions of Theorem ▭, where

b
d
A= b with b + d = , bd = ,

is symmetric nonnegative with spectrum Λ. Then there exists a symmetric nonnegative ma‐
trix C with spectrum { , , , - , - } and a diagonal element . By applying again Theorem
▭ to the lists { , , , - , - } and { , - }, we obtain the desired symmetric nonnegative
matrix.

It is not hard to show that both results, Theorem ▭ and Theorem ▭, are equivalent see [ ] .
Thus, the list in the Example ▭ is also realizable from Theorem ▭, while the list in the exam‐
ple ▭ is also realizable from Theorem ▭.
 Nonnegative Inverse Eigenvalue Problem 15
http://dx.doi.org/10.5772/48279

. List of complex numbers

In this section we consider lists of complex nonreal numbers. We start with a complex gen‐
eralization of a well known result of Suleimanova, usually considered as one of the impor‐
tant results in the RNIEP see [ ] : The list > > ≥ ⋯ ≥ n is the spectrum of a
nonnegative matrix if and only if + + ⋯ + n ≥ .

Theorem [ ] Let Λ = { , , ..., n } be a list of complex numbers closed under complex

conjugation, with

Λ ' = { , ..., n } ⊂ {z ∈ ℂ Rez ≤ |Rez | ≥ | Imz |}.

Then Λ is realizable if and only if n i ≥ .

i=

Suppose that the elements of Λ ' are ordered in such a way that p+ , ..., n are real and
, ..., p are complex nonreal, with

xk = Re k- = Re k and yk = Im k- = Im k

for k = , ..., p. Consider the matrix

.
-x + y x -y .
-x - y y x .
⋮ ⋮ ⋮ ⋱
B = - xp + yp . xp - yp .
- xp - yp . yp xp
- p+ . p+
⋮ ⋮ ⋮ . ⋱
- n . n

It is clear that B ∈ with spectrum { , , ..., n } and all the entries on its first column are
nonnegative. Define = q , q , ..., qn T with q = +ni= i and

qk = - Re k for k = , ..., p and qk = - k for k = p + , ..., n.

T
Then, from the Brauer Theorem ▭ A = B + is nonnegative with spectrum Λ.
16 Linear Algebra

In the case when all numbers in the given list, except one the Perron eigenvalue , have real
parts smaller than or equal to zero, remarkably simple necessary and sufficient conditions
were obtained in [ ].

Theorem [ ] Let , , ..., n be nonzero complex numbers with real parts less than or
equal to zero and let be a positive real number. Then the list Λ = { , , ..., n } is the non‐
zero spectrum of a nonnegative matrix if the following conditions are satisfied

i Λ̄ = Λ
ii s =ni= i ≥ id
iii s =ni= i ≥

The minimal number of zeros that need to be added to Λ to make it realizable is the smallest
nonnegative integer N for which the following inequality is satisfied

s ≤ n+N s.

Furthermore, the list { , , ..., n, , ..., } can be realized by C + I , where C is a nonneg‐

ative companion matrix with trace zero, is a nonnegative scalar and I is the n × n identity
matrix.

Corollary [ ] Let , , ..., n be complex numbers with real parts less than or equal to
zero and let be a positive real number. Then the list Λ = { , , ..., n } is the spectrum of
a nonnegative matrix if and only if the following conditions are satisfied

i Λ̄ = Λ
ii s =ni= i ≥
id
iii s =ni= i ≥
iv s ≤ ns

Example The list Λ = { , - + i, - - i, - + i, - - i } satisfies conditions ▭ . Then Λ is

the spectrum of the nonnegative companion matrix

C= .

Observe that Theorem ▭ gives no information about the realizability of Λ.

 Nonnegative Inverse Eigenvalue Problem 17
http://dx.doi.org/10.5772/48279

The list { , - + i, - - i, - + i, - - i } was given in [ ]. It does not satisfy condi‐

tions ▭ s = , s = and s ns . The inequality ≤ +N is satisfied for N ≥ . Then

we need to add zeros to the list to make it realizable.

Theorem ▭ in section , can also be extended to the complex case

Theorem [ ] Let Λ = { , , ..., n } be a list of complex numbers such that Λ̄ = Λ,

≥ maxi | i |, i = , ..., n, and ni= i ≥ . Suppose that

i there exists a partition Λ = Λ ∪ ⋯ ∪ Λt with

Λk = { k , k , ... k pk }, = ,

k = , ..., t, such that Γk = {ωk , k , ..., k pk } is realizable by a nonnegative matrix Ak ∈ ωk ,

and

ii there exists a t × t nonnegative matrix B ∈ , with eigenvalues

, , ..., t the first elements of the lists Λk and with diagonal entries ω , ω , ..., ωt the

Perron eigenvalues of the lists Γk .

Then Λ is realizable.

Example Let Λ = { , , - , - , - + i, - - i }. Consider the partition

Λ = { , , - , - }, Λ = { - + i }, Λ = { - - i } with
Γ = { , , - , - }, Γ = { }, Γ = { }.

We look for a nonnegative matrix B ∈ with eigenvalues , - + i, - - i and diagonal en‐

tries , , , and a nonnegative matrix A realizing Γ . They are

B= and A = .

Then
18 Linear Algebra

A
A= + =

has the spectrum Λ.

. Fiedler and Guo results

One of the most important works about the SNIEP is due to Fiedler [ ]. In [ ] Fiedler
showed, as it was said before, that Kellogg sufficient conditions for the RNIEP are also suffi‐
cient for the SNIEP. Three important and very useful results of Fiedler are

Lemma [ ] Let A be a symmetric m × m matrix with eigenvalues , ..., m, A= ,

∥∥ = . Let B be a symmetric n × n matrix with eigenvalues , ..., n, B= , ∥∥ = . Then
for any ρ, the matrix

T
A ρ
C= T
ρ B

has eigenvalues , ..., m, , ..., n, , , where , are eigenvalues of the matrix

ρ
C̃ = .
ρ

Lemma [ ] If { , ..., m } and { , ..., n } are lists symmetrically realizable and ≥ ,

then for any t ≥ , the list

{ + t, - t, , ..., m, , ..., n }

is also symmetrically realizable.

Lemma [ ] If Λ = { , , ..., n } is symmetrically realizable by a nonnegative matrix and

if t > , then

Λt = { + t, , ..., n }
 Nonnegative Inverse Eigenvalue Problem 19
http://dx.doi.org/10.5772/48279

is symmetrically realizable by a positive matrix.

Remark It is not hard to see that Lemma ▭ can be obtained from Theorem ▭. In fact, it is
enough to consider

T T
A ρ
C = +
B ρ T T

T
A ρ
= ,
T
ρ B

which is symmetric with eigenvalues , , , ..., m, , ..., n, where , are eigenval‐

ues of

ρ
B= .
ρ

Now we consider a relevant result due to Guo [ ]

Theorem [ ] If the list of complex numbers Λ = { , } is realizable, where is

, ..., n
the Perron eigenvalue and ∈ ℝ, then for any t ≥ the list Λt = { + t, ± t, , ..., n } is
also realizable.

Corollary [ ] If the list of real numbers Λ = { , , ...,} is realizable and t =ni= |ti |
n
with ti ∈ ℝ, i = , ..., n, then the list Λt = { +t , + t , ..., n + tn } is also realizable.

Example Let Λ = { , , , , - , - , - , - } be a given list. Since the lists

Λ = Λ = { , , - , - } are both realizable see [ ] to apply a simple criterion, which shows
the realizability of Λ = Λ , then

Λ ∪Λ ={ , , , , - , - , - , - }

is also realizable. Now, from Theorem ▭, with t = , Λ is realizable.

Guo also sets the following two questions

Question Do complex eigenvalues of nonnegative matrices have a property similar to

Theorem ▭?

Question If the list Λ = { , , ..., n } is symmetrically realizable, and t > , is the list
Λt = { + t, ± t, , ..., n } symmetrically realizable?.
It was shown in [ ] and also in [ ] that Question has an affirmative answer.
20 Linear Algebra

Theorem [ ] Let Λ = { , a + bi, a - bi, , ..., n } be a realizable list of complex numbers.

Then for all t ≥ , the perturbed list

Λt = { + t, a - t + bi, a - t - bi, , ..., n }

is also realizable.

Question , however, remains open. An affirmative answer to Question , in the case that
the symmetric realizing matrix is a nonnegative circulant matrix or it is a nonnegative left
circulant matrix, it was given in [ ]. The use of circulant matrices has been shown to be
very useful for the NIEP [ ], [ ]. In [ ] it was given a necessary and sufficient condition
for a list of real numbers, which corresponds to a even-conjugate vector, to be the spectrum
of × symmetric nonnegative circulant matrix

Lemma [ ] Let = , , , , T be a vector of real numbers even-conjugate such

that

≥ | j |, j= ,
≥ ≥ id
+ + ≥

A necessary and sufficient condition for { , , , , } to be the spectrum of a symmetric

nonnegative circulant matrix is

- id
+ - - ≥ .

Example From Lemma ▭ we may know, for instance, that the list
{ , , , - , - } is the spectrum of a symmetric nonnegative circulant matrix.

. Some open questions

We finish this chapter by setting two open questions

Question Iλ the list oλ real numbers Λ = { , , ..., n } is symmetrically realizable, and t > , is
the list Λt = { + t, ± t, , ..., n } also symmetrically realizable?
Some progress has been done about this question. In [ ], it was given an affirmative answer
to Question , in the case that the realizing matrix is symmetric nonnegative circulant matrix
or it is nonnegative left circulant matrix. In [ ] it was shown that if > ≥ ⋯ ≥ n ≥ ,
 Nonnegative Inverse Eigenvalue Problem 21
http://dx.doi.org/10.5772/48279

then Theorem ▭ holds for positive stochastic, positive doubly stochastic and positive sym‐
metric matrices.
Question How addinμ one or more zeros to a list can lead to its symmetric realizability by diλλer‐
ent symmetric patterned matrices?
The famous Boyle-Handelman Theorem [ ] gives a nonconstructive proof of the fact that if
k k k
sk = + + ⋯ + n > , for k = , , ..., then there exists a nonnegative number N for
which the list { , ..., }, with N zeros added, is realizable. In [ ] Laffey and Šmi‐
n, , ...,
goc completely solve the NIEP for lists of complex numbers Λ = { , ..., n }, closed under
conjugation, with , ..., n having real parts smaller than or equal to zero. They show the
existence of N ≥ for which Λ with N zeros added is realizable and show how to compute
the least such N . The situation for symmetrically realizable spectra is different and even less
is known.

. Conclusion

The nonneμative inverse eigenvalue problem is an open and difficult problem. A full solution
is unlikely in the near future. A number of partial results are known in the literature about
the problem, most of them in terms of sufficient conditions. Some matrix results, like Brauer
Theorem Theorem ▭ , Rado Theorem Theorem ▭ , and its symmetric version Theorem ▭
have been shown to be very useful to derive good sufficient conditions. This way, however,
seems to be quite narrow and may be other techniques should be explored and applied.

Author details

Ricardo L. Soto

Department of Mathematics, Universidad Católica del Norte, Casilla , Antofagasta,,

Chile

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