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September 2014

ON LINEAR MAPS APPROXIMATELY PRESERVING THE APPROXIMATE POINT SPECTRUM

OR THE SURJECTIVITY SPECTRUM M. Elhodaibi, A. Jaatit

Abstract.LetXandY be superreflexive complex Banach spaces and letL(X) andL(Y) be the Banach algebras of all bounded linear operators onXandY, respectively. We describe a linear mapφ:L(X)→ L(Y) that almost preserves the approximate point spectrum or the surjectivity spectrum. Furthermore, in the case whereX=Y is a separable complex Hilbert space, we show that such a map is a small perturbation of an automorphism or an anti-automorphism.

1. Introduction

Many authors are interested in describing additive or linear maps that pre- serve, compress or depress some distinguished parts of the spectrum of an operator acting between Banach spaces (see, among others [2–4, 9]). Among these parts, the approximate point spectrum and the surjectivity spectrum are of special interest.

Recently, in [1], linear maps on L(X), which almost preserve or almost com- press the spectrum are studied. Motivated by the approximate versions of pre- serving and compressing the spectrum discussed in [1], we identify in this note the approximately multiplicative or anti-multiplicative linear maps among all linear mapsφ:L(X)→ L(Y) that almost preserve or almost compress the approximate point spectrum or the surjectivity spectrum.

2. Notations and preliminaries

LetX and Y be two complex Banach spaces and letL(X, Y) be the Banach space of all bounded operators from X into Y. As usual, we abbreviateL(X, X) to L(X). Let distH denote the Hausdorff distance (on the set of compact subsets ofC) andBX the closed unit ball of X. We write D ={z∈C:|z|<1}.

Recall that the minimum modulus and the surjectivity modulus of an operator T ∈ L(X, Y) are defined respectively, see [7], by

2010 Mathematics Subject Classification: 47B48, 47A10, 46H05

Keywords and phrases: Surjectivity spectrum; pseudo surjectivity spectrum; approximate point spectrum; pseudo approximate point spectrum; approximately multiplicative map.

333

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m(T) = inf{kT xk:x∈X,kxk= 1} and q(T) = sup{r0 :rBY ⊂T BX}.

Note that m(T)>0 if and only ifT is bounded below, i.e.,T is injective and has closed range, and q(T)>0 if and only if T is surjective. The approximate point spectrum and the surjectivity spectrum of T are given respectively by σap(T) = {λ∈ C: m(T −λ) = 0} and σsu(T) ={λ∈C: q(T −λ) = 0}. Recall also that m(T) = q(T) and q(T) = m(T) whereT∈ L(Y, X) is the adjoint ofT acting between the dual spaces ofY and X.

LetT ∈ L(X, Y). We introduce the two following subsets ofCdenotedσap² (T) andσ²su(T) and defined by

σap² (T) :={λ∈C: m(T−λ)< ²}

and

σ²su(T) :={λ∈C: q(T−λ)< ²}

for ² > 0. We use the terms pseudo approximate point spectrum and pseudo surjectivity spectrum to designate them respectively. It is clear that σap(T) σ²ap(T) andσsu(T)⊂σsu² (T).

Throughout this paper σ(T) denotes σap(T) or σsu(T) and σ²(T) denotes σ²ap(T) orσsu² (T). Letω denote the minimum modulus if=apand let it denote the surjectivity modulus if=su.

We will make an extensive use of the following result.

Lemma 2.1. Let T ∈ L(X). Then the following assertions hold.

(i) σ(T) =T

²>0σ²(T).

(ii) σ²1(T)⊂σ²2(T)for all 0< ²1< ²2.

(iii) ασ²(T) =σ|α|² (αT)for all α6= 0 and² >0.

(iv) σ(T) +²D⊂σ²(T) for all² >0.

(v) σ²(T+S)⊂σ²+kSk(T)for all² >0 andS∈ L(X).

(vi) σ(T+S)⊂σ²(T)for all² >0 andS∈ L(X)with kSk< ².

(vii) σ²(T)S

(T+S) :S∈ L(X),kSk< ²}for all ² >0.

Proof. It is immediate to check the assertions (i), (ii) and (iii).

LetT ∈ L(X). It is easy to see thatω(T+S)≥ω(T)− kSkfor allS ∈ L(X).

Letλ∈σ(T) and let α∈C such that|α| < ². It turns out that ω(T−λ− α)− |α| ≤ω(T−λ) = 0 and soω(T−λ−α)< ²which yields (iv).

In order to check (v), letS∈ L(X) and assume thatλ /∈σ²+kSk (T). Then we have ω(T −λ)≥²+kSk. Therefore we get ω(T+S−λ)≥ω(T −λ)− kSk ≥².

Thusλ /∈σ²(T+S).

Now, let S ∈ L(X) with kSk < ² and λ /∈ σ²(T). Then ω(T +S−λ) ω(T−λ)− kSk ≥²− kSk>0. This completes the proof of the assertion (vi).

Ifλ /∈σ(T+S) for allS ∈ L(X) with kSk < ², thenω(T+S−λ)>0 for allS ∈ L(X) withkSk< ². Observe thatω(T) = sup{r >0, ω(T−S)>0 for all S∈ L(X, Y),kSk< r}, see [7, Proposition II.9.10]. Hence we get thatω(T−λ)≥² and so (vii) holds.

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Let us give another basic tool that will be used later in this paper.

LetU ⊂ P(N) be a free ultrafilter onNand denote by µU the finitely additive {0,1}-valued measure onN, given byµU(A) = 1 ifA∈ U.

We consider the Banach space`(X) of all bounded sequences (xn) withxn X for all n∈ N, equipped with the norm k(xn)k := supnkxnk. Then NU(X) :=

{(xn)∈`(X) : limUkxnk= 0}is a closed linear subspace of`(X). The quotient Banach spaceXU :=`(X)/NU(X) is called theultrapowerofX with respect to U. We continue to denote the equivalence class of (xn) also by (xn). It should cause no confusion if we denote (xn)n∈M by ˆxwhereµU(M) = 1 andxn ∈X for alln∈M. The norm onXU is given by

kˆxk= lim

U kxnk where ˆx= (xn)∈XU.

The ultrapowerL(X)U is a Banach algebra with respect to the product TˆSˆ= (TnSn) where ˆT= (Tn), Sˆ= (Sn)∈ L(X)U.

There exists a canonical isometric linear mapL(X, Y)U → L(XU, YU) which is defined by

Tˆ(ˆx) = (Tnxn) where ˆT = (Tn)∈ L(X, Y)U and ˆx= (xn)∈XU. We considerL(X, Y)U as being a closed subspace ofL(XU, YU). For more details on ultrapowers, we refer the reader to [10].

Lemma 2.2. Let X and Y be complex Banach spaces and Tˆ = (Tn) L(X, Y)U ⊂ L(XU, YU). Then:

(i) m( ˆT) = limUm(Tn).

(ii) q( ˆT) = limUq(Tn).

Proof. (i) According to [7, Theorem II.9.11], we have m(T) = inf{kT Sk, S∈ L(Y),kSk= 1}.

Let² >0. Then for eachn∈Nthere existsSn∈ L(Y) withkSnk= 1 and kTnSnk<m(Tn) +².

Let ˆS= (Sn)∈ L(Y)U. SincekSkˆ = 1, it turns out that m( ˆT)≤ kTˆSkˆ = lim

U kTnSnk ≤lim

U m(Tn) +² which gives m( ˆT)≤limUm(Tn).

Let ˆT = (Tn)∈ L(X, Y)U ⊂ L(XU, YU). Let ˆx= (xn)∈XU. We have kTˆxkˆ = lim

U kTnxnk ≥lim

U m(Tn)kxnk= lim

U m(Tn)kˆxk and so m( ˆT)≥limUm(Tn).

(ii) See [1, Lemma 2.5].

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Lemma 2.3. Let X be a complex Banach space, and letSˆ= (Sn),Tˆ= (Tn) L(X)U ⊂ L(XU). Suppose that there are bounded sequences of positive numbers (²n)andn)such thatσ²n(Sn)⊂σδn(Tn)almost everywhere onN. Thenσ²( ˆS)⊂ σδ( ˆT)whenever ², δ >0 are such that² <limU²n andδ >limUδn.

Proof. Let 0 < ² < ²0 < limU²n and limUδn < δ0 < δ. So ²0 < ²n and δn < δ0 almost everywhere. Set σ²0((Sn)) := {limUλn :λn ∈σ²0(Sn) µU-almost everywhere}. First we establish thatσ²( ˆS)⊂σ²0((Sn)). Let λ /∈σ²0((Sn)), so λ /∈σ²0(Sn) µU-almost everywhere and henceω(Sn−λ)≥²0 µU-almost everywhere.

Thereforeω( ˆS−λ) = limUω(Sn−λ)≥²0 > ², i.e.,λ /∈σ²( ˆS).

Now we show that σ²0((Sn))⊂σδ( ˆT). Letλ∈σ²0((Sn)), i.e.,λ= limUλn

whereλn ∈σ²0(Sn) µU-almost everywhere. According to Lemma 2.1 (ii) and the hypothesis of this Lemma, we get

λn∈σ²0(Sn)⊂σ²n(Sn)⊂σδn(Tn)⊂σδ0(Tn) almost everywhere on N.

Clearly, ˆT−λ= (Tn−λn). We have soω( ˆT−λ) = limUω(Tn−λn)≤δ0 < δ. This implies thatλ∈σδ( ˆT).

The two following lemmas are derived from [1], and adapted to pseudo approx- imate point spectrum and pseudo surjectivity spectrum.

Lemma 2.4. Let X and Y be complex Banach spaces andφ: L(X)→ L(Y) be a surjective linear map such that

σ(φ(T))⊂σδ(T) for all T ∈ L(X),kTk= 1 and someδ >0. Thenq(φ)1 +δ and

σ²(φ(T))⊂σδ(kTk+k²)+k²(T) for all T ∈ L(X),

² >0 and0< k <q(φ).

Proof. LetT ∈ L(X), ² >0 and 0 < k <q(φ). Let thenk < τ <q(φ). Let λ∈σ²(φ(T)). According to Lemma 2.1 (vii), there exists S ∈ L(Y) withkSk < ² such thatλ∈σ(φ(T) +S). It is clear thatS =φ(R) for someR∈ L(X) such that kRk<τ². Indeed, using the definition of q(φ) and the fact thatk1²Sk<1, there is R0 ∈ L(X) with kR0k ≤1 such that q(φ)1²S =φ(R0), i.e., S =φ(q(φ)² R0), then we may takeR= q(φ)² R0.

Now, let 0< ρ <(1 +δ)(k²τ²). We first treat the case whereT+R6= 0. By Lemma 2.1 (ii),(iii),(v) and our hypothesis, we have

λ∈σ(φ(T) +S) =σ(φ(T+R))

=kT+Rkσ

µ φ

µ T+R kT+Rk

¶¶

⊂ kT+Rkσδ

µ T+R kT+Rk

=σδkT+Rk(T+R)⊂σδkT+Rk+ρ(T +R)

⊂σδ(kTk+ ²τ)+ρ(T+R)⊂σδ(kTk+ ²τ)+ρ+τ²(T)⊂σδ(kT k+²k)+²k(T).

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If T+R = 0, the inclusionσ(φ(T +R))⊂σδ(kTk+τ²)+ρ(T+R) is obvious. The rest of inclusions can be checked as in the precedent case.

Since²D =σ²(φ(0))⊂σδ(k0k+k²)+²k(0) = 1+δk ²D for all² >0 and 0< k <q(φ), then q(φ)1 +δ.

Lemma 2.5. Let X and Y be complex Banach spaces andφ: L(X)→ L(Y) be a continuous linear map such that

σ(T)⊂σδ(φ(T)) for all T ∈ L(X),kTk= 1 and someδ >0. Then1−δ≤ kφk and

σ²(T)⊂σδ(kT k+²)+ν²(φ(T)) for all T ∈ L(X),

² >0 andν >kφk.

Proof. Let T ∈ L(X), ² >0 and ν >kφk. Let thenk < ρ <− kφk)². Let λ∈σ²(T). According to Lemma 2.1 (vii), there existsS∈ L(Y) withkSk ≤²such thatλ∈σ(T+S).

We proceed as in the proof of Lemma 2.4. If T +S 6= 0, we get, by Lemma 2.1 (ii), (vi), that

λ∈σ(T +S) =kT+Skσ

µ T +S kT +Sk

⊂ kT+Skσδ µ

φ

µ T+S kT+Sk

¶¶

=σδkT +Sk(φ(T+S))⊂σδkT+Sk+ρ(φ(T+S))

⊂σδ(kTk+²)+ρ(φ(T) +φ(S))⊂σδ(kTk+²)+ρ+kφk²

(φ(T))⊂σδ(kTk+²)+ν²

(φ(T))

IfT+S= 0, obviously,σ(T+S)⊂σδ(kT+Sk+ρ(φ(T+S)) and it follows, similarly to the precedent case, the desired inclusion. By taking T = 0 in the inclusion checked, we have

²D =σ²(0)⊂σδ(k0k+²)+ν²

(φ(0)) = (δ+ν)²D for all² >0 andν >kφk. Then 1−δ≤ kφk.

The following result (see for instance [2, 3, 4], will be important in the sequel.

Lemma 2.6. Let X and Y be complex Banach spaces and let A and B be standard operator algebras on X and Y, respectively. Let φ: A → B be a linear map. Suppose that either of the following conditions hold:

(1) φ:A → B is surjective and σ(φ(T)) =σ(T)for allT ∈ A or (2) φ:A → B is bijective and σ(φ(T))⊂σ(T)for all T∈ A or (3) φ:A → B is bijective and σ(T)⊂σ(φ(T))for all T∈ A.

Then either there exists an invertible operatorA∈ L(X, Y)such that φ(T) = AT A−1for allT ∈ Aor there exists an invertible operatorA∈ L(X, Y)such that φ(T) =ATA−1 for allT ∈ A. In the last case,X andY are reflexive.

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3. Main results

Before formulating our results, we introduce the following quantities (see [6]) : mult(φ) := sup{kφ(T S)−φ(T)φ(S)k:T, S∈ L(X),kTk=kSk= 1}, amult(φ) := sup{kφ(T S)−φ(S)φ(T)k:T, S∈ L(X),kTk=kSk= 1}

which allow to measure respectively themultiplicativityand theanti-multiplicativity ofφ.

The following theorems are given for superreflexive Banach spaces. For details on this type of spaces, see for instance [5, 11]. Recall that if X is a superreflex- ive Banach space then the Banach algebra L(X)U is an unital standard operator algebra onXU (see [1, Lemma 2.2 ].

Proposition 3.1. Let X and Y be complex Banach spaces. Letn) be a sequence of surjective linear maps from L(X) onto L(Y) and let φˆ be the linear mapn) from L(X)U ⊂ L(XU) intoL(Y)U ⊂ L(YU). The following assertions hold.

(i)If there exist k, K >0 and a sequence of positive numbersn)tending to 0 such that

σn(T))⊂σ²n(T) for all T ∈ L(X),kTk= 1, q(φn)> kandkφnk< K

for eachn∈N, then

σ( ˆφ( ˆT))⊂σ( ˆT) for all Tˆ= (Tn)∈ L(X)U.

(ii)If there exist K >0 and a sequence of positive numbersn)tending to 0 such that

σ(T)⊂σ²nn(T)) for all T ∈ L(X),kTk= 1 andkφnk< K

for eachn∈N, then

σ( ˆT)⊂σ( ˆφ( ˆT)) for all Tˆ= (Tn)∈ L(X)U.

Proof. (i) Let ˆT = (Tn) ∈ L(X)U. Let ² > 0 and let ρ such that ² < ρ <

(k+ 1)². Applying Lemma 2.4, we obtain

σk+1ρkn(Tn))⊂σ²n(kTnk+k+1ρ )+k+1ρ (Tn) for all n∈N.

Since limU²n(kTnk+k+1ρ ) +k+1ρ limU²n(K+k+1ρ ) +k+1ρ = k+1ρ < ², it follows by Lemma 2.3, that

σk+1²k ( ˆφ( ˆT))⊂σ²( ˆT).

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Consequently, by Lemma 2.1 (i), it turns out that

σ( ˆφ( ˆT)) =²>0σk+1²k ( ˆφ( ˆT))⊂ ∩²>0σ²( ˆT) =σ( ˆT), as desired.

(ii) Let ² > 0 and let ρ such that ² < ρ < (K−1+ 1)². Applying Lemma 2.5 instead of Lemma 2.4, and using the same technique as in the proof of (i), we conclude the proof of (ii).

In the following theorem, we describe linear maps that almost compress the approximate point spectrum or the surjectivity spectrum.

Theorem 3.2. Let X and Y be superreflexive Banach spaces. Then for each K, ² >0there isδ >0 such that if φ:L(X)→ L(Y)is a bijective linear map with

σ(φ(T))⊂σδ(T) for all T ∈ L(X),kTk= 1 andkφk,kφ−1k< K, then

min{mult(φ),amult(φ)}< ².

Proof. Suppose that there exist K, τ > 0 and a sequence (φn) of bijective linear maps fromL(X) ontoL(Y) verifying

σn(T))⊂σn1(T) for all T ∈ L(X),kTk= 1, nk,kφ−1n k< K

and

min{mult(φn),amult(φn)} ≥τ for eachn∈N. We consider the map

φˆ= (φn) :L(X)U ⊂ L(XU)→ L(Y)U⊂ L(YU).

The linear map ˆφis continuous and by [8, Lemma 2.1] it is bijective with inverse given by ˆφ−1= (φ−1n ).

Observe thatq(φn) =−1n k−1> K−1for eachn∈N. Let ˆT = (Tn)∈ L(X)U. Using Proposition 3.1 (i), we obtain that

σ( ˆφ( ˆT))⊂σ( ˆT).

Since L(X)U and L(Y)U are unital standard operator algebras on XU and YU respectively, we get, by Lemma 2.6, that ˆφis either a homomorphism or an anti- homomorphism. Since mult( ˆφ) = limUmult(φn) and amult( ˆφ) = limUamult(φn) (see [1, Lemma 3.4]), we have

limU min{mult(φn),amult(φn)}= min{lim

U mult(φn),lim

U amult(φn)}

= min{mult( ˆφ),amult( ˆφ)}= 0 which yields a contradiction.

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Note that a Hilbert space is supereflexive. As an application of the above theorem in the context of a Hilbert space, we give the following result.

Corollary 3.3. Let H be a separable Hilbert space. Then for eachK, ² >0 there isδ >0 such that ifφ:L(H)→ L(H)is a bijective linear map with

σ(φ(T))⊂σδ(T) for all T ∈ L(X),kTk= 1

andkφk,kφ−1k < K, then kφ−ψk< ² for some automorphism or anti-automor- phism ψ:L(H)→ L(H).

Proof. The hypothesis of this Corollary and Theorem 3.2 give immediate- ly for each K, δ0 > 0 that min{mult(φ),amult(φ)} < δ0. It is well known that jmult(φ)min{mult(φ),amult(φ)} where jmult(φ) := sup{kφ(T2)−φ(T)2k:T L(H),kTk= 1} (see [6]). Therefore jmult(φ)< δ0.

Let² >0 and let²0 = min{²,−1k−1}. Clearly q(φ) =kφ−1k−1> K−1, we obtain, by [1, Corollary 3.10], that kφ−ψk < ²0 for some epimorphism or anti- epimorphism ψ : L(H) → L(H). Since φ is invertible and kφ−ψk < −1k−1, then ψ is invertible. Consequently ψ is either an automorphism or an anti- automorphism.

If we replace φ(T) by T and T byφ(T) in Theorem 3.2 we obtain, by using Lemma 2.5 instead of Lemma 2.4, the following theorem.

Theorem 3.4. Let X and Y be superreflexive Banach spaces. Then for each K, ² >0there isδ >0 such that if φ:L(X)→ L(Y)is a bijective linear map with

σ(T)⊂σδ(φ(T)) for all T ∈ L(X),kTk= 1 andkφk,kφ−1k< K, then

min{mult(φ),amult(φ)}< ².

Using Theorem 3.4 and the same technique as in Corollary 3.3, we get the following corollary.

Corollary 3.5. Let H be a separable Hilbert space. Then for eachK, ² >0 there isδ >0 such that ifφ:L(H)→ L(H)is a bijective linear map with

σ(T)⊂σδ(φ(T)) for all T ∈ L(H),kTk= 1

andkφk,kφ−1k < K, then kφ−ψk< ² for some automorphism or anti-automor- phism ψ:L(H)→ L(H).

The following theorem gives a description of linear maps which almost preserve the approximate point spectrum or the surjectivity spectrum.

Theorem 3.6. Let X and Y be superreflexive Banach spaces. Then for each k, K, ² >0 there is δ >0 such that if φ:L(X)→ L(Y) is a surjective linear map with

distH(φ(T)), σ(T))< δ for all T ∈ L(X),kTk= 1,

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q(φ)> kandkφk< K, then

φ is injective and min{mult(φ),amult(φ)}< ².

Proof. Suppose that there existk, K, τ >0 and a sequence (φn) of surjective linear maps fromL(X) ontoL(Y) satisfying

sup

kTk=1

distHn(T)), σ(T))0, q(φn)> k, nk< K and

φn is not injective or min{mult(φn),amult(φn)} ≥τ for eachn∈N. Let²n be a sequence of positive numbers such that

lim²n= 0 and sup

kTk=1

distHn(T)), σ(T))< ²n for all n∈N.

It is well known that distHn(T)), σ(T)) = max{inf{² > 0, σn(T)) σ(T) +²D},inf{² > 0, σ(T)⊂σn(T)) +²D}}. So, by Lemma 2.1 (iv), we get for allT∈ L(X),kTk= 1 that

σn(T))⊂σ(T) +²nD⊂σ²n(T) and

σ(T)⊂σn(T)) +²nD⊂σ²nn(T)) for eachn∈N.

Now, we consider the continuous linear operator

φˆ= (φn) :L(X)U ⊂ L(XU)→ L(Y)U⊂ L(YU).

Since q( ˆφ) = limUq(φn)≥k >0, so ˆφis surjective. By Proposition 3.1 (i), (ii), we obtain that for all ˆT = (Tn)∈ L(X)U

σ( ˆφ( ˆT)) =σ( ˆT).

Thus, Lemma 2.6 yields that ˆφis either an isomorphism or an anti-isomorphism.

We have then that ˆφis bijective and so (φn) is bijective, thus (φn) is injective, furthermore we have

limU min{mult(φn),amult(φn)}= min{lim

U mult(φn),lim

U amult(φn)}

= min{mult( ˆφ),amult( ˆφ)}= 0 which is a contradiction.

Corollary 3.7. LetH be a separable Hilbert space. Then for eachk, K, ² >0 there isδ >0 such that ifφ:L(H)→ L(H)is a surjective linear map with

distH(φ(T)), σ(T))< δ for all T ∈ L(H),kTk= 1,

q(φ) > k and kφk < K, then kφ−ψk < ² for some automorphism or anti- automorphismψ:L(H)→ L(H).

Proof. Using Theorem 3.6 and [1, Corollary 3.10], we proceed as in the proof of Corollary 3.3.

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(received 05.03.2013; in revised form 17.01.2014; available online 03.03.2014)

Department of Mathematics, Faculty of Sciences, University Mohammed First, 60000 Oujda, Morocco

E-mail:[email protected], [email protected]

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Ex- ponential decay rates for the solutions of Euler-Bernoulli equations with boundary dissipation occurring in the moments only was investigated by Lasiecka [11], and the

In this work we study an exact boundary control problem for the standard wave equation on a domain with moving boundary which has a single fixed hole.. The boundary of such domains

In this note, we solve Arnold’s problem using semicontinuity of the Milnor number in families of power series.. Recall first what we mean by a

Using some properties of nilpotent Hall subgroups, we estab- lish a splitting criterion that is a generalization of the splitting criterion due to Carter.. AMS Mathematics

Inequality (4.15) means that the error produced by considering weak solutions of (2.7) in two different domains, with conductivity function verifying (4.3), is proportional to

In [4], Chuah has developed an algorithm (the push-the-button algorithm) to prove that, starting from any Vogan diagram associated with the real form of a simple Lie algebra, one