CUBO A Mathematical Journal Vol.11, No¯ 05, (117–128). December 2009 Structure of Resolvents of Elliptic Cone Differential Operators: A Brief Survey Juan B. Gil Penn State Altoona, 3000 Ivyside Park, Altoona, PA 16601, USA. email : jgil@psu.edu ABSTRACT The resolvent of an elliptic cone differential operator is surveyed under the aspect of its pseu- dodifferential structure and its asymptotic behavior as the spectral parameter tends to infinity. The exposition is descriptive and focuses on the case when the domain of the given operator is stationary. RESUMEN Se examina la resolvente de un operador diferencial de tipo cónico, elíptico, bajo el aspecto de su estructura pseudodiferencial y su comportamiento asintótico cuando el parámetro espectral tiende a infinito. La exposición es descriptiva y se enfoca en el caso cuando el dominio del operador dado es estacionario. Key words and phrases: Resolvents, trace asymptotics, manifolds with conical singularities. Math. Subj. Class.: 58J35, 35P05, 47A10. 118 Juan B. Gil CUBO 11, 5 (2009) 1 Introduction The purpose of this paper is to give a brief descriptive account of joint work with Thomas Krainer and Gerardo Mendoza on resolvents of general cone differential operators whose symbols satisfy natural ellipticity conditions. Cone operators arise particularly in the study of differential equations on a manifold with conical singularities – basic case of an incomplete Riemannian manifold. The results presented here rely on the analytic and geometric approach developed in the series of papers [3]–[7]. There the reader can find details and further information, including complete proofs, examples, applications, as well as an extensive discussion on the existing literature in the subject. We start our survey by reviewing the necessary functional analytic framework. Let H be a Hilbert space and let D0 ⊂ H be a dense subspace. Let A be a linear operator, initially defined as an unbounded operator A : D0 ⊂ H → H. We are interested in the closed extensions of A in H. In other words, we are looking for domains D ⊂ H with D0 ⊂ D to which A can be extended as a closed operator. There are two canonical such domains: Dmin(A) = closure of D0 in H with respect to ‖ · ‖A, Dmax(A) = {u ∈ H : Au ∈ H}, where ‖u‖A = ‖u‖H + ‖Au‖H. Both domains are dense in H and the extension AD : D ⊂ H → H is closed if and only if D is a closed subspace of Dmax(A) that contains Dmin(A). Thus, there is a one-to-one correspondence between the closed extensions of A and the closed subspaces of Dmax(A)/Dmin(A). If the operator A is fixed and there is no possible ambiguity, we will write Dmin and Dmax instead of Dmin(A) and Dmax(A). If AD is closed in H, so is AD − λ = AD − λI for every λ ∈ C. If AD − λ is invertible and (AD − λ) −1 is bounded in H, λ is said to be an element of res(AD), the resolvent set of AD. The family (AD −λ) −1 is called the resolvent of AD, and the set spec(AD) = C\ res(AD) is the spectrum of AD. A closed sector (or ray) Λ ⊂ C is called a sector (or ray) of minimal growth for AD : D → H if there exists R > 0 such that AD − λ is invertible for every λ in ΛR = {λ ∈ Λ : |λ| ≥ R}, and the resolvent satisfies either of the equivalent estimates ∥∥(AD − λ)−1 ∥∥ L (H) ≤ C/|λ|, ∥∥(AD − λ)−1 ∥∥ L (H,D) ≤ C, CUBO 11, 5 (2009) Structure of Resolvents of Elliptic Cone ... 119 for some C > 0 and all λ ∈ ΛR. Our research on elliptic cone operators has been guided by two basic goals: One is to find verifiable conditions on A and D for the resolvent of AD to exist and for a sector Λ ⊂ C to be a sector of minimal growth for AD. This information is particularly relevant for nonselfadjoint operators. Secondly, we are interested in describing the pseudodifferential structure and asymptotic properties of the resolvent as the spectral parameter λ tends to infinity. In this paper, we will discuss our progress and main difficulties around these goals. We finish this introduction by mentioning that the asymptotic information obtained for the resolvent can be directly applied, for instance, in the short-time asymptotic analysis of heat traces, and in the study of the meromorphic structure of zeta functions. This follows from the standard functional calculus, cf. [10], [15]. 2 Cone Operators Let M be a smooth compact n-dimensional manifold with boundary Y = ∂M . We fix a defining function x for Y and choose a collar neighborhood [0, ε) × Y of the boundary of M . Let E be a smooth vector bundle over M . A cone differential operator of order m on sections of E is an element A = x−mP with P in Diff m b (M ; E); the space of totally characteristic differential operators of order m, see [13]. Thus A is a linear differential operator on C∞( ◦ M ; E) of order m, which near Y , in local coordinates (x, y) ∈ (0, ε) × Y , takes the form A = x−m ∑ k+|α|≤m akα(x, y)(xDx) kDαy (2.1) with coefficients akα smooth up to x = 0. These operators occur, for example, when introducing polar coordinates around a point or as Laplace-Beltrami operators corresponding to cone metrics, cf. [1]. Every cone operator A ∈ x−m Diffmb (M ; E) has a principal c-symbol cσσ(A) defined on the c-cotangent cT ∗M of M . Over the interior of M , cσσ(A) is essentially the usual principal symbol of A. Near the boundary Y , cσσ(A) is of the form ∑ k+|α|=m akα(x, y)ξ kηα, see (2.1). The operator A is said to be c-elliptic if cσσ(A) is invertible on cT ∗M\0, and the family A − λ is c-elliptic with parameter λ ∈ Λ ⊂ C if cσσ(A) − λ is invertible on ( cT ∗M × Λ)\0. With A = x−mP one associates the (indicial) family P̂ (σ) = ∑ k+|α|≤m akα(0, y)σ kDαy , 120 Juan B. Gil CUBO 11, 5 (2009) also called the conormal symbol of A. If A is c-elliptic, then P̂ (σ) is invertible for all σ ∈ C except a discrete set, specb(A), called the boundary spectrum of A. Fix a positive b-density m on M and let L2b (M ; E) denote the L 2 space with respect to a Hermitian form on E and the density m. For s ∈ N let Hsb (M ; E) = {u ∈ L 2 b (M ; E) : P u ∈ L 2 b (M ; E) ∀P ∈ Diff s b(M ; E)}. Throughout this paper we will assume that A is a c-elliptic cone operator of order m > 0, and as reference Hilbert space we choose, for instance, x−m/2L2b(M ; E). Consider A as a densely defined unbounded operator A : C∞c ( ◦ M ; E) ⊂ x−m/2L2b (M ; E) → x −m/2L2b (M ; E). In [12] Lesch showed that, in the situation at hand, Dmax/Dmin is finite dimensional and every closed extension of A, AD : D ⊂ x −m/2L2b (M ; E) → x −m/2L2b(M ; E), is Fredholm. Modulo Dmin the elements of Dmax are determined by their asymptotic behavior near the boundary of M . The structure of these asymptotics depends on the elements σ in the boundary spectrum of A with |ℑσ| < m/2. In [9] it was shown that Dmin = Dmax ∩ ( ⋂ ε>0 xm/2−εHmb (M ; E) ) , and Dmin = x m/2Hmb (M ; E) if and only if specb(A) ∩ {σ ∈ C : ℑσ = − m 2 } = ∅. Moreover, there exists ε > 0 such that Dmax →֒ x −m/2+εHmb (M ; E). The embedding (Dmax, ‖·‖A) →֒ x −m/2L2b (M ; E) is therefore compact. Thus, for every domain D with Dmin ⊂ D ⊂ Dmax and all λ ∈ C, AD − λ : D → x −m/2L2b(M ; E) is Fredholm with ind(AD − λ) = ind AD. Consequently, spec(AD) 6= C ⇒ ind AD = 0. Conversely, if ind AD = 0, then spec(AD) is either discrete or all of C. Remark 2.2. The complexity of the spectrum of a cone operator can already be observed in the simple case of the Laplacian on the interval [0, 1], see [6]. In that case, the following situations are possible: CUBO 11, 5 (2009) Structure of Resolvents of Elliptic Cone ... 121 • Closed extensions with index zero whose spectrum is empty. • Closed extensions with index zero whose spectrum is C. • A family of domains Dβ with Dβ → D0 (in a suitable sense) such that spec(∆Dβ ) is discrete and independent of β, but spec(∆D0 ) = C. 3 The Model Operator and Rays of Minimal Growth By means of a Taylor expansion at x = 0, a cone operator A ∈ x−m Diff mb (M ; E) induces a decomposition xmA = P0 + xP̃1, where P̃1 ∈ Diff m b (M ; E) and P0 is an operator with coefficients independent of x near Y . We let Y ∧ = [0, ∞) × Y and consider P0 as an element of Diff m b (Y ∧ ; E). We call the operator x−mP0 ∈ x −m Diff m b (Y ∧ ; E) the model operator of A and denote it by A∧. If A is written as in (2.1) near the boundary, then A∧ = x −m ∑ k+|α|≤m akα(0, y)(xDx) kDαy . This operator acts on C∞c ( ◦ Y ∧; E) and can be extended as a densely defined closed operator in x−m/2L2b (Y ∧ ; E). The domains of the minimal and maximal closed extensions of A∧ are denoted by D∧,min and D∧,max, and like for A, the space D∧,max/D∧,min is finite dimensional. In fact, there is a natural isomorphism θ : Dmax/Dmin → D∧,max/D∧,min that allows passage from domains over M to domains over Y ∧. With a domain D for A we associate a domain D∧ for A∧ defined via D∧/D∧,min = θ(D/Dmin). (3.1) The model operator and its canonical domains D∧,min and D∧,max exhibit an important in- variance property with respect to the natural R+-action on Y ∧. This property is crucial for the characterization of domains and in the geometric study of resolvents of elliptic cone operators. For this reason, it has been incorporated in our systematic approach and is worth reviewing: Let R+ ∋ ̺ 7→ κ̺ : x −m/2L2b (Y ∧ ; E) → x−m/2L2b (Y ∧ ; E) be the one-parameter group of isometries which on functions is defined by (κ̺f )(x, y) = ̺ m/2f (̺x, y). 122 Juan B. Gil CUBO 11, 5 (2009) It is easily verified that A∧ satisfies κ̺A∧ = ̺ −mA∧κ̺, (3.2) thus the domains D∧,min and D∧,max are both κ-invariant. In particular, κ induces an action on D∧,max/D∧,min. A domain D for a cone operator A is said to be stationary if its associated domain D∧, see (3.1), is κ-invariant. The relation (3.2) implies A∧ − ̺ mλ = ̺mκ̺(A∧ − λ)κ −1 ̺ (3.3) for every ̺ > 0 and λ ∈ C. This property is called κ-homogeneity, see e.g. [14]. Any intermediate space D∧ with D∧,min ⊂ D∧ ⊂ D∧,max gives rise to a closed extension A∧,D∧ : D∧ ⊂ x −m/2L2b (Y ∧ ; E) → x−m/2L2b (Y ∧ ; E). As opposed to A, even if the c-symbol of A∧ is invertible, not every such extension is Fredholm. However, for certain values of λ ∈ C, A∧ − λ is better behaved: We define the background resolvent set of A∧ as bg-res(A∧) = {λ ∈ C : A∧,min − λ injective and A∧,max − λ surjective}. Using the κ-homogeneity (3.3) one can prove that this set is a union of open sectors. Moreover, if λ ∈ bg-res(A∧), then A∧,D∧ − λ : D∧ ⊂ x −m/2L2b (Y ∧ ; E) → x−m/2L2b (Y ∧ ; E) is Fredholm with ind(A∧,D∧ − λ) = ind(A∧,min − λ) + dim D∧/D∧,min. The index is constant on connected components of bg-res(A∧). Let Λ be a sector in bg-res(A∧) and consider the Grassmannian G = {D∧/D∧,min : ind(A∧,D∧ − λ) = 0 for λ ∈ Λ} (3.4) of d-dimensional subspaces of D∧,max/D∧,min, where d = − ind(A∧,min − λ). One of the main reasons for considering the model operator in the context of spectral theory for cone operators is the following result: Theorem 3.5. Let A ∈ x−m Diff mb (M ; E) be c-elliptic with parameter in Λ. Let D be a domain for A and let D∧ be its associated domain. If Λ is a sector of minimal growth for A∧,D∧ , then it is a sector of minimal growth for AD. So, the question on the existence of rays of minimal growth for a cone operator AD is reduced to studying rays of minimal growth for the corresponding A∧,D∧ . The simplest case to study is when the domain D∧ is κ-invariant. CUBO 11, 5 (2009) Structure of Resolvents of Elliptic Cone ... 123 Proposition 3.6. Suppose D∧ is κ-invariant. A sector Λ is a sector of minimal growth for A∧,D∧ if and only if Λ\{0} ⊂ bg-res(A∧) and A∧,D∧ − λ0 is invertible for some λ0 ∈ Λ\{0}. If D∧ is not κ-invariant, it generates an orbit on the Grassmannian G, see (3.4). In this case, we consider the attracting set of its κ-orbit as ̺ → 0: Ω − (D∧) = {D ∈ G : ∃ ̺k → 0 such that D = lim k→∞ κ̺k (D∧/D∧,min)}. Theorem 3.7. Let λ0 ∈ bg-res(A∧). The ray Γ through λ0 is a ray of minimal growth for A∧,D∧ iff A∧,D − λ0 is invertible for all D such that D/D∧,min ∈ Ω − (D∧). Remark 3.8. The above invertibility condition can be expressed in terms of the nonvanishing of a suitable finite determinant. The limiting set Ω−(D∧) can be interpreted as the “principal object” associated with the domain of A. A nice and explicit application of the previous theorem to second order regular singular oper- ators on a metric graph can be found in [6]. 4 Structure of Resolvents Let Λ be a closed sector in C and assume that A ∈ x−m Diffmb (M ; E) is c-elliptic with parameter in Λ. Let AD be a closed extension of A in x −m/2L2b(M ; E) and let D∧ be the associated domain of D. By Theorem 3.5 we know that if Λ is a sector of minimal growth for A∧,D∧ , then it is a sector of minimal growth for AD. In particular, in such a sector the resolvent (AD − λ) −1 exists, thus ADmin − λ : Dmin → x −m/2L2b is injective and ADmax − λ : Dmax → x −m/2L2b is surjective. Let Kλ = ker(ADmax − λ) and Rλ = rg(ADmin − λ). If λ ∈ res(AD), then Dmax = Kλ ⊕ D. (4.1) Let Bmin(λ) be the left-inverse of ADmin −λ with kernel R ⊥ λ and let Bmax(λ) be the right-inverse of ADmax − λ with range K ⊥ λ . We then have (see [3, Section 5]) (AD − λ) −1 = Bmax(λ) + [ 1 − Bmin(λ)(A − λ) ] πKλ,D Bmax(λ), (4.2) where πKλ,D is the projection on Kλ with kernel D according to (4.1). In fact, the projection can be replaced by πmaxπKλ,Dπmax, where πmax is the projection onto the orthogonal complement of 124 Juan B. Gil CUBO 11, 5 (2009) Dmin in Dmax. With similar computations one can also analyze the resolvent of the model operator A∧ on D∧, see [3, Section 8]. If we are interested in the asymptotic properties of the resolvent, it is accustomed to use a suitable parameter-dependent pseudodifferential calculus to approximate the resolvent by means of a “good” parametrix. In [4] we showed: Theorem 4.3. If Λ is a sector of minimal growth for A∧,D∧ , then (AD − λ) −1 = B(λ) + GD(λ) for λ ∈ Λ, where B(λ) is a parametrix of ADmin − λ with B(λ)(ADmin − λ) = 1 for λ sufficiently large, and GD(λ) is a smoothing operator of finite rank. In the proof of this theorem the first major step is the construction of the parametrix B(λ). An important aspect of our parametrix is that it is an actual left-inverse for λ sufficiently large. The family GD(λ) is then constructed as follows. Under the given assumptions, there is an operator family K(λ) : Cd → x−m/2L2b , with d = − ind ADmin , such that ( (A − λ) K(λ) ) : Dmin ⊕ C d → x−m/2L2b is invertible for λ ∈ ΛR for some R > 0. Its inverse can be written as ( (ADmin − λ) K(λ) )−1 = ( B(λ) T (λ) ) , where B(λ) is the parametrix of ADmin − λ, and T (λ) : x −m/2L2b → C d is a smooth family of operators with “nice” asymptotic properties. Let E be any d-dimensional complement of Dmin in D. If we split D = Dmin ⊕ E and write AD − λ = ( (ADmin − λ) (A − λ)|E ) , then ( B(λ) T (λ) )( (ADmin − λ) (A − λ)|E ) = ( 1 B(λ)(A − λ)|E 0 T (λ)(A − λ)|E ) , so AD − λ is invertible if and only if T (λ)(A − λ) : E → C d is invertible. Now, since T (λ)(A − λ) vanishes on Dmin, it induces an operator on the quotient: F (λ) = [T (λ)(A − λ)] : Dmax/Dmin → C d, and AD − λ is invertible if and only if FD(λ) = F (λ)|D/Dmin is invertible. On the other hand, 1 − B(λ)(A − λ) also vanishes on Dmin, so it induces a map [ 1 − B(λ)(A − λ) ] : Dmax/Dmin → x −m/2L2b , CUBO 11, 5 (2009) Structure of Resolvents of Elliptic Cone ... 125 and we end up with the decomposition (AD − λ) −1 = B(λ) + [ 1 − B(λ)(A − λ) ] FD(λ) −1T (λ). (4.4) This decomposition and the asymptotic properties of its components are crucial for the results presented in the next section. Observe that both representations of the resolvent, (4.2) and (4.4), give a more refine picture of how the domain D affects it. In each case, the domain-dependent contribution is reduced to a family of linear operators acting on finite dimensional spaces. From these representations one can derive explicit Krein-like formulas. 5 Trace Expansions Under the assumptions of the previous section, if Λ is a sector of minimal growth for AD, then for ℓ ∈ N sufficiently large, (AD −λ) −ℓ is an analytic family of trace class operators in x−m/2L2b (M ; E). In this section we give a complete asymptotic expansion of Tr(AD − λ) −ℓ, as |λ| → ∞, in the case when the domain is stationary. Theorem 5.1. Suppose D is stationary. Then, for any ϕ ∈ C∞(M ; End(E)) and ℓ ∈ N with mℓ > n, Tr ( ϕ(AD − λ) −ℓ ) ∼ ∞∑ j=0 mj∑ k=0 αjkλ n−j m −ℓ log k λ as |λ| → ∞, with a suitable branch of the logarithm, with constants αjk ∈ C. The numbers mj vanish for j < n, and mn ≤ 1. In general, the αjk depend on ϕ, A, D, and ℓ, but the coefficients αjk for j < n and αn,1 do not depend on D. If both A and ϕ have coefficients independent of x near ∂M , then mj = 0 for all j > n. As mentioned in the introduction, this result has direct consequences in the asymptotic analysis of spectral functions defined by means of the resolvent. For some 0 < ε0 < π/2, let Λ = {λ ∈ C : | arg λ| ≥ π 2 − ε0} be a sector of minimal growth for AD. Then it is known that −AD generates an analytic semigroup in H given by e−tAD = i 2π ∫ Γ e−tλ(AD − λ) −1 dλ for t > 0, (5.2) where Γ is a contour in Λ such that for λ large, | arg λ| = π 2 − δ for some 0 < δ < ε0. If, in addition, the resolvent set of AD contains an open neighborhood V of the origin, then for z ∈ C with ℜz < 0, we define AzD = i 2π ∫ Γ λz (AD − λ) −1 dλ, (5.3) 126 Juan B. Gil CUBO 11, 5 (2009) where Γ is an infinite path in Λ ∪ V that runs along a ray of minimal growth to a small circle centered at the origin and contained in V , then clockwise about the origin avoiding the negative real axis, and out of V along a ray of minimal growth. In both equations (5.2) and (5.3), the path Γ is chosen to be positively oriented with respect to the spectrum of AD. Now, Theorem 5.1 together with (5.2) give the asymptotic expansion Tr(ϕe−tAD ) ∼ ∞∑ j=0 aj t j−n m + ∞∑ j=0 mj∑ k=0 ajkt j m log k t as t → 0+. Moreover, if A is bounded from below on the minimal domain, then the ζ-function ζAD (s) = Tr(A −s D ) of any selfadjoint extension with stationary domain (e.g. the Friedrichs extension) is holomorphic for ℜs > n/m and has a meromorphic extension to all of C with poles contained in the set { n−j m : j ∈ N0}. (5.4) This follows from Theorem 5.1 together with (5.3), or via the formula A−s D = 1 Γ(s) ∫ ∞ 0 ts−1e−tAD dt, ℜs > 0, which implies ζAD (s) = 1 Γ(s) M(hD)(s), where M(hD) denotes the Mellin transform of the function hD(t) = Tr(e −tAD ). If D is nonstationary, the analysis for the asymptotics passed the n-th term is considerably more involved. For instance, at the level of resolvents, these asymptotics may include rational functions in log λ and complex powers of λ. This case is discussed in [8]. With the results from [7], one gets the partial expansion Tr ( ϕ(AD − λ) −ℓ ) ∼ n−1∑ j=0 αj,0λ n−j m −ℓ + αn,1λ −ℓ log λ + O(|λ|−ℓ) as |λ| → ∞, which implies Tr(ϕe−tAD ) ∼ n−1∑ j=0 aj t j−n m + an,1 log t + O(1) as t → 0 +. Consequently, we get that ζAD (s) extends meromorphically to ℜs > 0, but we do not know in general how this function behaves in all of C. The complexity of the nonstationary case has already been observed in simple situations. There are examples on the half-line (see [2]) where the ζ-function extends meromorphically with CUBO 11, 5 (2009) Structure of Resolvents of Elliptic Cone ... 127 additional poles not contained in the set (5.4). Moreover, for partial differential operators of Laplace type (with coefficients independent of the radial variable x), the ζ-function may not admit a meromorphic extension to all of C due to the presence of logarithmic singularities, see e.g. [11]. Acknowledgment The present exposition is based on a talk given at the “Second Symposium on Scattering and Spectral Theory” in Serrambi, Pernambuco, Brazil, August 2008. Their financial support is greatly appreciated. Received: February, 2009. Revised: May, 2009. References [1] Cheeger, J., On the spectral geometry of spaces with cone-like singularities, Proc. Nat. Acad. Sci., 76 (1979), 2103–2106. [2] Falomir, H., Pisani, P.A.G. and Wipf, A., Pole structure of the Hamiltonian ζ-function for a singular potential, J. Phys. A, 35 (2002), 5427–5444. [3] Gil, J., Krainer, T. and Mendoza, G., Geometry and spectra of closed extensions of elliptic cone operators, Canad. J. Math., 59 (2007), no. 4, 742–794. [4] , Resolvents of elliptic cone operators, J. Funct. Anal., 241 (2006), no. 1, 1–55. [5] , On rays of minimal growth for elliptic cone operators, Oper. Theory Adv. Appl., 172 (2007), 33–50. [6] , A conic manifold perspective of elliptic operators on graphs, J. Math. Anal. Appl., 340 (2008), 1296–1311. [7] , Trace expansions for elliptic cone operators with stationary domains, preprint, 2008. [8] , Dynamics on Grassmannians and resolvents of cone operators, preprint, 2009. [9] Gil, J. and Mendoza, G., Adjoints of elliptic cone operators, Amer. J. Math., 125 (2003), no. 2, 357–408. [10] Gilkey, P., Invariance theory, the heat equation, and the Atiyah-Singer index theorem, CRC Press, Boca Raton, Ann Arbor, 1996, second edition. [11] Kirsten, K., Loya, P. and Park, J., The very unusual properties of the resolvent, heat kernel, and zeta function for the operator −d2/dr2 − 1/(4r2), J. Math. Phys., 47 (2006), no. 4, 043506, 27 pp. 128 Juan B. Gil CUBO 11, 5 (2009) [12] Lesch, M., Operators of Fuchs type, conical singularities, and asymptotic methods, Teubner- Texte zur Math. vol 136, B.G. Teubner, Stuttgart, Leipzig, 1997. [13] Melrose, R., The Atiyah-Patodi-Singer index theorem, Research Notes in Mathematics, A K Peters, Ltd., Wellesley, MA, 1993. [14] Schulze, B.–W., Pseudo-differential operators on manifolds with singularities, Studies in Mathematics and its Applications, 24. North-Holland Publishing Co., Amsterdam, 1991. [15] Seeley, R., Complex powers of an elliptic operator, Singular Integrals, AMS Proc. Symp. Pure Math. X, 1966, Amer. Math. Soc., Providence, 1967, pp. 288–307. B8-CuboProc