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On Kato's square root problem

Citation for published version (APA):

Elst, ter, A. F. M., & Robinson, D. W. (1996). On Kato's square root problem. (RANA : reports on applied and numerical analysis; Vol. 9607). Technische Universiteit Eindhoven.

Document status and date: Published: 01/01/1996

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(2)

EINDHOVEN UNIVERSITY OF TECHNOLOGY Department of Mathematics and Computing Science

RANA 96-07 April 1996

On Kato's square root problem by

(3)

Reports on Applied and Numerical Analysis

Department of Mathematics and Computing Science Eindhoven University of Technology

P.O. Box 513

5600 MB Eindhoven The Netherlands ISSN: 0926-4507

(4)

On Kato's square root problem

A.F .M. ter Elst

Department of Mathematics and Compo Sc. Eindhoven University of Technology

P.O. Box 513, 5600 MB Eindhoven, The Netherlands and

Derek W . Robinson

Centre for Mathematics and its Applications Australian National University

Canberra, ACT 0200, Australia

Abstract

We consider abstract versions,

n n

H = -

E

AicijAj

+

E(CiAi

+

AcD

+

Co ,

i,j=1

i=1

of second-order partial differential operators defined by sectorial forms on a Hilbert spaceH. TheAi are closed skew-symmetric operators with a common dense domain HI and the Cij,Ci etc. are bounded operators

on

H

with the real part of the matrix C = (Cij) strictly

positive-definite.

We assume that D(L) ~

ni,j=1

D(AAj ) where L = -

L£=I

A~ is

defined as a form onHI xHI- 'vVe further assume the Cij are bounded operators on one of the Sobolev spaces h.y

=

D((I

+

LP/2), 'Y E (0,1),

equipped with the graph norm. Then we prove that

(1)

for all large AE R.

As a corollary we deduce that in any unitary representation of a Lie group all second-order subelliptic operators in divergence form with Holder continuous principal coefficients satisfy (1).

AMS Subject Classification: 35B45, 47B44, 47A57. April 1996.

(5)

Let ]{ be a closed maximal accretive, regular accretive, sectorial operator on the Hilbert space 1f with associated regular sesquilinear form k and Re]{ the closed maximal accre-tive operator associated with the real part of k. Kato [Kat1], Theorem 3.1, proved that

D(

]{8)

=

D(IC

8)

=

D(

(Re

]{)8)

for all hE [0, 1/2) but Lions [Lio] subsequently gave an example of a closed maximal accretive operator for which

D(]{1/2)

=f.

D(I<"<1/2).

Then Kato [Kat2]' Theorems 1 and 2, proved that

D(

]{1/2) =

D(]{*

1/2) if, and only if, both

D(I(1/2)

~

D(k)

and

D(I(*1/2)

~

D(k).

More generally

D(I(1/2)

~

D(k)

ifand only if

D( k)

~

D(IC

1/2) with a similar equivalence if ]{ and ]{* are interchanged. Therefore the

identity of any two of the sets

D(I(1/2), D(I(*1/2), D(k)

implies the identity of all three. Establishing that a particular operator ]{ satisfies these last identities has become known as Kato's square root problem, or the Kato problem.

Kato's initial interest in these questions was motivated by problems of evolution equa-tions and much subsequent attention has been devoted to the Kato problem for strongly elliptic second-order operators with complex measurable coefficients in divergence form on

L

2(Rd ;

dx)

or on a subspace corresponding to a subdomain neRd. The problem has proved remarkably intractable but it has been solved under some special additional as-sumptions. For example the one-dimensional case was solved by Coifman, McIntosh and Meyer [CMM] in 1982 and in 1985 McIntosh [McI2] showed that the problem can be solved if the coefficients are Holder continuous. A survey of the situation up to 1990 is given by McIntosh in [Men] and a more recent update in [AuT]. This latter paper establishes the equivalence of the Kato problem with several other classical problems of harmonic analysis and illustrates the difficulties of its solution.

Our purpose in this note is to solve the Kato problem for an abstract class of second-order operators under a mild regularity condition on the principal coefficients. In par-ticular we extend the results of McIntosh [McI2] by quite different arguments which rely on interpolation theory. Indeed we draw analogous conclusions to McIntosh for operators associated with an arbitrary unitary representation of a Lie group.

Let AI, . .. ,An be closed skew-symmetric operators on the Hilbert space 1f such that

1f1 = n~1D(Ai ) is norm-dense. Define the corresponding Laplacian L as the positive

self-adjoint operator associated with the form [ with domain 1f1 given by

n

[('1')

=

L

IIA'P11

2

i=1

Then

n

n

D(Ai )

=

1f1

=

D((>..I

+

L)I/2)

i=1

(2)

for all >..

2:

0 by [Kat3], Theorem VI.2.23. In particular 1f1 is a Banach space with respect

to the norm

Next introduce the corresponding Sobolev spaces 1f,,!' I E R, as 1f,,! =

D((I

+

LP/2),

if

I

>

0, with the graph norm

(3)

and as the completion of

(I

+

L

P/

21fwith respect to the norm (3) ifI ~ O. Then1f_,,! is the

(6)

dual of

rt-y.

Since L is self-adjoint the Sobolev spaces form a scale of complex interpolation spaces.

The class of operators we analyze are defined by sectorial forms h on

rtl

x

rtl

with values

n n

h(t/;,<p) =

E

(Ait/;,CijAj<p)

+

E

((t/;,CiAi<P) -

(Ait/;,C~<P))

+

(t/;,C{}<P) (4)

i,j=1 i=1

whereCij, Ci, ci and C{}are bounded operators on

rt

with the real part of the matrix

C

= (Cij)

of principal coefficients strictly positive-definite, i.e.,

n n

E

Re(<pi,Cij<Pj) ~ J1

E

lI<pi112

i,j=1 i=1

for some J1

>

0 and all <PI, . .. ,<pn E

rt.

Forms of this type will be called sub elliptic. The positive-definiteness condition, i.e., the subellipticity, ensures that h is sectorial and closed on

rtl

x

rti.

Hence ifH is the sectorial operator associated with h then >'1

+

H is a closed maximal accretive, regularly accretive operator for all sufficiently large>. E R. It follows that >'1 +Hhas a bounded Hoo-functiona.l calculus and bounded imaginary powers:

II

(>'1

+

H)is

II

~ ell"lsl/2 for all s ER and all sufficiently large >.. A proof of these facts can be

found, for example, in

[ADM].

One of the consequences of the bounded imaginary powers is the fractional powers are well-defined and form a scale of complex interpolation spaces. For example,

[D((>'I

+

Ht), D((>.I

+

H),6)]o = D((>.I

+

H)(1-0)cx+O,6)

for all large >., all (x,

f3

~ 0 with (X

i-

f3

and all () E (0,1) (see [Tri], Theorem 1.15.2).

Our main result is the following.

Theorem 1 Assume the regularity inclusion

n

D(L) ~

n

D(AiAj )

i,j=1

(5)

Let H be the closed sectorial operator associated with the subelliptic form

(4)

and suppose the Cij and their adjoints cij are bounded operators on the Sobolev space

rt-y

= D(

(I

+

LP/2)

for some I E (0,1). Then

for all large>. E R.

If the matrix of principa.l coefficients C = (Cij) is self-adjoint, i.e., ifCij = cji for all i,j E {I, ... ,n}, there is no need for the regularity assumptions of the theorem. Then the principal part Ho= - Li,j=1 ACijAj of H is positive, self-adjoint, and D((>.I

+

HO)I/2) =

D((>.I

+

H~)1/2) =

rtl

for all >. ~ 0 by [Kat3], Theorem VI.2.23. This conclusion can then be extended to H, at least for large positive values of >., by the interpolation-perturbation argument used at the end of the following proof. Thus the difficulty in the theorem occurs when the principal coefficients are not self-adjoint. Then the assumptions,

Crt-y

~

rt-y

and

(7)

C*1-£'.y ~11."1'reflect a form of smoothness of the action of the operators Cij by the following

reasonmg.

First remark that the value of, in the assumption is not of particular significance. IfC

is a bounded operator on 11. and in addition bounded on 11."1 for some, E (0,1) then it is bounded on 11.8, for all 8 E (0, ,), by complex interpolation. Secondly, let C be a bounded

operator on 11. with norm

IIcl\?-t

and T the 'heat' semigroup generated by L on 11.. Then for c and c* to be bounded on 11."1 it suffices that one has bounds

(6)

for some 11

> , >

0, somew ~ 0 and all t

>

O. This follows because

for all A

>

0 where Cy = f~ dt t-1-')'/2(1 - e-t). Hence

(AI

+

Lp/2C - c(AI

+

Lp/2 = c-

')' J

1 (<X!dt C1-'Y/2e->..t(cTt - Tt

c)

o

and the bounds (6) give

I((

AI

+

L p/2'l/J,

c

c.p) - ('l/J,

c

(AI

+

L p/2c.p)

I

S; a

c~III'l/J

II . 11c.p11

10

00

dt C1+(v-')')/2 e-(>..-w)t

S; a"I,>"

II 'l/J II ·1Ic.p1l

for all c.p,'Ij; E 11.')' where a')',>.. is finite for all large Awhenever11

> ,.

It follows immediately

that cc.p E 11."1 and

Thus C is bounded on 11."1' Since

T

is self-adjoint the bounds (6) are also valid for c* and then c* is bounded on 11.')' by the same argument.

Proof of Theorem 1 We first prove the theorem for the principal part Ho of Hand

subsequently extend the result to H by an interpolation-perturbation argument. First, since

it suffices to establish the result for the operator I

+

Ho.

Secondly, fix

'l/J

E D(H~) ~ 'HI and c.p E 'H1+')' C 'HI. Then (1

+

H~t(1-')')/2'l/J E

D(H~) ~ 11.1 and

((1

+

H~)(1+')')/2'l/J,c.p)

=

((1

+

H~)(1

+

H;)-(I-'Y)/2'l/J, c.p)

n

=

L

(A i(1

+

H~t(I-'Y)/2'l/J,cijAjc.p)

+

((1

+

H~t(I-')')/2'l/J,c.p) .

(7)

i,j=1

Now we aim to bound the terms on the right hand side of (7) by use of the Sobolev norms

II .

11-"1 and 1/ .

II')'·

This estimation is based on the following observation.

(8)

Lemma 2 The Ai, i

E {1, ... ,

n}, are bounded operators from

rtI+S

to rts for each

8 E

[-1,1].

Proof The space K =

ni,j=1

D(AAj ) equipped with the norm

is a Banach space since all the operators Ai are closed. Then the regularity hypothesis (5) gives the set inclusion D(I

+

L) ~ K. But since D(I

+

L) is a Banach space with respect to the norm <p f-+

II

(I

+

L

)<pll

it follows from the closed graph theorem that the inclusion

is continuous, i.e., there exists an a

>

0 such that

for all <p E

D(L).

These bounds, together with the Kato identity (2), imply that one has bounds

IIA

i<p11t ~ a'

11<p112

for all <p E rt2 and i E {1, ... , n}. Hence the Ai are bounded

operators from rt2 into rtl. On the other hand D((1

+

L)I/2) ~ D(Ai ) and hence the

operators A i(1

+

L)-1/2 are bounded on rt. By duality the operators (I

+

L)-1/2Ai extend to bounded operators on rt and therefore the A are bounded from rt into rt-l. Since the rt'Y form a scale of complex interpolation spaces the statement of the lemma follows by

interpolation.

0

Now we return to the estimation of the right hand side of (7).

Since, E (0,1) it follows that 8 = (1-,)/2 E (0,1/2) and (I

+

Ho)-s is a continuous operator fromrt into D((I+Ho)S). But by [Kat1], Theorem 3.1, and complex interpolation one deduces that

since Re(1

+

H

o)

is self-adjoint. Therefore (1

+

H

O

)-(I-'Y)/2 is a continuous operator from rt into rtl-'Y' Then by Lemma 2 the A(1

+

H

O

)-(I-'Y)/2 are continuous operators from rt into

rt-

T Thus one has bounds

for all'l/J E rt. Alternatively, by Lemma 2, the Aj are continuous operators from

rtI+'Y

into

rt'Y and, by assumption, the Cij are continuous on

rt

T Therefore one has bounds

for all <p E

rtI+'Y'

Then (7) gives n

1((1

+

H;)(l+'Y)/2'l/J,<p)1 ~

E

IIAi

(1

+

H;)-(I-'Y)/2'l/J11_'Y '1IcijAj<pII'Y

i,j=1

+

II(I

+

H;t(I-'Y)/2'l/J11 .

11<p11

~ b

11'l/J11 . 11<p11t+'Y

(9)

for some b

>

0 and all

'l/J

E D(H

o)

and c.p E

Hl+'Y'

Here we have used the foregoing estimates and the bounds

11(1

+

H

o

)-(I-'Y)/2'l/J1I ~

11'l/J11

and

11c.p11

~

1Ic.plh+'Y·

Since D(H

o)

is a core of

(1

+

H

O

)(I+'Y)/2 one concludes that

Hl+'Y

~ D((1

+

Ho)(l+'Y)/2) and

(8) for all c.p E

Hl+'Y'

But then

Now H

o

is an operator analogous to Ho , with Cij replaced by cji' and the same arguments

apply. Therefore one has two inclusions

But I

+

Ho is a closed maximal accretive operator associated with a form whose domain is HI. Therefore, from the result of Kato cited in the introduction, [Kat2], Theorem 1, one concludes that HI = D((1

+

Ho)l/2) = D((1

+

H

O

)I/2). Thus the desired identities are

established for the principal part of H. Next consider the addition of lower order terms. First let hI denote the form obtained from h by settingc~

=

0 and HI the corresponding closed sectorial operator. Then

for all

'l/J,

c.p E HI where hois the form associated with the principal part Ho and V is the operator

2:i;,,1

CiAi

+

Co

with D(V) = HI. But D(HI) consists of those c.p E HI for which there is an a

>

0 such that

I

hI

('l/J,

c.p)

I

~ a

11'l/J II

for all

'l/J

E HI' The domain D( Ho )is defined

similarly, relative to ho. It follows immediately that D(Hd = D(Ho ). Hence

for sufficiently large A. Therefore, by the foregoing, one has D(()"I

+

HI)I/2)

=

HI. But

J<

=

),,1

+

HI is a closed maximal accretive operator corresponding to a form k with

D(k)

=

HI. Thus D(J<I/2)

=

D(k) and again invoking [Kat2]' Theorem 1, one concludes that D(I<*I/2)

=

D(k). Therefore D(()..I

+

Hn I/2)

=

HI.

Finally

n

h*(c.p,'l/J) = h;(r.p,'l/J) - L(c~r.p,Ai'l/J)

i=I

for all r.p,

'l/J

E HI where h* and

hi

are the forms associated with H* and H;, respectively. Then repetition of the foregoing argument gives D(()..I

+

H*)l/2)

=

D(()"I

+

H;)I/2)

=

HI

and another application of Theorem 1 in [Kat2] yields D( ()..I

+

H)I/2) = HI.

0

Theorem 1 has a simple implication for subelliptic operators associated with a unitary representation of a Lie group because the basic regularity properties are a direct conse-quence of unitarity.

Let

(H,

G,

U)

denote a representation of the Lie group G by unitary operators9 1--+

U(g)

on the Hilbert space H. Further letaI, ... ,anbe elements of the Lie algebra 9 of G. Denote the skew-adjoint generators of the one-parameter unitary groups

t

1--+ U(exp(

-tai))

by

(10)

AI, . .. ,An, i.e, the Ai are the representatives of the ai in the derived representation of the Lie algebra. Then the Ct-subspace 1{t corresponding to the Ai is automatically dense in 1{ because it contains the dense subspace of Coo-elements of the representation. Moreover, ifthe at, ... ,an form a vector space basis of 9 then the regularity property (5) is a result of Nelson [Nel] (a simple proof is given in [Rob], Section 1.6, page 53). More generally, if the at, ... ,an are a Lie algebraic basis of 9 then (5) is established in [EIR], Theorem 7.2.IV. In light of these observations one has the following conclusion.

Corollary 3 Let(1{, G, U) denote a unitary representation of a Lie group G andAt, . .. , An

the skew-adjoint representatives of an algebraic basisat, ... ,an of the Lie algebra of G. Let

H be the closed sectorial operator associated with the subelliptic form

(4)

and the Ai and suppose the Cij andcij are bounded operators on the Sobolev space 1{-y = D(

(I

+

L

)7/2)

for

some, E (0,1).

Then

D(()"]

+

H)l/2)

=

D(()..]

+

H*)t/2)

=

1{t for all large ).. E

R.

Again it is worth noting that the assumption that a bounded operator c on 1{ is also bounded on 1{-y is a type of Holder continuity. It follows, for example, if c satisfies bounds

IIU(g)cU(g)-t - c

II

~ a

IglII

(9)

for some v

>

I and all g E G with

Igi

~ 1 where

I. I

denotes the subelliptic distance to the identity element corresponding to the basis at, ... , an (see, for example, [Rob], Section IVA). These bounds imply the boundedness of c and c* on 1{-y by the following reasoning.

The action ofT, the semigroup generated by L on 1{, is given by a kernel I<,

wheredg denotes left invariant Haar measure. This kernel is positive and satisfies Gaussian bounds

o

~ I<t(g) ~ a CD/2ewte-blgI2t-l

with D the local subelliptic dimension (see [Rob], Section IVA). Therefore Ttc - cTt =

L

dg I<t(g) (U(g)c - cU(g))

(10)

and the bounds (9), which extend to all 9 E G, together with (10), immediately give estimates

IITtc - cTtll

~

atll

/2

L

dg CD/2ewte-blg!2t-l

(lgI

2ct

t/

2

The integral, however, is bounded by a factor a'ew't and hence one concludes that

for some a

>

0, w

2::

0 and all t

>

O. Then the boundedness of c and c* on 1{-y for each

I E (0,

v)

follows from the discussion following Theorem 1.

Thus if theCij are operators which act by multiplication by Holder continuous functions

then the corollary applies. This is a general Lie group version of McIntosh's result [Mcll] for Rn. But if one specializes to Euclidean space one can draw more general conclusions.

(11)

For example, let 'H = L2(0 ;dx) for some open set 0 ~ Rn and set Ai = a i = a / aXi, the partial differential operators with Dirichlet boundary conditions. Then L is the Dirichlet Laplacian and the regularity property (5) is valid. Therefore Theorem 1 applies to Dirichlet operators

n n

H

= -

L

aiCijaj

+

2:)

Ciai

+

vicD

+

Co

i,j=1 i=1

with coefficients in the bounded operators on L2(0; dx). The only restraints are the ellip-ticity condition and the 'Holder continuity' on the principal coefficients Cij. The theorem

also has applications to operators on other manifolds as long as theC2-regularity condition

(5) is satisfied.

There is one natural question which is not resolved by the foregoing arguments. It follows from [Kat1], Theorem 3.1 that for each subelliptic operator H given by a subelliptic form

(4)

one has

D(()..]

+

HY'i)

= 'H2cx

for all large).. and all a E [0,1/2). This conclusion does not need any regularity of the coefficients Cij or the Laplacian. But Theorem 1 establishes that the regularity condition

(5) together with the boundedness of the Cij and cij on 'H-y ensures the stronger conclusion

In the course of the proof, however, we also deduced in

(8)

that

(11)

for all a E (1/2, (1

+

/)/2] and H a pure second-order subelliptic operator satisfying the assumptions of Theorem 1. On the other hand, ifH is an operator with Ci

=

a

for all i but

the

ci

are possibly non-zero then the additional terms in

(7)

can be dealt with as before. So (11) is valid for all operators with the Ci equal to zero. But then one can add the

terms ciAi by the perturbation-interpolation argument. Thus one arrives at the following

conclusion.

Proposition 4 Assume the regularity inclusion

n

D(L) ~

n

D(AiAj )

i,j=1

Let H be the closed sectorial operator associated with the subelliptic form (4) and suppose the Cij are bounded operators on the Sobolev space'H-y

=

D((I

+

L

)'Y/2)

for some / E (0,1).

Then

D(()..]

+

H)CX) ;2 'H2cx

for all large).. E R and all a E [0,(1

+/)

/2]' with equality ifa E [0, 1/2].

It is, however, unclear whether the hypotheses of Theorem 1 imply that these the containments are identities for a

>

1/2. Probably some additional regularity is required. Acknowledgements Part of this work was carried out whilst the second-named author was a guest of Akitaka Kishimoto and the Mathematics Department of Hokkaido University. This visit was made possible by the joint support of the Australian Academy of Science and the Japanese Society for the Promotion of Science.

(12)

References

[ADM] [AuT] [CMM] [ElR] [Kat1] [Kat2] [Kat3] [Lio] [Mcll] [McI2] [Nel] [Rob] [Tri]

ALBRECHT, D., DUONG, X., and McINTOSH, A., Operator theory and har-monic analysis. Research Report 95-175, Maquarie University, Sydney, Aus-tralia, 1995.

AUSCHER, P., and TCHAMITCIIIAN, P. Square root of divergence operators, square functions and singular integrals, 1996.

COIFMAN, R.R., McINTOSH, A., and MEYER,

Y.,

L'integrale de Cauchy definit un operateur borne sur L2(R) pour les courbes lipschitziennes. Ann. Math. 116 (1982), 361-387.

ELST, A.F.M. TER, and ROBINSON, D.W., Subelliptic operators on Lie groups: regularity. J. Aust1'. Math. Soc. (Series A) 57 (1994), 179-229.

KATO, T., Fractional powers of dissipative operators. J. Math. Soc. Japan 13 (1961), 246-274.

- - , Fractional powers of dissipative operators, II. J. Math. Soc. Japan 14 (1962), 242-248.

- - , Pertu1'bation theo1'Y f01' linear opemtors. Second edition, Grundlehren del' mathematischen Wissenschaften 132. Springer-Verlag, Berlin etc., 1984.

LIONS, J.L., Espaces d'interpolation et domaines de puissances fractionnaires d'operateurs. J. Math. Soc. Japan 14 (1962), 233-241.

McINTOSH, A., The square root problem for elliptic operators. In Functional analytic methods for partial differential equations, Lecture Notes in Mathematics 1450. Springer-Verlag, Berlin etc., 1984,122-140.

- - , Square roots of elliptic operators. J. Funct. Anal. 61 (1985), 307-327. NELSON, E., Analytic vectors. Ann. Math. 70 (1959), 572-615.

ROBINSON, D.W., Elliptic opemtors and Lie groups. Oxford Mathematical Monographs. Oxford University Press, Oxford etc., 1991.

TRIEBEL, H., Interpolation theory, function spaces, differential operators.

North-Holland, Amsterdam, 1978.

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PREVIOUS PUBLICATIONS IN THIS SERIES: l\umber 9:3-20 9.5-21 96-01 96-02 96-0:3 96-04 96-05 96-06 96-07 Author(s) S.J.-1. van Eijndhoven :\L\I.A. de Rijcke P.J .P.:\I. Simons R.:\I.:\I. :\Iattheij :\1. Giinther G. Prokert B. van 't Hof J .H.:VI. ten Thije Boonkkamp R.M.M. Mattheij J.J .A.M. Brands J .P.E. Buskens i\I..J.D. Slob J. Molenaar S.\N. Rienstra

A.F.M. tel' Elst D.\V. Robinson

Title

Convolution algebras translation in-variant operators

The cooling of molten glass in a mould

Existence results for the quasista-tionary motion of a free capillary liq-uid drop

Discretization of the Stationary Convection-Diffusion-Reaction Equation

Asymptotics in order statistics

Prototype of the Numlab

pro-gram. A laboratory for numerical engmeenng

Oscillating boundary layers in poly-mer extrusion

Geometrical Effects in a Joule Heating Problem from Miniature Soldering

On Kato's square root problem

NIonth December '9·5 December '9·5 .Jannary '96 February '96 March '96 March '96 March '96 April '96 April '96

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