Compactness Properties For Trace-Class Operators and Applications To Quantum Mechanics

Introduction
The operators setting

Free Energy functionals
Interpolation inequalities
Coercivity Estimates
Compactness
Applications
References
!M‫ הש‬K‫ברו‬
Compactness properties for trace-class operators

and applications to quantum mechanics
Monatschafte für Mathematik (2008)
Juan Mayorga-Zambrano, PhD.

Escuela Politécnica del Ejército / Escuela Politécnica Nacional
jrmayorga@espe.edu.ec
Sexta Conferencia Ítalo-Latinoamericana
de Matemática Aplicada e Industrial
Juan Mayorga-Zambrano, PhD. Compactness properties for trace-class operators...

Introduction
Compactness
Applications
References
Joint work with

Patricio Felmer
(Universidad de Chile - CHILE)
and
Jean Dolbeault
(Universite Paris Dauphine - FRANCE)

Introduction
Compactness
Applications
References
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fds fdss fsfs

Introduction
Compactness
Applications
References
dsfd fsdfsd
fds fdss fsfs
gfdgd gfdgfd

Introduction
Compactness
Applications
References
dsfd fsdfsd
fds fdss fsfs
gfdgd gfdgfd

Introduction
Compactness
Applications
References
Introduction
We shall consider free energy functionals like
FV ,β (L) = Tr [β(L) + (−∆ + V (x))L] (1)
where L is a trace operator on L2 (Ω), β is a convex function and

V (·) is a given potential on Ω ⊆ Rd , a bounded domain, d ∈ N.
Minimizing the free energy functional for a given potential is
equivalent to proving Lieb-Thirring inequalities, while the
optimization on the potential provides interpolation inequalities.
We work in a general setting which physically could correspond to
external potentials with a singularity (for instance created by
doping charged impurities in a semi-conductor).
Introduction
Compactness
Applications
References
Our first task is to bound from below the free energy functional,
that is to establish adapted Lieb-Thirring inequalities.
The second step consists in reformulating these inequalities in
terms of Gagliardo-Nirenberg type interpolation inequalities for
operators, and to study the compactness properties of the
corresponding embeddings.
Applying these results to the minimization of various free energy
functionals, we determine for instance stationary states of the
Hartree problem with temperature corresponding to various
statistics.

Introduction
Compactness
Applications
References
Our first task is to bound from below the free energy functional,
that is to establish adapted Lieb-Thirring inequalities.
The second step consists in reformulating these inequalities in
terms of Gagliardo-Nirenberg type interpolation inequalities for
operators, and to study the compactness properties of the
corresponding embeddings.
Applying these results to the minimization of various free energy
functionals, we determine for instance stationary states of the
Hartree problem with temperature corresponding to various
statistics.

Introduction
Compactness
Applications
References

We denote by L = L(L2 (Ω)) the space of bounded linear operators
acting on L2 (Ω) and by I∞ and S∞ the subspaces of compact and
compact self-adjoint operators, respectively.
We shall deal with elements of the trace-class,
n X o
I1 ≡ L ∈ I∞ : (χi , Lχi ) 2 < ∞ ,
L (Ω)
i∈N
where {χi }i∈N is any complete orthonormal system in L2 (Ω). The

trace of an operator L ∈ I1 is given by
X
Tr [L] ≡ (χi , Lχi )L2 (Ω) .
i∈N

Introduction
Compactness
Applications
References
From now on we only deal with self-adjoint operators. For L ∈ S∞

we denote by {νi (L)}i∈N , or simply {νi }i∈N if there is no
confusion, the sequence of eigenvalues of L counted with
multiplicity (which is well defined by the Hilbert-Schmidt theorem).
We adopt the convention that {νi }i∈N is ordered in a way such
that {|νi |}i∈N is non-increasing, and if both ν and −ν are
eigenvalues, −|ν| comes first. We will denote by {ψi (L)}i∈N , or
simply {ψi }i∈N if there is no ambiguity, an associated
L2 (Ω)-complete orthonormal system of eigenfunctions.

Introduction
Compactness
Applications
References
It is well known that for L ∈ S1 the function

X
ρL (x) ≡ νi |ψi (x)|2
i∈N
is in L1 (Ω) and does not depend on the special choice {ψi }i∈N . If,
additionally, L ≥ 0, ρL is also non-negative and it is called the
density function associated to L.

Introduction
Compactness
Applications
References
Definition.- An operator L ∈ S1 isPin the Sobolev-like cone H1 if

{ψi (L)}i∈N ⊂ H10 (Ω) and hhLii2 ≡ i∈N |νi | · kψi k2H1 (Ω) < ∞ . We
0
define the kinetic energy functional on the cone of positive
operators H+ 1 ≡ {L ∈ H1 : L ≥ 0}, as
X Z
K(L) ≡ νi |∇ψi (x)|2 dx.
i∈N Ω

Introduction
Compactness
Applications
References
Proposition.-
1. Given L ∈ H1 , hhLii2 depends only on L and not on the
particular eigenbasis of L.
2. αL ∈ H1 , for all α ∈ R.
3. For every L ∈ H1 and α ∈ R
hhαLii2 = |α|hhLii2 ,
and hhαLii2 = 0 if and only if L = 0 or α = 0.

4. There exists a constant c2 = c2 (Ω) such that
kLk1 ≤ c2 hhLii2 , ∀ L ∈ H1 . (2)

Introduction
Compactness
Applications
References
We shall see that the Sobolev-like cones H1 and H+ 1 are analogues
of H10 (Ω) and H10,+ (Ω) at the level of self-adjoint compact

operators:
Proposition.- Let {Ln }n∈N be a sequence in H+1 such that
{K(Ln )}n∈N is bounded. Then, up to a subsequence, {Ln }n∈N

1.
converges in trace norm k · k1 to some L in H+

Introduction
Compactness
Applications
References
This results in integrability properties for the function ρL , which are

the counterpart of the Sobolev’s embeddings: for any L ∈ H1 , ρL
belongs to W1,r (Ω) ∩ Lq (Rd ) with r and q in the following ranges:
1 for all q ∈ [1, ∞] and r ∈ [1, 2] if d = 1,
2 for all q ∈ [1, ∞[ and r ∈ [1, 2] if d = 2,
d d
3 for all q ∈ [1, d−2 ] and r ∈ [1, d−1 ] if d ≥ 3.

Introduction
Compactness
Applications
References
Definition.- We shall say that a function F : R → R ∪ {∞} is of

α
Casimir class CV if it is convex and i∈N F (λαV ,i ) is finite provided
P
V = V (x) and α > 0 verify
(Vα ) the Schrödinger operator −α∆ + V , with Dirichlet boundary
conditions, has a sequence of eigenelements
{(λαV ,i , φαV ,i )}i∈N ⊂ R × H10 (Ω) (3)
such that {φαV ,i }i∈N is a complete orthonormal system in

L2 (Ω) and λαV ,i → ∞ as i → ∞.

Introduction
Compactness
Applications
References
The Spectral Theorem allows us to define the trace-class operator

F (−α∆ + V ) for each F ∈ CVα , whenever α ∈ R+ and V verifies
(Vα ). In this case, it follows that {λαV ,i : i ∈ N} ⊂ Dom(F ).
Definition.- Given L ∈ H+ 1 and a convex function
β : R → R ∪ {+∞} such that β(0) = 0, we shall call the value

X
Eβ (L) ≡ Tr [β(L)] = β(νi (L))
i∈N
the β-entropy of L provided Eβ (L) ∈ (−∞, ∞]. In this case we say

that β is an entropy seed.

Introduction
Compactness
Applications
References
Additionally, if V ∈ L1loc (Ω) and L ∈ H+1 are such that

1 d
ρL V ∈ L (R ), then we shall call (V , β)-free energy of L to the
value
FV ,β (L) ≡ Eβ (L) + K(L) + PV (L), (4)
where Z
PV (L) ≡ Tr [VL] = V (x)ρL (x)dx,
Ω
is the V -potential energy of L.
We shall say that an entropy seed β is generated by the convex
function F if
β(s) = F ∗ (−s), s ∈ R,
where for a proper convex function θ : R → R ∪ {+∞}, θ∗ is its
Legendre-Fenchel transform.
Introduction
Compactness
Applications
References
Example 1
(
∞ if s < 0 ,
Let γ > γd ≡ d/2 and βm (s) = m
where
− cm s if s ≥ 0 ,

γ
cm = (1 − m)m−1 m−m and m = γ+1 ∈ d+2 d
, 1 . The entropy
seed βm is generated by the function
(
s −γ if s ≥ 0 ,
F (s) =
+∞ if s < 0 ,
which belongs to the Casimir class C01 (so that (−∆)−γ is a

trace-class operator).

Introduction
Compactness
Applications
References
Theorem.- Let V be a potential verifying (V1 ). Let β be an
entropy seed generated by F ∈ CV1 . Then
1
FV ,β (L) ≥ −Tr [F (−∆ + V )] , ∀ L ∈ H+ . (5)
Let G (s) = τ ∗ (−s) be strictly convex and s.t.

Z
Tr [F (−∆ + V )] ≤ G (V (x))dx. (L-Th)
Ω
1 , we have
Then, for any L ∈ H+
Z
K(L) + Eβ (L) ≥ τ (ρL ) dx. (G-N)
Ω

Introduction
Compactness
Applications
References
Remark.- Point (5) is a generalization of Lemma 3 of [MRW02].

There it’s worked in the context of mixed states for the case of a
non-negative Poisson coupling V ∈ H10 (Ω). Our result works for
more general functions F , not only for d = 3, and our
(corresponding) class of operators is broader.

Introduction
Compactness
Applications
References
Remark.- Inequality (L-Th) is of Lieb-Thirring type. It’s verified

e.g. by functions of the form
Z ∞ Z ∞ −t s
−t s dt e g (t) dt
F (s) = e g (t) , G (s) = , (6)
0 t 0 (4π t)d/2 t
where g is a non-negative function on R+ such that

Z ∞ dt
g (t) 1 + t −d/2 < ∞.
0 t
d/2
If d is even, F (s) = (−4π)d/2 dds d/2G (s).

Introduction
Compactness
Applications
References
Example 1 (cont.)
If F (s) = s −γ and G (s) = C (γ)s d/2−γ , we have

X Z
1 −γ
|λV ,i | ≤ C (γ) V d/2−γ dx,
i∈N Ω
and (G-N) takes the following special form

Z
K(L) + κ(γ) ρqL dx ≥ cm Tr [Lm ] , 1
∀L ∈ H+ , (7)
Ω
q 1−q q −q
where κ(γ) ≡ (C(γ))1−q [( q−1 ) + ( q−1 ) ].

Introduction
Compactness
Applications
References
Example 2

s log s − s if s > 0 ,

Consider the entropy seed β(s) = 0 if s = 0 , which is

+∞ if s < 0 .

−s
generated by F (s) = e . If G (s) = (4π) −d/2 −s
e , then (L-Th)
and (G-N) become respectively
X Z
−λV ,i −d/2
e ≤ (4π) e −V (x) dx,
Ω
Z Z
d
K(L) + Eβ (L) ≥ β(ρL )dx + log(4π) ρL dx .
Ω 2 Ω

Introduction
Compactness
Applications
References
Definition.- We say that the Schrödinger operator −∆ + V on

H10 (Ω) is ε-coercive for some ε ∈ (0, 1] if and only if
(1−ε)
λV ,1 = sup{µ ∈ R : −(1 − ε) ∆ + V ≥ µ} > −∞ . (8)
(1−ε)
For λ ≤ λV ,i we consider the free energy FVλ ,β : H+
1 → R ∪ {∞}
given by
FVλ ,β (L) ≡ FV ,β (L) − λ kLk1 . (9)

Introduction
Compactness
Applications
References
The ε-coercivity means that

(1−ε)
−∆ + V − λV ,1 ≥ −ε ∆,
in the sense of operators with Dirichlet boundary conditions, that

is in H10 (Ω). We also observe that Condition (8) for ε = 1 means
that V is bounded from below while λ1V ,1 = 0 means that V is
non-negative.

Introduction
Compactness
Applications
References
Proposition.- Let ε ∈ (0, 1] and −∆ + V ε-coercive. Let β be an

ε/2 (1−ε)
entropy seed generated by F . If F ∈ C0 , then for any λ ≤ λV ,1
and any L ∈ H+1 we have that
h ε i ε
FVλ ,β (L) ≥ −Tr F − ∆ + K(L) . (10)
2 2
(1−ε)
If F ∈ CV1−ε 1
−λ and λ ≤ λV ,1 , then for any L ∈ H+ we have that
FVλ ,β (L) ≥ −Tr [F (−(1 − ε)∆ + V − λ)] . (11)

Introduction
Compactness
Applications
References
Compactness
Corollary.- (d ≥ 2) Assume that −∆ + V is ε-coercive, ε ∈ (0, 1].

ε/2
Let β be an entropy seed generated by F ∈ C0 ∩ CV1−ε
−λ and
(1−ε)
λ ≤ λV ,1 .
1 such that {F λ (L )}
If {Ln }n∈N is a sequence in H+ V ,β n n∈N is
bounded, then {Ln }n∈N , up to a subsequence, converges in trace
norm k · k1 to some positive operator L ∈ S1 .
Moreover, ρLn converges to ρL in Lq (Ω), for any q ∈ [1, ∞] if
d = 1, q ∈ [1, ∞) if d = 2 and q ∈ [1, d/(d − 2)] if d ≥ 3.

Introduction
Minimization of the free energy functional
Free energy involving a non-linear but local function of the density
Stationary states for the Hartree problem with temperature
Compactness
Applications
References
Theorem.- Assume that V verifies (V1 ) and −∆ + V is

(1−ε)
ε-coercive, ε ∈ (0, 1]. Take λ ≤ λV ,1 . Let β be an entropy seed
ε/2
generated by F ∈ C0 ∩ CV1−ε −λ . Then there exists a unique
L∞ ∈ H+ such that FV ,β (L∞ ) = inf L∈H+1 FVλ ,β (L) , provided one
1 λ
of the following conditions is satisfied:

1 if d = 1, V ∈ Lq (Ω), for some q ∈ [1, ∞],
2 if d = 2, V ∈ Lq (Ω), for some q ∈]1, ∞],
3 if d ≥ 3, V ∈ Lq (Ω), for some q ∈ [ d2 , ∞].

Introduction
Compactness
Applications
References
The minimizer provided by the previous Theorem is a stationary

solution for the Heisenberg equation
[−∆ + V − λ, L] = 0 ,
where [L, R] = L R − R L . The operator L∞ can actually be

written as
L∞ = (β 0 )−1 (∆ − V + λ) .

Introduction
Compactness
Applications
References
Free energy involving a non-linear but local function of the

density
Given a real function g let’s denote, for L ∈ H+ 1,
Z
G(L) = g (ρL (x)) dx,
Ω
FVλ,g
≡ FVλ ,β + G(L),
,β (L)
Y (L) = (β 0 )−1 −(−∆ + V ) + λ − g 0 ◦ ρL .


Introduction
Compactness
Applications
References
Theorem.- Assume that V verifies (V1 ) and −∆ + V is

(1−ε)
ε-coercive, ε ∈ (0, 1]. Take λ ≤ λV ,1 . Let β be an entropy seed
ε/2
generated by F ∈ C0 . Let g ∈ C([0, ∞)) be such that
0 ≤ c1 ≤ g (s) ≤ c2 s q ∀ s ≥ 0, where q ∈ [1, ∞) if d = 1 or
d = 2, q ∈ [1, d/(d − 2)] if d ≥ 3.
If F ∈ CV1−ε 1
−λ , then there exists L∞ ∈ H+ st
FVλ,g λ,g
,β (L∞ ) = inf FV ,β (L) .
1
L∈H+
If g ∈ C1 ([0, ∞)), L∞ is a fixed point of Y on H+

1.

Introduction
Compactness
Applications
References

Consider the Hartree evolution system

i ∂t L(t) = [−∆ + V (t, ·), L(t)] t ≥ 0 ,

−∆V (t, x) = ρL(t) (x) x ∈ Ω, t≥0, (12)

L(0) = L̃

with homogeneous Dirichlet boundary conditions, V = 0 on ∂Ω.

The stationary states of (12) are then solutions of
(
[−∆ + V , L] = 0 ,
(13)
−∆V = ρL .

Introduction
Compactness
Applications
References
Stationary states of (12) can be obtained through the minimization

of the free energy
1
Fβ (L) = Eβ (L) + K(L) + P(L) , ∀ L ∈ H+ ,
where Z Z
1 1
P(L) = VL ρL dx = |∇VL |2 dx
2 Ω 2 Ω
1.
is the Poisson potential energy of L ∈ H+

Introduction
Compactness
Applications
References
Theorem.- Assume that d ≤ 4. Let β be an entropy seed

1 such that
generated by F ∈ C0 . Then there exists LF ∈ H+
1
Fβ (LF ) ≤ Fβ (L) ∀ L ∈ H+ .
Moreover if β is of class C 1 in the interior of its support, then
LF = (β 0 )−1 (∆ − VLF )
is the unique minimizer of Fβ and solves (13) as well.

Introduction
Compactness
Applications
References
J. Dolbeault, P. Felmer, M. Loss, and E. Paturel, Lieb-Thirring

type inequalities and Gagliardo-Niremberg inequalities for
systems, preprint (2005).
J. Dolbeault, J. Mayorga-Zambrano, and F. Méhats, Quantum
drift-diffusion by mass transportation techniques, working
paper (2006).
P. Felmer and J. Mayorga-Zambrano, Multiplicity and
concentration for the nonlinear Schrödinger equation with
critical frequency, Nonlinear Analysis 66/1 (2007), 151–169.
P. Markowich, G. Rein, and G. Wolansky, Existence and
nonlinear stability of stationary states of the
Schrödinger-Poisson system, J. Statist. Phys. 106 (2002),
no. 5-6, 1221–1239.

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Introduction

The operators setting

Compactness properties for trace-class operators

Juan Mayorga-Zambrano, PhD.

Juan Mayorga-Zambrano, PhD. Compactness properties for trace-class operators...

Joint work with

Juan Mayorga-Zambrano, PhD. Compactness properties for trace-class operators...

Juan Mayorga-Zambrano, PhD. Compactness properties for trace-class operators...

Juan Mayorga-Zambrano, PhD. Compactness properties for trace-class operators...

Juan Mayorga-Zambrano, PhD. Compactness properties for trace-class operators...

FV ,β (L) = Tr [β(L) + (−∆ + V (x))L] (1)

where L is a trace operator on L2 (Ω), β is a convex function and

Juan Mayorga-Zambrano, PhD. Compactness properties for trace-class operators...

Juan Mayorga-Zambrano, PhD. Compactness properties for trace-class operators...

The operators setting

where {χi }i∈N is any complete orthonormal system in L2 (Ω). The

Juan Mayorga-Zambrano, PhD. Compactness properties for trace-class operators...

From now on we only deal with self-adjoint operators. For L ∈ S∞

Juan Mayorga-Zambrano, PhD. Compactness properties for trace-class operators...

It is well known that for L ∈ S1 the function

Juan Mayorga-Zambrano, PhD. Compactness properties for trace-class operators...

Definition.- An operator L ∈ S1 isPin the Sobolev-like cone H1 if

Juan Mayorga-Zambrano, PhD. Compactness properties for trace-class operators...

and hhαLii2 = 0 if and only if L = 0 or α = 0.

kLk1 ≤ c2 hhLii2 , ∀ L ∈ H1 . (2)

Juan Mayorga-Zambrano, PhD. Compactness properties for trace-class operators...

We shall see that the Sobolev-like cones H1 and H+ 1 are analogues

of H10 (Ω) and H10,+ (Ω) at the level of self-adjoint compact

{K(Ln )}n∈N is bounded. Then, up to a subsequence, {Ln }n∈N

Juan Mayorga-Zambrano, PhD. Compactness properties for trace-class operators...

This results in integrability properties for the function ρL , which are

Juan Mayorga-Zambrano, PhD. Compactness properties for trace-class operators...

Free Energy functionals

Definition.- We shall say that a function F : R → R ∪ {∞} is of

{(λαV ,i , φαV ,i )}i∈N ⊂ R × H10 (Ω) (3)

such that {φαV ,i }i∈N is a complete orthonormal system in

Juan Mayorga-Zambrano, PhD. Compactness properties for trace-class operators...

The Spectral Theorem allows us to define the trace-class operator

β : R → R ∪ {+∞} such that β(0) = 0, we shall call the value

the β-entropy of L provided Eβ (L) ∈ (−∞, ∞]. In this case we say

Juan Mayorga-Zambrano, PhD. Compactness properties for trace-class operators...

Additionally, if V ∈ L1loc (Ω) and L ∈ H+1 are such that

which belongs to the Casimir class C01 (so that (−∆)−γ is a

Juan Mayorga-Zambrano, PhD. Compactness properties for trace-class operators...

Let G (s) = τ ∗ (−s) be strictly convex and s.t.

Juan Mayorga-Zambrano, PhD. Compactness properties for trace-class operators...

Remark.- Point (5) is a generalization of Lemma 3 of [MRW02].

Juan Mayorga-Zambrano, PhD. Compactness properties for trace-class operators...

Remark.- Inequality (L-Th) is of Lieb-Thirring type. It’s verified

where g is a non-negative function on R+ such that

Juan Mayorga-Zambrano, PhD. Compactness properties for trace-class operators...

If F (s) = s −γ and G (s) = C (γ)s d/2−γ , we have

and (G-N) takes the following special form

Juan Mayorga-Zambrano, PhD. Compactness properties for trace-class operators...

Juan Mayorga-Zambrano, PhD. Compactness properties for trace-class operators...

Definition.- We say that the Schrödinger operator −∆ + V on

Juan Mayorga-Zambrano, PhD. Compactness properties for trace-class operators...

The ε-coercivity means that