Essential spectrum in the Calkin algebra 2026-10-14
For a bounded linear operator on an infinite-dimensional complex Hilbert space, define the essential spectrum by failure of the Fredholm property for . The Atkinson theorem identifies it with the spectrum in the Calkin algebra, hence it is compact and nonempty. On a finite-dimensional Hilbert space it is empty. For a bounded real diagonal operator on a separable infinite-dimensional space it equals the subsequential cluster set of the diagonal entries, including values of infinite multiplicity.
Past exam of the mathematics course of the University of Cambridge 2007 iii Paper 10 5 Solution Created 2026-10-03 Updated 2026-10-14
The Fredholm index measures the finite-dimensional obstruction to inverting an operator. For a bounded operator between Hilbert spaces, the Fredholm conditions are that its range of a bounded linear operator is closed and its kernel and cokernel are finite-dimensional. The orthogonal complement of the range is , soAn invertible linear map has Fredholm index zero; the converse needs an additional finite-dimensional correction, since an operator can have equally large kernel and cokernel.
First construct an inverse up to finite-rank operators. On , the restriction of is a bounded bijection onto its closed range, with bounded inverse by the bounded inverse theorem. Extend that inverse by zero on , obtaining . ThenConversely, suppose and are compact operators. On , the first identity expresses the identity as a compact operator, so this kernel is finite-dimensional. If were not bounded below on , there would be unit vectors in that complement with . Write . Compactness of gives a subsequence for which converges, hence converges to a unit vector in with , a contradiction. This lower bound makes the range closed. Applying the analogous argument to , using , proves that its kernel is finite-dimensional. This proves the Atkinson theorem: a bounded operator is Fredholm exactly when it has an inverse modulo compact operators. For operators on one Hilbert space this says that its image in the Calkin algebra is invertible.
The Fredholm index is stable. Decompose the domain as , where , and the target as , where and . A sufficiently small norm perturbation has block matrixMultiplying by invertible triangular block matrices reduces this matrix to the direct sum of and the Schur complement . The latter's kernel dimension minus cokernel dimension is , whatever its rank. Therefore the Fredholm set is open and the index is locally constant. If is compact, the same parametrix works modulo compact operators for every , . Local constancy along this path gives
For Fredholm operators and , multiplication of parametrices shows that is Fredholm. Its index is additive. Here is a direct proof, rather than an assertion of additivity. There is an exact sequence of finite-dimensional spacesThe map from takes a vector to its class modulo ; the next takes the class of to that of ; the last is the quotient map. For example, a class lies in the kernel of the middle map exactly when for some , so . This verifies the only less immediate exactness assertion; the others follow directly from their definitions. Alternating the dimensions givesAlso , and indices add under direct sums. For with compact, the index is zero, so injectivity is equivalent to surjectivity. More generally is solvable exactly when is orthogonal to : these are the finitely many compatibility conditions in the Fredholm alternative.
Toeplitz operators exhibit how this analytic index detects a topological winding. Let be the Hardy space of the circle, spanned by , and let be its orthogonal projection. For a continuous symbol , define , where is multiplication by . Then . The product defect isFor trigonometric polynomials the crossing of negative and nonnegative Fourier modes has finite rank. Uniform approximation of continuous symbols by trigonometric polynomials, together with the displayed norm estimate, therefore makes this defect a compact operator for all continuous . If is nowhere zero, is continuous and is a two-sided parametrix modulo compact operators. Thus is Fredholm.
The converse is instructive. If at , consider the normalized Hardy kernelsTheir norms are one, their individual Fourier coefficients tend to zero as , and hence they converge weakly to zero. Their squared moduli are the Poisson kernel, so continuity of givesA Fredholm operator is bounded below off its finite-dimensional kernel. The projection of these weakly vanishing vectors onto that kernel tends to zero, contradicting this lower bound. Thus a continuous-symbol Toeplitz operator is Fredholm exactly when its symbol never vanishes. Applying the same argument to gives its essential spectrum as , with essential spectrum defined by failure of the Fredholm property.
For nonvanishing , let . Lifting a continuous argument of on gives an argument change . After division by , its argument has matching endpoints, so there is a continuous function with . The nonvanishing-symbol homotopy reduces the index to that of . For this is the th power of the unilateral shift operator, whose kernel is zero and whose range has codimension . For it is the th power of the adjoint shift, whose kernel has dimension and whose range is all of . ConsequentlyThe minus sign comes from counting missing nonnegative Fourier modes. This is a concrete bridge between the Fredholm index, stability under compact perturbations, and the winding number of a loop.
Past exam of the mathematics course of the University of Cambridge 2009 iii Paper 8 1 b Solution Created 2026-10-03 Updated 2026-10-14
For a Fredholm operator , define to invert and to vanish on the range complement. The bounded inverse theorem makes bounded, andThe errors are finite rank, so is invertible in the Calkin algebra.
Conversely suppose and for bounded and compact . On , is the identity. An infinite-dimensional closed kernel would contain an orthonormal sequence, whose images under have no convergent subsequence, contradicting compactness. Thus the kernel is finite-dimensional.
There is a positive lower bound for on . Otherwise choose unit vectors there with . Since , compactness gives a norm-convergent subsequence with unit limit . The limit lies in the kernel complement and has , a contradiction. This lower bound proves closed range: if converges, remove each kernel component; the remaining form a Cauchy sequence and converge to a preimage of the limit.
Finally adjointing gives . The same kernel argument makes finite-dimensional. Therefore is Fredholm. , the Atkinson theorem. The finite-dimensional case also satisfies the parametrix formulation directly, though its quotient algebra is the zero algebra.
Past exam of the mathematics course of the University of Cambridge 2009 iii Paper 8 1 c Solution Created 2026-10-03 Updated 2026-10-14
Fix a Fredholm operator . Split its domain as and its target as . For a sufficiently small norm perturbation , writewhere remains invertible by the Neumann series. Invertible triangular row and column operations reduce this matrix toThe second block maps the finite-dimensional space into . Hence the perturbed operator has closed range, finite kernel and cokernel, andsince the rank of that finite block cancels from the difference. Thus the Fredholm set is open and its index is locally constant, hence norm continuous.
If are Fredholm, their product is Fredholm by multiplying their invertible images in the Calkin algebra. For index additivity use the following finite-dimensional exact sequence:Here is reduction modulo , the induced -map sends to , and the last map is the quotient by the larger range . These maps are well-defined. For example, is the image of the preceding map. If , subtracting a suitable makes , proving exactness at . The other positions follow directly from the definitions. Alternating dimensions in this exact sequence gives
Past exam of the mathematics course of the University of Cambridge 2009 iii Paper 8 5 d Solution Created 2026-10-03 Updated 2026-10-14
Work with bounded self-adjoint operators on separable infinite-dimensional Hilbert spaces, the setting in which the classification holds. If is compact for a unitary , their images in the Calkin algebra have identical spectra, by compact perturbation invariance and unitary conjugation. Thus their essential spectra coincide.
Conversely apply the Weyl-von Neumann theorem to write and in orthonormal bases, with bounded real diagonal sequences and compact errors. The essential spectrum of a diagonal operator is exactly its sequence cluster set. Indeed outside that cluster set all but finitely many entries stay a positive distance from , so the diagonal has an inverse on a finite-codimensional subspace and is Fredholm. At a cluster point, infinitely many distinct basis vectors have ; these are weakly null unit vectors, contradicting any Fredholm parametrix. This also handles a value with infinite multiplicity.
The two diagonal sequences therefore have the same cluster set. Part (c) provides permutations with . Send the th basis vector for to the th basis vector for . Under this unitary, the diagonal difference has entries tending to zero and is compact, by finite-rank truncation. Adding the two conjugated compact errors gives .
Without separability, equality of essential spectra need not suffice, even on the same Hilbert space. Let have uncountable dimension and let be projections with infinite-dimensional kernels, but with range dimensions respectively countable and uncountable. Both essential spectra are . After any unitary conjugation the range of is still separable. If its difference from were compact, the range of would lie in the sum of that separable range and the separable closure of the compact error's range, which is impossible. Finite-dimensional spaces also need a separate dimension convention, since essential spectra are then empty. These are genuine qualifications to a statement made without the standard separable infinite-dimensional setting.