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# Weakly regular Floquet Hamiltonians with pure point spectrum

## 1. Introduction

The problem we address in this paper concerns spectral analysis of so called Floquet Hamiltonians. The study of stability of non autonomous quantum dynamical systems is an effective tool to understand most of quantum problems which involve a small number of particles. When these systems are time-periodic the spectral analysis of the evolution operator over one period can give a fairly good information on this stability, see e.g. . In fact this type of result generalises the celebrated RAGE theorem concerned with time-independent systems (one can consult  for a summary). As shown in  and  the spectral analysis of the evolution operator over one period (so called monodromy operator or Floquet operator) is equivalent to the spectral analysis of the corresponding Floquet Hamiltonian (sometimes called operator of quasi-energy). This is also what we are aiming for in this article. More precisely, we analyse time-periodic quantum systems which are weakly regular in time and ”space” in the sense of an appropriately chosen norm, and give sufficient conditions to insure that the Floquet Hamiltonians has a pure point spectrum.

Such a program is not new. In the pioneering work  Bellissard has considered the so called pulsed rotor which is analytic in time and space, using a KAM type algorithm. Then Combescure  was able to treat harmonic oscillators driven by sufficiently smooth perturbations by adapting to quantum mechanics the well known Nash-Moser trick (c.f.  and ). Later on these ideas have been extended to a wider class of systems in ; it was even possible to require no regularity in space by using the so called adiabatic regularisation, originally proposed in  and further extended in , . However none of these papers can be considered as optimal in the sense of having found the minimal value of regularity in time below which the Floquet Hamiltonian ceases to be pure point.

Though it is impossible to mention all the relevant contributions to the study of stability of time-dependent quantum systems we would like to mention the following ones. Perturbation theory for a fixed eigenvalue has been extended, in , to Floquet Hamiltonians which generically have a dense point spectrum. Bounded quasi-periodic time dependent perturbations of two level systems are considered in  whereas the case of unbounded perturbation of one dimensional oscillators are studied in . Averaging methods combined with KAM techniques were described in  and .

In the present paper we attempt to further improve the KAM algorithm, particularly having in mind more optimal assumptions as far as the regularity in time is concerned. As a thorough analysis of the algorithm has shown this is possible owing to the fact that the algorithm contains several free parameters (for example the choice of norms in auxiliary Banach spaces that are constructed during the algorithm) which may be adjusted. This type of improvements is also illustrated on an example following Theorem 1 in Section 2. A more detailed discussion of this topic is postponed to concluding remarks in Section 10.

Another generalisation is that in the present result (Theorem 1) we allow degenerate eigenvalues of the unperturbed Hamilton operator (denoted $`H`$ in what follows). The degeneracy of eigenvalues $`h_m`$ of $`H`$ can grow arbitrarily fast with $`m`$ provided the time-dependent perturbation is sufficiently regular. To our knowledge this is a new feature in this context. Previously two conditions were usually imposed, namely bounded degeneracy and a growing gap condition on eigenvalues $`h_m`$, reducing this way the scope of applications of this theory to one dimensional confined systems. Owing to the generalisation to degenerate eigenvalues we are able to consider also some models in higher dimensions, for example the $`N`$-dimensional quantum top, i.e., the $`N`$-dimensional version of the pulsed rotor. A short description of this model is given, too, in Section 2 after Theorem 1.

The article is organised as follows. In Section 2 we introduce the notation and formulate the main theorem. The basic idea of the KAM-type algorithm is outlined in Section 3. The algorithm consists in an iterative procedure resulting in diagonalisation of the Floquet Hamiltonian. For this sake one constructs an auxiliary sequence of Banach spaces which form in fact a directed sequence. The procedure itself may formally be formulated in terms of an inductive limit. Sections 48 contain some additional results needed for the proof, particularly the details of the construction of the auxiliary Banach spaces and how they are related to Hermitian operators in the given Hilbert space, and a construction of the set of ”non-resonant” frequencies for which the Floquet Hamiltonian has a pure point spectrum (the frequency is considered as a parameter). Section 9 is devoted to the proof of Theorem 1. In Section 10 we conclude our presentation with several remarks concerning comparison of the result stated in Theorem 1 with some previous ones.

## 2. Main theorem

The central object we wish to study in this paper is a self-adjoint operator of the form $`𝐊+𝐕`$ acting in the Hilbert space

$$𝒦=L^2([\mathrm{\hspace{0.17em}0},T],\text{dt})L^2([\mathrm{\hspace{0.17em}0},T],,\text{dt})$$

where $`T=2\pi /\omega `$, $`\omega `$ is a positive number (a frequency) and $``$ is a fixed separable Hilbert space. The operator $`𝐊`$ is self-adjoint and has the form

$$𝐊=i_t1+1H$$

where the differential operator $`i_t`$ acts in $`L^2([\mathrm{\hspace{0.17em}0},T],\text{dt})`$ and represents the self-adjoint operator characterised by periodic boundary conditions. This means that the eigenvalues of $`i_t`$ are $`k\omega `$, $`k`$, and the corresponding normalised eigenvectors are $`\chi _k(t)=T^{1/2}\mathrm{exp}(ik\omega t).`$ $`H`$ is a self-adjoint operator in $``$ and is supposed to have a discrete spectrum. Finally, $`𝐕`$ is a bounded Hermitian operator in $`𝒦`$ determined by a measurable operator-valued function $`tV(\omega t)()`$ such that $`sup_tV(t)<\mathrm{}`$, $`V(t)`$ is $`2\pi `$-periodic, and for almost all $`t`$, $`V(t)^{}=V(t)`$. Naturally, $`(𝐕\psi )(t)=V(\omega t)\psi (t)`$ in $`𝒦L^2([\mathrm{\hspace{0.17em}0},T],,\text{dt})`$.

Let

$$\underset{k}{}k\omega P_k$$

be the spectral decomposition of $`i_t`$ in $`L^2([\mathrm{\hspace{0.17em}0},T],\text{dt})`$ and let

$$H=\underset{m}{}h_mQ_m$$

be the spectral decomposition of $`H`$ in $``$. Thus we can write

$$=\underset{m}{^{}}_m$$

where $`_m=\mathrm{Ran}Q_m`$ are the eigenspaces. We suppose that the multiplicities are finite,

$$M_m=dim_m<\mathrm{},\text{ }m.$$

Hence the spectrum of $`𝐊`$ is pure point and its spectral decomposition reads

$$𝐊=\underset{k}{}\underset{m}{}(k\omega +h_m)P_kQ_m,$$
(1)
implying a decomposition of $`𝒦`$ into a direct sum,

$$𝒦=\underset{(k,m)\times }{^{}}\mathrm{Ran}(P_kQ_m).$$

Here is some additional notation. Set

$$V_{knm}=\frac{1}{T}_0^Te^{ik\omega t}Q_nV(\omega t)Q_m\text{dt}=\frac{1}{2\pi }_0^{2\pi }e^{ikt}Q_nV(t)Q_m\text{dt}(_m,_n).$$
(2)
Further,

$$\mathrm{\Delta }_{mn}=h_mh_n,$$

and

$$\mathrm{\Delta }_0=\underset{mn}{inf}|\mathrm{\Delta }_{mn}|.$$

Finally we set

$$\mu _{mn}=\left(\mathrm{min}\{M_m,M_n\}\right)^{1/2}M_mM_n.$$

Now we are able to formulate our main result. Though not indicated explicitly in the notation the operator $`𝐊+𝐕`$ is considered as depending on the parameter $`\omega `$.

###### Theorem 1.

Fix $`J>0`$ and set $`\mathrm{\Omega }_0:=[\frac{8}{9}J,\frac{9}{8}J]`$. Assume that $`\mathrm{\Delta }_0>0`$ and that there exists $`\sigma >0`$ such that

$$\mathrm{\Delta }_\sigma (J):=J^\sigma \underset{\begin{array}{c}m,n\\ \mathrm{\Delta }_{mn}>J/2\end{array}}{}\frac{\mu _{mn}}{(\mathrm{\Delta }_{mn})^\sigma }<\mathrm{}.$$

Then for every $`r>\sigma +\frac{1}{2}`$ there exist positive constants (depending, as indicated, on $`\sigma `$, $`r`$, $`\mathrm{\Delta }_0`$ and $`J`$ but independent of $`V`$), $`ϵ_{}(r,\mathrm{\Delta }_0,J)`$ and $`\delta _{}(\sigma ,r,J)`$, with the property: if

$$ϵ_V:=\underset{n}{sup}\underset{k}{}\underset{m}{}V_{knm}\mathrm{max}\{|k|^r,1\}<\mathrm{min}\{ϵ_{}(r,\mathrm{\Delta }_0,J),\frac{|\mathrm{\Omega }_0|}{\delta _{}(\sigma ,r,J)}\}$$

(here $`|\mathrm{\Omega }_{}|`$ stands for the Lebesgue measure of $`\mathrm{\Omega }_{}`$) then there exists a measurable subset $`\mathrm{\Omega }_{\mathrm{}}\mathrm{\Omega }_0`$ such that

$$|\mathrm{\Omega }_{\mathrm{}}||\mathrm{\Omega }_0|\delta _{}(\sigma ,r,J)ϵ_V$$
(3)
and the operator $`𝐊+𝐕`$ has a pure point spectrum for all $`\omega \mathrm{\Omega }_{\mathrm{}}`$

###### Remarks.

1) In the course of the proof we shall show even more. Namely, for all $`\omega \mathrm{\Omega }_{\mathrm{}}`$ and any eigenvalue of $`𝐊+𝐕`$ the corresponding eigen-projector $`P`$ belongs to the Banach algebra with the norm

$$P=\underset{n}{sup}\underset{k}{}\underset{m}{}P_{knm}\mathrm{max}\{|k|^{r\sigma \frac{1}{2}},1\}.$$

This shows that $`P`$ is $`(r\sigma 1/2)`$-differentiable as a map from $`[\mathrm{\hspace{0.17em}0},T]`$ to the space of bounded operators in $``$

2) The constants $`ϵ_{}(r,\mathrm{\Delta }_0,J)`$ and $`\delta _{}(\sigma ,r,J)`$ are in fact known quite explicitly and are given by formulae (70), (71), (77) and (78). Setting $`\alpha =2`$ and $`q^r=e^2`$ in these formulae (this is a possible choice) we get

$$ϵ_{}(r,\mathrm{\Delta }_0,J)=\frac{\mathrm{min}\{4\mathrm{\Delta }_0,J\}}{270e^3},$$

and

$`\delta _{}(\sigma ,r,J)`$ $`=`$ $`1440e^52^\sigma \left({\displaystyle \frac{2\sigma +1}{\left(1e^{\frac{2}{r}}\right)e}}\right)^{\sigma +\frac{1}{2}}\left({\displaystyle \underset{s=1}{\overset{\mathrm{}}{}}}s^2e^{\frac{2}{r}(r\sigma \frac{1}{2})s}\right)\mathrm{\Delta }_\sigma (J)`$
$`=`$ $`1440\left({\displaystyle \frac{2\sigma +1}{\left(1e^{\frac{2}{r}}\right)e}}\right)^{\sigma +\frac{1}{2}}2^\sigma e^{3+\frac{2}{r}\left(\sigma +\frac{1}{2}\right)}{\displaystyle \frac{1+e^{2+\frac{2}{r}\left(\sigma +\frac{1}{2}\right)}}{\left(1e^{2+\frac{2}{r}\left(\sigma +\frac{1}{2}\right)}\right)^3}}\mathrm{\Delta }_\sigma (J)`$
3) The formulae for $`ϵ_{}`$ and $`\delta _{}`$ can be further simplified if we assume that $`r`$ is not too big, more precisely under the assumption that $`r\frac{7}{8}(2\sigma +1)`$ (if this is not the case we can always replace $`r`$ by a smaller value but still requiring that $`r>\sigma +\frac{1}{2}`$). A better choice than that made in the previous remark is $`\alpha =2`$ and $`q=e^{4/(2\sigma +1)}`$. We get (c.f. (71))

$$ϵ_{}(r,\mathrm{\Delta }_0,J)=\frac{\mathrm{min}\{4\mathrm{\Delta }_0,J\}}{270e}e^{4r/(2\sigma +1)}\frac{\mathrm{min}\{4\mathrm{\Delta }_0,J\}}{270e^{9/2}}$$

and (c.f. (77) and (78))

$$\delta _{}(\sigma ,r,J)=1440e\mathrm{\hspace{0.17em}2}^\sigma \left(\frac{2\sigma +1}{\left(1e^{\frac{4}{2\sigma +1}}\right)e}\right)^{\sigma +\frac{1}{2}}e^{\frac{8r}{2\sigma +1}}\left(\underset{s=1}{\overset{\mathrm{}}{}}s^2e^{2\frac{2r2\sigma 1}{2\sigma +1}s}\right)\mathrm{\Delta }_\sigma (J).$$

Using the estimate

$$\underset{s=1}{\overset{\mathrm{}}{}}s^2e^{2xs}=\frac{\mathrm{cosh}(x)}{4\mathrm{sinh}(x)^3}\frac{1}{4x^3}$$

we finally obtain

$`\delta _{}(\sigma ,r,J)`$ $``$ $`45e\mathrm{\hspace{0.17em}2}^\sigma \left({\displaystyle \frac{2\sigma +1}{\left(1e^{\frac{4}{2\sigma +1}}\right)e}}\right)^{\sigma +\frac{1}{2}}e^{\frac{8r}{2\sigma +1}}\left({\displaystyle \frac{2\sigma +1}{r\sigma \frac{1}{2}}}\right)^3\mathrm{\Delta }_\sigma (J).`$
We conclude this section with a brief description of two models illustrating the effectiveness of Theorem 1. In the first model we set $`=L^2([\mathrm{\hspace{0.17em}0},1],\text{dx})`$, $`H=_x^2`$ with Dirichlet boundary conditions, and $`V(t)=z(t)x^2`$ where $`z(t)`$ is a sufficiently regular $`2\pi `$-periodic function. As shown in  the spectral analysis of this simple model is essentially equivalent to the analysis of the so called quantum Fermi accelerator. The particularity of the latter model is that the underlying Hilbert space itself is time-dependent, $`_t=L^2([\mathrm{\hspace{0.17em}0},a(t)],\text{dx})`$ where $`a(t)`$ is a strictly positive periodic function. The time-dependent Hamiltonian is $`_x^2`$ with Dirichlet boundary conditions. Using a convenient transformation one can pass from the Fermi accelerator to the former model getting the function $`z(t)`$ expressed in terms of $`a(t)`$, $`a^{}(t)`$ and $`a^{\prime \prime }(t)`$. But let us return to the analysis of our model. Eigenvalues of $`H`$ are non-degenerate, $`h_m=m^2\pi ^2`$ for $`m`$, with normalised eigenfunctions equal to $`\sqrt{2}\mathrm{sin}(m\pi x)`$. Note that in the notation we are using in the present paper $`0`$. A straightforward calculation gives

$$V_{knm}=z_k\times \{\begin{array}{c}\frac{8(1)^{m+n}mn}{(m^2n^2)^2\pi ^2}\text{if }mn,\\ \\ \frac{1}{3}\frac{1}{2m^2\pi ^2}\text{ if }m=n,\end{array}$$

where $`z_k=\frac{1}{2\pi }_0^{2\pi }e^{ikt}z(t)𝑑t`$ is the Fourier coefficient of $`z(t)`$. Hence one derives that

$$ϵ_V=\underset{n}{sup}\left(\frac{1}{3}+\frac{2}{n^2\pi ^2}+\frac{4}{\pi ^2}\underset{j=1}{\overset{n1}{}}\frac{1}{j^2}\right)\underset{k}{}|z_k|\mathrm{max}\{|k|^r,1\}=\underset{k}{}|z_k|\mathrm{max}\{|k|^r,1\}.$$

For any $`J>0`$, $`\mathrm{\Delta }_\sigma (J)`$ is finite if and only if $`\sigma >1`$. On the other hand, to have $`ϵ_V`$ finite it is sufficient that $`z(t)C^s`$ where $`s>r+1>\sigma +\frac{1}{2}+1>\frac{5}{2}`$. So $`z(t)C^3`$ suffices for the theory to be applicable. This may be compared to an older result in , §4.2, giving a much worse condition, namely $`z(t)C^{17}`$.

The second model is the pulsed rotator in $`N`$ dimensions. In this case $`=L^2(S^N,d\mu )`$, with $`S^N^{N+1}`$ being the $`N`$-dimensional unit sphere with the standard (rotationally invariant) Riemann metric and the induced normalised measure $`d\mu `$, and $`H=\mathrm{\Delta }_{LB}`$ is the Laplace-Beltrami operator on $`S^N`$. The spectrum of $`H`$ is well known, $`\mathrm{Spec}(H)=\{h_m\}_{m=0}^{\mathrm{}}`$, where

$$h_m=m(m+N1)$$

and the multiplicities are

$$M_m=\left(\genfrac{}{}{0pt}{}{m+N}{N}\right)\left(\genfrac{}{}{0pt}{}{m+N2}{N}\right).$$

The time-dependent operator $`V(t)`$ in $``$ acts via multiplication, $`(V(t)\phi )(x)=v(t,x)\phi (x)`$, where $`v(t,x)`$ is a real measurable bounded function on $`\times S^N`$ which is $`2\pi `$-periodic in the variable $`t`$. Consequently, $`𝒦L^2([\mathrm{\hspace{0.17em}0},T]\times S^N,dtd\mu )`$ and $`(𝐕\psi )(t,x)=v(\omega t,x)\psi (t,x)`$. Note that the asymptotic behaviour of the eigenvalues and the multiplicities, as $`m\mathrm{}`$, is $`h_mm^2`$, $`M_m(2/(N1)!)m^{N1}`$. So $`\mathrm{\Delta }_\sigma (J)`$ is finite, for any $`J>0`$, if and only if

$$\underset{m^2n^2>J/2}{}\frac{n^{\frac{3}{2}(N1)}m^{N1}}{(m^2n^2)^\sigma }<\mathrm{}.$$

To ensure this condition we require that $`\sigma >\frac{5}{2}(N1)+1`$. Let us assume that there exist $`s,u_+`$ such that, for any system of local (smooth) coordinates $`(y_1,\mathrm{},y_N)`$ on $`S^N`$, the derivatives $`_t^\alpha _{y_1}^{\beta _1}\mathrm{}_{y_N}^{\beta _N}v(t,y_1,\mathrm{},y_N)`$ exist and are continuous for all $`\alpha `$, $`\beta `$, $`\alpha s`$ and $`\beta _1+\mathrm{}+\beta _Nu`$. If $`u4`$ then $`[H,[H,V(t)]`$\] is a well defined second order differential operator with continuous coefficient functions and the operator $`[H,[H,V(t)]](1+H)^1`$ is bounded. Clearly,

$$\frac{(h_mh_n)^2}{1+h_m}Q_nV(t)Q_m=Q_n[H,[H,V(t)]](1+H)^1Q_m.$$

Using this relation one derives an estimate on $`V_{knm}`$,

$$V_{knm}\text{const}\frac{1+\mathrm{min}\{h_n,h_m\}}{|k|^s(h_mh_n)^2},$$

valid for $`k0`$ and $`mn`$. The number

$$\underset{n_+}{sup}\underset{m_+,mn}{}\frac{1+\mathrm{min}\{h_n,h_m\}}{(h_mh_n)^2}$$

is finite. To see it one can employ the asymptotics of $`h_m`$ and the fact that the sequence

$$a_n=\underset{m_+,mn}{}\frac{1+\mathrm{min}\{n^2,m^2\}}{(m^2n^2)^2}=\left(1+\frac{1}{n^2}\right)\frac{\pi ^2}{12}\frac{3}{16n^2}+\frac{5}{16n^4}\frac{1}{2n}\underset{m=1}{\overset{2n1}{}}\frac{1}{m},$$

$`n=1,2,3,\mathrm{}`$, is bounded. It follows that the norm $`ϵ_V`$ is finite if $`s>r+1>\sigma +\frac{1}{2}+1>\frac{5}{2}(N1)+1+\frac{3}{2}=\frac{5}{2}N`$. Thus the theory is applicable provided $`u4`$ and $`s>\frac{5}{2}N`$. The same example has also been treated by adiabatic methods in . In that case the assumptions are weaker. It suffices that $`v(t,x)`$ be $`(N+1)`$-times differentiable in $`t`$ with all derivatives $`_t^\alpha v(t,x)`$, $`0\alpha N+1`$, uniformly bounded. However the conclusion is somewhat weaker as well. Under this assumption $`𝐊+𝐕`$ has no absolutely continuous spectrum but nothing is claimed about the singular continuous spectrum.

## 3. Formal limit procedure

Suppose there is given a directed sequence of real or complex Banach spaces, $`\{𝔛_s\}_{s=0}^{\mathrm{}}`$, with linear mappings

$$\iota _{us}:𝔛_s𝔛_u\text{if }su,\text{ with }\iota _{us}1,$$

(and $`\iota _{ss}`$ is the unite mapping in $`𝔛_s`$) and such that

$$\iota _{vu}\iota _{us}=\iota _{vs}\text{if }suv.$$

To simplify the notation we set in what follows

$$\iota _s=\iota _{s+1,s}.$$

Denote by $`𝔛_{\mathrm{}}`$ the norm inductive limit of $`\{𝔛_s,\text{ }\iota _{us}\}`$ in the sense of , §1.3.4 or , §1.23 (the algebraic inductive limit is endowed with a seminorm induced by $`lim\; sup_s_s`$, the kernel of this seminorm is divided out and the result is completed). $`𝔛_{\mathrm{}}`$ is related to the original directed sequence via the mappings $`\iota _\mathrm{}s:𝔛_s𝔛_{\mathrm{}}`$ obeying $`\iota _\mathrm{}s1`$ and $`\iota _\mathrm{}u\iota _{us}=\iota _\mathrm{}s`$ if $`su`$. By the construction, the union $`_{ss_0}\iota _\mathrm{}s(𝔛_s)`$ is dense in $`𝔛_{\mathrm{}}`$ for any $`s_0_+`$.

If $`\{A_s(𝔛_s)\}`$ is a family of bounded operators, defined for $`ss_0`$ and such that

$$A_u\iota _{us}=\iota _{us}A_s\text{if }s_0su,\text{ and }\underset{s}{sup}A_s<\mathrm{},$$

then $`A_{\mathrm{}}(𝔛_{\mathrm{}})`$ designates the inductive limit of this family characterised by the property $`A_{\mathrm{}}\iota _\mathrm{}s=\iota _\mathrm{}sA_s`$, $`ss_0`$.

Let $`𝒟_{\mathrm{}}(𝔛_{\mathrm{}})`$ be the inductive limit of a family of bounded operators $`\{𝒟_s(𝔛_s);\text{ }s0\}`$, with the property

$$𝒟_s1,\text{ }1𝒟_s1,s.$$
(4)
We also suppose that there is given a sequence of one-dimensional spaces $`𝐤K_s`$, $`s=0,1,\mathrm{},\mathrm{}`$, where the $`K_s`$ are distinguished basis elements. Here the field $`𝐤`$ is either $``$ or $``$ depending on whether the Banach spaces $`𝔛_s`$ are complex or real. Set

$$\stackrel{~}{𝔛}_s=𝐤K_s𝔛_s,s=0,1,\mathrm{},\mathrm{}.$$

Then $`\{\stackrel{~}{𝔛}_s\}_{s=0}^{\mathrm{}}`$ becomes a directed sequence of vector spaces provided one defines $`\stackrel{~}{\iota }_{us}:\stackrel{~}{𝔛}_s\stackrel{~}{𝔛}_u`$ by

$$\stackrel{~}{\iota }_{us}|_{𝔛_s}=\iota _{us}\text{ and }\stackrel{~}{\iota }_{us}(K_s)=K_u\text{if }su.$$

Set

$$\varphi (x)=\frac{1}{x}\left(e^x\frac{e^x1}{x}\right)=\underset{k=0}{\overset{\mathrm{}}{}}\frac{k+1}{(k+2)!}x^k.$$
(5)
###### Proposition 2.

Suppose that, in addition to the sequences $`\{𝔛_s\}_{s=0}^{\mathrm{}}`$, $`\{K_s\}_{s=0}^{\mathrm{}}`$ and $`\{𝒟_s\}_{s=0}^{\mathrm{}}`$, there are given sequences $`\{V_s\}_{s=0}^{\mathrm{}}`$ and $`\{\mathrm{\Theta }_u^s\}_{u=s+1}^{\mathrm{}}`$ such that $`V_s𝔛_s`$, $`\mathrm{\Theta }_u^s(𝔛_u)`$, and

$$\mathrm{\Theta }_v^s\iota _{vu}=\iota _{vu}\mathrm{\Theta }_u^s\text{if }s<uv.$$
(6)
Set

$$T_s=e^{\mathrm{\Theta }_s^{s1}}e^{\mathrm{\Theta }_s^{s2}}\mathrm{}e^{\mathrm{\Theta }_s^0}(𝔛_s)\text{for }s1.$$
(7)
Let $`\{W_s\}_{s=0}^{\mathrm{}}`$ be another sequence, with $`W_s𝔛_s`$, defined recursively:

$`W_0`$ $`=`$ $`V_0,`$
$`W_{s+1}`$ $`=`$ $`\iota _s(W_s)+T_{s+1}(V_{s+1}\iota _s(V_s))`$
$`+\mathrm{\Theta }_{s+1}^s\varphi (\mathrm{\Theta }_{s+1}^s)\iota _s(1𝒟_s)(W_s\iota _{s1}(W_{s1})),`$
where we set, by convention, $`𝔛_1=0`$ , $`W_1=0`$. Extend the mappings $`\mathrm{\Theta }_u^s`$ to $`\stackrel{~}{\mathrm{\Theta }}_u^s:\stackrel{~}{𝔛}_u\stackrel{~}{𝔛}_u`$ by

$$\stackrel{~}{\mathrm{\Theta }}_u^s(K_u)=\mathrm{\Theta }_u^s𝒟_u(\iota _{us}(W_s))(1𝒟_u)(\iota _{us}(W_s)\iota _{u,s1}(W_{s1})),$$
(9)
and consequently the mappings $`T_s`$ to $`\stackrel{~}{T}_s:\stackrel{~}{𝔛}_s\stackrel{~}{𝔛}_s`$,

$$\stackrel{~}{T}_s=e^{\stackrel{~}{\mathrm{\Theta }}_s^{s1}}e^{\stackrel{~}{\mathrm{\Theta }}_s^{s2}}\mathrm{}e^{\stackrel{~}{\mathrm{\Theta }}_s^0}\text{ for }s1,\text{ }\stackrel{~}{T}_0=1.$$

Then it holds

$$\stackrel{~}{T}_s(K_s+V_s)=K_s+𝒟_s(W_s)+(1𝒟_s)(W_s\iota _{s1}(W_{s1})),s=0,1,2,\mathrm{}.$$
(10)
###### Remark.

Since $`\stackrel{~}{\mathrm{\Theta }}_u^s(K_u)𝔛_u`$ it is easy to observe that

$$\stackrel{~}{T}_s(K_s)K_s𝔛_s.$$

Furthermore, note that (9) implies that $`\stackrel{~}{\mathrm{\Theta }}_v^s(K_v)=\iota _{vu}\stackrel{~}{\mathrm{\Theta }}_u^s(K_u)`$ if $`0s<uv`$, and so the mappings $`\stackrel{~}{\mathrm{\Theta }}_u^s`$ still satisfy

$$\stackrel{~}{\mathrm{\Theta }}_v^s\stackrel{~}{\iota }_{vu}=\stackrel{~}{\iota }_{vu}\stackrel{~}{\mathrm{\Theta }}_u^s\text{if }s<uv.$$

###### Proof.

By induction in $`s`$. For $`s=0`$ the claim is obvious. In the induction step $`ss+1`$ one may use the induction hypothesis and relations (9) and (2):

$`\stackrel{~}{T}_{s+1}(K_{s+1}+V_{s+1})`$ $`=`$ $`\stackrel{~}{T}_{s+1}\stackrel{~}{\iota }_s(K_s+V_s)+T_{s+1}(V_{s+1}\iota _s(V_s))`$
$`=`$ $`e^{\stackrel{~}{\mathrm{\Theta }}_{s+1}^s}\stackrel{~}{\iota }_s\stackrel{~}{T}_s(K_s+V_s)+T_{s+1}(V_{s+1}\iota _s(V_s))`$
$`=`$ $`e^{\stackrel{~}{\mathrm{\Theta }}_{s+1}^s}\stackrel{~}{\iota }_s(K_s+𝒟_s(W_s)+(1𝒟_s)(W_s\iota _{s1}(W_{s1})))`$
$`+T_{s+1}(V_{s+1}\iota _s(V_s))`$
$`=`$ $`K_{s+1}+𝒟_{s+1}(\iota _s(W_s))+{\displaystyle \frac{e^{\mathrm{\Theta }_{s+1}^s}1}{\mathrm{\Theta }_{s+1}^s}}\stackrel{~}{\mathrm{\Theta }}_{s+1}^s\stackrel{~}{\iota }_s(K_s+𝒟_s(W_s))`$
$`+e^{\mathrm{\Theta }_{s+1}^s}\iota _s(1𝒟_s)(W_s\iota _{s1}(W_{s1}))+T_{s+1}(V_{s+1}\iota _s(V_s))`$
$`=`$ $`K_{s+1}(1𝒟_{s+1})\iota _s(W_s)+\iota _s(W_s)+T_{s+1}(V_{s+1}\iota _s(V_s))`$
$`+\left(e^{\mathrm{\Theta }_{s+1}^s}{\displaystyle \frac{e^{\mathrm{\Theta }_{s+1}^s}1}{\mathrm{\Theta }_{s+1}^s}}\right)\iota _s(1𝒟_s)(W_s\iota _{s1}(W_{s1}))`$
$`=`$ $`K_{s+1}(1𝒟_{s+1})\iota _s(W_s)+W_{s+1}`$
$`=`$ $`K_{s+1}+𝒟_{s+1}(W_{s+1})+(1𝒟_{s+1})(W_{s+1}\iota _s(W_s)).`$
###### Proposition 3.

Assume that the sequences $`\{V_s\}_{s=0}^{\mathrm{}}`$, $`\{W_s\}_{s=0}^{\mathrm{}}`$ and $`\{\mathrm{\Theta }_u^s\}_{u=s}^{\mathrm{}}`$ have the same meaning and obey the same assumptions as in Proposition 2. Denote

$$w_s=W_s\iota _{s1}(W_{s1})$$

(with $`w_0=W_0`$). Assume, in addition, that there exist a sequence of positive real numbers, $`\{F_s\}_{s=0}^{\mathrm{}}`$, such that

$$\mathrm{\Theta }_u^sF_sw_s,s,u,\text{ }u>s,$$
(11)
a sequence of non-negative real numbers $`\{v_s\}_{s=0}^{\mathrm{}}`$ such that

$$V_s\iota _{s1}(V_{s1})v_s,\text{ }s,$$

(for $`s=0`$ this means $`V_0v_0`$) and a constant $`A0`$ such that

$$F_sv_s^{\mathrm{\hspace{0.17em}2}}Av_{s+1},\text{ }s,$$
(12)
and that it holds true

$`B={\displaystyle \underset{s=0}{\overset{\mathrm{}}{}}}F_sv_s<\mathrm{}.`$ (13)
Denote

$$C=\underset{s}{sup}F_sv_s.$$
(14)
If $`d>0`$ obeys

$$e^{dB}+A\varphi (dC)d^2d$$
(15)
then

$$w_sdv_s,\text{ }s.$$
(16)
###### Proof.

We shall proceed by induction in $`s`$. If $`s=0`$ then $`v_0=w_0=V_0`$ and (16) holds true since (15) implies that $`d1`$. The induction step $`ss+1`$: according to (2), (7), (4) and (15), and owing to the fact that $`\varphi (x)`$ is monotone, we have

$`w_{s+1}`$ $``$ $`T_{s+1}v_{s+1}+\mathrm{\Theta }_{s+1}^s\varphi (\mathrm{\Theta }_{s+1}^s)w_s`$
$``$ $`\mathrm{exp}\left({\displaystyle \underset{j=0}{\overset{s}{}}}F_jw_j\right)v_{s+1}+\varphi (F_sw_s)F_sw_s^{\mathrm{\hspace{0.17em}2}}`$
$``$ $`\mathrm{exp}\left(d{\displaystyle \underset{j=0}{\overset{s}{}}}F_jv_j\right)v_{s+1}+\varphi (dF_sv_s)F_sd^2v_s^{\mathrm{\hspace{0.17em}2}}`$
$``$ $`e^{dB}v_{s+1}+\varphi (dC)d^2Av_{s+1}`$
$``$ $`dv_{s+1}.`$
###### Remark.

If

$$B\frac{1}{3}\mathrm{ln}2\text{and}A\varphi (3C)\frac{1}{9}$$

then (15) holds true with $`d=3`$.

Recall that $`\mathrm{\Theta }_{\mathrm{}}^s(𝔛_{\mathrm{}})`$ is the unique bounded operator on $`𝔛_{\mathrm{}}`$ such that

$$\mathrm{\Theta }_{\mathrm{}}^s\iota _\mathrm{}u=\iota _\mathrm{}u\mathrm{\Theta }_u^s,\text{ }u>s.$$

If (11) is true then its norm is estimated by

$$\mathrm{\Theta }_{\mathrm{}}^sF_sw_s.$$
(17)
###### Corollary 4.

Under the same assumptions as in Proposition 3, if $`d>0`$ exists such that condition (15) is satisfied, and

$$F_{\mathrm{inf}}=\underset{s}{inf}F_s>0$$
(18)
then the limits

$$V_{\mathrm{}}=\underset{s\mathrm{}}{lim}\iota _\mathrm{}s(V_s),W_{\mathrm{}}=\underset{s\mathrm{}}{lim}\iota _\mathrm{}s(W_s)$$

exist in $`𝔛_{\mathrm{}}`$, the limit

$$T_{\mathrm{}}=\underset{s\mathrm{}}{lim}e^{\mathrm{\Theta }_{\mathrm{}}^{s1}}\mathrm{}e^{\mathrm{\Theta }_{\mathrm{}}^0}$$

exists in $`(𝔛_{\mathrm{}})`$, and $`T_{\mathrm{}}(𝔛_{\mathrm{}})`$ can be extended to a linear mapping $`\stackrel{~}{T}_{\mathrm{}}:\stackrel{~}{𝔛}_{\mathrm{}}\stackrel{~}{𝔛}_{\mathrm{}}`$ by

$$\stackrel{~}{T}_{\mathrm{}}(K_{\mathrm{}})K_{\mathrm{}}=\underset{s\mathrm{}}{lim}\iota _\mathrm{}s\left(\stackrel{~}{T}_s(K_s)K_s\right),$$
(19)
with the limit existing in $`𝔛_{\mathrm{}}`$. These objects obey the equality

$$\stackrel{~}{T}_{\mathrm{}}(K_{\mathrm{}}+V_{\mathrm{}})=K_{\mathrm{}}+𝒟_{\mathrm{}}(W_{\mathrm{}}).$$
(20)
###### Proof.

If $`us`$ then

$`\iota _\mathrm{}u(V_u)\iota _\mathrm{}s(V_s)`$ $`=`$ $`{\displaystyle \underset{j=s+1}{\overset{u}{}}}\iota _\mathrm{}j(V_j\iota _{j1}(V_{j1})){\displaystyle \underset{j=s+1}{\overset{u}{}}}v_j.`$
Since

$$\underset{s=0}{\overset{\mathrm{}}{}}v_s\frac{1}{F_{\mathrm{inf}}}\underset{s=0}{\overset{\mathrm{}}{}}F_sv_s<\mathrm{}$$

the sequence $`\{\iota _\mathrm{}s(V_s)\}`$ is Cauchy in $`𝔛_{\mathrm{}}`$ and so $`V_{\mathrm{}}𝔛_{\mathrm{}}`$ exists. Under assumption (16) we can apply the same reasoning to the sequence $`\{\iota _\mathrm{}s(W_s)\}`$ to conclude that the limit $`W_{\mathrm{}}=lim_s\mathrm{}\iota _\mathrm{}s(W_s)`$ exists in $`𝔛_{\mathrm{}}`$. Set

$$\overline{T}_s=e^{\mathrm{\Theta }_{\mathrm{}}^{s1}}\mathrm{}e^{\mathrm{\Theta }_{\mathrm{}}^0}\text{if }s1,\text{ and }\overline{T}_0=1.$$

If $`us`$ then, owing to (17) and (16), we have

$`\overline{T}_u\overline{T}_s`$ $``$ $`\left(\mathrm{exp}\left({\displaystyle \underset{j=s}{\overset{u1}{}}}\mathrm{\Theta }_{\mathrm{}}^j\right)1\right)\mathrm{exp}\left({\displaystyle \underset{j=0}{\overset{s1}{}}}\mathrm{\Theta }_{\mathrm{}}^j\right)`$
$``$ $`\mathrm{exp}\left(d{\displaystyle \underset{j=0}{\overset{u1}{}}}F_jv_j\right)\mathrm{exp}\left(d{\displaystyle \underset{j=0}{\overset{s1}{}}}F_jv_j\right).`$
Assumption (13) implies that $`\{\overline{T}_s\}`$ is a Cauchy sequence in $`(𝔛_{\mathrm{}})`$ and so $`T_{\mathrm{}}(𝔛_{\mathrm{}})`$ exists.

To show (19) let us first verify the inequality

$$e^{\stackrel{~}{\mathrm{\Theta }}_u^s}(K_u)K_u\frac{1+dB}{F_{\text{inf}}}\left(e^{F_sw_s}1\right),$$
(21)
valid for all $`u>s`$. Actually, using definition (9) and assumption (11), we get

$`e^{\stackrel{~}{\mathrm{\Theta }}_u^s}(K_u)K_u`$ $``$ $`{\displaystyle \frac{e^{\mathrm{\Theta }_u^s}1}{\mathrm{\Theta }_u^s}}\stackrel{~}{\mathrm{\Theta }}_u^s(K_u)`$
$``$ $`{\displaystyle \frac{e^{\mathrm{\Theta }_u^s}1}{\mathrm{\Theta }_u^s}}\left(\mathrm{\Theta }_u^sW_s+W_s\iota _{s1}(W_{s1})\right)`$
$``$ $`\left(e^{F_sw_s}1\right)\left(W_s+{\displaystyle \frac{1}{F_s}}\right).`$
To finish the estimate note that (13) and (16) imply

$$W_s=\underset{j=1}{\overset{s}{}}(W_jW_{j1})+W_0\underset{j=0}{\overset{\mathrm{}}{}}dv_j\frac{d}{F_{\text{inf}}}\underset{j=0}{\overset{\mathrm{}}{}}F_jv_j=\frac{dB}{F_{\text{inf}}}.$$

With the aid of an elementary identity,

$$a_j\mathrm{}a_01=a_j\mathrm{}a_1(a_01)+a_j\mathrm{}a_2(a_11)+\mathrm{}+(a_j1),$$

we can derive from (21): if $`0st<u`$ then

$`e^{\stackrel{~}{\mathrm{\Theta }}_u^t}\mathrm{}e^{\stackrel{~}{\mathrm{\Theta }}_u^s}(K_u)K_u`$ $``$ $`e^{\mathrm{\Theta }_u^t+\mathrm{}+\mathrm{\Theta }_u^{s+1}}e^{\stackrel{~}{\mathrm{\Theta }}_u^s}(K_u)K_u`$
$`+e^{\mathrm{\Theta }_u^t+\mathrm{}+\mathrm{\Theta }_u^{s+2}}e^{\stackrel{~}{\mathrm{\Theta }}_u^{s+1}}(K_u)K_u`$
$`+\mathrm{}+e^{\stackrel{~}{\mathrm{\Theta }}_u^t}(K_u)K_u`$
$``$ $`{\displaystyle \frac{1+dB}{F_{\text{inf}}}}(e^{F_tw_t+\mathrm{}+F_{s+1}w_{s+1}}(e^{F_sw_s}1)`$
$`+e^{F_tw_t+\mathrm{}+F_{s+2}w_{s+2}}\left(e^{F_{s+1}w_{s+1}}1\right)`$
$`+\mathrm{}+(e^{F_tw_t}1))`$
$`=`$ $`{\displaystyle \frac{1+dB}{F_{\text{inf}}}}\left(e^{F_tw_t+\mathrm{}+F_sw_s}1\right).`$
Set temporarily in this proof

$$\tau _s=\iota _\mathrm{}s(\stackrel{~}{T}_s(K_s)K_s)𝔛_{\mathrm{}}.$$

If $`ts`$ then

$`\tau _t\tau _s`$ $`=`$ $`\iota _\mathrm{}t\left(e^{\stackrel{~}{\mathrm{\Theta }}_t^{t1}}\mathrm{}e^{\stackrel{~}{\mathrm{\Theta }}_t^0}(K_t)\iota _{ts}e^{\stackrel{~}{\mathrm{\Theta }}_s^{s1}}\mathrm{}e^{\stackrel{~}{\mathrm{\Theta }}_s^0}(K_s)\right)`$
$`=`$ $`\iota _\mathrm{}t\left(e^{\stackrel{~}{\mathrm{\Theta }}_t^{t1}}\mathrm{}e^{\stackrel{~}{\mathrm{\Theta }}_t^0}(K_t)e^{\stackrel{~}{\mathrm{\Theta }}_t^{s1}}\mathrm{}e^{\stackrel{~}{\mathrm{\Theta }}_t^0}(K_t)\right)`$
$`=`$ $`\iota _\mathrm{}t((e^{\mathrm{\Theta }_t^{t1}}\mathrm{}e^{\mathrm{\Theta }_t^s}1)(e^{\stackrel{~}{\mathrm{\Theta }}_t^{s1}}\mathrm{}e^{\stackrel{~}{\mathrm{\Theta }}_t^0}(K_t)K_t)`$
$`+e^{\stackrel{~}{\mathrm{\Theta }}_t^{t1}}\mathrm{}e^{\stackrel{~}{\mathrm{\Theta }}_t^s}(K_t)K_t).`$
Hence

$`\tau _t\tau _s`$ $``$ $`{\displaystyle \frac{1+dB}{F_{\text{inf}}}}((e^{F_{t1}w_{t1}+\mathrm{}+F_sw_s}1)(e^{F_{s1}w_{s1}+\mathrm{}+F_0w_0}1)`$
$`+e^{F_{t1}w_{t1}+\mathrm{}+F_sw_s}1)`$
$`=`$ $`{\displaystyle \frac{1+dB}{F_{\text{inf}}}}\left(e^{F_{t1}w_{t1}+\mathrm{}+F_0w_0}e^{F_{s1}w_{s1}+\mathrm{}+F_0w_0}\right).`$
This shows that the sequence $`\{\tau _s\}`$ is Cauchy and thus the limit on the RHS of (19) exists.

We conclude that it holds true, in virtue of (10), that

$`\stackrel{~}{T}_{\mathrm{}}(K_{\mathrm{}}+V_{\mathrm{}})`$ $`=`$ $`K_{\mathrm{}}+\underset{s\mathrm{}}{lim}\iota _\mathrm{}s(\stackrel{~}{T}_s(K_s)K_s)+\underset{s\mathrm{}}{lim}\overline{T}_s\iota _\mathrm{}s(V_s)`$
$`=`$ $`K_{\mathrm{}}+\underset{s\mathrm{}}{lim}\iota _\mathrm{}s(\stackrel{~}{T}_s(K_s+V_s)K_s)`$
$`=`$ $`K_{\mathrm{}}+\underset{s\mathrm{}}{lim}\iota _\mathrm{}s\left(𝒟_s(W_s)+(1𝒟_s)(W_s\iota _{s1}(W_{s1}))\right)`$
$`=`$ $`K_{\mathrm{}}+\underset{s\mathrm{}}{lim}\left(𝒟_{\mathrm{}}(\iota _\mathrm{}s(W_s))+(1𝒟_{\mathrm{}})(\iota _\mathrm{}s(W_s)\iota _{\mathrm{},s1}(W_{s1}))\right)`$
$`=`$ $`K_{\mathrm{}}+𝒟_{\mathrm{}}(W_{\mathrm{}}).`$
So equality (20) has been verified as well. ∎

## 4. Convergence in a Hilbert space

Let $`\{𝔛_s,\iota _{us}\}`$ be a directed sequence of real or complex Banach spaces, as introduced in Section 3. In this section it is sufficient to know that $`𝒦`$ is a separable complex Hilbert space and $`𝐊`$ is a closed (densely defined) operator in $`𝒦`$ . Suppose that for each $`s_+`$ there is given a bounded linear mapping,

$$\kappa _s:𝔛_s(𝒦),\text{ with }\kappa _s1,$$

and such that

$$s,u,\text{ }0su,\kappa _u\iota _{us}=\kappa _s.$$

If the Banach spaces $`𝔛_s`$ are real then the mappings $`\kappa _s`$ are supposed to be linear over $``$ otherwise they are linear over $``$. Then there exists a unique linear bounded mapping $`\kappa _{\mathrm{}}:𝔛_{\mathrm{}}(𝒦)`$ satisfying, $`s_+`$, $`\kappa _{\mathrm{}}\iota _\mathrm{}s=\kappa _s`$. Clearly, $`\kappa _{\mathrm{}}1`$. Extend the mappings $`\kappa _s`$ to $`\stackrel{~}{\kappa }_s:\stackrel{~}{𝔛}_s=𝐤K_s+𝔛_s𝐊+(𝒦)`$ by defining

$$\stackrel{~}{\kappa }_s(K_s)=𝐊,\text{ }s_+\{\mathrm{}\}.$$

So $`\stackrel{~}{\kappa }_s(K_s+X)=𝐊+\kappa _s(X)`$, with $`X𝔛_s`$, is a closed operator in $`𝒦`$ with $`\mathrm{Dom}(𝐊+\kappa _s(X))=\mathrm{Dom}(𝐊)`$.

Suppose, in addition, that there exists $`𝐃((𝒦))`$ such that

$$s_+,𝐃\kappa _s=\kappa _s𝒟_s.$$

Then it holds true, $`s_+`$, $`X𝔛_s`$,

$$\kappa _{\mathrm{}}𝒟_{\mathrm{}}(\iota _\mathrm{}sX)=\kappa _{\mathrm{}}\iota _\mathrm{}s𝒟_s(X)=\kappa _s𝒟_s(X)=𝐃\kappa _s(X)=𝐃\kappa _{\mathrm{}}(\iota _\mathrm{}sX).$$

Since the set of vectors $`\{\iota _\mathrm{}s(X);\text{ }s_+,\text{ }X𝔛_s\}`$ is dense in $`𝔛_s`$ we get $`\kappa _{\mathrm{}}𝒟_{\mathrm{}}=𝐃\kappa _{\mathrm{}}`$.

###### Proposition 5.

Under the assumptions of Corollary 4 and those introduced above in this section, let $`\{𝐀_s\}_{s=0}^{\mathrm{}}`$ be a sequence of bounded operators in $`𝒦`$ such that,

$$s,u,\text{ }0s<u,\text{ }X𝔛_u,\kappa _u\left(\mathrm{\Theta }_u^s(X)\right)=[𝐀_s,\kappa _u(X)],$$
(22)
$$s_+,𝐀_s(\mathrm{Dom}𝐊)\mathrm{Dom}𝐊,$$

and

$$s,u,\text{ }0s<u,[𝐀_s,𝐊]=\kappa _u(\stackrel{~}{\mathrm{\Theta }}_u^s(K_u))|_{\mathrm{Dom}(𝐊)}.$$

Moreover, assume that

$$\underset{s=0}{\overset{\mathrm{}}{}}𝐀_s<\mathrm{}.$$
(23)
Set

$$𝐕=\kappa _{\mathrm{}}(V_{\mathrm{}}),\text{ }𝐖=\kappa _{\mathrm{}}(W_{\mathrm{}}).$$

Then the limit

$$𝐔=\underset{s\mathrm{}}{lim}e^{𝐀_{s1}}\mathrm{}e^{𝐀_0}$$
(24)
exists in the operator norm, the element $`𝐔(𝒦)`$ has a bounded inverse, and it holds true that

$$𝐔(\mathrm{Dom}𝐊)=\mathrm{Dom}𝐊$$

and

$$𝐔(𝐊+𝐕)𝐔^1=𝐊+𝐃(𝐖).$$
(25)
For the proof we shall need a lemma.

###### Lemma 6.

Assume that $``$ is a Hilbert space, $`K`$ is a closed operator in $``$, $`A,B()`$,

$$A(\mathrm{Dom}K)\mathrm{Dom}K,$$

and

$$[A,K]=B|_{\mathrm{Dom}(K)}.$$

Then it holds, $`\lambda `$,

$$e^{\lambda A}(\mathrm{Dom}K)=\mathrm{Dom}K$$
(26)
and

$$e^{\lambda A}Ke^{\lambda A}=K+\frac{e^{\lambda \mathrm{ad}_A}1}{\mathrm{ad}_A}B.$$

###### Remark.

Here and everywhere in what follows we use the standard notation: $`\mathrm{ad}_AB=[A,B]`$ and so $`e^{\lambda \mathrm{ad}_A}B=e^{\lambda A}Be^{\lambda A}`$.

###### Proof.

Choose an arbitrary vector $`v\mathrm{Dom}(K)`$ and set

$$n_+,v_n=\underset{k=0}{\overset{n}{}}\frac{\lambda ^k}{k!}A^kv.$$

Then $`v_n\mathrm{Dom}(K)`$ and $`v_ne^{\lambda A}v`$ as $`n\mathrm{}`$. On the other hand,

$`Kv_n`$ $`=`$ $`{\displaystyle \underset{k=0}{\overset{n}{}}}{\displaystyle \frac{\lambda ^k}{k!}}(KA^kA^kK)v+{\displaystyle \underset{k=0}{\overset{n}{}}}{\displaystyle \frac{\lambda ^k}{k!}}A^kKv`$
$`=`$ $`{\displaystyle \underset{k=1}{\overset{n}{}}}{\displaystyle \frac{\lambda ^k}{k!}}{\displaystyle \underset{j=0}{\overset{k1}{}}}A^jBA^{k1j}v+{\displaystyle \underset{k=0}{\overset{n}{}}}{\displaystyle \frac{\lambda ^k}{k!}}A^kKv.`$
So the limit $`lim_n\mathrm{}Kv_n`$ exists. Consequently, since $`K`$ is closed, $`e^{\lambda A}(\mathrm{Dom}K)\mathrm{Dom}K`$. But $`(e^{\lambda A})^1=e^{\lambda A}`$ has the same property and thus equality (26) follows. Furthermore, the above computation also shows that

$$Ke^{\lambda A}=\underset{k=1}{\overset{\mathrm{}}{}}\frac{\lambda ^k}{k!}\underset{j=0}{\overset{k1}{}}A^jBA^{k1j}+e^{\lambda A}K.$$

Application of the following algebraic identity (easy to verify),

$$\underset{k=1}{\overset{\mathrm{}}{}}\frac{\lambda ^k}{k!}\underset{j=0}{\overset{k1}{}}A^jBA^{k1j}=e^{\lambda A}\left(\frac{1e^{\lambda \mathrm{ad}_A}}{\mathrm{ad}_A}B\right),$$

concludes the proof. ∎

###### Proof of Proposition 5.

We use notation of Corollary 4. From (22) follows that, $`s,u,\text{ }0s<u`$, $`X𝔛_u`$,

$$\kappa _{\mathrm{}}\mathrm{\Theta }_{\mathrm{}}^s(\iota _\mathrm{}uX)=\kappa _u\mathrm{\Theta }_u^s(X)=[𝐀_s,\kappa _u(X)]=[𝐀_s,\kappa _{\mathrm{}}(\iota _\mathrm{}uX)].$$

Since the set of vectors $`\{\iota _\mathrm{}u(X);\text{ }s<u,\text{ }X𝔛_u\}`$ is dense in $`𝔛_{\mathrm{}}`$, we get, $`X𝔛_{\mathrm{}}`$, $`\kappa _{\mathrm{}}\mathrm{\Theta }_{\mathrm{}}^s(X)=[𝐀_s,\kappa _{\mathrm{}}(X)]`$, and hence

$$\kappa _{\mathrm{}}\left(e^{\mathrm{\Theta }_{\mathrm{}}^s}(X)\right)=e^{𝐀_s}\kappa _{\mathrm{}}(X)e^{𝐀_s}.$$

Set

$$𝐔_s=e^{𝐀_{s1}}\mathrm{}e^{𝐀_0}\text{ for }s1,\text{ }𝐔_0=1.$$

Assumption (23) implies that both sequences $`\{𝐔_s\}`$ and $`\{𝐔_s^1\}`$ are Cauchy in $`(𝒦)`$ and hence the limit (24) exists in the operator norm, with $`𝐔^1=lim_s\mathrm{}𝐔_s^1(𝒦)`$. Moreover, $`X𝔛_{\mathrm{}}`$,

$$\kappa _{\mathrm{}}T_{\mathrm{}}(X)=\kappa _{\mathrm{}}\left(\underset{s\mathrm{}}{lim}e^{\mathrm{\Theta }_{\mathrm{}}^{s1}}\mathrm{}e^{\mathrm{\Theta }_{\mathrm{}}^0}X\right)=\underset{s\mathrm{}}{lim}𝐔_s\kappa _{\mathrm{}}(X)𝐔_s^1.$$
(27)
Next let us compute $`\stackrel{~}{\kappa }_s\stackrel{~}{T}_s(K_s)`$. For $`0s<u`$, set $`𝐁_s=\kappa _u(\stackrel{~}{\mathrm{\Theta }}_u^s(K_u))(𝒦)`$. $`𝐁_s`$ doesn’t depend on $`u>s`$ since if $`0s<uv`$ then

$$\kappa _u\left(\stackrel{~}{\mathrm{\Theta }}_u^s(K_u)\right)=\kappa _v\left(\iota _{vu}\stackrel{~}{\mathrm{\Theta }}_u^s(K_u)\right)=\kappa _v\left(\stackrel{~}{\mathrm{\Theta }}_v^s(K_v)\right).$$

We can apply Lemma 6 to the operators $`𝐊`$, $`𝐀_s`$, $`𝐁_s`$ to conclude that $`e^{𝐀_s}(\mathrm{Dom}𝐊)=\mathrm{Dom}𝐊`$ and

$$e^{𝐀_s}𝐊e^{𝐀_s}=𝐊+\frac{e^{\mathrm{ad}_{𝐀_s}}1}{\mathrm{ad}_{𝐀_s}}𝐁_s.$$
(28)
On the other hand,

$$\stackrel{~}{\kappa }_u\left(e^{\stackrel{~}{\mathrm{\Theta }}_u^s}(K_u)\right)=\stackrel{~}{\kappa }_u\left(K_u+\frac{e^{\mathrm{\Theta }_u^s}1}{\mathrm{\Theta }_u^s}\stackrel{~}{\mathrm{\Theta }}_u^s(K_u)\right)=𝐊+\frac{e^{\mathrm{ad}_{𝐀_s}}1}{\mathrm{ad}_{𝐀_s}}𝐁_s.$$

Thus $`\stackrel{~}{\kappa }_u\left(e^{\stackrel{~}{\mathrm{\Theta }}_u^s}(K_u)\right)=e^{𝐀_s}𝐊e^{𝐀_s}.`$ Consequently, $`𝐔_s(\mathrm{Dom}𝐊)=\mathrm{Dom}𝐊`$ and

$$\stackrel{~}{\kappa }_s\stackrel{~}{T}_s(K_s)=𝐔_s𝐊𝐔_s^1.$$
(29)
Set $`𝐂_s=𝐔_s\mathrm{𝐊𝐔}_s^1𝐊`$. According to (28), $`𝐂_s(𝒦)`$. Now we can compute, using relation (29), a limit in $`(𝒦)`$,

$`𝐂`$ $`=`$ $`\underset{s\mathrm{}}{lim}𝐂_s=\underset{s\mathrm{}}{lim}\kappa _s(\stackrel{~}{T}_s(K_s)K_s)`$
$`=`$ $`\kappa _{\mathrm{}}\left(\underset{s\mathrm{}}{lim}\iota _\mathrm{}s(\stackrel{~}{T}_s(K_s)K_s)\right)`$
$`=`$ $`\kappa _{\mathrm{}}(\stackrel{~}{T}_{\mathrm{}}(K_{\mathrm{}})K_{\mathrm{}}).`$
So $`𝐊+𝐂=\stackrel{~}{\kappa }_{\mathrm{}}(\stackrel{~}{T}_{\mathrm{}}(K_{\mathrm{}}))`$. From the closeness of $`𝐊`$, the equality $`𝐔_s\mathrm{𝐊𝐔}_s^1=𝐊+𝐂_s`$, and from the fact that the sequences $`\{𝐔_s^{\pm 1}\}`$, $`\{𝐂_s\}`$ converge one deduces that $`𝐔^{\pm 1}(\mathrm{Dom}𝐊)\mathrm{Dom}𝐊`$ and hence, in fact, $`𝐔^{\pm 1}(\mathrm{Dom}𝐊)=\mathrm{Dom}𝐊`$. In addition,

$$\mathrm{𝐔𝐊𝐔}^1=𝐊+𝐂=\stackrel{~}{\kappa }_{\mathrm{}}\stackrel{~}{T}_{\mathrm{}}(K_{\mathrm{}}).$$
(30)
Combining (27) and (30) one finds that

$$\stackrel{~}{\kappa }_{\mathrm{}}\stackrel{~}{T}_{\mathrm{}}(X)=𝐔\stackrel{~}{\kappa }_{\mathrm{}}(X)𝐔^1,\text{ }X\stackrel{~}{𝔛}_{\mathrm{}}.$$

To conclude the proof it suffices to apply the mapping $`\stackrel{~}{\kappa }_{\mathrm{}}`$ to equality (20). ∎

## 5. Choice of the directed sequence of Banach spaces

Suppose that there are given a decreasing sequence of subsets of the interval $`]0,+\mathrm{}[`$, $`\mathrm{\Omega }_0\mathrm{\Omega }_1\mathrm{\Omega }_2\mathrm{}`$, a decreasing sequence of positive real numbers $`\{\phi _s\}_{s=0}^{\mathrm{}}`$ and a strictly increasing sequence of positive real numbers $`\{E_s\}_{s=0}^{\mathrm{}}`$, $`1E_1<E_2<\mathrm{}`$.

We construct a complex Banach space $`{}_{}{}^{0}𝔛_{s}^{}`$, $`s0`$, as a subspace

$${}_{}{}^{0}𝔛_{s}^{}L^{\mathrm{}}(\mathrm{\Omega }_s\times \times \times ,\underset{n}{}\underset{m}{^{}}(_m,_n))$$

formed by those elements $`X=\{X_{knm}(\omega )\}`$ which satisfy

$$X_{knm}(\omega )(_m,_n),\text{ }\omega \mathrm{\Omega }_s,\text{ }(k,n,m)\times \times ,$$

and have finite norm

$$X_s=\underset{\begin{array}{c}\omega ,\omega ^{}\mathrm{\Omega }_s\\ \omega \omega ^{}\end{array}}{sup}\underset{n}{sup}\underset{k}{}\underset{m}{}\left(X_{knm}(\omega )+\phi _sX_{knm}(\omega ,\omega ^{})\right)e^{|k|/E_s}$$
(31)
where the symbol $``$ designates the discrete derivative in $`\omega `$,

$$X(\omega ,\omega ^{})=\frac{X(\omega )X(\omega ^{})}{\omega \omega ^{}}.$$

In fact, this norm is considered in Appendix B (c.f. (87)), and it is shown there that $`{}_{}{}^{0}𝔛_{s}^{}`$ is an operator algebra with respect to the multiplication rule (89).

Let $`𝔛_s{}_{}{}^{0}𝔛_{s}^{}`$ be a closed real subspace formed by those elements $`X{}_{}{}^{0}𝔛_{s}^{}`$ which satisfy,

$$(k,n,m)\times \times ,\omega \mathrm{\Omega }_s,X_{knm}(\omega )^{}=X_{k,m,n}(\omega )(_n,_m).$$
(32)
Note, however, that $`𝔛_s`$ is not an operator subalgebra of $`{}_{}{}^{0}𝔛_{s}^{}`$.

The sequence of Banach spaces, $`\{𝔛_s\}_{s=0}^{\mathrm{}}`$, becomes directed with respect to mappings of restriction in the variable $`\omega `$: if $`us`$ then we set

$$\iota _{us}:𝔛_s𝔛_u,\text{ }\iota _{us}(X)=X|_{\mathrm{\Omega }_u}.$$

Because of the monotonicity of the sequences $`\{\phi _s\}`$ and $`\{E_s\}`$ we clearly have $`\iota _{us}1`$.

Next we introduce a bounded operator $`𝒟_s(𝔛_s)`$ as an operator which extracts the diagonal part of a matrix,

$$𝒟_s(X)_{knm}(\omega )=\delta _{k0}\delta _{nm}X_{0nn}(\omega ).$$
(33)
Clearly, $`𝒟_s1`$ and $`1𝒟_s1`$.

Let

$$VL^{\mathrm{}}(\times \times ,\underset{n}{}\underset{m}{^{}}(_m,_n))$$

be the element with the components $`V_{knm}(_m,_n)`$ given in (2). Since, by assumption, $`V(t)`$ is Hermitian for almost all $`t`$ it hold true that

$$(V_{knm})^{}=V_{k,m,n}.$$

We still assume, as in Theorem 1, that there exists $`r>0`$ such that

$$ϵ_V=\underset{n}{sup}\underset{k}{}\underset{m}{}V_{knm}\mathrm{max}\{|k|^r,1\}<\mathrm{}.$$
(34)
Let us define elements $`V_s𝔛_s`$, $`s0`$, by

$`(V_s)_{knm}(\omega )`$ $`=V_{knm}\mathrm{if}|k|<E_s`$ (35)
$`=\mathrm{\hspace{0.33em}0}\mathrm{if}|k|E_s`$
For $`s1`$ we get an estimate,

$`V_s\iota _{s1}(V_{s1})_s`$ $`=`$ $`\underset{n}{sup}{\displaystyle \underset{\begin{array}{c}k\\ E_{s1}|k|<E_s\end{array}}{}}{\displaystyle \underset{m}{}}V_{knm}e^{|k|/E_s}`$
$``$ $`e\underset{n}{sup}{\displaystyle \underset{k}{}}{\displaystyle \underset{m}{}}V_{knm}{\displaystyle \frac{\mathrm{max}\{|k|^r,1\}}{(E_{s1})^r}}`$
$`=`$ $`{\displaystyle \frac{eϵ_V}{(E_{s1})^r}}.`$
Similarly, for $`s=0`$, we get

$$V_0eϵ_V.$$

It is convenient to set $`E_1=1`$, $`V_1=0`$.

The sequence $`\{K_s\}_{s=0}^{\mathrm{}}`$ has the same meaning as in Section 3, i.e., each $`K_s`$ is a distinguished basis vector in a one-dimensional vector space $`K_s`$. Furthermore, a sequence $`\mathrm{\Theta }_u^s(𝔛_u)`$, $`0s<u`$, is supposed to satisfy rule (6). Similarly as in Proposition 2 we construct sequences $`T_s(𝔛_s)`$, $`s1`$, and $`W_s𝔛_s`$, $`s0`$, using relations (7) and (2), respectively.

###### Proposition 7.

Suppose that it holds

$$\mathrm{\Theta }_u^s\frac{5}{\phi _{s+1}}W_s\iota _{s1}(W_{s1})_s,\text{ }s,u,\text{ }0s<u,$$
(37)
and set

$$A_{}=5e\underset{s0}{sup}\frac{(E_s)^r}{\phi _{s+1}(E_{s1})^{2r}},\text{ }B_{}=5e\underset{s=0}{\overset{\mathrm{}}{}}\frac{1}{\phi _{s+1}(E_{s1})^r},\text{ }C_{}=5e\underset{s0}{sup}\frac{1}{\phi _{s+1}(E_{s1})^r}.$$
(38)
If

$$ϵ_VB_{}\frac{1}{3}\mathrm{ln}2\text{and}ϵ_VA_{}\varphi (3ϵ_VC_{})\frac{1}{9}$$
(39)
then the conclusions of Corollary 3 hold true, particularly, the objects $`V_{\mathrm{}},W_{\mathrm{}}𝔛_{\mathrm{}}`$, $`T_{\mathrm{}}(𝔛_{\mathrm{}})`$ and $`\stackrel{~}{T}_{\mathrm{}}(\stackrel{~}{𝔛}_{\mathrm{}})`$ exist and satisfy the equality

$$\stackrel{~}{T}_{\mathrm{}}(K_{\mathrm{}}+V_{\mathrm{}})=K_{\mathrm{}}+𝒟_{\mathrm{}}(W_{\mathrm{}}).$$

###### Remark.

Respecting estimates (5) and (37) we set in what follows

$$F_s=\frac{5}{\phi _{s+1}}\text{ and }v_s=\frac{eϵ_V}{(E_{s1})^r},\text{ }s0.$$
(40)
###### Proof.

Taking into account the defining relations (40) one finds that the constants $`A`$, $`B`$ and $`C`$ introduced in Proposition 3 may be chosen as

$$A=ϵ_VA_{},\text{ }B=ϵ_VB_{}\text{ and }C=ϵ_VC_{}.$$
(41)
The assumption (39) implies that

$$B\frac{1}{3}\mathrm{ln}2\text{and}A\varphi (3C)\frac{1}{9}$$
(42)
and so, according to the remark following Proposition 3, inequality (15) holds true with $`d=3`$. Since $`F_{inf}=5/\phi _1>0`$ assumption (18) of Corollary 4 as well as all assumptions of Proposition 3 are satisfied and so the conclusions of Corollary 4 hold true. ∎

## 6. Relation of the Banach spaces $`𝔛_s`$ to Hermitian operators in $`𝒦`$

The real Banach spaces $`𝔛_s`$ have been chosen in the previous section. Set

$$\mathrm{\Omega }_{\mathrm{}}=\underset{s=0}{\overset{\mathrm{}}{}}\mathrm{\Omega }_s.$$

Suppose that $`\mathrm{\Omega }_{\mathrm{}}\mathrm{}`$ and fix $`\omega \mathrm{\Omega }_{\mathrm{}}`$ (so $`\omega >0`$).

To an operator-valued function $`[\mathrm{\hspace{0.17em}0},T]tX(t)()`$ there is naturally related an operator $`𝐗`$ in $`𝒦=L^2([\mathrm{\hspace{0.17em}0},T],,\text{dt})`$ defined by $`(𝐗\psi )(t)=X(t)\psi (t)`$. As is well known,

$$𝐗X_{SH}$$

where $`_{SH}`$ is the so called Schur-Holmgren norm,

$`X_{SH}`$ $`=`$ $`\mathrm{max}\{\underset{(\mathrm{},n)\times }{sup}{\displaystyle \underset{(k,m)\times }{}}P_{\mathrm{}}Q_n𝐗P_kQ_m,`$
$`\underset{(k,m)\times }{sup}{\displaystyle \underset{(\mathrm{},n)\times }{}}P_{\mathrm{}}Q_n𝐗P_kQ_m\}`$
$`=`$ $`\mathrm{max}\{\underset{n}{sup}{\displaystyle \underset{k}{}}{\displaystyle \underset{m}{}}X_{knm},\underset{m}{sup}{\displaystyle \underset{k}{}}{\displaystyle \underset{n}{}}X_{knm}\}.`$
Here

$$X_{knm}=\frac{1}{T}_0^Te^{i\omega kt}Q_nX(t)Q_m\text{dt}.$$

It is also elementary to verify that the Schur-Holmgren norm is an operator norm, $`XY_{SH}X_{SH}Y_{SH}`$, with respect to the multiplication rule (89).

If $`X(t)`$ is Hermitian for (almost) every $`t[\mathrm{\hspace{0.17em}0},T]`$ then it holds, $`(k,n,m)`$, $`(X_{knm})^{}=X_{k,m,n}`$, and so

$$X_{SH}=\underset{n}{sup}\underset{k}{}\underset{m}{}X_{knm}.$$

Note also that, $`s_+`$, $`X𝔛_s`$,

$$X(\omega )_{SH}X_s$$

and, consequently, the same is also true for $`s=\mathrm{}`$.

To an element $`X{}_{}{}^{0}𝔛_{s}^{}L^{\mathrm{}}(\mathrm{\Omega }_s\times \times \times ,_n_{}^{}{}_{m}{}^{}(_m,_n))`$ such that $`X(\omega )_{SH}<\mathrm{}`$ we can relate an operator-valued function defined on the interval $`[\mathrm{\hspace{0.17em}0},T]`$,

$$t\underset{k}{}\underset{n}{}\underset{m}{}e^{ik\omega t}X_{knm}(\omega ).$$

The corresponding operator in $`𝒦`$ is denoted by $`\kappa _s(X)`$, with a norm being bounded from above by $`X(\omega )_{SH}`$. In particular, $`X𝔛_s`$,

$$\kappa _s(X)X(\omega )_{SH}X_s.$$

In addition, if $`X𝔛_s`$ then the operator $`\kappa _s(X)`$ is Hermitian due to the property (32) of $`X`$. This way we have introduced the mappings $`\kappa _s:𝔛_s(𝒦)`$ for $`s_+`$.

Another property we shall need is that $`\kappa _s`$ is an algebra morphism in the sense: if $`X,Y{}_{}{}^{0}𝔛_{s}^{}`$ such that $`X(\omega )_{SH}<\mathrm{}`$ and $`Y(\omega )_{SH}<\mathrm{}`$ then $`(XY)(\omega )_{SH}<\mathrm{}`$ and

$$\kappa _s(XY)=\kappa _s(X)\kappa _s(Y).$$

Particularly this is true for all $`X,Y𝔛_s`$.

Let $`𝐃((𝒦))`$ be the operator on $`(𝒦)`$ taking the diagonal part of an operator $`X(𝒦)`$,

$$𝐃(X)=\underset{k}{}\underset{m}{}P_kQ_mXP_kQ_m.$$

Clearly, $`𝐃\kappa _s=\kappa _s𝒟_s`$. Since

$$𝐃(X)=\underset{(k,m)\times }{sup}P_kQ_mXP_kQ_mX$$

we have $`𝐃1`$.

A consequence of (34) is that $`V=\{V_{knm}\}`$ has a a finite Schur-Holmgren norm, $`V_{SH}<\mathrm{}`$. Let $`V_s𝔛_s`$, $`s_+`$, be the cut-offs of $`V`$ defined in (35). Then

$`VV_s_{SH}`$ $`=`$ $`\underset{n}{sup}{\displaystyle \underset{k,|k|E_s}{}}{\displaystyle \underset{m}{}}V_{knm}`$
$``$ $`{\displaystyle \frac{1}{(E_s)^r}}\underset{n}{sup}{\displaystyle \underset{k}{}}{\displaystyle \underset{m}{}}V_{knm}\mathrm{max}\{|k|^r,1\}`$
$`=`$ $`{\displaystyle \frac{ϵ_V}{(E_s)^r}}.`$
We shall impose an additional condition on the increasing sequence $`\{E_s\}`$ of positive real numbers that occur in the definition of the norm $`_s`$ in $`𝔛_s`$ (c.f. (31)), namely we shall require

$$\underset{s\mathrm{}}{lim}E_s=+\mathrm{}.$$
(44)
In this case $`lim_s\mathrm{}VV_s_{SH}=0`$ and so

$$𝐕=\underset{s\mathrm{}}{lim}\kappa _s(V_s)\text{in the operator norm}.$$
(45)
We also assume that there exist $`A_s𝔛_{s+1}`$, $`s_+`$, such that

$$(A_s)_{knm}(\omega )^{}=(A_s)_{k,m,n}(\omega ),$$
(46)
and, using these elements, we define mappings $`{}_{}{}^{0}\mathrm{\Theta }_{u}^{s}({}_{}{}^{0}𝔛_{u}^{})`$, $`u>s`$, by

$${}_{}{}^{0}\mathrm{\Theta }_{u}^{s}(X)=[\iota _{u,s+1}(A_s),X]$$
(47)
(where the commutator on the RHS makes sense since $`{}_{}{}^{0}𝔛_{u}^{}`$ is an operator algebra). Clearly, $`{}_{}{}^{0}\mathrm{\Theta }_{u}^{s}2A_s_{s+1}`$. One finds readily that $`𝔛_u{}_{}{}^{0}𝔛_{u}^{}`$ is an invariant subspace with respect to the mapping $`{}_{}{}^{0}\mathrm{\Theta }_{u}^{s}`$ and so one may define $`\mathrm{\Theta }_u^s={}_{}{}^{0}\mathrm{\Theta }_{u}^{s}|_{𝔛_u}(𝔛_u)`$. Since $`iA_s𝔛_{s+1}`$ we can set

$$𝐀_s=i\kappa _{s+1}(iA_{s+1})(𝒦).$$

Clearly, $`𝐀_s`$ is anti-Hermitian and satisfies $`𝐀_sA_s_{s+1}`$. Note that (47) implies that, $`s,u,\text{ }0s<u`$, $`X𝔛_u`$,

$$\kappa _u\left(\mathrm{\Theta }_u^s(X)\right)=[𝐀_s,\kappa _u(X)].$$

###### Lemma 8.

Let $`\{W_s\}_{s=0}^{\mathrm{}}`$ be a sequence of elements $`W_s𝔛_s`$ and let $`\stackrel{~}{\mathrm{\Theta }}_u^s:\stackrel{~}{𝔛}_u\stackrel{~}{𝔛}_u`$ be the extension of $`\mathrm{\Theta }_u^s`$, $`0s<u`$, defined in (9). Assume that the elements $`A_s{}_{}{}^{0}𝔛_{s+1}^{}`$, $`s_+`$, satisfy

$`(k\omega \mathrm{\Delta }_{mn})(A_s)_{knm}(\omega )`$ (48)
$`=\left(\mathrm{\Theta }_u^s\left(\iota _{us}𝒟_s(W_s)\right)+\iota _{us}(1𝒟_s)\left(W_s\iota _{s1}(W_{s1})\right)\right)_{knm}(\omega ),`$
$`(k,m,n)\times \times `$, $`s,u,\text{ }0s<u`$.

Then it holds true that,

$$s_+,𝐀_s(\mathrm{Dom}𝐊)\mathrm{Dom}𝐊,$$

and

$$s,u,\text{ }0s<u,[𝐀_s,𝐊]=\kappa _u(\stackrel{~}{\mathrm{\Theta }}_u^s(K_u))|_{\mathrm{Dom}(𝐊)}.$$

###### Proof.

Set

$$𝐁_s=\kappa _u\left(\stackrel{~}{\mathrm{\Theta }}_u^s(K_u)\right).$$

Since the RHS of (48) is in fact a matrix entry of $`\stackrel{~}{\mathrm{\Theta }}_u^s(K_u)`$ (c.f. (9)) this assumption may be rewritten as the equality

$$𝐊P_{\mathrm{}}Q_n𝐀_sP_kQ_m=P_{\mathrm{}}Q_n𝐀_sP_kQ_m𝐊+P_{\mathrm{}}Q_n𝐁_sP_kQ_m,$$

valid for all $`(\mathrm{},n),(k,m)\times `$. Since $`𝐊`$ is closed one easily derives from the last property that it holds true, $`(k,m)\times `$,

$$𝐊𝐀_sP_kQ_m=𝐀_sP_kQ_m𝐊+𝐁_sP_kQ_m.$$
(49)
Particularly, $`𝐀_s\mathrm{Ran}(P_kQ_m)\mathrm{Dom}(𝐊)`$. But $`\mathrm{Ran}(P_kQ_m)`$ are mutually orthogonal eigenspaces of $`𝐊`$. Consequently, if $`v\mathrm{Dom}(𝐊)`$, then the sequence $`\{v_N\}_{N=1}^{\mathrm{}}`$,

$$v_N=\underset{k,|k|N}{}\underset{m,mN}{}P_kQ_mv$$

has the property: $`v_Nv`$ and $`𝐊v_N𝐊v`$, as $`N\mathrm{}`$. Equality (49) implies that

$$\mathrm{𝐊𝐀}_sv_N=𝐀_s𝐊v_N+𝐁_sv_N,\text{ }N.$$

Again owing to the fact that $`𝐊`$ is closed one concludes that $`𝐀_sv\mathrm{Dom}(𝐊)`$ and $`\mathrm{𝐊𝐀}_sv=𝐀_s𝐊v+𝐁_sv`$. ∎

###### Proposition 9.

Assume that $`\omega \mathrm{\Omega }_{\mathrm{}}`$ and the norms $`_s`$ in the Banach spaces $`𝔛_s`$ satisfy (44). Let $`\mathrm{\Theta }_u^s(𝐗_u)`$, $`0s<u`$, be the operators defined in (47) with the aid of elements $`A_s{}_{}{}^{0}𝔛_{s+1}^{}`$ satisfying (46), and let $`W_s𝔛_s`$, $`s_+`$, be a sequence defined recursively in accordance with (2). Assume that the elements $`A_s`$, $`s_+`$, satisfy condition (48) and that

$$A_s\frac{5}{2\phi _{s+1}}W_s\iota _{s1}(W_{s1}),\text{ }s_+.$$
(50)
Moreover, assume that the numbers $`A_{}`$, $`B_{}`$, $`C_{}`$, as defined in (38), satisfy condition (39).

Then there exist, in $`𝒦`$, a unitary operator $`𝐔`$ and a bounded Hermitian operator $`𝐖`$ such that

$$𝐔(\mathrm{Dom}𝐊)=\mathrm{Dom}𝐊$$

and

$$𝐔(𝐊+𝐕)𝐔^1=𝐊+𝐃(𝐖).$$

###### Proof.

The norm of $`\mathrm{\Theta }_u^s`$ may be estimated as

$$\mathrm{\Theta }_u^s2A_s\frac{5}{\phi _{s+1}}W_s\iota _{s1}(W_{s1}).$$

This way the assumptions of Proposition 7 are satisfied and consequently, according to Proposition 7 (and its proof), the same is true for Proposition 3 and Corollary 4 (with $`F_s`$ and $`v_s`$ defined in (40) and the constants $`A`$, $`B`$, $`C`$ defined in (41)). Since it holds $`𝐀_sA_s\frac{1}{2}F_sw_s`$ (where $`F_s=5/\phi _{s+1}`$) and, by assumption, condition (15) is satisfied with $`d=3`$ we get

$$\underset{s=0}{\overset{\mathrm{}}{}}𝐀_s\frac{1}{2}\underset{s=0}{\overset{\mathrm{}}{}}F_sw_s\frac{3}{2}\underset{s=0}{\overset{\mathrm{}}{}}F_sv_s=\frac{3B}{2}<\mathrm{}.$$

This verifies assumption (23) of Proposition 5; the other assumptions of this proposition are verified as well as follows from Lemma 8. Note that, in virtue of (45), $`\kappa _{\mathrm{}}(V_{\mathrm{}})=lim_s\mathrm{}\kappa _s(V_s)`$ coincides with the given operator $`𝐕`$. Furthermore, $`𝐖=\kappa _{\mathrm{}}(W_{\mathrm{}})=lim_s\mathrm{}\kappa _s(W_s)`$ is a limit of Hermitian operators and so is itself Hermitian, and $`𝐔=lim_s\mathrm{}e^{𝐀_{s1}}\mathrm{}e^{𝐀_0}`$ is unitary. Equality (25) holds true and this concludes the proof. ∎

## 7. Set of non-resonant frequencies

Let $`J>0`$ be fixed and assume that, $`s_+`$,

$$\mathrm{\Omega }_s[\frac{8}{9}J,\frac{9}{8}J].$$

The following definition concerns indices $`(k,n,m)`$ corresponding to non-diagonal entries, i.e., those indices for which either $`k0`$ or $`mn`$. The diagonal indices, with $`k=0`$ and $`m=n`$, will always be treated separately and, in fact, in a quite trivial manner.

###### Definition.

We shall say that a multi-index $`(k,n,m)\times \times `$ is *critical* if $`mn`$ and

$$\frac{kJ}{\mathrm{\Delta }_{mn}}]\frac{1}{2},2[$$
(51)
(hence $`\mathrm{sgn}(k)=\mathrm{sgn}(h_mh_n)0`$). In the opposite case the multi-index will be called *non-critical*.

###### Definition.

Let $`\psi (k,n,m)`$ be a positive function defined on non-diagonal indices and $`W𝔛_s`$. A frequency $`\omega \mathrm{\Omega }_s`$ will be called $`(W,\psi )`$*non-resonant* if for all non-diagonal indices $`(k,n,m)\times \times `$ it holds

$$\mathrm{dist}(\mathrm{Spec}(k\omega \mathrm{\Delta }_{mn}+W_{0nn}(\omega )),\mathrm{Spec}(W_{0mm}(\omega )))\psi (k,n,m).$$
(52)
In the opposite case $`\omega `$ will be called $`(W,\psi )`$*resonant*.

Note that, in virtue of (32), $`W_{0mm}(\omega )`$ is a Hermitian operator in $`_m`$.

###### Lemma 10.

Assume that $`\mathrm{\Omega }_s[\frac{8}{9}J,\frac{9}{8}J]`$, $`W𝔛_s`$ and $`\psi `$ is a positive function defined on non-diagonal indices and obeying a symmetry condition,

$$\psi (k,m,n)=\psi (k,n,m)\text{ for all }(k,n,m)\text{non-diagonal}.$$
(53)
If

$$m,\text{ }\omega ,\omega ^{}\mathrm{\Omega }_s,\text{ }\omega \omega ^{},\text{ }W_{0mm}(\omega ,\omega ^{})\frac{1}{4},$$
(54)
and if condition (52) is satisfied for all $`\omega \mathrm{\Omega }_s`$ and all non-critical indices $`(k,n,m)`$ then the Lebesgue measure of the set $`\mathrm{\Omega }_s^{\mathrm{bad}}\mathrm{\Omega }_s`$ formed by $`(W,\psi )`$–resonant frequencies may be estimated as

$$|\mathrm{\Omega }_s^{\mathrm{bad}}|8\underset{\begin{array}{c}m,n,\\ \mathrm{\Delta }_{mn}>\frac{1}{2}J\end{array}}{}\underset{\begin{array}{c}k,\\ \frac{\mathrm{\Delta }_{mn}}{2J}<k<\frac{2\mathrm{\Delta }_{mn}}{J}\end{array}}{}\frac{M_mM_n}{k}\psi (k,n,m).$$
(55)
###### Proof.

Let $`\lambda _1^m(\omega )\lambda _2^m(\omega )\mathrm{}\lambda _{M_m}^m(\omega )`$ be the increasingly ordered set of eigenvalues of $`W_{0mm}(\omega )`$, $`m`$. Set

$$\mathrm{\Omega }_s^{\mathrm{bad}}(k,n,m,i,j)=\{\omega \mathrm{\Omega }_s;\text{ }|\omega k\mathrm{\Delta }_{mn}+\lambda _i^n(\omega )\lambda _j^m(\omega )|<\psi (k,n,m)\}.$$

Then

$$\mathrm{\Omega }_s^{\mathrm{bad}}=\underset{(k,n,m)}{}\underset{\begin{array}{c}i,j\\ 1iM_n\\ 1jM_m\end{array}}{}\mathrm{\Omega }_s^{\mathrm{bad}}(k,n,m,i,j).$$

By assumption, if $`(k,n,m)`$ is a non-critical index then $`\mathrm{\Omega }_s^{\mathrm{bad}}(k,n,m,i,j)=\mathrm{}`$ (for any $`i,j`$). Further notice that, due to the symmetry condition (53), $`\mathrm{\Omega }_s^{\mathrm{bad}}(k,n,m,i,j)=\mathrm{\Omega }_s^{\mathrm{bad}}(k,m,n,j,i)`$.

According to Lidskii Theorem (, Chap. II §6.5), for any $`j`$, $`1jM_m`$, $`\lambda _j^m(\omega )\lambda _j^m(\omega ^{})`$ may be written as a convex combination (with non-negative coefficients) of eigenvalues of the operator $`W_{0mm}(\omega )W_{0mm}(\omega ^{})`$. Consequently,

$$j,\text{ }1jM_m,\text{ }\omega ,\omega ^{}\mathrm{\Omega }_s,\text{ }\omega \omega ^{},\text{ }|\lambda _j^m(\omega ,\omega ^{})|W_{0mm}(\omega ,\omega ^{})\frac{1}{4}.$$

If $`\omega ,\omega ^{}\mathrm{\Omega }_s^{\mathrm{bad}}(k,n,m,i,j)`$, $`\omega \omega ^{}`$, then $`(k,n,m)`$ is necessarily a critical index and

$`{\displaystyle \frac{2\psi (k,n,m)}{|\omega \omega ^{}|}}`$ $`>`$ $`\left|{\displaystyle \frac{(\omega k\mathrm{\Delta }_{mn}+\lambda _i^n(\omega )\lambda _j^m(\omega ))(\omega ^{}k\mathrm{\Delta }_{mn}+\lambda _i^n(\omega ^{})\lambda _j^m(\omega ^{}))}{\omega \omega ^{}}}\right|`$
$``$ $`|k|{\displaystyle \frac{1}{2}}{\displaystyle \frac{1}{2}}|k|.`$
This implies that $`|\mathrm{\Omega }_s^{\mathrm{bad}}(k,n,m,i,j)|4\psi (k,n,m)/|k|`$ and so

$`|\mathrm{\Omega }_s^{\mathrm{bad}}|`$ $``$ $`2{\displaystyle \underset{\begin{array}{c}(k,n,m)\\ k>0\\ \frac{\mathrm{\Delta }_{mn}}{2J}<k<\frac{2\mathrm{\Delta }_{mn}}{J}\end{array}}{}}{\displaystyle \underset{\begin{array}{c}i,j\\ 1iM_n\\ 1jM_m\end{array}}{}}{\displaystyle \frac{4}{k}}\psi (k,n,m).`$
This immediately leads to the desired inequality (55). ∎

## 8. Construction of the sequences $`\{\mathrm{\Omega }_s\}`$ and $`\{A_s\}`$

For a non-diagonal multi-index $`(k,n,m)`$ and $`s_+`$ set

$`\psi _s(k,n,m)`$ $`=`$ $`{\displaystyle \frac{1}{2}}\mathrm{\Delta }_0\text{if }(k,n,m)\text{ is non-critical and }k=0,`$
$`=`$ $`{\displaystyle \frac{7}{18}}J\left(|k|{\displaystyle \frac{1}{2}}\right)\text{if }(k,n,m)\text{ is non-critical and }k0,`$
$`=`$ $`\phi _{s+1}\left(\mathrm{min}\{M_m,M_n\}\right)^{1/2}|k|^{1/2}e^{\varrho _s|k|/2}\text{if }(k,n,m)\text{ is critical},`$
where

$$\varrho _s=\frac{1}{E_s}\frac{1}{E_{s+1}}.$$

Observe that $`\psi _s`$ obeys the symmetry condition (53). The choice of $`\psi _s(k,n,m)`$ for a non-critical index $`(k,n,m)`$ was guided by the following lemma.

###### Lemma 11.

If $`\omega \mathrm{\Omega }_s[\frac{8}{9}J,\frac{9}{8}J]`$, $`(k,n,m)\times \times `$ is a non-critical index and $`W𝔛_s`$ satisfies

$$W_{0mm}(\omega ),W_{0nn}(\omega )\mathrm{min}\{\frac{1}{4}\mathrm{\Delta }_0,\frac{7}{72}J\}$$
(57)
then the spectra $`\mathrm{Spec}(k\omega \mathrm{\Delta }_{mn}+W_{0nn}(\omega ))`$, $`\mathrm{Spec}(W_{0mm}(\omega ))`$ are not interlaced (i.e., they are separated by a real point $`p`$ such that one of them lies below and the other above $`p`$) and it holds

$$\mathrm{dist}(\mathrm{Spec}(k\omega \mathrm{\Delta }_{mn}+W_{0nn}(\omega )),\mathrm{Spec}(W_{0mm}(\omega )))\psi (k,n,m).$$

###### Proof.

We distinguish two cases. If $`k0`$ then

$$|k\omega \mathrm{\Delta }_{mn}|=|k|\left|\omega \frac{\mathrm{\Delta }_{mn}}{k}\right|\frac{7}{18}J|k|$$

since, by assumption,

$$\frac{\mathrm{\Delta }_{mn}}{k}\omega ]\mathrm{},\frac{1}{2}J\frac{8}{9}J][\mathrm{\hspace{0.17em}2}J\frac{9}{8}J,+\mathrm{}[.$$

So the distance may be estimated from below by

$$\frac{7}{18}J|k|W_{0nn}(\omega )W_{0mm}(\omega )\frac{7}{18}J\left(|k|\frac{1}{2}\right).$$

If $`k=0`$ then a lower bound to the distance is simply given by

$$\mathrm{\Delta }_0W_{0nn}(\omega )W_{0mm}(\omega )\frac{1}{2}\mathrm{\Delta }_0.$$

Next we specify the way we shall construct the decreasing sequence of sets $`\{\mathrm{\Omega }_s\}_{s=0}^{\mathrm{}}`$. Let $`\mathrm{\Omega }_0=[\frac{8}{9}J,\frac{9}{8}J]`$. If $`W_s𝔛_s`$ has been already defined then we introduce $`\mathrm{\Omega }_{s+1}\mathrm{\Omega }_s`$ as the set of $`(W_s,\psi _s)`$–non-resonant frequencies. Recall that the real Banach space $`𝔛_s`$ is determined by the choice of data $`\phi _s`$, $`E_s`$ and $`\mathrm{\Omega }_s`$, as explained in Section 5.

As a next step let us consider , for $`s_+`$, $`\omega \mathrm{\Omega }_{s+1}`$ and a non-diagonal index $`(k,n,m)`$, a commutation equation,

$$(k\omega \mathrm{\Delta }_{mn}+(W_s)_{0nn}(\omega ))XX(W_s)_{0mm}(\omega )=Y,$$
(58)
with an unknown $`X(_m,_n)`$ and a right hand side $`Y(_m,_n)`$. Since $`\omega `$ is $`(W_s,\psi _s)`$–non-resonant the spectra $`\mathrm{Spec}(k\omega \mathrm{\Delta }_{mn}+(W_s)_{0nn}(\omega ))`$ and $`\mathrm{Spec}((W_s)_{0mm}(\omega ))`$ don’t intersect and so a solution $`X`$ exists and is unique. This way one can introduce a linear mapping

$$(\mathrm{\Gamma }_s)_{knm}(\omega ):(_m,_n)(_m,_n)$$

such that $`X=(\mathrm{\Gamma }_s)_{knm}(\omega )Y`$ solves (58). Moreover, according to Appendix A,

$$(\mathrm{\Gamma }_s)_{knm}(\omega )\frac{\left(\mathrm{min}\{M_m,M_n\}\right)^{1/2}}{\psi (k,n,m)}$$
(59)
in the general case, and provided the spectra $`\mathrm{Spec}(k\omega \mathrm{\Delta }_{mn}+(W_s)_{0nn}(\omega ))`$ and

$`\mathrm{Spec}((W_s)_{0mm}(\omega ))`$ are not interlaced it even holds that

$$(\mathrm{\Gamma }_s)_{knm}(\omega )\frac{1}{\psi (k,n,m)}.$$
(60)
From the uniqueness it is clear that $`\mathrm{Ker}((\mathrm{\Gamma }_s)_{knm}(\omega ))=0`$.

We extend the definition of $`(\mathrm{\Gamma }_s)_{knm}`$ to diagonal indices by letting $`(\mathrm{\Gamma }_s)_{0nn}(\omega )=0((_n,_n))`$. This way we get an element

$$\mathrm{\Gamma }_s\mathrm{Map}(\mathrm{\Omega }_{s+1}\times \times \times ,\underset{n}{}\underset{m}{^{}}((_m,_n))),$$
(61)
which naturally defines a linear mapping, denoted for simplicity by the same symbol, $`\mathrm{\Gamma }_s:{}_{}{}^{0}𝔛_{s}^{}{}_{}{}^{0}𝔛_{s+1}^{}`$, according to the rule

$$\mathrm{\Gamma }_s(Y)_{knm}(\omega ):=(\mathrm{\Gamma }_s)_{knm}(\omega )(Y_{knm}(\omega )).$$

###### Lemma 12.

Assume that for all non-diagonal indices $`(k,n,m)`$ and $`\omega ,\omega ^{}\mathrm{\Omega }_{s+1}`$, $`\omega \omega ^{}`$, it holds

$$(\mathrm{\Gamma }_s)_{knm}^1(\omega ,\omega ^{})|k|+\frac{1}{2},$$
(62)
if $`\omega \mathrm{\Omega }_{s+1}`$ and $`(k,n,m)`$ is a non-critical index then the spectra $`\mathrm{Spec}(k\omega \mathrm{\Delta }_{mn}+(W_s)_{0nn}(\omega ))`$ and $`\mathrm{Spec}((W_s)_{0mm}(\omega ))`$ are not interlaced and

$$\phi _{s+1}\mathrm{min}\{\frac{2}{3}\mathrm{\Delta }_0,\frac{1}{6}J\}.$$
(63)
Then the following upper estimate on the norm of $`\mathrm{\Gamma }_s({}_{}{}^{0}𝔛_{s}^{},{}_{}{}^{0}𝔛_{s+1}^{})`$ holds true:

$$\mathrm{\Gamma }_s\frac{5}{2\phi _{s+1}}.$$

###### Proof.

To estimate $`\mathrm{\Gamma }_s`$ we shall use relation (94) of Proposition 15 in Appendix B. Note that

$`(\mathrm{\Gamma }_s)_{knm}(\omega ,\omega ^{})`$ $`=`$ $`(\mathrm{\Gamma }_s)_{knm}(\omega )(\mathrm{\Gamma }_s)_{knm}^1(\omega ,\omega ^{})(\mathrm{\Gamma }_s)_{knm}(\omega ^{})`$ (64)
$``$ $`(\mathrm{\Gamma }_s)_{knm}(\omega )(\mathrm{\Gamma }_s)_{knm}(\omega ^{})\left(|k|+{\displaystyle \frac{1}{2}}\right).`$
If $`(k,n,m)`$ is critical then we have, according to (59) and (8),

$$(\mathrm{\Gamma }_s)_{knm}(\omega )\frac{1}{\phi _{s+1}|k|^{1/2}}e^{\varrho _s|k|/2}$$

and consequently

$`e^{\varrho _s|k|}\left((\mathrm{\Gamma }_s)_{knm}(\omega )+\phi _{s+1}(\mathrm{\Gamma }_s)_{knm}(\omega ,\omega ^{})\right)`$
$`e^{\varrho _s|k|}\left({\displaystyle \frac{1}{\phi _{s+1}|k|^{1/2}}}e^{\varrho _s|k|/2}+{\displaystyle \frac{|k|+\frac{1}{2}}{\phi _{s+1}|k|}}e^{\varrho _s|k|}\right)`$
$`{\displaystyle \frac{1}{\phi _{s+1}}}\left(1+1+{\displaystyle \frac{1}{2|k|}}\right){\displaystyle \frac{5}{2\phi _{s+1}}}.`$
If $`(k,n,m)`$ is non-critical and $`k0`$ then we have, according to (60) and (8),

$`(\mathrm{\Gamma }_s)_{knm}(\omega )`$ $``$ $`{\displaystyle \frac{18}{7J\left(|k|\frac{1}{2}\right)}}`$
and consequently

$`e^{\varrho _s|k|}\left((\mathrm{\Gamma }_s)_{knm}(\omega )+\phi _{s+1}(\mathrm{\Gamma }_s)_{knm}(\omega ,\omega ^{})\right)`$
$`{\displaystyle \frac{18}{7J\left(|k|\frac{1}{2}\right)}}\left(1+\phi _{s+1}{\displaystyle \frac{18\left(|k|+\frac{1}{2}\right)}{7J\left(|k|\frac{1}{2}\right)}}\right)`$
$`{\displaystyle \frac{1}{\phi _{s+1}}}{\displaystyle \frac{1}{6}}{\displaystyle \frac{36}{7}}\left(1+{\displaystyle \frac{1}{6}}{\displaystyle \frac{54}{7}}\right)<{\displaystyle \frac{2}{\phi _{s+1}}}.`$
In the case when $`(k,n,m)`$ is non-critical and $`k=0`$ one gets similarly $`(\mathrm{\Gamma }_s)_{knm}(\omega )2/\mathrm{\Delta }_0`$ and

$`e^{\varrho _s|k|}\left((\mathrm{\Gamma }_s)_{knm}(\omega )+\phi _{s+1}(\mathrm{\Gamma }_s)_{knm}(\omega ,\omega ^{})\right)`$
$`{\displaystyle \frac{2}{\mathrm{\Delta }_0}}\left(1+\phi _{s+1}{\displaystyle \frac{1}{\mathrm{\Delta }_0}}\right){\displaystyle \frac{1}{\phi _{s+1}}}{\displaystyle \frac{4}{3}}\left(1+{\displaystyle \frac{2}{3}}\right)<{\displaystyle \frac{5}{2\phi _{s+1}}}.`$
Now we are able to specify the mappings $`\mathrm{\Theta }_u^s`$. Set

$$A_s=\mathrm{\Gamma }_s\left((1𝒟_s)(W_s\iota _{s1}(W_{s1}))\right){}_{}{}^{0}𝔛_{s+1}^{}.$$
(65)
$`W_s𝔛_s`$ satisfies (32) and thus one finds, when taking Hermitian adjoint of (58), that

$$\left((\mathrm{\Gamma }_s)_{knm}(\omega )Y\right)^{}=(\mathrm{\Gamma }_s)_{k,m,n}(\omega )(Y^{}).$$

This implies that $`A_s`$ obeys condition (46). The mappings $`\mathrm{\Theta }_u^s`$, $`s<u`$, are defined by equality (47) (see also the comment following the equality).

## 9. Proof of Theorem 1

We start from the specification of the sequences $`\{\phi _s\}`$ and $`\{E_s\}`$,

$$\phi _s=as^\alpha q^{rs}\text{ for }s1,\text{ }E_s=q^{s+1}\text{ for }s0,$$
(66)
where $`\alpha >1`$ and $`q>1`$ are constants that are arbitrary except of the restrictions

$$q^re^\alpha \text{and}q^r\zeta (\alpha )3\mathrm{ln}2$$
(67)
($`\zeta `$ stands for the Riemann zeta function), and

$$a=45eq^{2r}ϵ_V.$$
(68)
For example, $`\alpha =2`$ and $`q^r=e^2`$ will do. The value of $`\phi _0\phi _1=aq^r`$ doesn’t influence the estimates which follow, and we automatically have $`E_1=1`$ (this is a convenient convention). Condition $`r\mathrm{ln}(q)\alpha `$ guarantees that the sequence $`\{\phi _s\}`$ is decreasing. Note also that

$$\varrho _s=\frac{1}{E_s}\frac{1}{E_{s+1}}=\left(1\frac{1}{q}\right)q^{s1}.$$

Another reason for the choice (66) and (68) is that the constants $`A_{}`$, $`B_{}`$ and $`C_{}`$, as defined in (38), obey assumption (39) of Proposition 7. Particularly, a constraint on the choice of $`\{\phi _s\}`$ and $`\{E_s\}`$, namely $`_{s=0}^{\mathrm{}}1/(\phi _{s+1}(E_{s1})^r)<\mathrm{}`$, is imposed by requiring $`B_{}`$ to be finite. However this is straightforward to verify. Actually, the constants may now be expressed explicitly,

$$A_{}=\frac{5eq^{2r}}{a},\text{ }B_{}=\frac{5eq^r}{a}\zeta (\alpha ),\text{ }C_{}=\frac{5eq^r}{a},$$

and thus conditions (39) mean that

$$ϵ_V\frac{5eq^r}{a}\zeta (\alpha )\frac{1}{3}\mathrm{ln}2,\text{ }ϵ_V\frac{5eq^{2r}}{a}\varphi \left(ϵ_V\frac{15eq^r}{a}\right)\frac{1}{9}.$$
(69)
The latter condition in (69) is satisfied since the LHS is bounded from above by (c.f. (5))

$$\frac{1}{9}\varphi \left(\frac{1}{3}q^r\right)\frac{1}{9}\varphi \left(\frac{1}{3}\right)=1\frac{2}{3}e^{1/3}<\frac{1}{9}.$$

Concerning the former condition, the LHS equals $`q^r\zeta (\alpha )/9`$ and so it suffices to chose $`\alpha `$ and $`q`$ so that (67) is fulfilled. An additional reason for the choice (66) will be explained later.

Let us now summarise the construction of the sequences $`\{𝔛_s\}`$, $`\{W_s\}`$ and $`\{\mathrm{\Theta }_u^s\}_{s>u}`$ which will finally amount to a proof of Theorem 1. Some more details were already given in Section 8. We set $`\mathrm{\Omega }_0=[\frac{8}{9}J,\frac{9}{8}J]`$ and $`W_0=V_0`$. Recall that the cut-offs $`V_s`$ of $`V`$ were introduced in (35). In every step, numbered by $`s_+`$, we assume that $`\mathrm{\Omega }_t`$ and $`W_t`$, with $`0ts`$, and $`A_t`$, with $`0ts1`$, have already been defined. The mappings $`\mathrm{\Theta }_u^t`$, with $`u>t`$, are given by $`\mathrm{\Theta }_u^t(X)=[\iota _{u,t+1}(A_t),X]`$ provided $`A_t{}_{}{}^{0}𝔛_{t+1}^{}`$ satisfies condition (46). We define $`\mathrm{\Omega }_{s+1}\mathrm{\Omega }_s`$ as the set of $`(W_s,\psi _s)`$–non-resonant frequencies, with $`\psi _s`$ introduced in (8). Consequently, the real Banach space $`𝔛_{s+1}`$ is defined as well as its definition depends on the data $`\mathrm{\Omega }_{s+1}`$, $`\phi _{s+1}`$ and $`E_{s+1}`$. Then we are able to introduce an element $`\mathrm{\Gamma }_s`$ (in the sense of (61)) whose definition is based on equation (58) and which in turn determines a bounded operator $`\mathrm{\Gamma }_s({}_{}{}^{0}𝔛_{s}^{},{}_{}{}^{0}𝔛_{s+1}^{})`$ (with some abuse of notation). The element $`A_s{}_{}{}^{0}𝔛_{s+1}^{}`$ is given by equality (65) and actually satisfies condition (46). Knowing $`W_t`$, $`ts`$, and $`\mathrm{\Theta }_{s+1}^t`$, $`ts`$, (which is equivalent to knowing $`A_t`$, $`ts`$) one is able to evaluate the RHS of (2) defining the element $`W_{s+1}`$. Hence one proceeds one step further.

We choose $`ϵ_{}(r,\mathrm{\Delta }_0,J)`$ maximal possible so that

$$\frac{3e}{1q^r}ϵ_{}(r,\mathrm{\Delta }_0,J)\mathrm{min}\{\frac{1}{4}\mathrm{\Delta }_0,\frac{7}{72}J\}$$
(70)
and

$$45eq^rϵ_{}(r,\mathrm{\Delta }_0,J)\mathrm{min}\{\frac{2}{3}\mathrm{\Delta }_0,\frac{1}{6}J\}.$$
(71)
We claim that this choice guarantees that the construction goes through. Basically this means that $`ϵ_V<ϵ_{}(r,\mathrm{\Delta }_0,J)`$ is sufficiently small so that all the assumptions occurring in the preceding auxiliary results are satisfied in every step, with $`s_+`$. This concerns assumption (57) of Lemma 11,

$$(W_s)_{0mm}(\omega )\mathrm{min}\{\frac{1}{4}\mathrm{\Delta }_0,\frac{7}{72}J\},\omega \mathrm{\Omega }_s,\text{ }m,$$
(72)
assumption (54) of Lemma 10,

$$(W_s)_{0mm}(\omega ,\omega ^{})\frac{1}{4},\omega ,\omega ^{}\mathrm{\Omega }_s,\text{ }\omega \omega ^{},\text{ }m,$$
(73)
assumptions (62) and (63) of Lemma 12,

$$(\mathrm{\Gamma }_s)_{knm}^1(\omega ,\omega ^{})|k|+\frac{1}{2},(k,n,m),\text{ }\omega ,\omega ^{}\mathrm{\Omega }_s,\text{ }\omega \omega ^{},$$
(74)
and

$$\phi _{s+1}\mathrm{min}\{\frac{2}{3}\mathrm{\Delta }_0,\frac{1}{6}J\},$$
(75)
and assumption (50) of Proposition 9,

$$A_{s1}\frac{5}{2\phi _s}W_{s1}\iota _{s2}(W_{s2}).$$
(76)
We can immediately do some simplifications. As the sequence $`\{\phi _s\}`$ is non-increasing condition (75) reduces to the case $`s=0`$. Since $`\phi _1=45eq^rϵ_V`$ the upper bound (71) implies (75).

Note also that (74) is a direct consequence of (73). Actually, one deduces from the definition of $`(\mathrm{\Gamma }_s)_{knm}(\omega )`$ (based on equation (58)) that, $`Y(_m,_n)`$,

$$(\mathrm{\Gamma }_s)_{knm}^1(\omega )Y=(k\omega \mathrm{\Delta }_{mn}+(W_s)_{0nn}(\omega ))YY(W_s)_{0mm}(\omega ).$$

Hence

$$(\mathrm{\Gamma }_s)_{knm}^1(\omega ,\omega ^{})Y=(k+(W_s)_{0nn}(\omega ,\omega ^{}))YY(W_s)_{0mm}(\omega ,\omega ^{})$$

and, assuming (73),

$$(\mathrm{\Gamma }_s)_{knm}^1(\omega ,\omega ^{})|k|+(W_s)_{0nn}(\omega ,\omega ^{}))+(W_s)_{0mm}(\omega ,\omega ^{})|k|+\frac{1}{2}.$$

Let us show that in every step, with $`s_+`$, conditions (72), (73) and (76) are actually fulfilled. For $`s=0`$, condition (76) is empty and condition (73) is obvious since $`W_0=V_0`$ doesn’t depend on $`\omega `$. Condition (72) is obvious as well due to assumption (70) and the fact that $`(W_0)_{0mm}(\omega )=(V_0)_{0mm}ϵ_V`$.

Assume now that $`t_+`$ and conditions (72), (73) and (76) are satisfied in each step $`st`$. Recall that in (40) we have set $`F_s=5/\phi _{s+1}`$ and $`v_s=eϵ_V/(E_{s1})^r`$. We also keep the notation $`w_s=W_s\iota _{s1}(W_{s1})_s`$, with the convention $`W_1=0`$.

We start with condition (76). Using the induction hypothesis, Lemma 11 and Lemma 12 one finds that $`\mathrm{\Gamma }_tF_t/2`$ and so $`A_t\mathrm{\Gamma }_tW_t\iota _{t1}(W_{t1})F_tw_t/2`$ (c.f. (65) and (4)).

By the induction hypothesis and the just preceding step, $`A_sF_sw_s`$ for all $`st`$. As we already know the constants $`A_{}`$, $`B_{}`$ and $`C_{}`$ fulfil (39) and so the quantities $`A`$, $`B`$ and $`C`$ given by $`A=ϵ_VA_{}`$, $`B=ϵ_VB_{}`$ and $`C=ϵ_VC_{}`$ (c.f. (41)) obey (42) and consequently inequality (15) with $`d=3`$. By the very choice of $`A`$, $`B`$ and $`C`$ (c.f. (38) and (40)) the quantities also obey relations (12), (13) and (14). This means that all assumptions of Proposition 3 are fulfilled for $`st`$ (recall that $`\mathrm{\Theta }_u^s2A_s`$). One easily finds that the conclusion of Proposition 3, namely $`w_sdv_s`$, holds as well for all $`s`$, $`st+1`$. Clearly, $`(W_s)_{0mm}(\omega )W_s_s`$ for all $`s`$, and

$$W_{t+1}_{t+1}\underset{s=0}{\overset{t+1}{}}w_s3\underset{s=0}{\overset{\mathrm{}}{}}v_s=3eϵ_V\underset{s=0}{\overset{\mathrm{}}{}}q^{rs}=\frac{3e}{1q^r}ϵ_V.$$

By (70) we conclude that (72) is true for $`s=t+1`$.

Finally, using once more that $`w_s3v_s`$ for $`st+1`$,

$`(W_{t+1})_{0mm}(\omega ,\omega ^{})`$ $``$ $`{\displaystyle \underset{s=0}{\overset{t+1}{}}}\left(W_s\iota _{s1}(W_{s1})\right)_{0mm}(\omega ,\omega ^{})`$
$``$ $`{\displaystyle \underset{s=0}{\overset{t+1}{}}}{\displaystyle \frac{1}{\phi _s}}W_s\iota _{s1}(W_{s1})_s`$
$``$ $`{\displaystyle \underset{s=0}{\overset{\mathrm{}}{}}}{\displaystyle \frac{3v_s}{\phi _{s+1}}}.`$
However, the last sum equals (c.f. (40) and (42))

$$\frac{3}{5}\underset{s=0}{\overset{\mathrm{}}{}}F_sv_s=\frac{3}{5}B\frac{1}{5}\mathrm{ln}2<\frac{1}{4}.$$

This verifies (73) for $`s=t+1`$ and hence the verification of conditions (72), (73) and (76) is complete.

Set, as before, $`\mathrm{\Omega }_{\mathrm{}}=_{s=0}^{\mathrm{}}\mathrm{\Omega }_s`$. Next we are going to estimate the Lebesgue measure of $`\mathrm{\Omega }_{\mathrm{}}`$,

$$|\mathrm{\Omega }_{\mathrm{}}|=|\mathrm{\Omega }_0||\mathrm{\Omega }_0\mathrm{\Omega }_{\mathrm{}}|=\frac{17}{72}J\underset{s=0}{\overset{\mathrm{}}{}}|\mathrm{\Omega }_s\mathrm{\Omega }_{s+1}|=\frac{17}{72}J\underset{s=0}{\overset{\mathrm{}}{}}|\mathrm{\Omega }_s^{\mathrm{bad}}|.$$

Recalling Lemma 10 jointly with Lemma 11 showing that the assumptions of Lemma 10 are satisfied, and the explicit form of $`\psi `$ (8) we obtain

$`|\mathrm{\Omega }_s^{\mathrm{bad}}|`$ $``$ $`8\phi _{s+1}{\displaystyle \underset{\begin{array}{c}m,n,\\ \mathrm{\Delta }_{mn}>\frac{1}{2}J\end{array}}{}}\mu _{mn}{\displaystyle \underset{\begin{array}{c}k,\\ \mathrm{max}\{1,\frac{\mathrm{\Delta }_{mn}}{2J}\}<k<\frac{2\mathrm{\Delta }_{mn}}{J}\end{array}}{}}k^{1/2}e^{\varrho _sk/2}`$
$``$ $`8\phi _{s+1}{\displaystyle \underset{\begin{array}{c}m,n,\\ \mathrm{\Delta }_{mn}>\frac{1}{2}J\end{array}}{}}\mu _{mn}{\displaystyle \frac{2\mathrm{\Delta }_{mn}}{J}}\left({\displaystyle \frac{\mathrm{\Delta }_{mn}}{2J}}\right)^{1/2}e^{\varrho _s\mathrm{\Delta }_{mn}/4J}`$
$`=`$ $`32(2J)^\sigma \phi _{s+1}{\displaystyle \underset{\begin{array}{c}m,n,\\ \mathrm{\Delta }_{mn}>\frac{1}{2}J\end{array}}{}}{\displaystyle \frac{\mu _{mn}}{(\mathrm{\Delta }_{mn})^\sigma }}\left({\displaystyle \frac{\mathrm{\Delta }_{mn}}{2J}}\right)^{\sigma +\frac{1}{2}}e^{\varrho _s\mathrm{\Delta }_{mn}/4J}`$
$``$ $`\mathrm{32\hspace{0.17em}2}^\sigma \phi _{s+1}\left({\displaystyle \frac{2\sigma +1}{e\varrho _s}}\right)^{\sigma +\frac{1}{2}}\mathrm{\Delta }_\sigma (J)`$
where we have used that if $`\alpha >0`$ and $`\beta >0`$ then $`sup_{x>0}x^\alpha e^{\beta x}=(\frac{\alpha }{e\beta })^\alpha `$. To complete the estimate we need that the sum $`_{s=0}^{\mathrm{}}\phi _{s+1}/(\varrho _s)^{\sigma +\frac{1}{2}}`$ should be finite which imposes another restriction on the choice of $`\{\phi _s\}`$ and $`\{E_s\}`$. With our choice (66) this is guaranteed by the condition $`r>\sigma +\frac{1}{2}`$ since in that case

$$\underset{s=0}{\overset{\mathrm{}}{}}\frac{\phi _{s+1}}{(\varrho _s)^{\sigma +\frac{1}{2}}}=\frac{a}{\left(1\frac{1}{q}\right)^{\sigma +\frac{1}{2}}}\underset{s=0}{\overset{\mathrm{}}{}}(s+1)^\alpha q^{(r\sigma \frac{1}{2})(s+1)}<\mathrm{}.$$

Hence

$$|\mathrm{\Omega }_{\mathrm{}}|\frac{17}{72}J\delta _1(\sigma ,r)\mathrm{\Delta }_\sigma (J)ϵ_V$$
(77)
where

$$\delta _1(\sigma ,r)=1440eq^{2r}2^\sigma \left(\frac{2\sigma +1}{\left(1\frac{1}{q}\right)e}\right)^{\sigma +\frac{1}{2}}\mathrm{Li}_\alpha (q^{r+\sigma +\frac{1}{2}})$$
(78)
Here $`\mathrm{Li}_n(z)=_{k=1}^{\mathrm{}}z^k/k^n`$ ($`|z|<1`$) is the polylogarithm function. This shows (3).

To finish the proof let us assume that $`\omega \mathrm{\Omega }_{\mathrm{}}`$. We wish to apply Proposition 9. Going through its assumptions one finds that it only remains to make a note concerning equality (48). In fact, this equality is a direct consequence of the construction of $`A_s{}_{}{}^{0}𝔛_{s+1}^{}`$. Actually, by the definition of $`A_s`$ (c.f. (65)), $`A_s=\mathrm{\Gamma }_s\left((1𝒟_s)(W_s\iota _{s1}(W_{s1}))\right)`$, which means that for any $`\omega \mathrm{\Omega }_{s+1}`$ and all indices $`(k,n,m)`$,

$`\left(k\omega \mathrm{\Delta }_{mn}+(W_s)_{0nn}(\omega )\right)(A_s)_{knm}(\omega )(A_s)_{knm}(\omega )(W_s)_{0mm}(\omega )`$ (79)
$`=\left((1𝒟_s)(W_s\iota _{s1}(W_{s1}))\right)_{knm}(\omega ).`$
On the other hand, by the definition of $`\mathrm{\Theta }_u^s`$ (c.f. (47)) and the definition of $`𝒟_s`$ (c.f (33)), and since $`\omega \mathrm{\Omega }_{\mathrm{}}`$, it holds true that, $`u`$, $`u>s`$,

$`\mathrm{\Theta }_u^s(\iota _{us}𝒟_s(W_s))_{knm}(\omega )`$ $`=\left([\iota _{u,s+1}(A_s),\iota _{us}𝒟_s(W_s)]\right)_{knm}(\omega )`$ (80)
$`=(A_s)_{knm}(\omega )(W_s)_{0mm}(W_s)_{0nn}(A_s)_{knm}(\omega ).`$
A combination of (79) and (80) gives (48). We conclude that according to Proposition 9 the operator $`𝐊+𝐕`$ is unitarily equivalent to $`𝐊+𝐃(𝐖)`$ and hence has a pure point spectrum. This concludes the proof of Theorem 1.

## 10. Concluding remarks

The backbone of the proof of Theorem 1 forms an iterative procedure loosely called here and elsewhere the quantum KAM method. One of the improvements attempted in the present paper was a sort of optimalisation of this method, particularly from the point of view of assumptions imposed on the regularity of the perturbation $`V`$. In this final section we would like to briefly discuss this feature by comparing our presentation to an earlier version of the method. We shall refer to paper  but the main points of the discussion apply as well to other papers including the original articles ,  where the quantum KAM method was established. For the sake of illustration we use a simple but basic model: $`H=_mm^{1+\alpha }Q_m`$, i.e., $`h_m=m^{1+\alpha }`$, with $`0<\alpha 1`$, and $`dimQ_m=1`$; thus $`\mu _{mn}=1`$ and any $`\sigma >1/\alpha `$ makes $`\mathrm{\Delta }_\sigma (J)`$ finite. The perturbation $`V`$ is assumed to fulfill (34) for a given $`r0`$.

According to Theorem 1, $`r`$ is required to satisfy $`r>\sigma +1/2`$ which may be compared to reference \[9, Theorem 4.1\] where one requires

$$r>𝐫_1=4\sigma +6+\left[\frac{(4\sigma +6)\sigma }{1+\sigma }\right]+1.$$
(81)
The reason is that the procedure is done in two steps in the earlier version; in the first step preceding the iterative procedure itself the so-called adiabatic regularisation is applied on $`V`$ in order to achieve a regularity in time and “space” (by the spatial part one means the factor $``$ in $`𝒦=L^2([\mathrm{\hspace{0.17em}0},T],dt)`$) of the type

$$r_1,r_2>𝐫_2=4\sigma +6,\underset{knm}{sup}|k|^{r_1}|nm|^{r_2}|V_{knm}|<\mathrm{}.$$
(82)
The adiabatic regularisation brings in the summand $`\left[\frac{(4\sigma +6)\sigma }{1+\sigma }\right]+1`$. In the present version both the adiabatic regularisation and condition (82) are avoided. This is related to the choice of the norm in the auxiliary Banach spaces $`𝔛_s`$,

$$X_s=\underset{\omega \omega ^{}}{sup}\underset{n}{sup}\underset{k,m}{}F_s(k,n,m)\left(|X_{knm}(\omega )|+\phi _s|X_{knm}(\omega ,\omega ^{})|\right).$$

In the earlier version the weights were chosen as $`F_s(k,n,m):=\mathrm{exp}((|k|+|nm|)/E_s)`$ in order to compensate small divisors occurring in each step of the iterative method. A more careful control of the small divisors in the present version allows less restrictive weights, namely $`F_s(k,n,m)=\mathrm{exp}(|k|/E_s)`$. In more detail, indices labelling the small divisors are located in a critical subset of the lattice $`\times \times `$. Definition (51) of the critical indices implies a simple estimate,

$$|k||k|+|nm||k|+|\mathrm{\Delta }_{mn}||k|(1+2J),$$

which explains why we effectively have, in the present version, $`r_2=0`$.

The second remark concerns Diophantine-like estimates of the small divisors governed by the sequence $`\{\psi _s\}`$. A bit complicated definition (8) is caused by the classification of the indices into critical and non-critical ones. However only the critical indices are of importance in this context and thus we can simplify, for the purpose of this discussion, the definition of $`\psi _s`$ to

$$\psi _s=\gamma _s|k|^{1/2}e^{\varrho _s|k|/2},\phi _{s+1}\gamma _s>0.$$

Let us compare it to the choice made in , namely $`\psi _s=\gamma _s|k|^\sigma `$. The factors $`\gamma _s`$ then occur in some key estimates; let us summarise them. The norm of the operators $`\mathrm{\Gamma }_s:𝔛_s𝔛_{s+1}`$ are estimated as

$$\mathrm{\Gamma }_s\mathrm{const}\frac{\phi _{s+1}}{\gamma _s^{\mathrm{\hspace{0.17em}2}}}$$

(this is shown in Lemma 12 but note that in this lemma we have set $`\gamma _s=\phi _{s+1}`$). Another important condition is the convergence of the series

$$B_{}=\mathrm{const}\underset{s=0}{\overset{\mathrm{}}{}}\frac{\phi _{s+1}}{\gamma _s^{\mathrm{\hspace{0.17em}2}}(E_{s1})^r}<\mathrm{}$$

(c.f. (38) but there again $`\gamma _s=\phi _{s+1}`$). Finally, the measure of the set of resonant frequencies, $`|_s\mathrm{\Omega }_s^{\mathrm{bad}}|`$, is estimated by

$$\underset{s=0}{\overset{\mathrm{}}{}}|\mathrm{\Omega }_s^{\mathrm{bad}}|\mathrm{const}\underset{s=0}{\overset{\mathrm{}}{}}\frac{\gamma _s}{\varrho _s^{\sigma +\frac{1}{2}}}<\mathrm{},\varrho _s=\frac{1}{E_s}\frac{1}{E_{s+1}}$$

(shown in the part of the proof of Theorem 1 preceding relation (77)). We recall that $`E_s`$ denotes the width of the truncation of the perturbation $`V`$ at step $`s`$ of the algorithm (c.f. (35)). These conditions restrict the choice of the sequences $`\{E_s\}`$ and $`\{\gamma _s\}`$ which may also be regarded as parameters of the procedure. Specification (66) of these parameters, with $`\gamma _s=\phi _{s+1}`$, can be compared to a polynomial behaviour of $`E_s`$ and $`\gamma _s`$ in the variable $`s`$ in  where one sets $`\phi _{s+1}1`$ and

$$E_s=\mathrm{const}(s+1)^{\nu 1},\nu >2,\gamma _s=\mathrm{const}(s+1)^\mu ,\mu >1.$$

The latter definition finally leads to the bound on the order of regularity of $`V`$

$$r>\frac{(2\sigma +1)\nu +3}{\nu 1}.$$

Thus in that case the bound varies from $`r>4\sigma +5`$ (for $`\nu 2+`$; this contributes to $`𝐫_1`$ in (81)) to $`r>2\sigma +1`$ ($`\nu +\mathrm{}`$). This shows why we have chosen here to truncate with exponential $`E_s`$, see (66).

In the last remark let us mention a consequence of the equality $`\gamma _s=\phi _{s+1}`$. The conditions for convergence of $`B_{}`$ and $`_s\mathrm{\Omega }_s^{\text{bad}}`$ become (notice that $`\varrho _s=\mathrm{const}/E_s`$)

$$\underset{s}{}\frac{1}{\phi _{s+1}(E_{s1})^r}<\mathrm{}\text{and}\underset{s}{}\phi _{s+1}E_s^{\sigma +\frac{1}{2}}<\mathrm{}$$

and are fulfilled for $`r>\sigma +\frac{1}{2}`$. There is however a drawback with this choice. Notice the role the coefficients $`\phi _s`$ play in the definition (31) of the norm $`_s`$. Since $`\phi _s0`$ as $`s\mathrm{}`$ one looses the control of the Lipschitz regularity in $`\omega `$ in the limit of the iterative procedure. This means that we have no information about the regularity of the eigenvectors and the eigenvalues of $`𝐊+𝐕`$ with respect to $`\omega `$. With $`r>2\sigma +1`$ we could have taken $`\phi _{s+1}=1`$ and obtained that these eigenvalues and vectors are indeed Lipschitz in $`\omega `$.

## Appendix A. Commutation equation

Suppose that $`𝔛`$ and $`𝔜`$ are Hilbert spaces, $`dim𝔛<\mathrm{}`$, $`dim𝔜<\mathrm{}`$, $`A(𝔜)`$, $`B(𝔛)`$, both $`A`$ and $`B`$ are self-adjoint, and $`V(𝔛,𝔜)`$. If $`\gamma `$ is a simple closed and positively oriented curve in the complex plane such that $`\mathrm{Spec}(A)`$ lies in the domain encircled by $`\gamma `$ while $`\mathrm{Spec}(B)`$ lies in its complement then the equation

$$AWWB=V$$
(83)
has a unique solution $`W(𝔛,𝔜)`$ given by

$$W=\frac{1}{2\pi ı}_\gamma (Az)^1V(Bz)^1𝑑z.$$
(84)
The verification is straightforward.

Denote $`M_1=dim𝔛`$, $`M_2=dim𝔜`$. We shall need the following two estimates on the norm of $`X(𝔛,𝔜)`$:

$`X^2`$ $``$ $`{\displaystyle \underset{i=1}{\overset{M_2}{}}}{\displaystyle \underset{j=1}{\overset{M_1}{}}}|X_{ij}|^2=\mathrm{Tr}X^{}X(\text{Hilbert}\text{Schmidt norm}),`$ (85)
$`X^2`$ $``$ $`\mathrm{max}\{\underset{1iM_2}{\mathrm{max}}{\displaystyle \underset{j=1}{\overset{M_1}{}}}|X_{ij}|^2,\underset{1jM_1}{\mathrm{max}}{\displaystyle \underset{i=1}{\overset{M_2}{}}}|X_{ij}|^2\},`$ (86)
where $`(X_{ij})`$ is a matrix of $`X`$ expressed with respect to any orthonormal bases in $`𝔛`$ and $`𝔜`$.

If $`sup\mathrm{Spec}(A)<inf\mathrm{Spec}(B)`$ or $`sup\mathrm{Spec}(B)<inf\mathrm{Spec}(A)`$ we shall say that $`\mathrm{Spec}(A)`$ and $`\mathrm{Spec}(B)`$ are not interlaced.

###### Proposition 13.

If $`\mathrm{Spec}(A)`$ and $`\mathrm{Spec}(B)`$ are not interlaced then

$$W\frac{V}{\mathrm{dist}(\mathrm{Spec}(A),\mathrm{Spec}(B))},$$

otherwise, if $`\mathrm{Spec}(A)`$ and $`\mathrm{Spec}(B)`$ don’t intersect but are interlaced,

$$W(\mathrm{min}\{dim𝔛,dim𝔜\})^{1/2}\frac{V}{\mathrm{dist}(\mathrm{Spec}(A),\mathrm{Spec}(B))}.$$

###### Proof.

(1) If $`d=inf\mathrm{Spec}(B)sup\mathrm{Spec}(A)>0`$ then, after a usual limit procedure, we can choose for the integration path in (84) the line which is parallel to the imaginary axis and intersects the real axis in the point $`x_0=(sup\mathrm{Spec}(A)+inf\mathrm{Spec}(B))/2`$. So

$`W^2`$ $``$ $`{\displaystyle \frac{1}{2\pi }}{\displaystyle _{\mathrm{}}^{\mathrm{}}}(Ax_0ıs)^1V(Bx_0ıs)^1𝑑s`$
$`=`$ $`{\displaystyle \frac{V}{2\pi }}{\displaystyle _{\mathrm{}}^{\mathrm{}}}{\displaystyle \frac{ds}{\left(\frac{d}{2}\right)^2+s^2}}`$
$`=`$ $`{\displaystyle \frac{V}{d}}.`$
(2) In the interlaced case we choose orthonormal bases in $`𝔛`$ and $`𝔜`$ so that $`A`$ and $`B`$ are diagonal, $`A=\mathrm{diag}(a_1,\mathrm{},a_{M_2})`$ and $`B=(b_1,\mathrm{},b_{M_1})`$. For brevity let us denote $`\mathrm{dist}(\mathrm{Spec}(A),\mathrm{Spec}(B))`$ by $`d`$. Then $`W_{ij}=V_{ij}/(a_ib_j)`$, and we can use (85), (86) to estimate

$`W^2`$ $``$ $`{\displaystyle \underset{i=1}{\overset{M_2}{}}}{\displaystyle \underset{j=1}{\overset{M_1}{}}}\left|{\displaystyle \frac{V_{ij}}{a_ib_j}}\right|^2{\displaystyle \underset{i=1}{\overset{M_2}{}}}{\displaystyle \underset{j=1}{\overset{M_1}{}}}{\displaystyle \frac{|V_{ij}|^2}{d^2}}`$
$``$ $`{\displaystyle \underset{i=1}{\overset{M_2}{}}}{\displaystyle \frac{V^2}{d^2}}=M_2{\displaystyle \frac{V^2}{d^2}}.`$
Symmetrically, $`WM_1^{1/2}V/d`$, and the result follows. ∎

## Appendix B. Choice of a norm in a Banach space

Let

$$=\underset{n}{^{}}_n$$

be a decomposition of a Hilbert space into a direct sum of mutually orthogonal subspaces, and $`\mathrm{\Omega }`$. To any couple of positive real numbers, $`\phi `$ and $`E`$, we relate a subspace

$$𝔄L^{\mathrm{}}(\mathrm{\Omega }\times \times \times ,\underset{n}{}\underset{m}{^{}}(_m,_n))$$

formed by those elements $`𝒱`$ which satisfy

$$𝒱_{knm}(\omega )(_m,_n)$$

and have finite norm

$$𝒱=\underset{\begin{array}{c}\omega ,\omega ^{}\mathrm{\Omega }\\ \omega \omega ^{}\end{array}}{sup}\underset{n}{sup}\underset{k}{}\underset{m}{}\left(𝒱_{knm}(\omega )+\phi 𝒱_{knm}(\omega ,\omega ^{})\right)e^{|k|/E}$$
(87)
where $``$ stands for the difference operator

$$𝒱(\omega ,\omega ^{})=\frac{𝒱(\omega )𝒱(\omega ^{})}{\omega \omega ^{}}.$$

Note that the difference operator obeys the rule

$$(𝒰𝒱)(\omega ,\omega ^{})=𝒰(\omega ,\omega ^{})𝒱(\omega ^{})+𝒰(\omega )𝒱(\omega ,\omega ^{}).$$
(88)
###### Proposition 14.

The norm in $`𝔄`$ is an algebra norm with respect to the multiplication

$$(𝒰𝒱)_{knm}(\omega )=\underset{\mathrm{}}{}\underset{p}{}𝒰_{k\mathrm{},n,p}(\omega )𝒱_{\mathrm{}pm}(\omega ).$$
(89)
###### Proof.

We have to show that

$$𝒰𝒱𝒰𝒱.$$
(90)
For brevity let us denote (in this proof)

$`𝒳_p(\omega )`$ $`=`$ $`{\displaystyle \underset{\mathrm{}}{}}{\displaystyle \underset{m}{}}𝒱_{\mathrm{}pm}(\omega )e^{|\mathrm{}|/E},`$
$`𝒳_p(\omega ,\omega ^{})`$ $`=`$ $`{\displaystyle \underset{\mathrm{}}{}}{\displaystyle \underset{m}{}}𝒱_{\mathrm{}pm}(\omega ,\omega ^{})e^{|\mathrm{}|/E}.`$
Here $`𝒳`$ is an “inseparable” symbol (which this time doesn’t have the meaning $``$ of $`𝒳`$). It holds

$`{\displaystyle \underset{k}{}}{\displaystyle \underset{m}{}}(𝒰𝒱)_{knm}(\omega )e^{|k|/E}`$
$`{\displaystyle \underset{k}{}}{\displaystyle \underset{m}{}}{\displaystyle \underset{\mathrm{}}{}}{\displaystyle \underset{p}{}}𝒰_{k\mathrm{},n,p}(\omega )e^{|k\mathrm{}|/E}𝒱_{\mathrm{}pm}(\omega )e^{|\mathrm{}|/E}`$
$`={\displaystyle \underset{k}{}}{\displaystyle \underset{m}{}}{\displaystyle \underset{\mathrm{}}{}}{\displaystyle \underset{p}{}}𝒰_{knp}(\omega )e^{|k|/E}𝒱_{\mathrm{}pm}(\omega )e^{|\mathrm{}|/E}`$
$`={\displaystyle \underset{k}{}}{\displaystyle \underset{p}{}}𝒰_{knp}(\omega )e^{|k|/E}𝒳_p(\omega ).`$
Similarly, using (88),

$`{\displaystyle \underset{k}{}}{\displaystyle \underset{m}{}}(𝒰𝒱)_{knm}(\omega )e^{|k|/E}`$ $``$ $`{\displaystyle \underset{k}{}}{\displaystyle \underset{m}{}}{\displaystyle \underset{\mathrm{}}{}}{\displaystyle \underset{p}{}}(𝒰_{knp}(\omega )e^{|k|/E}𝒱_{\mathrm{}pm}(\omega ,\omega ^{})e^{|\mathrm{}|/E}`$
$`+𝒰_{knp}(\omega ,\omega ^{})e^{|k|/E}𝒱_{\mathrm{}pm}(\omega ^{})e^{|\mathrm{}|/E})`$
$`=`$ $`{\displaystyle \underset{k}{}}{\displaystyle \underset{p}{}}(𝒰_{knp}(\omega )𝒳_p(\omega ,\omega ^{})`$
$`+𝒰_{knp}(\omega ,\omega ^{})𝒳_p(\omega ^{}))e^{|k|/E}.`$
A combination of these two inequalities gives

$`{\displaystyle \underset{k}{}}{\displaystyle \underset{m}{}}\left((𝒰𝒱)_{knm}(\omega )+\phi (𝒰𝒱)_{knm}(\omega ,\omega ^{})\right)e^{|k|/E}`$
$`{\displaystyle \underset{k}{}}{\displaystyle \underset{p}{}}\left(𝒰_{knp}(\omega )(𝒳_p(\omega )+\phi 𝒳_p(\omega ,\omega ^{}))+\phi 𝒰_{knp}(\omega ,\omega ^{})𝒳_p(\omega ^{})\right)e^{|k|/E}`$
$`\underset{\omega ,\omega ^{}}{sup}\underset{p}{sup}(𝒳_p(\omega )+\phi 𝒳_p(\omega ,\omega ^{})){\displaystyle \underset{k}{}}{\displaystyle \underset{p}{}}(𝒰_{knp}(\omega )+\phi 𝒰_{knp}(\omega ,\omega ^{}))e^{|k|/E}`$
$`=𝒱{\displaystyle \underset{k}{}}{\displaystyle \underset{p}{}}(𝒰_{knp}(\omega )+\phi 𝒰_{knp}(\omega ,\omega ^{}))e^{|k|/E}.`$
To obtain (90) it suffices to apply $`sup_{\omega ,\omega ^{}}sup_n`$ to this inequality. ∎

Suppose now that two couples of positive real numbers, $`(\phi _1,E_1)`$ and $`(\phi _2,E_2)`$, are given and that it holds

$$\varrho =\frac{1}{E_1}\frac{1}{E_2}0\text{and}\phi _2\phi _1.$$
(91)
Consequently, we have two Banach spaces, $`𝔄_1`$ and $`𝔄_2`$. Furthermore, we suppose that there is given an element

$$\mathrm{\Gamma }\mathrm{Map}(\mathrm{\Omega }\times \times \times ,\underset{n}{}\underset{m}{^{}}((_m,_n))),$$
(92)
such that for each couple $`(\omega ,k)\mathrm{\Omega }\times `$ and each double index $`(n,m)\times `$, $`\mathrm{\Gamma }_{knm}(\omega )`$ belongs to $`((_m,_n))`$. $`\mathrm{\Gamma }`$ naturally determines a linear mapping, called for the sake of simplicity also $`\mathrm{\Gamma }`$, from $`𝔄_1`$ to $`𝔄_2`$, according to the prescription

$$\mathrm{\Gamma }(𝒱)_{knm}(\omega )=\mathrm{\Gamma }_{knm}(\omega )(𝒱_{knm}(\omega )).$$
(93)
Concerning the difference operator, in this case one can apply the rule

$$\left(\mathrm{\Gamma }(𝒱)\right)(\omega ,\omega ^{})=\mathrm{\Gamma }(\omega ,\omega ^{})(𝒱(\omega ^{}))+\mathrm{\Gamma }(\omega )(𝒱(\omega ,\omega ^{})).$$

###### Proposition 15.

The norm of $`\mathrm{\Gamma }:𝔄_1𝔄_2`$ can be estimated as follows,

$$\mathrm{\Gamma }\underset{\begin{array}{c}\omega ,\omega ^{}\mathrm{\Omega }\\ \omega \omega ^{}\end{array}}{sup}\underset{k}{sup}\underset{(n,m)\times }{sup}e^{\varrho |k|}\left(\mathrm{\Gamma }_{knm}(\omega )+\phi _2\mathrm{\Gamma }_{knm}(\omega ,\omega ^{})\right).$$
(94)
###### Proof.

Notice that, if convenient, one can interchange $`\omega `$ and $`\omega ^{}`$ in $`𝒰(\omega ,\omega ^{})`$. It holds

$`{\displaystyle \underset{k}{}}{\displaystyle \underset{m}{}}\left(\mathrm{\Gamma }_{knm}(\omega )(𝒱_{knm}(\omega ))+\phi _2\left(\mathrm{\Gamma }_{knm}(𝒱_{knm})\right)(\omega ,\omega ^{})\right)e^{|k|/E_2}`$
$`{\displaystyle \underset{k}{}}{\displaystyle \underset{m}{}}(𝒱_{knm}(\omega )(\mathrm{\Gamma }_{knm}(\omega )+\phi _2\mathrm{\Gamma }_{knm}(\omega ,\omega ^{}))e^{\varrho |k|}`$
$`+\phi _2𝒱_{knm}(\omega ,\omega ^{})\mathrm{\Gamma }_{knm}(\omega ^{})e^{\varrho |k|})e^{|k|/E_1}`$
$`\underset{\omega ,\omega ^{}}{sup}\underset{k}{sup}\underset{(n,m)}{sup}e^{\varrho |k|}\left(\mathrm{\Gamma }_{knm}(\omega )+\phi _2\mathrm{\Gamma }_{knm}(\omega ,\omega ^{})\right)`$
$`\times {\displaystyle \underset{k}{}}{\displaystyle \underset{m}{}}(𝒱_{knm}(\omega )+\phi _1𝒱_{knm}(\omega ,\omega ^{}))e^{|k|/E_1}.`$
To finish the proof it suffices to apply $`sup_{\omega ,\omega ^{}}sup_n`$ to this inequality. ∎