Abstract:
The paper is concerned with completeness of the system of root functions of the
$(2\times2)$-Dirac operator with summable complex-valued
potential and non-regular boundary conditions. Sufficient conditions for completeness of
the root function system of this operator are found.
Keywords:
Dirac operator, non-regular boundary conditions, completeness of root function systems.
Supported by the Ministry of Science and Higher Education of Russian Federation under the program of regional
Azov–Black Sea Mathematical Center (agreement no. 075-02-2025-1620).
The operator $\mathbb{L}\mathbf{y}=B\mathbf{y}'+V\mathbf{y}$ is as a linear operator in $\mathbb{H}=L_2(0,\pi)\oplus L_2(0,\pi)$, with domain $D(\mathbb{L})=\{\mathbf{y}\in W_1^1[0,\pi]\oplus W_1^1[0,\pi]\colon \mathbb{L}\mathbf{y}\in \mathbb{H},\, U_j(\mathbf{y})=0\, (j=1,2)\}$.
Let $A_{jk}$ $(1\leqslant j<k\leqslant4)$ be the determinant composed of the $j$th and $k$th columns of the matrix $A$. Boundary conditions (2) are called regular if
Birkhoff and Langer [1] were the first to study the general spectral problem for $(n\times n)$ first-order systems of ordinary differential equations (ODEs) on a finite interval. More precisely, they introduced the concepts of regular and strictly regular boundary conditions, investigated the asymptotic behaviour of the eigenvalues and eigenfunctions, and proved that the spectral decompositions for the corresponding differential operator converge pointwise. The first result on completeness of the root functions is due to Ginzburg [2], who studied the case $B = I_n$, $V(\,{\cdot}\,) = 0$. Marchenko [3] showed that the system of root functions of the operator $\mathbb{L}$ with regular boundary conditions and continuous matrix potential $V$ is complete. This restriction occurs because the transformation operators used for the proof were constructed in [3] only for continuous potentials.
Later, Malamud and Oridoroga [4] verified completeness for $B$-weakly regular boundary value problems for arbitrary $(n\times n)$ first-order systems of ODEs with integrable matrix potential $V\in L^1([0,\pi];\mathbb{C}^{n\times n})$ (this result was announced in [5] in 2000).
Note that if conditions (2) are not regular, then the completeness property depends essentially on the potential $V$; in particular, in this case, the root function system of the unperturbed operator
The first result on completeness for the $(2\times 2)$-Dirac-type operator $\mathbb{L}$ with matrix $B = \operatorname{diag}(b_1, b_2)$ and non-regular boundary conditions was obtained in [4]. Namely, it was shown that, with smooth $P,Q\in C^1[0,\pi]$, the system of root functions of the operator $\mathbb{L}$ is complete under the conditions
In [6], similar results were obtained in the case of analytic $B\ne B^*$, $P$ and $Q$. The results in [6] and 4 depend on the method of transformation operators. Lunyov and Malamud [7], [8] generalized the results of [4] to establish potential-specific results on completeness and spectral synthesis results for the system of root functions of the $(n\times n$) system with non-weakly-regular boundary conditions assuming that the $n\times n$ potential matrix $V(\,{\cdot}\,)$ is continuous only at the end-points $0$ and $\pi$. In [9], Lunyov and Malamud extended completeness results from [4] for the $(2\times 2)$-Dirac-type operators $\mathbb{L}$ that involve boundary values $V^{(k)}(0)$ and $V^{(k)}(\pi)$, $k\in{0, 1,\ldots, m-1}$, of the derivatives of the potential $V \in W^m_2([0, \pi];C^{2\times 2})$.
Kosarev and Shkalikov [10] established completeness results in the case of $(2\times 2)$-Dirac-type operators with non-constant matrix $B = \operatorname{diag}(b_1(x), b_2(x))$ and degenerate boundary conditions of special form $(y_1(0) = y_2(\pi) = 0)$; these results are natural extensions of the corresponding results from [8] and [4].
So, the system of root functions of the operator $\mathbb{L}$ is complete whenever the functions $b_1$, $b_2$, $P$, and $Q$ are absolutely continuous and satisfy $P(\pi)Q(0)\ne0$.
Recently, Makin [11] obtained sufficient conditions for completeness for the root function system of problem (1), (2) with $A_{14}A_{23}=0$, $|A_{13}|+|A_{42}|>0$ and with potential $V$ from $L_1(0,\pi)$. In [9], Lunyov and Malamud strengthened their results announced in [9].
For a complete system of root functions, the question is whether this system forms a basis. Most complete result on the Riesz basis property of boundary value problems for $(2\times2$)-Dirac systems with $V(\,{\cdot}\,)\in L^1([0,1]; \mathbb{C}^{2\times2})$ and strongly regular boundary conditions were obtained independently and at the same time, but with different methods, by Savchuk and Shkalikov [13], and by Lunyov and Malamud [13] and [14]. The block Riesz basis property in the case of an $L_1$-potential matrix and regular boundary conditions was first proved in [13]. In [16], the author of the present paper, for spectral problems for the Dirac operator with regular but not strongly regular boundary conditions and complex-valued summable potential, obtained conditions under which the root function system forms a usual Riesz basis rather than a block Riesz basis.
The present paper is concerned with the completeness problem in the case $A_{13}=A_{42}=0$.
be the matrix of the fundamental solution system to equation (1) with boundary condition $E(0,\lambda)=I$, where $I$ is the identity matrix. It is well known (see [13], [14]) that
and $E^{[k]}(x,\lambda)$ is the $k$th column of matrix (5).
The machinery of triangular transformation operators was used in [14] to show that the characteristic determinant $\Delta(\lambda)$ of problem (1), (2) satisfies
is the characteristic determinant of problem (3), and $r_j\in L_1(0,\pi)$, $j=1,2$.
A representation similar to (7) was obtained in the recent paper [17] for the characteristic determinant for general first-order $(n\times n)$-systems of ODEs.
For convenience, we recall some commonly used relations from [11]. Let $\lambda$ be a complex number, $\operatorname{Im}\lambda\ne0$, $\rho>0$. Suppose that $\tau$ is continuous on $[0,\pi]$. Then, for any $b\in[0,\pi]$,
where, for each $\lambda$, the series in (17), (18) converge uniformly and absolutely on $[0,\pi]$.
§ 3. The main results
Let $0<\varepsilon<\pi/10$. Let $\Omega^+_\varepsilon$ and $\Omega^-_\varepsilon$ denote, respectively, the domains $\varepsilon\leqslant \arg\lambda\leqslant\pi-\varepsilon$ and $-\pi+\varepsilon\leqslant \arg\lambda\leqslant-\varepsilon$. For brevity, we write $\|f\|:=\|f\|_{L_1(0,\pi)}$. To prove that the system of root functions is complete, we first estimate the functions $e_{jj}(\pi,\lambda)$ $(j=1,2)$ in the domains $\Omega^+_\varepsilon$ and $\Omega^-_\varepsilon$, and then find a lower estimate for the characteristic determinant $\Delta(\lambda)$ in the domain $\Omega_\varepsilon=\Omega_\varepsilon^-\cup\Omega_\varepsilon^+$.
where $\tau_2(h)\to0$ as $h\to0$, and the function $\tau_2(\,{\cdot}\,)$ is continuous. We set $\widehat P(x)= P(\pi-x)$. A similar analysis shows that
Proof. The required result is an easy consequence of the above analysis. Indeed, the estimate for the function $e_{22}(\,{\cdot}\,,{\cdot}\,)$ is obtained from (11)–(18) if in formula (17) for the function $e_{11}(\,{\cdot}\,,{\cdot}\,)$ one replaces $\lambda$ by $-\lambda$ and swaps the functions $P$ and $Q$. This proves the lemma.
Our main result is the following theorem.
Theorem 1. Suppose that $A_{14}A_{32}=A_{13}=A_{24}=0$ and one of the following two conditions (53) and (54) is satisfied:
$(c_4>0)$ if (54) is met and $\lambda\in\Omega_\varepsilon$. Now by Theorem 2.3 in [8], in both cases the root function system of problem (1), (2) is complete and minimal in $\mathbb{H}$. This proves Theorem 1.
Remark 1. The case $A_{14}A_{23}=A_{13}=A_{42}=0$ was treated by Lunyov and Malamud in [12], where the more general first-order system
Proposition 2.2 of [12] asserts the completeness of the root function system for problem (55), (2) under the following conditions: $\arg b_1\ne \arg b_2$; the functions $P$ and $Q$ are continuous at the end-points $0$ and $\pi$; $A_{23}=A_{13}=A_{42}=0$, $A_{14}\ne0$ and $Q(0)P(\pi)\ne0$. Clearly, for the Dirac system ($b_2=-b_1=1)$, our Theorem 1 gives the same result without the continuity requirement at the end-points $0$ and $\pi$; this condition is replaced by the generalized continuity requirement in the sense of integral means.
The author wishes to express his deep gratitude to the referee.
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Citation:
A. S. Makin, “On completeness of the root function system of the $(2\times 2)$-Dirac operators
with non-regular boundary conditions”, Izv. Math., 89:3 (2025), 595–608