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Journal of Applied Analysis

Editor-in-Chief: Fechner, Włodzimierz / Ciesielski, Krzysztof

Managing Editor: Gajek, Leslaw

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Volume 25, Issue 1


Riesz basis of exponential family for a hyperbolic system

Abdelkader Intissar / Aref Jeribi
  • Department of Mathematics, Faculty of Sciences of Sfax, University of Sfax, Route Soukra, BP1171, 3000 Sfax, Tunisia
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/ Ines Walha
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  • Department of Mathematics, Faculty of Sciences of Sfax, University of Sfax, Route Soukra, BP1171, 3000 Sfax, Tunisia
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Published Online: 2019-05-29 | DOI: https://doi.org/10.1515/jaa-2019-0002


This paper studies a linear hyperbolic system with boundary conditions that was first studied under some weaker conditions in [8, 11]. Problems on the expansion of a semigroup and a criterion for being a Riesz basis are discussed in the present paper. It is shown that the associated linear system is the infinitesimal generator of a C0-semigroup; its spectrum consists of zeros of a sine-type function, and its exponential system {eλnt}n1 constitutes a Riesz basis in L2[0,T]. Furthermore, by the spectral analysis method, it is also shown that the linear system has a sequence of eigenvectors, which form a Riesz basis in Hilbert space, and hence the spectrum-determined growth condition is deduced.

Keywords: Hyperbolic system; eigenvalues; eigenvectors; sine-type function; Riesz basis

MSC 2010: 15A42; 65F15; 65H17; 46A35; 46B15; 47A55

1 Introduction

In a separable Hilbert space, the most important bases are orthonormal bases. Second in importance are those bases that are bases equivalent to some orthonormal basis. They will be called Riesz bases, and they constitute the largest and most tractable class of bases known. For a linear system, the property that the eigenvectors of the linear system forms a Riesz basis for the state Hilbert space is one of the most important features from both theoretical and practical points of view.

Mathematically, the general Riesz basis property is developed in the context of nonharmonic Fourier series, which originated from the works of Paley and Winer and was developed later by many former Soviet mathematicians; we can quote most of them [16, 8, 15, 9].

In this paper, we consider on a Hilbert space the linear system


where 𝒜 is an unbounded linear operator on and ϕ0.

If the operator 𝒜 generates a C0-semigroup T(t) on , then the solution of (1.1) can be written in L2([0,T],) as ϕ(t):=T(t)ϕ0.

In this case, we will also claim that this property be essential in our paper. In many applications, the differential operator 𝒜 arises from a partial differential equation, for which it is know that (1.1) has a solution. Hence the assumption that 𝒜 generates a C0-semigroup is not strong. However, for our result, the semigroup property does not suffice; we need that 𝒜 generates a group, i.e., (1.1) possesses a unique solution forward and backward in time. Since we also assume that the eigenvalues lie in a strip parallel to the imaginary axis, the group condition is not very restrictive. In order to apply the Pavlov theorem [13] to get a Riesz basis of expansion of eigenvalues of the general linear system in Hilbert space, we need to relate eigenvectors of the system operator with the exponential system through its spectrum.

In spectral theory, to show that system (1.1) satisfies the spectrum-determined growth condition is an interesting but difficult problem. The spectrum-determined growth holds for the C0-semigroup generated by 𝒜. However, verifying this condition is difficult because the semigroup usually may not have a workable expansion. So using the Riesz basis of the eigenvectors of the studied system becomes an attractive alternative.

In this model that we study in this paper, we need to discuss properties of the C0-semigroup. Since, very frequently, we merely have information about the infinitesimal generator 𝒜, it is important to know how to deduce these properties from those of 𝒜. It is long this line of thoughts that we try to use spectral information of 𝒜 to investigate the spectrum-determined growth. The approach that we take to prove our result is different to the one taken in [4, 6, 8, 10, 11].

Since this Riesz basis property is so important, there is extensive literature on this problem; we refer to the works [4, 6, 9, 10] where the same problem is treated for a specific perturbation of a closed linear operator. The basic approach is to estimate eigenvalues, the exponential family of eigenvalues, and then find some transformation to transform the set of the family of a perturbed operator to an orthonormal basis of eigenvectors.

We concentrate our attention in the second part of this paper to give a unified treatment for the following general class of linear hyperbolic systems:




with a strictly positive function c(x), which was first studied by Intissar [8] in the case where the function c(x) is considered constant, equal to one, with a unique restrictive termination. A nice summary of the later development can be found in [11] under some transformation on the operator 𝒞. Among them, a powerful concept of a Riesz basis was introduced to prove that the eigenvectors of 𝒞 form a Riesz basis in Hilbert space. However, it appears that a mathematical treatment of this problem has not yet been undertaken in the case where the operator 𝒞 is given in the above form (1.3). The exact question is to know whether the eigenvectors of this operator (1.3) form a Riesz basis in Hilbert space. Answering this equation is important in this model. It is the topic that we shall study in this paper.

The main concerns of this paper are

  • (a)

    Riesz basis property of exponential family,

  • (b)

    expansion of the solution in terms of the eigenvectors under nonharmonic Fourier series,

  • (c)

    spectrum-determined growth condition.

We show that the spectrum of system (1.1) consists of zeros of a sine-type function where the expansion family {eλnt}n1 and its eigenvectors form a Riesz basis.

Now let us outline the content of this paper. In Section 2, we recall some preliminary results and definitions that we will be using. In Section 3, we introduce our basic result. Section 4 is devoted to applying the main result for the linear hyperbolic system. In other words, we show that the Riesz basis property as well as the spectrum-determined growth condition hold for the studied system.

2 Preliminary results

For the sake of completeness, we first recall the following notions and preliminary results which will be used in the sequel.

Let be a Hilbert space, and let T be a closed operator with dense domain 𝒟(𝒜). Let σ(T) (resp. ρ(T)) denote the spectrum (resp. the resolvent set) of T. For any λρ(T), R(λ,T):=(λ-T)-1 is called the resolvent of T.

In the remaining part of this section, we will give the characterization of the Riesz basis of an exponential family developed by Pavlov [13]. Before stating this result, we shall first recall some basic facts about functions of sine type due to Avdonin and Ivanov [3] formulated as follows:

Definition 2.1.

An entire function f(z) is said to be of exponential type if the inequality |f(z)|AeB|z| holds for some positive constants A and B and all complex values of z. The smallest of constants B is said to be the exponential type of f(z).

Definition 2.2.

An entire function f of exponential type is said to be of sine type if

  • (i)

    the zeros of f lie in a strip {z:|Imz|H} for some H>0,

  • (ii)

    there exist h, and positive constants c1,c2 such that c1|f(x+ih)|c2 for all x.

We want to mention Pavlov’s characterization of exponential Riesz bases [13].

Theorem 2.1 ([13]).

Let Λ:={λn}1 be a countable set of complex numbers. The family {eiλnt}1 forms a Riesz basis in L2[0,T] if and only if the following conditions are satisfied:

  • (i)

    the sequence {λn}1 lies in a strip parallel to the real axis, supn1|Imλn|< ;

  • (ii)

    {λn}1 is separated in the sense that δ(Λ):=infmn|λn-λm|>0 ;

  • (iii)

    the generating function of the family {eiλnt}1 on the interval [0,T] satisfies the Muckenhoupt condition

    supI𝒥{1|I|2I|f(x+ih)|2dxI|f(x+ih)|-2dx}<for someh,

    where 𝒥 is the set of all intervals of the real axis.

Remark 1.

It is seen that if the generation function f of {eiλnt}1 is of sine type, then conditions (i) and (iii) of Theorem 2.1 are always satisfied.

Before recalling the results of the next theorem that are used subsequently, we begin by recalling the useful definition due to M. V. Keldys.

Definition 2.3.

Let K be a compact operator in a Hilbert space . Then K is said to belong to the Carleman class Cp, p>0, with order p if the series n=1snp(K) converges, where the sn(K) are the eigenvalues of the operator K*K.

In the particular case p=2, C2 is exactly the space of Hilbert–Schmidt operators, and for p=1, C1 is called the space of nuclear operators or the space of trace class operators on .

Now let T be a closed operator with dense domain 𝒟(T) in a Hilbert space . We suppose that 0ρ(T), and we put K=T-1. If K belongs to the Carleman class Cp for some p>0, then Lidskii [12] obtained estimates for the growth of the entire functions Dλ and d(λ) as λ+. For the operators of this class, Lidskii [12] proved the following result.

Theorem 2.2.

If K belongs to the Carleman class Cp for some p>0, then (I-λK)-1 can be represented as the ratio of two entire functions (I-λK)-1=Dλd(λ) for which the inequalities |d(λ)|ec1|λ|p and Dλec2|λ|p are valid for all λC (c1 and c2 being positive constants).

In this work, we are interested to proof the Riesz basis property of the eigenvectors associated to unbounded linear operator involving the concept of the exponential Riesz basis family. For this purpose, we need to review the following theorem due to Aimar, Intissar and Paoli [1, 2].

Theorem 2.3.

Let T be a closed linear operator with dense domain D(T) on a Hilbert space H. Suppose that

  • (H1)

    there exists λρ(T) such that K=(T-λ)-1 is a compact operator,

  • (H2)

    there exists p>0 such that sn(K)=O(n-1p) as n,

  • (H3)

    for |λ| sufficiently large, the resolvent R(λ,T):=(T-λ)-1 is bounded on each m rays γ1,γ2,,γm centered at the origin, divided on the all complex plane such that


    ( m[2p]+1 , where [2p] designates the entire part of 2p ),

  • (H4)

    R(λ,T)=O(e|λ|p) as |λ|.

Then the system of generalized eigenvectors of T is complete in H.

3 Main results

In this section, we show that the eigenvectors of system (1.1) form a Riesz basis in Hilbert space , which makes us conclude its spectrum-determined growth.

Theorem 3.1.

Let A be a linear unbounded densely defined operator on a separable Hilbert space H satisfying that

  • (i)

    𝒜 generates a C0 -semigroup,

  • (ii)

    the resolvent of 𝒜 is compact,

  • (iii)

    the eigenvalues {λn}n1 are simple,

  • (iv)

    the family {eλnt}n1 is a Riesz basis for L2(0,T), T>0,

  • (v)

    the system of eigenvectors of 𝒜 is complete in .

Then the eigenvectors associated to the operator A form a Riesz basis in H.


For the convenience of the reader, we give here a short proof of this theorem which follows as a corollary of the results given by Xu and Yung [16].

We define the {T(t)}-invariant spectral subspace of by sp(𝒜), where we define the set sp(𝒜) as

sp(𝒜):={k=1mE(λk,𝒜)ϕfor allϕand allm*},

where E(λn,𝒜) denotes the Riesz projection on associated to λnσ(𝒜).

Since the system of the generalized eigenvectors of 𝒜 is complete in , then, for any f and ϕsp(𝒜), the function T(t)ϕ,f is in the subspace E¯1:=L2[0,T], where we define E1 by the span generated by the family {eλnt}n1 as

E1:=span{k=1Nαkeλktfor allN1}.

Hence, for any ϕ, T(t)ϕ,fL2[0,T], and we can write them as


Moreover, we infer from the Riesz property of the exponential family {eλnt}n1 in L2[0,T] that there exist two positive constants K1 and K2 such that


According to assumption (i) with the property of the semigroup that T(t)Mewt for M1 and w0 (see [14, Theorem 2.2, p. 4]), we get




Since T(t) is the generator of a C0-semigroup 𝒜 in a Hilbert space , then the adjoint 𝒜* of 𝒜 has the same property [7, p. 2354]; in other terms, T*(t) is the generator of a C0 semigroup 𝒜* with the same conjugate eigenvalues λn¯ as 𝒜, and each λn¯ is an isolated eigenvalue of 𝒜* with


For any f,ϕ, T*(t)ϕ,f=ϕ,T(t)fL2[0,T] and


Reasoning in a similar way as above, we can easily check that


For any fsp(𝒜), we can write them as


So a short computation reveals that


Taking the limit, we get

f2M2[e2wT-1]2wK1n=1E(λn,𝒜)f2for allf.

Hence we deduce that

2wK1M2[e2wT-1]n=1E(λn,𝒜)f2f2M2[e2wT-1]2wK1n=1E(λn,𝒜)f2for allf.

This makes us conclude that the series n=1E(λn,𝒜)f converges in with the sum equal to f and yields that {E(λn,𝒜)f}n1 forms a Riesz basis in . ∎

As a consequence of the foregoing result from the Riesz basis property of eigenvectors, we have the following result.

Corollary 3.1.

System (1.1) satisfies the spectrum-determined growth assumption, i.e., S(A)=w(A), where

S(𝒜):=supλσ(𝒜)Reλ𝑎𝑛𝑑w(𝒜):=inf{w,there existsC1,e𝒜tCewtfor allt0}.

To illustrate the applicability of our main result, we concerns our attention in the next section to present an application of Theorem 3.1 to prove the Riesz basis property of the linear hyperbolic system.

4 Application to a linear hyperbolic system

In this section, we shall show that system (1.2) has a set of eigenvectors which form a Riesz basis in Hilbert space . The key idea is to apply some basic result of Pavlov [13], which provides a useful way to verify the Riesz basis property for the eigenvectors of a linear operator in Hilbert space.

Since the matrix (0-c(x)-c(x)0) is symmetric with distinct eigenvalues λi=(-1)i+1c(x), i=1,2, introducing the change of variables


our system becomes


To turn system (1.2) into a framework of semigroups, we introduce the underlying state Hilbert space :=L2[0,L]×L2[0,L]. System (4.1) is then written as an evolutionary equation in ,


with W(t)=(p(,t)v(,t)) and 𝒜:𝒟(𝒜) defined by


with domain


In this part, our goal is to give some important properties about a linear hyperbolic system to verify the assumptions of Theorem 3.1 in several steps. We shall assume without loss of generality that p(x):=p(x,t), v(x):=v(x,t), f(x):=f(x,t) and g(x):=g(x,t). In the following, we establish some preliminary results about the operator 𝒜.

Proposition 4.1.

Let A be the operator given in (4.2) and (4.3). Then the following assertions are true:

  • (i)

    𝒟(𝒜) is dense on .

  • (ii)

    The canonical injection i from 𝒟(𝒜) into is compact.


(i) It is seen that 𝒟(𝒜) is a closed subset of the Sobolev space H1[0,L]×H1[0,L] which is dense in . Then assertion (i) follows immediately.

(ii) On the other hand, we infer from the Sobolev theorem [5, Theorem VIII.7, p. 129] that the injection from H1[0,L] into L2[0,L] is compact. So the injection from 𝒟(𝒜) into is too. ∎

Theorem 4.1.

The following statements hold:

  • (i)

    The operator 𝒜 generates a C0 -semigroup on .

  • (ii)

    The resolvent expression R(λ,𝒜) of 𝒜 can be represented as

    R(λ,𝒜)(fg)(x)=M(x,0,λ)(αv(0)v(0))-0xM(x,s,λ)C-1(s)(f(s)g(s))dsfor all(fg)H,






(i) Since the entries of the matrix C(x) are real-valued C1-functions in x, 𝒜 generates an evolution operator.

(ii) First, to get the resolvent expression of the operator 𝒜, we consider the inhomogeneous equation expressed as


where λ, U:=(p(x)v(x))𝒟(𝒜) and F:=(f(x)g(x)) is arbitrary in .

An elementary calculation by the variation of constants reveals that the general solution of equation (4.4) is given by


where we designate by M(x,s,λ) the matrix


As a preparation for attacking the expression of v(0), it is sufficient to solve p(L)=βv(L) by recalling the resolvent of 𝒜. So we get


Denote by Δ(λ) the expression


which is an entire function on λ. Using the above equality with this notation, we get


A short computation shows that a complex number λ belongs to the resolvent set of 𝒜 if and only if Δ(λ)0; in this case,


which completes the proof. ∎

Theorem 4.2.

𝒜 is a discrete operator in H; in other words, for any λρ(A), R(λ,A) is compact on H. Therefore, the spectrum σ(A) consists only of isolated eigenvalues.


It follows from Proposition 4.1 together with the fact ρ(𝒜), that 𝒜 has a compact resolvent on . Thus its spectrum consists only of isolated eigenvalues, which are exactly the zeros set of Δ(λ). ∎

For each λσ(𝒜), all eigenvectors associated with λ can be represented as

(p(x,λ)v(x,λ))=(αe1(x,0,λ)v(0)e2(x,0,λ)v(0))for all non-zerov(0)satisfyingΔ(λ)v(0)=0.

The next theorem gives information about the distribution of the eigenvalues of the operator 𝒜.

Theorem 4.3.

Each eigenvalue of A is simple and given by



An elementary calculation reveals that the zeros set of Δ(λ) consists of an infinite number of complex eigenvalues of the operator 𝒜, which are formulated by the form


where α,β are defined as above and cL is defined by


Obviously, we observe from the above formula that each eigenvalue λn is simple. ∎

The corresponding eigenvectors associated to λn are


where cx:=0xc-1(r)dr.

Therefore, the eigenvectors associated to λn have the asymptotic form


It is easily seen that


is invertible in x and |H(x)|0.

The motivation for our studies is based on proving the Riesz basis property of {eλnt} in L2[0,2cL]. To obtain such property, explicit estimates for sine-type functions turn out to be good.

Lemma 4.1.

{eλnt} forms a Riesz basis for L2[0,2cL].


It should be noted that our results are aimed to provide a description for the Riesz basis property of {eiImλnt} since the real part of the eigenvalues {λn} is independent of n.

To claim this, let g(μ) be defined by g(μ):=sin(cLμ). The zeros set {μn} of g(μ) is related by


Obviously, g(μ) is uniformly bounded on the real axis, and hence g belongs to the Cartwright class. Thus its indicator diagram is an interval. Furthermore, it is easy to show that g(μ) is of exponential type with type cL=T2. In fact, let z:=x+iy. Then


Moreover, from the last expression, we have


where 0<C1<12, C21 and all y whenever y is sufficiently large. In what follows, item (ii) of Definition 2.2 is satisfied.

Moreover, it is seen that the zeros {μn} are separated. Indeed, let n. Then we have


As a consequence of the above sentences, we get the Riesz basis property by Theorem 2.1 for {einπcLt} in L2[0,2cL] and hence for {eλnt} in L2[0,2cL]. ∎

Proposition 4.2.

Let A be the generator of a C0-semigroup in a Hilbert space H. Then the spectrum of its adjoint is given by σ(A*)={λ¯:λσ(A)}.


Since is a Hilbert space and T(t) is the generator of a C0-semigroup 𝒜, then T*(t) is also a C0-semigroup, and its generator is 𝒜*. Moreover, its spectrum consists of an isolated eigenvalue λ¯, where λσ(𝒜). ∎

Theorem 4.4.

The resolvent of the operator A belongs to the Carleman class C1+ε for every ε>0.


A short computation from the expression of the eigenvalues λn of the operator 𝒜, which is given in Theorem 4.3, shows that




Obviously, 0ρ(𝒜), so let K:=𝒜-1, and let sn(𝒜-1) be the eigenvalue of the operator (𝒜-1)*𝒜-1. It is clear that

n1|λn|1+ε<for everyε>0.

Then 𝒜-1 belongs to the Carleman class C1+ε for every ε>0. ∎

As a consequence of Theorem 2.2, we have the following corollary.

Corollary 4.1.

The resolvent of A can be represented as two entire functions



Let λρ(𝒜). Then we have


Denoting K=𝒜-1, then


Since the resolvent of 𝒜 belongs to the class C1+ε for ε>0, then we infer from Theorem 2.2 with equation (4.5) that the resolvent of 𝒜 can be represented under the form F(λ,𝒜)Δ(λ), where F(λ,𝒜) and Δ(λ) are two entire functions. ∎

Now we are in the position to provide the denseness of the eigenvectors of the operator 𝒜.

Theorem 4.5.

The system of the eigenvectors of the operator A is dense in H.


From Theorem 4.4, the resolvent of 𝒜 belongs to the Carleman class C1+ε for ε>0 since R(λ,𝒜) is an entire function of λ and the orders of both entire functions of F(λ,𝒜) and Δ(λ) are less than or equal to 1. That is, there is a ε>0 such that


As 𝒜 generates an analytic semigroup, it follows that R(λ,𝒜) is uniformly bounded in both real and imaginary axis. We may assume without loss of generality that R(λ,𝒜) is uniformly bounded in the right complex plane, particularly on the imaginary axis.



By assumption, R(λ,𝒜) is bounded on the boundary Sj, and R(λ,𝒜)=O(e|λ|1+ε) for all λSj, where ε>0 is chosen so that 1+ε<2. Applying the Phragmen–Lindelof theorem to R(λ,𝒜) in each Sj (see [17, Theorem 10, p. 80]), we known that R(λ,𝒜) is uniformly bounded in Sj and so in the whole complex plane. Therefore, all conditions of Theorem 2.3 are satisfied with p=1+ε for ε>0, m=3 and γ2={λ:Argλ=π}. This result in the completeness of the generalized eigenvectors of 𝒜 on . ∎

We summarize all the results proved in this section by mentioning the following result.

Theorem 4.6.

The eigenvectors associated to the operator A form a Riesz basis in H.


From the previous results presented in this part, we infer that all the hypotheses of Theorem 3.1 are fulfilled, which makes us conclude that the system of eigenvectors associated to 𝒜 forms a Riesz basis in the state Hilbert space . ∎

As a consequence of the spectral mapping theorem for the C0-semigroup generated by 𝒜, we have the following result.

Corollary 4.2.

Our system satisfies the spectrum-determined growth assumption, i.e., S(A)=w(A).


All the results in this paper cover the main results of [8, 11] as a special case and remove some additional conditions imposed there. The exponential family of the eigenvalues is then readily established from an expression of the eigenvalues, which is also obtained in the process of verification of the Riesz basis property.


Our work represents a specific case of the results given in [8, 11]. Our new contribution in this paper is considering a perturbed operator matrix 𝒜 in terms of the variable x. New results and techniques are given to reach the Riesz basis property of the eigenvectors associated to an unbounded operator matrix 𝒜. However, this kind of study makes us conclude its spectrum-determined growth. More precisely, the study involves an elegant use of the notion of Pavlov’s characterization of the exponential Riesz basis properties in order to deduce the Riesz basis property for the eigenvectors associated to the operator 𝒜. The abstract result is illustrated by an example of a linear hyperbolic system.


The authors would like to thank the referees for their valuable suggestions for the revision of the paper and for attracting the authors’ attention to [16].


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About the article

Received: 2017-02-14

Revised: 2018-05-29

Accepted: 2018-07-03

Published Online: 2019-05-29

Published in Print: 2019-06-01

Citation Information: Journal of Applied Analysis, Volume 25, Issue 1, Pages 13–23, ISSN (Online) 1869-6082, ISSN (Print) 1425-6908, DOI: https://doi.org/10.1515/jaa-2019-0002.

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