6.4 Spectrum and Functional Calculus in C*-Algebras

Definition 6.4.1.label Let $A$ be an involutive Banach algebra. An element $x\in A$ is said to be self-adjoint or hermitian if $x=x^{*}$; normal if $x^{*}x=xx^{*}$; unitary if $x^{*}x=xx^{*}=1$ when $A$ is unital; a projection if $x^{2}=x$ and $x^{*}=x$.

Definition 6.4.2 (Real and Imaginary Parts).label Let $A$ be an involutive Banach algebra then each $x\in A$ is represented uniquely as

\begin{align*}x=x_{1}+ix_{2}\end{align*}

for some self-adjoint elements $x_{1},x_{2}\in A$ where

\begin{align*}x_{1}=\frac{1}{2}\parens{x+x^*}&&x_{2}=\frac{1}{2i}\parens{x-x^*}\end{align*}

called the real part and imaginary part of $x$ respecitvely. In this form $x$ is normal if and only if $x_{1}$ and $x_{2}$ commute. We denote

\begin{align*}A_{h}=\curl{x\in A:x\text{ is self-adjoint}}&&A_{u}=U(A)=\curl{x\in A:x\text{ is unitary}}\end{align*}

Then $A_{h}$ is a real Banach space such that

\begin{align*}A=A_{h}+iA_{h}\end{align*}

We call the closed subgroup $U(A)$ of the general linear group $G(A)$ of $A$ the unitary group of A

Proposition 6.4.3.label If $A$ is a $C^{*}$-algebra, then $\norm{x}{}=\norm{x}{sp}$ for every normal $x\in A$.

Proof. We go straight to computation

\begin{align*}\norm{x^{2n}}{}^{2}=\norm{(x^{2n})^*x^{2n}}{}=\norm{(x^*x)^{2n}}{}=\norm{(x^*x)^n(x^*x)^n}{}=\norm{(x^*x)^n}{}^{2}\end{align*}

applying this iteratively

\begin{align*}\norm{x^{2^n}}{}=\norm{(x^*x)^{2^{n-1}}}{}=\norm{(x^*x)^{2^{n-2}}}{}^{2}=\cds=\norm{x^*x}{}^{2^{n-1}}=\norm{x}{}^{2n}\end{align*}

By Proposition 6.2.6

\begin{align*}\norm{x}{}=\limit{n\to\infty}\norm{x^{2^n}}{}^{2^{-n}}=\norm{x}{sp}\end{align*}

$\square$

Proposition 6.4.4.label Let $A$ be a unital $C^{*}$-algebra then

  • $\fall u\in A_{u}$, $\spec{A}{u}\suf\pd\cl{D_1(0)}=\curl{\lam\in\com:\abs{\lam}=1}$

  • $\fall h\in A_{h}$, $\spec{A}{h}\suf\R$

Proof. Let $u\in A_{u}$ then

\begin{align*}1=\norm{1}{}=\norm{u^*u}{}=\norm{u}{}^{2}\end{align*}

hence $\norm{u}{}=\norm{u^*}{}=1$. By Proposition 6.4.3, $\norm{u}{sp}=\norm{u^*}{sp}=1$. Since $u^{*}=u\inv$ we have

\begin{align*}\spec{A}{u\inv}=\curl{\lam\inv:\lam\in\spec{A}{u}}=\curl{\cl{\lam}:\lam\in\spec{A}{u}}\suf\cl{D_1(0)}\end{align*}

so

\begin{align*}\spec{A}{u}\suf\pd\cl{D_1(0)}\end{align*}

Let $h\in A_{h}$ and set $u\define \exp(ih)$ then $u^{*}=\exp(-ih)$ so $u\in A_{u}$. By Proposition 6.2.11

\begin{align*}\curl{\exp(i\lam):\lam\in\spec{A}{h}}=\spec{A}{u}\suf\pd\cl{D_1(0)}\end{align*}

which implies that $\spec{A}{h}\suf\R$$\square$

Theorem 6.4.5 (Gelfand-Naimark).label Let $A$ be an abelian $C^{*}$-algebra then $A$ is semisimple as in Definition 6.2.1. Furthermore the Gelfand representation as in Theorem 6.3.11 $\scr{F}:A\to C_{\infty}(\OM(A))$ is an isometric isomorphism preserving the $*$-operation.

Proof. Since $A$ is abelian, every element $x\in A$ is normal so $\norm{x}{}=\norm{x}{sp}$ by Proposition 6.4.3. Hence $\scr{F}$ is isometric, showing that $A$ is semisimple. The image $\scr{F}(A)$ is complete therefore closed. Let $\om\in\OM(A)$ then for each $h\in A_{h}$

\begin{align*}\om(h)=\ha{h}(\om)\in\spec{A}{h}\suf\R\end{align*}

by Theorem 6.3.11 and Proposition 6.4.4. For every $x\in A$ we have $x=h+ik$ for some $h,k\in A_{h}$ and

\begin{align*}\om(x^{*})=\om(h-ik)=\om(h)-i\om(k)=\cl{\om(x)}\end{align*}

since $*$-operation in $C_{\infty}(\OM(A))$ is complex conjugation, $\scr{F}:x\mto \ha{x}$ preserves the $*$-operation. Thus, $\scr{F}(A)$ is a self-adjoint, subalgebra of $C_{\infty}(\OM(A))$ that separates points of $\OM(A)$. By Stone-Weierstrass theorem, $\scr{F}(A)$ is dense in $C_{\infty}(\OM(A))$; hence $\scr{F}(A)=C_{\infty}(\OM)$ by closedness.$\square$

Proposition 6.4.6.label Let $\OM$ be a locally compact space and $A=C_{\infty}(\OM)$. The map $\om\in\OM\mto \ha{\om}\in\OM(A)$ given by $\ha{\om}(x)=x(\om)$ for $x\in A$, is homeomorphism.

Proof. Since $\OM$ is LCH, it is a completely regular space so the map $\om\mto \ha{\om}$ is a homeomorphism of $\OM$ into $\OM(A)$. Let $\rho\in\OM(A)$ then $\rho$ is a linear functional on $C_{\infty}(\OM)$ such that $\rho\geq 0$ if $x\geq 0$ as a function. Hence there exists a positive Radon measure $\mu$ on $\OM$ such that $\rho(x)=\integral{\OM}{}x(\om)d\mu(\om)$ and $\mu(\OM)=1$. By multiplicativity of $\rho$

\begin{align*}\integral{\OM}{}\abs{x(\om)-\rho(x)}^{2}d\mu(\om)&=\rho\parens{\abs{x-\rho(x)}^2}=\rho((x-\rho(x))^{*}(x-\rho(x)))\\&=\rho(x-\rho(x))^{*}\rho(x-\rho(x))=(\rho(x)-\rho(x))^{*}(\rho(x)-\rho(x))=0\end{align*}

Hence for each $x\in C_{\infty}(\OM)$, $E_{x}\define\curl{\om\in\OM:x(\om)\neq \rho(x)}$ is a $\mu$-nullset. If $\supp{\mu}$ contains $\om_{1}\neq \om_{2}$ then $\exists x\in C_{\infty}(\OM)$ with $x(\om_{1})\neq x(\om_{2})$ since $C_{\infty}(\OM)$ separates points since $\OM$ is completely regular. By continuity $\exists U_{i}\ni \om_{i}$ open neighborhoods where $x|_{U_1}\no\equiv x|_{U_2}$ hence on $U_{1}\cup U_{2}$ we have $\abs{x(\om)-\rho(x)}^{2}>0$. Since $\mu$ is a positive Radon measure, $\mu(U_{i})>0$ thus

\begin{align*}\integral{\OM}{}\abs{x(\om)-\rho(x)}^{2}d\mu(\om)\geq \integral{(U_1\cup U_2)\cap\supp{\mu}}{}\abs{x(\om)-\rho(x)}^{2}d\mu(\om)>0\end{align*}

We conclude $\mu$ is concentrated at a single point $\om\in\OM$ so $\rho(x)=x(\om)$ and $\rho=\ha{\om}$.$\square$

Definition 6.4.7 ($C^{*}$-Subalgebra).label Let $A$ be a $C^{*}$-algebra. A subalgebra $B$ of $A$ is called a $C^{*}$-subalgebra of $A$ if

  • $B$ is closed

  • $\fall x\in B,x^{*}\in B$

In this case $B$ is unital if

  • $A,B$ are unital

  • $1_{B}=1_{A}$

Since the intersection of $C^{*}$-subalgebras of $A$ is again a $C^{*}$-subalgebra of $A$, for any subset $E\suf A$, $\exists! B$ the smallest $C^{*}$-subalgebra of $A$ containing $E$. This algebra $B$ is called the $C^{*}$-subalgebra of $A$ generated by $E$.

Proof. Let $\curl{B_i}_{i\in I}$ be a collection of $C^{*}$-subalgebra of $A$ then $\caps{}{i\in I}B_{i}$ is closed topologically, under addition, multiplications and involution.$\square$

Proposition 6.4.8.label Let $A$ be a unital $C^{*}$-algebra and $x\in A$ be normal. Let $B$ be a $C^{*}$-subalgebra of $A$ generated by $x$ and $1$. Then $\exists!$ isomorphism

\begin{align*}\p:C(\spec{A}{x})\to B&&\p(1)=1,\p(\indi{\spec{A}{x}})=x\end{align*}

where $\indi{\spec{A}{x}}$ is the identity on $\spec{A}{x}$.

Proof. The normality of $x$ implies that $B$ is abelian. Since the polynomials of $x$ and $x^{*}$ form a dense subalgebra of $B$, the map $\psi:\om\in\OM(B)\mto\om(x)\in \spec{A}{x}$ is a homeomorphism. By Gelfand Representation 6.3.11. $\psi$ is well-defined and continuous. By Proposition 6.3.8. $\psi$ is bijective. By Propositionn 6.3.9, $\psi\inv$ is continuous. By Gelfand-Naimark 6.4.5, the composed map $\p:f\in C(\spec{A}{x})\mto\scr{F}\inv(f\circ\psi)\in B$ is the desired isomorphism.$\square$

Definition 6.4.9 (Functional Calculus).label Using the same notation as Proposition 6.4.8. Let $f\in C(\spec{A}{x})$ then

\begin{align*}f(x)\define\p(f)\end{align*}

is well-defined and we have the following properties:

$(\lam f+\mu g)(x)=\lam f(x)+\mu g(x)$
$(fg)(x)=f(x)g(x)$
$\cl{f}(x)=f(x)^{*}$
$\spec{A}{f(x)}=\curl{f(\lam):\lam\in\spec{A}{x}}$
$\norm{f(x)}{}=\SUP{\lam\in\spec{A}{x}}\abs{f(\lam)}$

If $g\in C(f(\spec{A}{x}))$ then

\begin{align*}(g\circ f)(x)=g(f(x))\end{align*}

Proof. If $\lam\nin\spec{A}{x}$ then $x-\lam$ is invertible in $B$ because $\lam-\indi{\spec{A}{x}}$ is invertible in $C(\spec{A}{x})$. Let $F$ be a holomorphic function on a neighborhood of $\spec{A}{x}$ and $F|_{\spec{A}{x}}=f$ then for any $\om\in\OM(B)$

\begin{align*}\inner{F(x)}{\om}&=\om(F(x))\\&=\frac{1}{2\pi i}\integral{C}{}\inner{(\lam-x)\inv}{\om}F(\lam)d\lam\\&=\frac{1}{2\pi i}\integral{C}{}\parens{\lam-\om(x)}\inv F(\lam)d\lam\\&=F(\om(x))=f(\om(x))=f(\psi(\om))\end{align*}

where $C$ is a smooth simple closed curve enclosing $\spec{A}{x}$. Observe that

\begin{align*}\scr{F}(\p(f))=f\circ \psi\implies\scr{F}(\p(f))(\om)=f\circ \psi(\om)=f(\om(x))\end{align*}

So we have for all $\om\in\OM(B)$

\begin{align*}\om(F(x))=\om(\p(f))\end{align*}

hence $F(x)=\p(f)$ and since $\p$ is a $*$-isomorphism we extend by density to $C(\spec{A}{x})$.$\square$

Definition 6.4.10.label Let $A$ be a non-unital $C^{*}$-algebra then $\qspec{A}{x}\ni 0$ and we consider the unital $C^{*}$-algebra $A_{I}$ obtained by adjunction of an identity to $A$. For a normal $x\in A$ and $f\in C(\qspec{A_I}{x})$, if $f(0)=0$ then we define $f(x)\define\p(f)$ where $f(x)\in A$.

Proof. Let $\om_{0}$ be the homomorphism of $A_{I}$ with kernel $A$ then $\om_{0}(f(x))=f(\om_{0}(x))=f(0)=0$ so $f(x)\in \ker(\om_{0})=A$$\square$

Definition 6.4.11 (Jordan Decomposition).label Let $h\in A_{h}$ then the absolute value, positive part and negative part of $h$ are

\begin{align*}\abs{h}\define (h^{2})^{1/2}&&h_{+}\define\frac{1}{2}(\abs{h}+h)&&h_{-}\define\frac{1}{2}\parens{\abs{h}-h}\end{align*}

and the decomposition $h=h_{+}-h_{-}$ is called the Jordan decomposition of $h$. We have $\qspec{A}{\abs{h}},\qspec{A}{h_+},\qspec{A}{h_-}\suf\R_{\geq0}$ and $h_{+},h_{-}$ are characterized as elements in $A_{h}$ such that

\begin{align*}h=h_{+}-h_{-}&&h_{+}h_{-}=0&&\qspec{A}{h_+}\cup\qspec{A}{h_-}\suf \R_{\geq 0}\end{align*}

Proof. By Proposition 6.4.4, Proposition 6.4.8 and Jordan decomposition in $\R$.$\square$

Proposition 6.4.12 (Spectrum of Subalgebra).label Let $B$ be a $C^{*}$-subalgebra of a $C^{*}$-algebra $A$ and $x\in B$ then

  1. (1)

    $\qspec{A}{x}=\qspec{B}{x}$

  2. (2)

    If $A$ is unital and $B$ is a unital subalgebra then $\spec{A}{x}=\spec{B}{x}$

Proof. Since 1. follows from 2. by adjunction of an identity, it suffices to prove 2. In general, we have $\spec{A}{x}\suf \spec{B}{x}$.

Suppose that $x$ is self-adjoint. Let $\lam\nin\spec{A}{x}$ then by Proposition 6.4.4, $\spec{B}{x}\suf\R$ so to show that $\lam\nin\spec{B}{x}$ we may assume WLOG that $\lam\in\R$. For any $\e>0$, $\lam_{\e}=\lam+i\e\nin\spec{B}{x}$ so $(x-\lam_{\e})\inv\in B$. By continuity of inverse in $G(A)$, $(x-\lam_{\e})\inv\to (x-\lam)\inv\in G(A)$ as $\e\to 0$. Since $B$ is closed, $(x-\lam)\inv\in B$. Thus $\lam\nin\spec{B}{x}$ and $\spec{A}{x}=\spec{B}{x}$ for a self-adjoint $x\in B$.

Now if $x\in B$ is invertible in $A$ then $x^{*}x$ is invertible in $A$ so is in $B$ by self-adjointness of $x^{*}x$. Hence $x$ is left invertible in $B$. Similarly considering $xx^{*}$ shows that $x$ is right invertible in $B$ also. Therefore, $x$ is invertible in $B$. We apply this argument for $x-\lam,\lam\in\com$ to conclude 2.$\square$

Proposition 6.4.13.label Let $A$ be a unital $C^{*}$-algebra then every element $x\in A$ is a linear combination of four unitary elements.

Proof. Let $h\in A_{h}$ with $\norm{h}{}\leq 1$ and set $u=h+i(1-h^{2})^{1/2}$. By Proposition 6.4.8, $u$ is unitary and $h=\frac{1}{2}(u+u^{*})$. For general $x\in A$ we consider the real and imaginary parts of $x/\norm{x}{}$$\square$

Proposition 6.4.14.label Let $K\suf\com$ be compact and $A_{K}$ denote the set of all normal elements $x$ with $\spec{A}{x}\suf K$. If $f$ is a continuous function on $K$ then the functional calculus $x\in A_{K}\mto f(x)\in A$ is continuous.

Proof. By Stone-Weierstrass theorem, for any $\e>0$ there exists a polynomial $p$ of $\lam$ and $\cl{\lam}$ such that $\SUP{\lam\in K}\abs{p(\lam,\cl{\lam})-f(\lam)}<\e$. Since $p$ is a polynomial there exists $\de>0$ such that $\norm{p(x,x^*)-p(y,y^*)}{}<\e$ for $\norm{x-y}{}<\de$ and $\norm{x}{},\norm{y}{}\leq M$ for some constant $M>0$ that doesn’t depend on $x,y$. let $M=\SUP{\lam\in K}\abs{\lam}$. If $\norm{x-y}{}<\de$ and $x,y\in A_{K}$ then

\begin{align*}\norm{f(x)-f(y)}{}\leq\norm{f(x)-p(x,x^*)}{}+\norm{p(x,x^*)-p(y,y^*)}{}+\norm{p(y,y^*)-f(y)}{}<3\e\end{align*}

$\square$