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# Observation of a Black-Hole X-ray Nova in Outburst with INTEGRAL

## 1 Introduction

X-ray Novae are a class of transient sources which sparked considerable interest in recent years because most of them are believed to host black holes (Tanaka & Shibazaki 1996). In particular bright X-ray Novae can become the brightest objects in the X-ray sky with fluxes of the order of 1 Crab or even much more like in the case of A0620-00 which had a maximum flux of several Crab units (Elvis et al. 1975). X-ray Novae have been discovered and observed in the standard 1-10 keV X-ray band during the last 30 years (see e.g. Chen et al. 1997). In the last decade observations with CGRO and SIGMA have started to record X-ray Novae outbursts also in the hard X-ray ($`>`$ 50 keV) band (see e.g Paciesas et al. 1995, Goldoni 1999).

X-ray Novae are most probably LMXB in which accretion is not normally operating during their quiescent period. Material from the companion accumulates in a low viscosity disc which increases in mass and temperature until thermal and viscous instabilities due to increased opacity of disc plasma produce a sudden fall of matter in the potential well and an outburst in X-rays (Cannizzo 1993).

The typical 1-10 keV X-ray spectrum is rather soft characterised by a black body component with kT $``$ 1 keV similar to the one observed in persistent LMXB. Hard X-ray emission on the other hand may extend up to several hundreds of keV: up to energies of about 100 keV it has been modeled as thermal comptonisation from an extended corona (Sunyaev & Titarchuk 1980). At higher energies different mechanisms are required like bulk motion from free falling electrons (Laurent & Titarchuk 1999), or alternatively synchrotron emission from a population of non thermal particles in the corona or possibly in a jet (Gierlinski et al. 1999). The origin of high energy ($`>`$50 keV) radiation in X-ray Novae and in general in accreting relativistic objects is one of the most important open problems in this field.

One of the most important features of the hard X-ray emission of X-ray Novae is the variable 511 keV feature observed with SIGMA on 1991 January 20 in X-Nova Muscae 1991 (Goldwurm et al. 1992, Sunyaev et al. 1992). This transient feature was centered at $``$ 480 keV, close to pair annihilation energy, its width was compatible with the broad instrument resolution ($`<`$ 60 keV) and its flux was $``$ 6 $`\times `$ 10-3 cm-2 s-1. It was detected only during the last 13 hours of a 21 hours observation and it was visible at a 5.1 $`\sigma `$ level in images in the 430-530 keV band. The images of the observing session in different energy bands are shown in Figure 1 while the total spectrum is shown in Figure 2. The 40-1000 keV continuum spectrum was fitted with a power law with photon index $`\alpha `$ = 2.38 and flux F=6.8 $`\times `$ 10-9 erg cm-2 s-1.

This phenomenon has been first linked to gravitationally redshifted e+-e- annihilation in the vicinity of the accreting object (Goldwurm et al. 1992, Sunyaev et al. 1992). Another interpretation (Martin et al. 1996) is excited 7Li decay, which produces a line centered at 476 keV. A better understanding of this phenomenon could without doubts give very important clues on the accretion phenomenon and on the surrounding environment. New observations of this transient line are therefore needed. INTEGRAL will be perfectly suited for this task thanks to its wide band coverage and to its exceptional sensitivity in the hard X-ray band coupled with soft X-ray monitoring. In fact several other phenomena like QPOs, Compton reflection on the disk, iron fluorescent lines are present in these sources in the soft and hard X-ray bands. The interrelation between these phenomena are often complicated, in order to model them in a satisfactory way a complete spectral coverage of the source’s emission is required.

In the following we present simulations of an IBIS observations of a bright X-ray Nova displaying a transient Nova Musca-like feature during a 13 hours outburst.

## 2 The INTEGRAL satellite and its instruments

INTEGRAL is a 15 keV-10 MeV $`\gamma `$-ray mission with concurrent source monitoring at X-rays (3-35 keV) and in the optical range (V, 500- 600 nm). All instruments are coaligned and have a large FOV, covering simultaneously a very broad range of sources. The INTEGRAL payload consists of two main $`\gamma `$-ray instruments, the spectrometer SPI and the imager IBIS, and of two monitor instruments, the X-ray monitor JEM-X and the Optical Monitoring Camera OMC.

The Imager on Board Integral Satellite (IBIS) provides diagnostic capabilities of fine imaging (12’ FWHM), source identification and spectral sensitivity to both continuum and broad lines over a broad (15 keV–10 MeV) energy range. It has a continuum sensitivity of 2 10-7 ph cm-2 s-1 at 1 MeV for a 106 seconds observation and a spectral resolution better than 7 $`\%`$ @ 100 keV and of 6 $`\%`$ @ 1 MeV. The imaging capabilities of IBIS are characterized by the coupling of its source discrimination capability (angular resolution 12’ FWHM) with a field of view (FOV) of 9 $`\times `$ 9 fully coded and 29 $`\times `$ 29 partially coded.

The IBIS detection system is composed of two planes, an upper layer made of 16384 squared CdTe pixels (ISGRI) with higher efficency below about 200 keV and a lower layer made of 4096 CsI scintillation bars (PICsIT) more efficient above 200 keV. A photon can interact with only one of the two layers giving rise to an ISGRI or a PICsIT event (the PICsIT event can be single or multiple). If it interacts with both, undergoing a Compton scattering, its energy and arrival direction can be reconstructed leading to the definition of a third type of event, the Compton one which again can be single or multiple depending on interaction in PICsIT.

The spectrometer SPI will perform spectral analysis of $`\gamma `$ ray point sources and extended regions with an unprecedented energy resolution of $``$ 2 keV (FWHM) at 1.3 MeV. Its large field of view (16 circular) and limited angular resolution ( 2 FWHM) are best suited for diffuse sources imaging but it retains nonetheless the capability of imaging point sources. It has a continuum sensitivity of 7 $`\times `$ 10-8 ph cm-2 s-1 at 1 MeV and a line sensitivity of 5$`\times `$ 10-6 ph cm-2 s-1 at 1 MeV, both 3$`\sigma `$ for a 106 seconds observation.

The Joint European Monitor JEM-X supplements the main INTEGRAL instruments and provides images with 3’ angular resolution in a 4.8 fully coded FOV in the 3-35 keV energy band. The Optical Monitoring Camera (OMC) will observe the prime targets of INTEGRAL main $`\gamma `$ ray instruments. Its limiting magnitude is MV $``$ 19.7 (3$`\sigma `$, 103 s). The wide band observing opportunity offered by INTEGRAL provides for the first time the opportunity of simultaneous observations over 7 orders of magnitude in energy.

## 3 Simulations

The INTEGRAL observing program is divided in a core program reserved to instrument teams and collaborators and an open observing program. Core program Target of Opportunity observations are foreseen soon after a bright Nova outburst is discovered. Presently the observing time envisaged is about 8 $`\times `$ 105 seconds, i.e. 10 days. Given the brightness of the source and INTEGRAL sensitivity, several high quality spectra will be produced.

It is expected that total flux and spectral shape of the X-ray Nova will change during this observation. The flare we model happens when the continuum flux of the Nova has fallen to $``$ 200 mCrab in the 40-300 keV energy band.

Our simulations were performed using the current version (3.1) of the IBIS mass model (Laurent et al. 2000). This is a specific software project developed to build a complete geometrical model of the IBIS instrument in order to correctly evaluate the instrumental background and spectral response. The IBIS mass model simulates the geometry of IBIS using the Geant software (Brun et al. 1994) and then allows to perform Monte Carlo simulations of the interactions between photons and the telescope structure.

Taking the spectral parameters of the 20 January 1991 flare defined above, we simulated $``$ 1.500.000 photons in the total IBIS band from 20 to 1000 keV. We simulated the feature as a broad gaussian line at 480 keV with $`\sigma `$ = 22 keV. In Table 1 we summarize the main results of our simulation. We stress that we do not simulate the background at the present stage, we will make assumptions about its countrate and spectrum.

The results of our MonteCarlo simulations are shown in Figure 3, 4 and 5 and summarized in Table 1. The two layers and the Compton mode all show clearly the presence of the spectral feature. We added to these results a uniform background taken from our present estimation. We took a power law background spectrum with photon index -2 and total count rate of 1000 c s-1, 7500 c s-1 and 100 c s-1 for ISGRI, PICsIT and the Compton mode respectively. With these background values we obtain a 20$`\sigma `$ detection in ISGRI and PICsIT and a $``$ 8$`\sigma `$ detection in the Compton mode.

The final results are shown in Figure 6, for this particular scenario the line is clearly detected by the PICsIT layer and by the Compton mode. Altogether the IBIS instrument provides a full coverage of the X-ray Nova flare up to $``$ 600 keV. At the present stage we have not produced a response matrix for the instrument, the channel-energy conversion has been performed in a preliminary way, a formal fit is therefore not possible. However the general shape of the spectrum in figure 6 and the position of the line are reproduced within the errors as it is shown in figure 6. The detection of the line in the 400-600 keV band is estimated at the 16 $`\sigma `$ level.

## 4 Conclusions

We simulated an IBIS/INTEGRAL observation of a bright X-ray Nova of a flare containing an enlarged gaussian ($`\sigma `$=22 keV) $`\gamma `$-ray line at 480 keV from a bright X-ray Nova. Our preliminary results concerning the IBIS imager show that the line should be clearly detected by the PICsIT layer and also in Compton-selected photons. We obtain $``$ 105 ISGRI events, $``$ 7$`\times `$ 104 PICsIT events and about 3.4$`\times `$ 103 Compton events from the X-ray Nova. The source is clearly detected in both of the instrument layers and in the Compton mode. The complete energy coverage goes up to 600 keV.

The absence at the present stage of a response matrix did not allow us to deconvolve the simulated spectrum. However the $``$ 500 keV feature is clearly detected at thus confirming the expectations on IBIS contribution on this particular topic. It is expected that this observations will provide crucial information on the accretion processes taking place in X-ray Novae.


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# Operators near completely polynomially dominated ones and similarity problems

## 1. Introduction

###### 1.1.

Preamble. A good part of the literature concerning similarity problems for operators on a Hilbert space was motivated by a single problem. This problem asks for a simple criterion to determine whether a Hilbert space operator is similar to a contraction. The corresponding problems for similarity to isometries or unitaries have been solved at the late 1940’s by Sz. Nagy \[SzNa\]. The conjectured \[Ha\] characterization : ”an operator is similar to a contraction if and only if it is polynomially bounded” was recently shown to be false by G. Pisier \[Pi3\]. Recall that $`T`$ is said to be *polynomially bounded* if there exists a constant $`M`$ such that

(1.1)
$$p(T)Msup\{|p(z)|:|z|=1\}$$

for all polynomials $`p`$. We refer to \[Da\] for the history of this counterexample.

A positive answer for the similarity problem was given in \[Pa1\]. The quantitative criterion of V. Paulsen \[Pa1\] asserts that an operator $`T`$ is similar to a contraction if and only if $`T`$ is a *completely polynomially bounded* operator, which means that equation (1.1) holds for all matrix-valued polynomials. Moreover, the similarity constant coincides with the smallest possible constant $`M`$ in the analogue of (1.1). A more general result for similarity of algebra homomorphisms to completely contractive ones was proved in \[Pa2\] (cf. also \[Pa3\]).

Paulsen’s criteria are consistent with a variety of similarity results in operator theory. They are also consistent with results in some areas of operator algebras and operator spaces theory, areas where completely positive and completely bounded maps have found to be central tools. Generalizations to Banach space operators and to $`p`$-complete bounded homomorphisms are given in \[Pi1\] (see also \[Pi2\]).

We introduce in this paper the notion of operators $`T`$ (completely) polynomially dominated with finite bound by a given operator $`C`$. For instance, we will say that $`T`$ is *polynomially dominated* with finite bound by $`C`$ if there exists $`M>0`$ such that

(1.2)
$$p(T)Mp(C)$$

for all polynomials $`p`$. Completely polynomially dominated operators with finite bound generalizes completely polynomially bounded operators.

The main goal of this note is to show that an operator $`T`$ near, in a certain sense, to a Hilbert space operator completely polynomially dominated with a finite bound by a given operator $`C`$ is similar to an operator which is completely polynomially dominated by the direct sum of $`C`$ with a suitable weighted unilateral shift. The nearness condition for Hilbert space operators (called here $`\beta `$-quadratic nearness) is defined in Section 2. In particular, the class of operators similar to contractions is stable under quadratic nearness. A precursor of results of this type is \[Ho\].

Applications to similarity problems for Hilbert space operators include two partial results concerning an open question \[DP\] of K. Davidson and V. Paulsen. The question mentioned in \[DP\] asks for a characterization of those square summable sequences for which the corresponding CAR-valued Foguel-Hankel operators are similar to contractions. Note that the counterexamples of Pisier \[Pi3\] are operators of this type. It was this question which was the starting point of this note.

Even if the emphasis here will be on Hilbert space operators, we will also consider Banach space operators in Theorem 4.5. As an application, a refined version of Rota’s \[Ro\] similarity result will be obtained. We will show that, given $`p>1`$ and a Banach space operator $`T`$ on $`X`$ with spectral radius less than one, $`T`$ is similar to an operator $`T_1`$ on a Banach space which, in some sense, ”looks like $`X`$” such that $`T_1`$ is completely polynomially dominated by the unilateral shift $`S`$ on $`\mathrm{}_p(X)`$. This is related to a conjecture of V.I. Matsaev concerning contractions on $`L_p`$-spaces.

We also consider the (easiest) corresponding problem for operators near ones which are similar to unitaries or isometries. We prove that operators asymptotically near operators similar to unitaries/isometries are themselvs similar to unitaries or isometries. There are polynomially bounded operators which are asymptotically near to a contraction without being similar to a contraction.

Acknowledgment. Parts of the present paper were written while the author attended the Semester on Operator Spaces and Free Probability at Institut Henri Poincaré, Paris, 1999-2000. I want to thank L. Kerchy, C. Le Merdy and V. Paulsen for useful discussions, suggestions and some simplifications of the arguments in an early version.

###### 1.2.

Organization of the paper. After this preamble we recall some notation, definitions and known results. We introduce in the next section the notions of completely polynomially dominated operators and of asymptotically near and quadratically near operators. The main results in the Hilbert space situation are stated in Section 3. This section also contains an example of a polynomially bounded operator which is asymptotically near to a contraction without being similar to a contraction. In Section 4 the proof of Theorem 3.3 is reduced to the proof of Theorem 4.1. A more general version of Corollary 4.4 is stated in the Banach space context (Theorem 4.5). Section 5 contains several applications to operators similar to contractions, including a sufficient condition for the similarity to contractions of some CAR-valued Foguel-Hankel operators (Corollary 5.6) and a Banach space Rota theorem (Corollary 5.1). The proof of Theorem 4.5 is given in Section 6 while the last Section contains proofs of the remaining results.

###### 1.3.

Preliminaries. We recall now some definitions and results and introduce some notation. We refer to \[Pi2\] and \[Pa3\] for more information.

General notation. By $`H,K`$ (and $`X,Y,E`$), with or without subcripts, we will designate complex Hilbert (respectivelly Banach) spaces. We denote by $`(X)`$ the algebra of all bounded linear operators on $`X`$. By operator we always mean a bounded linear operator. The adjoint of a Hilbert space operator $`T`$ is denoted by $`T^{}`$.

Similarity. Two Hilbert space operators $`T_1,T_2(H)`$ are called *similar* if there exists an invertible operator $`L(H)`$ such that $`T_2=L^1T_1L`$.

If $`𝒜`$ is a class of bounded linear operators, then the *similarity constant* $`C_{sim}(T_1,𝒜)`$ of $`T_1`$ with respect to $`𝒜`$ is defined by

$$C_{sim}(T_1,𝒜)=inf\{L^1L:L(H),L^1T_1L𝒜\}.$$

We recall that $`T(H)`$ is similar to a contraction if and only if there exists a *Hilbertian*, equivalent norm on $`H`$ with respect to which $`T`$ is a contraction.

Completely bounded maps. Let $`𝒮(H)`$ be a subspace. Let $`\phi :𝒮(K)`$ be a linear map. Let $`M_n(𝒮)`$ and $`M_n((K))`$ be the spaces of matrices with entries respectively in $`𝒮`$ and $`(K)`$. Endow them with the norm induced respectively by $`(\mathrm{}_n^2(H))`$ and $`(\mathrm{}_n^2(K))`$. The map $`\phi `$ is called *completely bounded* if there is a constant $`M`$ such that

$$\underset{n}{sup}I_{M_n}\phi :M_n(𝒮)M_n((K))M.$$

The completely bounded (cb) norm $`\phi _{cb}`$ is the smallest constant $`M`$ for which this holds. We call $`\phi `$ *completely contractive* if $`\phi _{cb}1`$. The map $`\phi `$ is *completely positive* if $`I_{M_n}\phi `$ is a positive map for each $`n`$.

The following (Wittstock-Paulsen-Haagerup) factorization theorem for completely bounded maps holds \[Pi2, Ch. 3\], \[Pa3, Ch.7\] : If $`𝒮(H)`$ is a subspace and $`\phi :𝒮(K)`$ is a linear completely bounded map, then there exist a Hilbert space $`H_\pi `$, a unital C-algebraic representation $`\pi :(H)(H_\pi )`$ and operators $`V_2:KH_\pi `$, $`V_1:H_\pi K`$, with $`V_1V_2\phi _{cb}`$, such that $`\phi (a)=V_1\pi (a)V_2`$ for any $`a𝒮`$.

Let $`A(𝔻)`$ be the disk algebra. For an operator $`T`$, let $`\mathrm{\Phi }_T`$ be the functional calculus map $`pp(T)`$ defined on polynomials. Then $`T`$ is completely polynomially bounded if and only if $`\mathrm{\Phi }_T`$ extends to a completely bounded map on $`A(𝔻)`$, if and only if $`T`$ is similar to a contraction \[Pa1\].

Let $`p1`$. Similar notions of $`p`$-complete bounded maps are defined in the Banach space context \[Pi2\]. If $`𝒮(X)`$ is a subspace, a linear map $`\phi :𝒮(Y)`$ is $`p`$-completely bounded if

$$\phi _{pcb}:=\underset{n}{sup}I_{(\mathrm{}_p^n)}\phi :M_n(𝒮)M_n((Y))<+\mathrm{},$$

where $`M_n((Y))`$ and $`M_n(𝒮)`$ are now equipped with the norms induced by $`(\mathrm{}_p^n(Y))`$ and respectively $`(\mathrm{}_p^n(X))`$.

We refer to \[Pi1\], \[Pi2\] for more on this, including a factorization theorem.

Banach spaces of class $`SQ_p`$. Let $`p1`$ be a real number. A Banach space $`E`$ is said to be a $`SQ_p`$-space if it is a quotient of a subspace of an $`L_p`$-space.

Let $`X`$ be a Banach space. A Banach space $`E`$ is said to be a $`SQ_p(X)`$-space if it is (isometric to) a quotient of a subspace of an ultraproduct of spaces of the form $`L_p(\mathrm{\Omega },\mu ,X)`$. Since ultraproducts of $`L_p`$-spaces is an $`L_p`$-space, the latter definition is consistent with the former. The case $`p=2`$ corresponds to the Hilbertian situation.

$`SQ_p(X)`$-spaces are characterized by a theorem of Hernandez \[He\]. See also \[Pi1\] for a different proof using $`p`$-completely bounded maps. Namely, $`E`$ is a $`SQ_p(X)`$-space if and only if

$$a_{p,E}a_{p,X}$$

for each $`n1`$ and each matrix $`a=[a_{ij}]M_n()`$. Here

$$[a_{ij}]_{p,Y}=sup\left[\left(\underset{i}{}\underset{j}{}a_{ij}y_j^p\right)^{1/p}\right],$$

where the supremum runs over all $`n`$-tuples $`(y_1,\mathrm{},y_n)`$ in $`Y`$ which satisfy $`y_j^p1`$.

CAR-valued Foguel-Hankel operators. A polynomial bounded operator which is not completely polynomially bounded was found in 1997 by G. Pisier \[Pi3\]. The counterexample was a CAR-valued Foguel-Hankel type operator (sometimes called a CAR-valued Foias-Williams-Peller type operator).

To be more specific, let $`\mathrm{\Lambda }`$ be a function from an infinite dimensional Hilbert space $`H`$ into $`(H)`$ satisfying the canonical anticommutation relations : for all $`u,vH`$,

$$\mathrm{\Lambda }(u)\mathrm{\Lambda }(v)+\mathrm{\Lambda }(v)\mathrm{\Lambda }(u)=0$$

and
$$\mathrm{\Lambda }(u)\mathrm{\Lambda }(v)^{}+\mathrm{\Lambda }(v)^{}\mathrm{\Lambda }(u)=(u,v)I.$$

The range of $`\mathrm{\Lambda }`$ is isometric to Hilbert space. Let $`\{e_n\}_{n0}`$ be an orthonormal basis for $`H`$, and let $`C_n=\mathrm{\Lambda }(e_n)`$ for $`n0`$. For an arbitrary sequence $`\alpha =(\alpha _0,\alpha _1,\mathrm{})`$ in $`\mathrm{}^2`$, let

$$Y_\alpha =\left[\alpha _{i+j}C_{i+j}\right]$$

be a CAR-valued Hankel operator and

$$R(Y_\alpha )=\left[\begin{array}{cc}S^{(\mathrm{})}& Y_\alpha \\ 0& S^{(\mathrm{})}\end{array}\right].$$

be the corresponding Foguel-Hankel operator \[Pi3\], \[DP\]. Here $`S^{(\mathrm{})}`$ is the unilateral forward shift of multiplicity $`dimH`$. The particular choice of $`\alpha `$ made by Pisier was $`\alpha _{2^k1}=1`$ for $`k0`$ and $`\alpha _i=0`$ otherwise. In this case $`R(Y_\alpha )`$ is polynomially bounded but not completely polynomially bounded. The following more general result holds \[Pi3\], \[DP\] :

###### 1.4 Theorem (Pisier, Davidson-Paulsen).

Let $`\alpha =(\alpha _0,\alpha _1,\mathrm{})`$ be a sequence in $`\mathrm{}^2`$ and set

$$A=\underset{k0}{sup}(k+1)^2\underset{ik}{}|\alpha _i|^2$$

and

$$B_2=\underset{k0}{}(k+1)^2|\alpha _k|^2.$$

The operator $`R(Y_\alpha )`$ is polynomially bounded if and only if $`A`$ is finite. If $`R(Y_\alpha )`$ is similar to a contraction, then $`B_2`$ is finite.

It is an open problem if $`B_2`$ finite implies $`R(Y_\alpha )`$ similar to a contraction. A partial answer will be proved in Corollary 5.6.

## 2. Dominance and nearness

Dominance. We start with several definitions.

###### 2.1.

Completely polynomially dominated operators. Let $`T_1`$ and $`T_2`$ be two Hilbert space operators, not necessarily acting on the same space. We say that $`T_1`$ is *completely polynomially dominated* by $`T_2`$ if

$$\left[p_{ij}(T_1)\right]_{1i,jn}\left[p_{ij}(T_2)\right]_{1i,jn},$$

for all positive integers $`n`$ and all $`n\times n`$ matrices $`\left[p_{ij}\right]_{1i,jn}`$ with polynomial entries. Recall that $`\left[p_{ij}(T)\right]_{1i,jn}`$ is identified with an operator acting on the direct sum of $`n`$ copies of the corresponding Hilbert space in a natural way. Let $`𝒞𝒟𝒪(T)`$ be the class of all Hilbert space operators completely polynomially dominated by $`T`$. Let $`M>0`$ be a positive constant. We say that $`T_1`$ is *completely polynomially dominated with bound* $`M`$ by $`T_2`$ if

$$\left[p_{ij}(T_1)\right]_{1i,jn}M\left[p_{ij}(T_2)\right]_{1i,jn},$$

for all positive integers $`n`$ and all $`n\times n`$ matrices $`\left[p_{ij}\right]_{1i,jn}`$ with polynomial entries. We say that $`T_1`$ is *completely polynomially dominated with finite bound* by $`T_2`$ if it is completely polynomially dominated with bound $`M`$ for a suitable $`M`$. The least bound of complete dominance of $`T_1`$ by $`T_2`$ is denoted by $`M_{cd}(T_1,T_2)`$. It is the cb norm of the complete bounded map $`p(T_2)p(T_1)`$, $`p[z]`$.

Similar notions can be defined in the Banach space context. For instance, we say that $`T_1(X_1)`$ is $`p`$-completely dominated with finite bound by $`T_2(X_2)`$ if the map $`p(T_2)p(T_1)`$, $`p[z]`$, is $`p`$-completely bounded.

###### 2.2 Example.

The following example gives a (generic) class of completely dominated operators. Recall the following useful result \[Sa\]. Let $`H`$ be a closed subspace of $`K`$ and let $`T=P_HRH`$, $`T(H)`$, be the compression of $`R(K)`$ to $`H`$. Here $`P_H`$ is the projection onto $`H`$. Then $`R`$ is a dilation of $`T`$ (that is, $`T^n=P_HR^nH`$ for all $`n`$) if and only if the subspace $`H`$ is semi-invariant for $`R`$, that is $`H=H_1H_2`$ for two invariant subspaces $`H_1`$ and $`H_2`$ of $`R`$.

Let $`T_2(H_2)`$ be a Hilbert space operator and let $`\pi :(H_2)(H_\pi )`$ be a unital C-representation. Let $`H_1`$ be a semi-invariant subspace for $`\pi (T_2)`$. Let $`T_1(H_1)`$ be the compression of $`\pi (T_2)`$ on $`H_1`$. Then $`T_1`$ is completely polynomially dominated by $`T_2`$ since $`\pi `$ is completely contractive.

The following theorem identifies Hilbert space completely polynomially dominated operators with finite bound.

###### 2.3 Theorem.

A Hilbert space operator $`T_1`$ is completely polynomially dominated by $`T_2`$ if and only if $`T_1`$ is unitarily equivalent to the compression of an operator $`R_2`$ to a semi-invariant subspace, $`R_2`$ being the image of $`T_2`$ by a unital C-representation. A Hilbert space operator $`T_1`$ is completely polynomially dominated by $`T_2`$ with finite bound if and only if $`T_1`$ is similar to an operator completely polynomially dominated by $`T_2`$ and the similarity constant is the least possible bound of dominance.

Proof. Suppose that $`T_1(H_1)`$ is completely polynomially dominated by $`T_2`$. Let $`\phi `$ be the linear map defined on the subspace of the polynomials of $`T_2(H_2)`$ by

$$\phi (p(T_2))=p(T_1).$$

The relation of completely polynomially dominance shows that $`\phi `$ is well-defined, unital and completely contractive. Then by Arveson’s theorem \[Pa3\], Corollary 6.6, $`\phi `$ has an extension $`\stackrel{~}{\phi }:(H_2)(H_1)`$ which is a unital completely positive map. By Stinespring’s theorem \[Pa3\], Theorem 4.1, there are a Hilbert space $`K_1`$, an isometry $`V:H_1K_1`$ and a unital C-representation $`\pi :(H_1)(K_1)`$ such that

$$\stackrel{~}{\phi }=V^{}\pi V.$$

Denote $`R_2=\pi (T_2)`$. We obtain

$$T_1^n=\stackrel{~}{\phi }(T_2^n)=V^{}R_2^nV$$

for each $`n0`$ and so \[Sa\] $`T_1`$ is unitarily equivalent to the compression of $`R_2`$ to a semi-invariant subspace.

If $`T_1`$ is completely polynomially dominated by $`T_2`$ with finite bound, then $`\phi `$ is completely bounded and, by Paulsen similarity theorem, \[Pa3\], Theorem 8.1, $`\phi `$ is similar to a completely contractive map with the similarity constant given by the complete bounded norm of $`\phi `$.

Using Paulsen’s criterion, $`T(H)`$ is completely polynomially bounded (i. e. similar to a contraction) whenever $`T`$ is completely polynomially dominated with finite bound by a given contraction.

Nearness. We introduce the following definitions of nearness which will be used in the statement of the main results.

###### 2.4 Definition.

Two operators $`T_1`$ and $`T_2`$ acting on the same space are said to be *asymptotically near* if

$$\underset{n\mathrm{}}{lim}T_1^nT_2^n=0.$$

###### 2.5 Definition.

Let $`\beta :_+_+^{}`$. Two operators $`T_1`$ and $`T_2`$ are said to be $`\beta `$-*quadratically near* if

$$s:=\left[\underset{N0}{sup}\underset{n=0}{\overset{N}{}}\frac{1}{\beta (n)^2}(T_1^nT_2^n)(T_1^nT_2^n)^{}\right]^{1/2}<+\mathrm{}.$$

The two operators are simply called *quadratically near* if this condition holds with $`\beta (n)=1`$ for each $`n`$.

We denote $`s`$ in the above definition by $`near_2(T_1,T_2,\beta )`$. If $`\beta (n)=1`$ for each $`n`$, we call $`s`$ the *nearness* (or the $`2`$-nearness) between $`T_1`$ and $`T_2`$.

The above definition of $`\beta `$-quadratic nearness uses the row Hilbert space operator structure \[Pi4\]. The following result gives an equivalent definition.

###### 2.6 Lemma.

Let $`\beta :_+_+^{}`$. $`T_1`$ and $`T_2`$ are $`\beta `$-quadratically near with $`near_2(T_1,T_2,\beta )s`$ if and only if

(2.1)
$$\underset{n=0}{\overset{+\mathrm{}}{}}\frac{1}{\beta (n)^2}(T_1^nT_2^n)^{}y^2s^2y^2(yH).$$

If

(2.2)
$$\underset{n=0}{\overset{+\mathrm{}}{}}\frac{1}{\beta (n)^2}T_1^nT_2^n^2=u^2<+\mathrm{},$$

then $`T_1`$ and $`T_2`$ are $`\beta `$-quadratically near with $`near_2(T_1,T_2,\beta )u`$.

Proof. For $`N0`$ set

$$A_N=\underset{n=0}{\overset{N}{}}\frac{1}{\beta (n)^2}(T_1^nT_2^n)(T_1^nT_2^n)^{}.$$

Then $`T_1`$ and $`T_2`$ are $`\beta `$-quadratically near with $`near_2(T_1,T_2,\beta )s`$ if and only if $`sup_NA_Ns^2`$. On the other hand, inequality (2.1) holds if and only if $`sup_N\omega (A_N)s^2`$, where

$$\omega (A)=sup\{|Ax|x|:xH,x=1\}$$

is the *numerical radius* of $`A`$. The stated equivalence follows now from the known fact that $`\omega (A)=A`$ for normal operators $`A`$.

The second part follows from the fact that (2.2) implies (2.1).

## 3. Main results : the Hilbert space case

The classes of operators similar to isometries or unitaries are stable under a common nearness condition.

###### 3.1 Proposition.

A Hilbert space operator asymptotically near an operator similar to an isometry (or a unitary) is similar to an isometry (respectively a unitary).

The following example, build upon work by Pisier and Davidson and Paulsen, shows that there is a polynomially bounded operator which is asymptotically near to a contraction without being similar to a contraction.

###### 3.2 Example.

We use the notation recalled in Introduction. Let $`(\alpha _k)`$ be the sequence in $`\mathrm{}^2`$ given by

$$\alpha _k=(k+1)^{3/2}(\mathrm{log}(k+1))^{1/2},k0.$$

Then $`_{k0}(k+1)^2|\alpha _k|^2`$ diverges and thus $`R(Y_\alpha )`$ is not similar to a contraction (cf. Theorem 1.4).

On the other hand, for $`k>1`$, we have

$`{\displaystyle \underset{ik}{}}|\alpha _i|^2`$ $``$ $`{\displaystyle _k^{\mathrm{}}}{\displaystyle \frac{1}{t^3\mathrm{log}t}}𝑑t`$
$``$ $`{\displaystyle \frac{1}{\mathrm{log}(k)}}{\displaystyle _k^{\mathrm{}}}{\displaystyle \frac{1}{t^3}}𝑑t`$
$``$ $`{\displaystyle \frac{1}{2\mathrm{log}(k)}}{\displaystyle \frac{1}{(k+1)^2}}.`$
Therefore

$$\underset{k\mathrm{}}{lim}(k+1)^2\underset{ik}{}|\alpha _i|^2=0$$

which, using results from \[DP\], implies that

$$\underset{k\mathrm{}}{lim}R(Y_\alpha )^kR(0)^k=0.$$

Thus $`R(Y_\alpha )`$ is asymptotically near the contraction $`R(0)=S^{(\mathrm{})}S^{(\mathrm{})}`$, without being similar to a contraction. Note also that $`R(Y_\alpha )`$ is polynomially bounded since quantity $`A`$ is finite for this $`(\alpha _k)`$.

The right condition of nearness for the class of operators similar to contractions follows from the following theorem.

Let $`\beta :_+_+^{}`$. We denote by $`S_{w(\beta )}`$ the forward weighted shift on $`\mathrm{}_2`$, $`S_we_n=w_ne_{n+1}`$, with weights

$$w(\beta )_n=w_n=\frac{\beta (n+1)}{\beta (n)}(n0).$$

Then $`S=S_{w(1)}`$ is the unilateral forward shift on $`\mathrm{}_2`$ obtained for $`\beta (n)=1,n0`$.

###### 3.3 Theorem.

Let $`T,R(H)`$ and $`C(H_c)`$. Suppose that $`R`$ is completely polynomially dominated with finite bound by $`C`$. Let $`M=M_{cd}(R,C)`$ be the least possible bound for this dominance. Let $`\beta :_+_+^{}`$ and suppose that $`T`$ is $`\beta `$-quadratically near $`R`$. Let $`s=near_2(T,R,\beta )`$. Then $`T`$ is similar to an operator completelly polynomially dominated by $`CS_{w(\beta )}`$. Moreover, the similarity constant satisfies

$$C_{sim}(T,𝒞𝒟𝒪(CS_{w(\beta )}))M+\beta (0)s.$$

If $`\beta (n)=1`$ for each $`n`$ we obtain the following consequence.

###### 3.4 Corollary.

Let $`T,R(H)`$ and $`C(H_c)`$. Suppose that $`T`$ is quadratically near $`R`$ and that $`R`$ is completelly polynomially dominated with finite bound by $`C`$. Then $`T`$ is similar to the compression of $`\pi (CS)`$ to a semi-invariant subspace, where $`\pi `$ is a unital C-representation defined on $`(H_c\mathrm{}_2)`$.

For similarity to contractions we have

###### 3.5 Corollary.

Suppose $`R(H)`$ is similar to a contraction. Let $`T(H)`$ and suppose that there exists $`C>0`$ such that

$$\underset{n0}{}(T^nR^n)x^2Cx^2$$

for each $`xH`$. Then $`T`$ is similar to a contraction.

Indeed, according to Lemma 2.6, $`T^{}`$ is quadratically near $`R^{}`$. Note also that $`T`$ is similar to a contraction if and only if $`T^{}`$ is.

###### 3.6 Remark.

Operators having their spectrum in the open unit disk are quadratically near 0 (the null operator). Therefore operators with spectral radius smaller than $`1`$ are similar to contractions (Rota’s \[Ro\] theorem). The relation of quadratic nearness is an equivalence relation. It is easy to see that the equivalence class of the null operator is the class of all operators having their spectrum in the open unit disk.

## 4. A reduction of Theorem 3.3 and a Banach space extension

The main result Theorem 3.3 is a consequence of the following result. It is a generalization of a result of Holbrook \[Ho\].

###### 4.1 Theorem.

Let $`T(H)`$ and suppose that there exist Hilbert space $`K`$, operators $`V_2:HK`$, $`V_1:KH`$, $`C_1(K)`$, and a function $`\beta :_+_+^{}`$ such that

(4.1)
$$\underset{N0}{sup}\underset{n=0}{\overset{N}{}}\frac{1}{\beta (n)^2}(T^nV_1C_1^nV_2)(T^nV_1C_1^nV_2)^{}=s^2<+\mathrm{}.$$

Then $`T`$ is similar to an operator completely polynomially dominated by $`C_1S_{w(\beta )}(K\mathrm{}_2)`$. Moreover, the similarity constant satisfies

$$C_{sim}(T,𝒞𝒟𝒪(C_1S_{w(\beta )}))V_1V_2+\beta (0)s.$$

###### 4.2 Remarks.

(a) If $`s=0`$ in the above Theorem, then $`S_w`$ can be omitted in the direct sum.

(b) For an *arbitrary* $`T`$ and any *finite* $`N`$, there are operators $`V_1`$, $`V_2`$ and $`C_1`$ like in Theorem 4.1 such that $`T^n=V_1C_1^nV_2`$ for $`n=0,1,\mathrm{},N`$ (cf. \[Ha, p.910\]).

###### 4.3.

Theorem 4.1 implies Theorem 3.3. Suppose that $`R`$ is completely polynomially dominated with finite bound by $`C(H_c)`$ and let $`M=M_{cd}(R,C)`$ be the least possible bound for this dominance. Let $`𝒮(H_c)`$ be the subspace of all operators $`p(C)`$, $`p[z]`$. Consider the map $`\mathrm{\Phi }:𝒮(H)`$ defined by $`\mathrm{\Phi }(p(C))=p(R)`$. Since $`R`$ is completely polynomially dominated with finite bound by $`C`$, the map $`\mathrm{\Phi }`$ is completely bounded with $`\mathrm{\Phi }(I)=I`$. According to the factorization theorem, there is a Hilbert space $`K`$, a unital C-algebraic representation $`\pi :(H_c)B(K)`$ and operators $`V_2:HK`$, $`V_1:KH`$ with $`V_1V_2M`$ such that $`\mathrm{\Phi }(p(C))=V_1\pi (p(C))V_2`$ for each polynomial $`p`$. Set $`C_1=\pi (C)`$. We obtain

$$R^n=\mathrm{\Phi }(C^n)=V_1\pi (C^n))V_2=V_1C_1^nV_2$$

with $`V_1V_2M`$. Since $`\pi `$ is completely contractive, Theorem 4.1 implies Theorem 3.3.

We also obtain the follwing result.

###### 4.4 Corollary.

Let $`T(H)`$ and suppose that there exist Hilbert space $`K`$, operators $`V_2:HK`$, $`V_1:KH`$, $`C_1(K)`$, and a function $`\beta :_+_+^{}`$ such that

$$\underset{n=0}{\overset{+\mathrm{}}{}}\frac{1}{\beta (n)^2}T^nV_1C_1^nV_2^2=u^2<+\mathrm{}.$$

Then $`T`$ is similar to an operator completely polynomially dominated by $`C_1S_{w(\beta )}(K\mathrm{}_2)`$. Moreover, the similarity constant satisfies

$$C_{sim}(T,𝒞𝒟𝒪(C_1S_{w(\beta )}))V_1V_2+\beta (0)u.$$

In fact the following Banach space version of Corollary 4.4 holds (for simplicity, we will not deal with estimates of the similarity constant here).

We introduce some notation. Consider the space $`\mathrm{}_p(\beta ,X)`$ of elements $`z=(z_0,z_1,\mathrm{})`$, $`z_kX`$, endowed with the norm

$$z_{\mathrm{}_p(\beta ,X)}=\left(\underset{k}{}\beta (k)^pz_k^p\right)^{1/p}.$$

The shift operator $`S`$ acts on $`\mathrm{}_p(\beta ,X)`$ by

$$S(z_0,z_1,\mathrm{})=(0,z_0,z_1,\mathrm{}).$$

###### 4.5 Theorem.

Let $`p`$ and $`q`$ be real numbers greater than $`1`$ such that $`\frac{1}{p}+\frac{1}{q}=1`$. Let $`T(X)`$ and suppose that there exist a $`SQ_p(X)`$-space $`Y`$, operators $`V_1:YX`$, $`V_2:XY`$, and $`C_1(Y)`$, and a function $`\beta :_+_+^{}`$ such that

$$\underset{n=0}{\overset{+\mathrm{}}{}}\frac{1}{\beta (n)^q}T^nV_1C_1^nV_2^q=s^q<+\mathrm{}.$$

Then there is a Banach space $`E`$ which is a $`SQ_p(X)`$-space and an isomorphism $`L:EX`$ such that, if $`T_1=L^1TL(E)`$, then $`T_1`$ is $`p`$-completely polynomially dominated by $`C_1S(E\mathrm{}_p(\beta ,X))`$.

###### 4.6 Remark.

As was communicated to the author by V. Paulsen, it is possible to prove in a different way Corollary 4.4 using Theorem 2.3. We have chosen to present a direct proof of its Banach space version because of the applications of Theorem 4.5 which are of independent interest. A Banach space version of Theorem 3.3 can be given using Theorem 4.5 and the factorization theorem for $`p`$-completed bounded maps of Pisier \[Pi1\], \[Pi2\]. We will not develop this idea here.

## 5. Several applications

We present now briefly several applications of the main results.

A Banach space Rota theorem. It has already been mentioned that Rota’s theorem is a consequence of Corollary 3.5. The following application of Theorem 4.5 is a refined Banach space version of Rota theorem.

###### 5.1 Corollary.

Let $`X`$ be a Banach space and suppose that $`T(X)`$ has a spectral radius smaller than $`1`$. Then, for every $`p>1`$, there exist a Banach space $`E`$ which is a quotient of $`\mathrm{}_p(X)`$ and an isomorphism $`L:EX`$ such that, if $`T_1=L^1TL(E)`$, then

(5.1)
$$p(T_1)_{(E)}p(S)_{(\mathrm{}_p(X))}$$

for each analytic polynomial $`p`$ ; even more generally,

$$[p_{ij}(T_1)]_{(\mathrm{}_p^n(E))}[p_{ij}(S)]_{(\mathrm{}_p^n(X))}$$

for all matrices of polynomials.

Equation (5.1) shows in particular that $`T_1`$ is a contraction. It was conjectured in 1966 by V. I. Matsaev (see \[Pe\]) that

$$p(T_1)p(S)_{(\mathrm{}_p)}$$

holds for all contractions $`T_1`$ on an infinite dimensional $`L_p`$-space. Several partial results are now known \[Pe\] but the conjecture is still open. The above theorem shows that if the spectral radius $`r(T)`$ of $`T(X)`$ is smaller than one, then $`T`$ is similar to an operator on a quotient $`E`$ of $`\mathrm{}_p(X)`$ completely polynomially dominated by $`S`$ on $`\mathrm{}_p(X)`$.

If we ask only for a $`SQ_p(X)`$-space $`E`$ and not for a quotient of $`\mathrm{}_p(X)`$, the proof of Corollary 5.1 follows easily from Theorem 4.5. Indeed, if $`r(T)<1`$, and $`\frac{1}{p}+\frac{1}{q}=1`$, then

$$\underset{n0}{}T^n^q<+\mathrm{}$$

and thus Theorem 4.5 is applicable with $`C_1=0`$. We postpone the proof of Corollary 5.1 (with $`E`$ a quotient of $`\mathrm{}_p(X)`$) to the last Section.

Operators of class $`C_\rho `$. Let $`\rho >0`$. Operators of class $`C_\rho `$ are defined as operators having $`\rho `$-dilations : $`T(H)`$ is in $`C_\rho `$ if there exists a larger Hilbert space $`KH`$ and a unitary operator $`U`$ on $`K`$ such that

$$T^nh=\rho P_HU^nh,hH.$$

Thus contractions are operators of class $`C_1`$. An operator $`T`$ is in $`C_2`$ if and only if $`\omega (T)1`$. We refer to \[SNF\] for more information on operators of class $`C_\rho `$.

A more general class of operators can be constructed as follows \[Ra\]. Let $`(\rho _n)_{n1}`$ be a sequence of positive numbers. We say that $`T(H)`$ is of class $`C_{\rho _1,\rho _2,\mathrm{}}`$ if there exists a larger Hilbert space $`KH`$ and a unitary operator $`U`$ on $`K`$ such that

(5.2)
$$T^nh=\rho _nP_HU^nh,hH,$$

for all $`n1`$. The operator $`T`$ satisfies (5.2) if and only if the spectrum of $`T`$ is in the closed unit disc and

$$\text{ Re }\left[I+\underset{n1}{}\frac{2\lambda ^n}{\rho _n}T^n\right]0(|\lambda |<1).$$

###### 5.2 Corollary (Rácz).

Let $`(\rho _n)_{n1}`$ be a sequence of positive numbers. Suppose that there exist $`k1`$ and $`M>0`$ such that

$$\underset{n=1}{\overset{\mathrm{}}{}}(\rho _{nk}M)^2<\mathrm{}.$$

Then every operator of class $`C_{\rho _1,\rho _2,\mathrm{}}`$ is similar to a contraction.

For the proof, denote $`S=T^k`$. Then $`S^n=\rho _{nk}V^{}U^{nk}V`$ with a suitable isometry $`V`$ and a unitary $`U`$. It follows that

$$S^nMV^{}U^{nk}VS^n\rho _{nk}V^{}U^{nk}V+|\rho _{nk}M|.$$

Using Theorem 4.1, with $`C_1=U^k`$, it follows that $`S=T^k`$ is similar to a contraction and thus $`T`$ has the same property (cf. \[Ha\]).

If $`M=\rho _1=\rho _2=\mathrm{}=\rho `$, we obtain the following result originally proved by Sz.-Nagy and Foias in 1967.

###### 5.3 Corollary (Sz-Nagy-Foias).

Every operator of class $`C_\rho `$ is similar to a contraction.

Completely bounded maps on $`z^dA(𝔻)`$. Let $`d1`$ be an integer and let $`z^dA(𝔻)`$ be the non-unital subalgebra of the disc algebra $`A(𝔻)`$ consisting of all functions $`fA(𝔻)`$ such that $`f(0)=f^{}(0)=\mathrm{}f^{(d1)}(0)=0`$.

What happens if the inequality of complete dominance with finite bound holds only for polynomials in $`z^dA(𝔻)`$ ? We consider for simplification only Hilbert space operators. We refer to \[Pi2, p.80\] and to \[Ma\] for related results in the Banach space situation.

###### 5.4 Corollary.

Let $`T(H)`$ and $`C(H_c)`$ be two Hilbert space operators such that

$$\left[p_{ij}(T)\right]_{1i,jn}M\left[p_{ij}(C)\right]_{1i,jn},$$

for all positive integers $`n`$ and all $`n\times n`$ matrices of polynomials $`p_{ij}`$ in $`z^dA(𝔻)`$. Then $`T`$ is similar to an operator completely polynomially dominated by $`CS(H_c\mathrm{}_2)`$.

For the proof, note that the map $`P(C)P(T)`$ defined on the subspace

$$\{P(C):Pz^dA(𝔻),P\text{ polynomial }\}$$

is completely bounded. By the factorization theorem \[Pi2, Theorem 3.6\], we can write

$$P(T)=V_1\pi (P(C))V_2;Pz^dA(𝔻)$$

with suitable operators $`V_1`$, $`V_2`$ and a unital C-algebraic representation $`\pi `$ on $`(H_c)`$. Let $`C_1=\pi (C)`$. We obtain

$$T^k=V_1C_1^kV_2;kd.$$

This shows that $`T`$ is quadratically near $`C_1`$. The conclusion follows now from Corollary 4.4.

###### 5.5 Corollary (Paulsen criterion for $`z^dA(𝔻)`$).

Let $`d1`$. Let $`T(H)`$ and suppose that

$$\left[p_{ij}(T)\right]_{1i,jn}M\underset{|z|=1}{sup}\left[p_{ij}(z)\right]_{1i,jn},$$

for all positive integers $`n`$ and all $`n\times n`$ matrices of polynomials $`p_{ij}`$ in $`z^dA(𝔻)`$. Then $`T`$ is similar to a contraction.

CAR-valued Foguel-Hankel operators. We use notation as above.

###### 5.6 Corollary.

Let $`\alpha =(\alpha _0,\alpha _1,\mathrm{})`$ be a sequence in $`\mathrm{}^2`$ such that

$$B_3:=\underset{k0}{}(k+1)^3|\alpha _k|^2<+\mathrm{}.$$

Then $`R(Y_\alpha )`$ is similar to a contraction.

Proof. Set $`R(0)=S^{(\mathrm{})}S^{(\mathrm{})}`$. Using the notations of \[DP\], we have

$$R(Y_\alpha )^nR(0)^n𝒴_\alpha (z^n).$$

It was proved in \[DP\] that

$$𝒴_\alpha (z^n)(n+1)\left[\underset{in}{}|\alpha _i|^2\right]^{1/2}.$$

We obtain

$$\underset{n0}{}R(Y_\alpha )^nR(0)^n^2\underset{n0}{}(n+1)^2\left[\underset{in}{}|\alpha _i|^2\right].$$

By a Abel summation method, the series $`_{n0}(n+1)^2\left[_{in}|\alpha _i|^2\right]`$ is convergent if

$$\underset{n0}{}\left[\underset{0in}{}(i+1)^2\right]|\alpha _n|^2$$

it is. It is indeed convergent because of our assumption on $`B_3`$. Therefore $`R(Y_\alpha )`$ is quadratically near the contraction $`R(0)`$ and thus similar to a contraction.

We still don’t know if $`B_2`$ finite implies $`R(Y_\alpha )`$ similar to a contraction. Nevertheless, the following similarity result holds.

###### 5.7 Corollary.

Let $`\alpha =(\alpha _0,\alpha _1,\mathrm{})`$ be a sequence in $`\mathrm{}^2`$ such that

$$B_2:=\underset{k0}{}(k+1)^2|\alpha _k|^2<+\mathrm{}.$$

Then $`R(Y_\alpha )`$ is similar to an operator completely polynomially dominated by $`R(0)D`$, where $`D(\mathrm{}_2)`$ is the Dirichlet shift, i.e. the weighted unilateral shift with weights $`w_n=\sqrt{(n+2)/(n+1)}`$.

Note that $`R(0)`$ is a contraction while the Dirichlet shift is expansive ; it is however a $`2`$-isometry \[AS\], that is $`I2D^{}D+D^2D^2=0`$.

The proof is similar to the proof of the precedent corollary : if $`\beta (n)=\sqrt{n+1}`$, then

$$\frac{1}{\beta (n)}R(Y_\alpha )^nR(0)^n\sqrt{n+1}\left[\underset{in}{}|\alpha _i|^2\right]^{1/2}.$$

This shows that

$$\underset{n0}{}\frac{1}{n+1}R(Y_\alpha )^nR(0)^n^2\underset{n0}{}(n+1)\left[\underset{in}{}|\alpha _i|^2\right]$$

and the right hand side is convergent if $`B_2<+\mathrm{}`$. Apply Corollary 4.4 with $`\beta (n)=\sqrt{n+1}`$ and $`C_1=R(0)`$.

###### 5.8 Remark.

Corollary 5.6 was obtained as a particular case of a general theorem. Using other methods, Vern Paulsen and the author improved Corollary 5.6 as follows : $`R(Y_\alpha )`$ is similar to a contraction if there exists $`\epsilon >0`$ such that

$$B_{2+\epsilon }:=\underset{k0}{}(k+1)^{2+\epsilon }|\alpha _k|^2<+\mathrm{}.$$

Details will be given elsewhere \[BPa\]. A different sufficient condition for the similarity to contractions of operator-valued Foguel-Hankel operators was given by G. Blower \[Bl\].

## 6. Proof of Theorem 4.5

Put, for simplicity, $`C_1=C`$. Let $`\gamma `$ be a positive constant. We will chose this constant in the proof of Theorem 4.1 in the next section when estimating the similarity constant.

Set

(6.1)
$$\left|x\right|^p=inf\{\gamma ^p\underset{n0}{}C^nV_2x_n_Y^p+\underset{n0}{}\beta (n)^px_n^p:x=\underset{k0}{}T^kx_k\},$$

the $`inf`$ being taken over all (finite) decompositions of $`x`$ as sums of powers of $`T`$ applied to elements of $`X`$.

###### 6.1.

$`||`$ is a seminorm. Take two decompositions

$$x=\underset{k=0}{\overset{d}{}}T^kx_k$$

and

$$y=\underset{k=0}{\overset{d}{}}T^ky_k$$

for fixed $`x`$ and $`y`$ in $`X`$. By adding eventually $`x_k=0`$ or $`y_k=0`$, we may assume that decompositions have the same length $`d+1`$. This will be always used in the sequel without any further comment.

Using the triangle inequality $`a+ba+b`$ in $`\mathrm{}_p^{d+1}(X)`$ for

$$a=(\gamma \underset{n=0}{\overset{d}{}}C^nV_2x_n,\beta (0)x_0,\beta (1)x_1,\mathrm{},\beta (p)x_p)$$

and

$$b=(\gamma \underset{n=0}{\overset{d}{}}C^nV_2y_n,\beta (0)y_0,\beta (1)y_1,\mathrm{},\beta (p)y_p)$$

and taking the infimum over all representations of $`x`$ and $`y`$, we get

$$|x+y||x|+|y|.$$

The proofs of the inequality $`|\lambda x||\lambda ||x|`$ and its converse are left to the reader.

###### 6.2.

$`||`$ is an equivalent norm. The representation $`x=x_0+Tx_1`$ with $`x_0=x`$ and $`x_1=0`$, gives

$$|x|^p\gamma ^pV_2x^p+\beta (0)^px^p(\gamma ^pV_2^p+\beta (0)^p)x^p$$

and therefore

(6.2)
$$|x|\left[\gamma ^pV_2^p+\beta (0)^p\right]^{1/p}x.$$

For the converse inequality, suppose that

$$x=x_0+Tx_1+\mathrm{}+T^dx_d.$$

We have

$`x`$ $`=`$ $`{\displaystyle \underset{k=0}{\overset{d}{}}}V_1C^kV_2x_k+{\displaystyle \underset{k=0}{\overset{d}{}}}(T^kV_1C^kV_2)x_k`$
$``$ $`{\displaystyle \frac{1}{\gamma }}V_1\gamma {\displaystyle \underset{k=0}{\overset{d}{}}}C^kV_2x_k+{\displaystyle \underset{k=0}{\overset{d}{}}}{\displaystyle \frac{1}{\beta (k)}}T^kV_1C^kV_2\beta (k)x_k.`$
By using the Hölder inequality, the last quantity is less or equal than

$$\left[\frac{1}{\gamma ^q}V_1^q+\underset{k=0}{\overset{d}{}}\frac{1}{\beta (k)^q}T^kV_1C^kV_2^q\right]^{1/q}\left[\gamma ^p\underset{k=0}{\overset{d}{}}C^kV_2x_k^p+\underset{k=0}{\overset{d}{}}\beta (k)^px_k^p\right]^{1/p}.$$

Taking the infimum over all representations of $`x`$, we obtain

(6.3)
$$x\left[\frac{V_1^q}{\gamma ^q}+s^q\right]^{1/q}|x|.$$

Thus $`||`$ is a norm equivalent to the original one and, using (6.2) and (6.3), we have

(6.4)
$$\left[\frac{V_1^q}{\gamma ^q}+s^q\right]^{1/q}x|x|\left[\gamma ^pV_2^p+\beta (0)^p\right]^{1/p}x.$$

We denote by $`E`$ the Banach space $`X`$ endowed with the new norm $`||`$.

###### 6.3.

The Banach space $`E`$ is a $`SQ_p(X)`$-space. Let $`x_jX`$, $`j=1,\mathrm{},n`$, with their decompositions

$$x_j=\underset{k0}{}T^kx_j^{(k)}.$$

Let $`a=[a_{ij}]M_n()`$ be a matrix such that $`a_{p,X}1`$. This means that

(6.5)
$$\underset{i}{}\underset{j}{}a_{ij}y_j^p\underset{j}{}y_j^p$$

for all $`y_jX`$, $`j=1,\mathrm{},n`$. We will then have

$$\underset{j=1}{\overset{n}{}}a_{ij}x_j=\underset{k}{}T^k\left(\underset{j}{}a_{ij}x_j^{(k)}\right).$$

By Hernandez theorem we have to prove that $`a_{p,E}a_{p,X}`$. Recall that $`Y`$ is a $`SQ_p(X)`$-space. We have

$`{\displaystyle \underset{i}{}}|{\displaystyle \underset{j}{}}a_{ij}x_j|^p`$
$``$ $`{\displaystyle \underset{i}{}}\left(\gamma ^p{\displaystyle \underset{k}{}}C^kV_2({\displaystyle \underset{j}{}}a_{ij}x_j^{(k)})_Y^p+{\displaystyle \underset{k}{}}\beta (k)^p{\displaystyle \underset{j}{}}a_{ij}x_j^{(k)}^p\right)`$
$`=`$ $`\gamma ^p{\displaystyle \underset{i}{}}{\displaystyle \underset{j}{}}a_{ij}({\displaystyle \underset{k}{}}C^kV_2x_j^{(k)})_Y^p+{\displaystyle \underset{k}{}}\beta (k)^p{\displaystyle \underset{i}{}}{\displaystyle \underset{j}{}}a_{ij}x_j^{(k)}^p`$
$``$ $`\gamma ^p{\displaystyle \underset{j}{}}{\displaystyle \underset{k}{}}C^kV_2x_j^{(k)}_Y^p+{\displaystyle \underset{k}{}}\beta (k)^p{\displaystyle \underset{j}{}}x_j^{(k)}^p`$
$`(\text{ by using Eq. (}\text{6.5}\text{) for }X\text{ and }Y\text{ })`$
$`=`$ $`{\displaystyle \underset{j}{}}\left(\gamma ^p{\displaystyle \underset{k}{}}C^kV_2x_j^{(k)}^p+{\displaystyle \underset{k}{}}\beta (k)^px_j^{(k)}^p\right).`$
By taking infimum over all possible decompositions we get

$$\underset{i}{}|\underset{j}{}a_{ij}x_j|^p\underset{j}{}|x_j|^p$$

and therefore $`E=(X,||)`$ is a $`SQ_p(X)`$-space.

###### 6.4.

The operator $`T`$ with respect to $`||`$. Let $`x`$ be decomposed as $`x=_{k0}T^kx_k`$ and let

$$P(z)=\underset{s=0}{\overset{d}{}}a_sz^s$$

be a fixed polynomial. Then

$$P(T)x=\underset{k}{}T^k\left(\underset{i+j=k}{}a_ix_j\right)$$

is a decomposition of $`P(T)x`$. We obtain

$$|P(T)x|^p\mathrm{\Sigma }_1+\mathrm{\Sigma }_2,$$

where the two sums are given by

$$\mathrm{\Sigma }_1=\gamma ^p\underset{k}{}C^kV_2\left(\underset{i+j=k}{}a_ix_j\right)^p$$

and

$$\mathrm{\Sigma }_2=\underset{k}{}\beta (k)^p\underset{i+j=k}{}a_ix_j^p.$$

The first sum. Since

$$\underset{k}{}C^kV_2\left(\underset{i+j=k}{}a_ix_j\right)=\underset{m}{}a_mC^m\left(\underset{n}{}C^nV_2x_n\right),$$

we have

$$\mathrm{\Sigma }_1=\gamma ^pP(C)\left(\underset{n}{}C^nV_2x_n\right)^p\gamma ^pP(C)_{(Y)}^p\underset{n}{}C^nV_2x_n^p.$$

The second sum. The shift operator on $`\mathrm{}_p(\beta ,X)`$, also denoted by $`S`$ acts by

$$S(z_0,z_1,\mathrm{})=(0,z_0,z_1,\mathrm{}).$$

Denote $`\stackrel{~}{x}=(x_0,x_1,\mathrm{})\mathrm{}_p(\beta ,X)`$, where $`x_k`$ are the elements occuring in the (finite) decomposition of $`x`$. The $`n`$th component of $`P(S)\stackrel{~}{x}\mathrm{}_p(\beta ,X)`$ is $`_{i+j=n}a_ix_j`$ ; hence

$`\mathrm{\Sigma }_2`$ $`=`$ $`{\displaystyle \underset{k}{}}\beta (k)^p{\displaystyle \underset{i+j=k}{}}a_ix_j^p`$
$`=`$ $`P(S)\stackrel{~}{x}_{\mathrm{}_p(\beta ,X)}^p`$
$``$ $`P(S)_{(\mathrm{}_p(\beta ,X))}^p\left({\displaystyle \underset{n0}{}}\beta (n)^px_n^p\right).`$
Combining now the estimates for the two sums, we obtain

$$|P(T)x|^p\mathrm{max}(P(C)^p,P(S)_{(\mathrm{}_p(\beta ,X))}^p)\left(\gamma ^p\underset{n0}{}C^nV_2x_n^p+\underset{n0}{}\beta (n)^px_n^p\right).$$

Taking the infimum over all representations of $`x`$ we get

$$|P(T)x|\mathrm{max}(P(C)_{(Y)},P(S)_{(\mathrm{}_p(\beta ,X))})|x|.$$

Therefore

$$P(T)_{B(E)}\mathrm{max}(P(C)_{(Y)},P(S)_{(\mathrm{}_p(\beta ,X))}).$$

In an analogous way it can be proved that

$$[P_{ij}(T)]_{B(\mathrm{}_p^n(E))}\mathrm{max}([P_{ij}(C)]_{(\mathrm{}_p^n(Y))},[P_{ij}(S)]_{(\mathrm{}_p^n(\beta ,X))})$$

for all polynomials with matrix coefficients. We omit the details.

## 7. Remaining proofs

Proof of Theorem 4.1 Set again $`C_1=C`$. Consider the equivalent norm $`||`$ as defined in the previous proof ($`p=q=2`$, $`X=H`$ and $`\gamma `$ to be precised later on). Since the class of Hilbert spaces is stable by taking subspaces, quotients and ultraproducts of spaces of the form $`L_2(\mu ;H)`$, $`E`$ is Hilbertian, that is, the new norm $`||`$ comes from an inner product. Also, the unilateral shift $`S`$ on $`\mathrm{}_2(\beta )`$ is unitarily equivalent to the weighted shift $`S_{w(\beta )}`$ on $`\mathrm{}_2`$ \[Sh\]. The other parts of the preceding proofs, excepting the inequality corresponding to (6.3), are the same. The proof of the inequality

$$x\left[\frac{V_1^2}{\gamma ^2}+s^2\right]^{1/2}|x|$$

runs as follows.

Suppose $`x=x_0+Tx_1+\mathrm{}+T^dx_d`$. We have

$`x`$ $`=`$ $`{\displaystyle \underset{k=0}{\overset{d}{}}}V_1C^kV_2x_k+{\displaystyle \underset{k=0}{\overset{d}{}}}(T^kV_1C^kV_2)x_k`$
$``$ $`{\displaystyle \frac{1}{\gamma }}V_1{\displaystyle \underset{k=0}{\overset{d}{}}}\gamma C^kV_2x_k+{\displaystyle \underset{k=0}{\overset{d}{}}}(T^kV_1C^kV_2)x_k.`$
Let $`yH`$. It follows from Lemma 2.6 that

$$\underset{n=0}{\overset{+\mathrm{}}{}}\frac{1}{\beta (n)^2}(T^nV_1C_1^nV_2)^{}y^2s^2y^2.$$

We obtain

$`|{\displaystyle \underset{k=0}{\overset{d}{}}}(T^kV_1C^kV_2)x_k,y|`$ $`=`$ $`|{\displaystyle \underset{k=0}{\overset{d}{}}}\beta (k)x_k,{\displaystyle \frac{1}{\beta (k)}}(T^kV_1C^kV_2)^{}y|`$
$``$ $`[{\displaystyle \underset{k}{}}\beta (k)^2x_k^2)^{1/2}\left]\right[{\displaystyle \underset{n=0}{\overset{d}{}}}{\displaystyle \frac{1}{\beta (n)^2}}(T^nV_1C_1^nV_2)^{}y^2]^{1/2}`$
$``$ $`[{\displaystyle \underset{k}{}}\beta (k)^2x_k^2)^{1/2}]sy.`$
Therefore

$$\underset{k=0}{\overset{d}{}}(T^kV_1C^kV_2)x_ks\left[\underset{k}{}\beta (k)^2x_k^2\right]^{1/2}.$$

Another application of the Cauchy-Schwarz inequality yields

$`x`$ $``$ $`{\displaystyle \frac{1}{\gamma }}V_1{\displaystyle \underset{k=0}{\overset{d}{}}}\gamma C^kV_2x_k+s\left[{\displaystyle \underset{k}{}}\beta (k)^2x_k^2\right]^{1/2}`$
$``$ $`\left[{\displaystyle \frac{1}{\gamma ^2}}V_1^2+s^2\right]^{1/2}\left[{\displaystyle \underset{k}{}}\gamma C^kV_2x_k^2+{\displaystyle \underset{k}{}}\beta (k)^2x_k^2\right]^{1/2}.`$
Taking the infimum over all representations of $`x`$, we obtain

$$x\left[\frac{V_1^2}{\gamma ^2}+s^2\right]^{1/2}|x|.$$

This gives the similarity statement.

We prove now the estimate for the similarity constant. From Equation (6.4) and the proof given above we have

$$C_{sim}(T,𝒞𝒟𝒪(CS_{w(\beta )}))\left[\frac{V_1^2}{\gamma ^2}+s^2\right]^{1/2}\left[\gamma ^2V_2^2+\beta (0)^2\right]^{1/2}.$$

By assuming $`C=0`$ if necessary, we may assume that $`V_2`$ is not the null operator. If $`s0`$, choose

$$\gamma =\left[\frac{\beta (0)V_1^{}}{sV_2}\right]^{1/2}.$$

We then have

$$C_{sim}(T,𝒞𝒟𝒪(CS_{w(\beta )}))^2(V_1^{}V_2+\beta (0)s)^2.$$

If $`s=0`$, then $`T^n=V_1C^nV_2`$ and thus $`T`$ is completely polynomially dominated by $`C`$ with bound $`V_1V_2`$. Apply now Theorem 2.3. Note that in this case $`S_{w(\beta )}`$ is absent from the direct sum. The proof of Theorem 4.1 is now complete.

Proof of Corollary 5.1. The proof of this version of Rota theorem is similar to the proof of Theorem 4.5. Indeed, if $`C=0`$, then the new norm $`||`$ is given by

$$|x|^p=inf\{\underset{n0}{}\beta (n)^px_n^p:x=\underset{k0}{}T^kx_k\},$$

the $`inf`$ being taken over all (finite) decompositions of $`x`$ as sums of powers of $`T`$ applied to elements of $`X`$. This is the quotient norm of $`\mathrm{}_p(X)/\text{ Ker }(\psi )`$, where the onto map $`\psi `$ is given by

$$\mathrm{}_p(X)(x_0,x_1,\mathrm{})\psi (x_0,x_1,\mathrm{})=\underset{k}{}T^kx_kX.$$

Take $`E`$ to be $`X`$ with this new norm. The rest of the proof is the same.

Proof of Proposition 3.1. For the first part of the theorem, it is sufficient to prove that an operator asymptotically near an isometry is similar to an isometry. Indeed, if we suppose that

$$\underset{n\mathrm{}}{lim}T^nL^1V^nL=0,$$

with $`V`$ an isometry, then

$$(LTL^1)^nV^n=L(T^nL^1V^nL)L^1$$

tends to $`0`$ as $`n`$ goes to infinity and so we will obtain the similarity of $`LTL^1`$, so of $`T`$, to an isometry.

Now, if $`T`$ is asymptotically near an isometry $`V`$, then for each $`r]0,1[`$ there exists $`k_+`$ such that

$$\underset{nk}{sup}T^nV^nr.$$

Set $`R=T^k`$ and $`W=V^k`$ ($`W`$ is an isometry). We obtain

$$\underset{m1}{sup}R^mW^mr<1.$$

This implies that, for each $`x`$ and each $`m1`$,

$$(1r)x=W^mxrxW^mxR^mxW^mxR^mx(1+r)x.$$

By a theorem of Sz.-Nagy \[SzNa\], $`R=T^k`$ is similar to an isometry and this implies \[Po, Corollary 4.2\] that $`T`$ is similar to an isometry.

Suppose now that $`T`$ is asymptotically near a unitary $`U`$. By the first part of the proof, $`T`$ is similar to an isometry. Therefore we can write $`V^{}=L^1T^{}L`$, with $`V`$ an isometry, for a suitable invertible operator $`L`$. But $`T^{}`$ is asymptotically near the isometry $`U^{}`$ and so $`T^{}`$ is similar to an isometry. This implies that $`T^{}`$ and $`V^{}`$ are injective and so the isometry $`V`$ is also onto. Therefore $`V`$ is unitary and so $`T`$ is similar to a unitary.


text:
# Superfluid and Dissipative Dynamics of a Bose-Einstein Condensate in a Periodic Optical Potential

## Abstract

We create Bose-Einstein condensates of 87Rb in a static magnetic trap with a superimposed blue-detuned 1D optical lattice. By displacing the magnetic trap center we are able to control the condensate evolution. We observe a change in the frequency of the center-of-mass oscillation in the harmonic trapping potential, in analogy with an increase in effective mass. For fluid velocities greater than a local speed of sound, we observe the onset of dissipative processes up to full removal of the superfluid component. A parallel simulation study visualizes the dynamics of the BEC and accounts for the main features of the observed behavior.

Bose-Einstein condensates (BEC) in dilute atomic gases are macroscopic quantum systems which can be manipulated by a variety of experimental techniques . The current development of such techniques is opening up a wealth of possibilities to explore new physics, e.g., in non-linear atom optics , and to study various aspects of superfluid behavior in the precisely controllable context of atomic physics .

Atoms confined in a periodic potential share some properties with systems of electrons in crystals. Effects known from solid state physics, like Bloch oscillations and Wannier-Stark ladders, have been observed by exposing cold atoms to the dipole potential of far detuned optical lattices . Macroscopic quantum interference has been observed in an experiment on a BEC confined to the antinodes of a far detuned optical lattice . Bragg diffraction from a condensate has been induced in moving optical lattices . This has been used, e.g., as an atom-laser outcoupler  and as a tool for spectroscopy of the momentum in BEC’s . Applications of BEC’s in periodic potentials range from matter-wave transport  to interferometry  and quantum computing . The question of the stability of the BEC during the evolution in optical potentials is crucial for these applications and has been addressed in theoretical works .

In this Letter we report on some novel aspects of superfluidity in BEC’s by studying their center-of-mass oscillations inside the harmonic potential of a magnetic trap in presence of a one-dimensional (1D) optical lattice. We identify different dynamical regimes by varying the initial displacement of the BEC from the bottom of the trap. For small displacements the BEC performs undamped oscillations in the harmonic potential and feels the periodic potential only through a shift in the oscillation frequency. At larger displacements we observe the onset of dissipative processes appearing through a damping in the oscillations. We can describe the experimental results in terms of an inhomogeneous superfluid having a density-dependent critical velocity. In parallel we report numerical studies of the Gross-Pitaevskii equation (GPE), which capture the main features of the observed dynamics.

In our experimental setup  we now produce BEC’s of 87Rb atoms in the (F=1,mF= $`1`$) state. The fundamental frequencies of our Ioffe-type magnetic trap are $`\omega _x=2\pi \times 8.7`$ Hz and $`\omega _{}=2\pi \times 90`$Hz along the axial and radial directions, respectively. The condensates are cigar-shaped with the long axis (the $`x`$-axis) oriented horizontally. With a number of atoms $`N=4\times 10^5`$, the typical dimensions (Thomas-Fermi radii) are $`R_x=55\mu `$m and $`R_{}=5.5\mu `$m.

We create a 1D optical lattice by superimposing to the long axis of the magnetic trap a far detuned, retroreflected laser beam with wavelength $`\lambda `$. The waist of the beam is two orders of magnitude larger than the short condensate axis, and therefore the resulting dipole potential in the condensate region has the form $`V(\stackrel{}{r})=V_0\mathrm{cos}^2(2\pi x/\lambda )`$. With a blue detuning $`\delta =2\pi \times 50`$GHz from the D1-line at $`\lambda _0795`$nm and an intensity $`I=1`$mW/mm2 in the antinodes of the standing wave, the dipole potential height of an optical lattice well is $`V_0/k_B270`$nK . The spontaneous scattering rate in the antinodes is $`\mathrm{\Gamma }_{sp}0.7`$Hz at this detuning and intensity.

To prepare the atomic cloud in the ground state of the combined magnetic trap and optical lattice we first perform evaporative cooling in the magnetic trap until we reach a temperature slightly above the critical temperature, $`T1.5T_c`$. Then we superimpose the optical lattice and continue with the evaporation process down to a temperature $`TT_c/2`$, where the thermal cloud is no longer observable. We have checked that the time at which we switch on the optical lattice does only affect the atom number according to the spontaneous scattering rate, but does not influence the BEC dynamics as long as the potential is switched on at temperature above $`T_c`$. It is important to note that, for the dipole potential strengths and atom numbers which are used in the experiments, the modulated atomic density does not vanish in the antinodes of the lattice but reaches a minimum value which is significantly different from zero.

Figure 1 shows the density distribution along the $`x`$-axis, as obtained by numerical propagation of the 3D GPE in imaginary time . Here, the condensate spans about 250 lattice sites. In the experiment, the density modulation on the length scale of $`\lambda /2`$ cannot be resolved, due to the limited resolution ($`7\mu `$m) of the absorption-imaging system. The modulation on a short length scale raises the chemical potential to the value $`\mu /k_B170nK`$ for $`N=3\times 10^5`$ in the combined trap. Instead, in the purely magnetic trap we have $`\mu /k_B47nK`$.

In order to investigate the dynamics of the system we translate the magnetic trapping potential in the $`x`$-direction by a variable distance $`\mathrm{\Delta }x`$ ranging up to $`300\mu `$m by changing the currents through the coils of the magnetic trap. The translation takes a few milliseconds, which is short compared to the longitudinal oscillation period $`2\pi /\omega _x`$. Therefore, the BEC finds itself out of equilibrium and is subject to a potential gradient which forces it into motion. The presence of the magnetic trapping potential ensures that the atomic cloud maintains its high density (maximum density $`n_{max}1.5\times 10^{14}\text{cm}^3`$). After an evolution time $`t_{ev}`$ in the displaced trap, both the magnetic trapping and the optical lattice are switched off simultaneously and the cloud is imaged after an additional free expansion of 26.5 ms. The imaging beam is horizontal and directed perpendicularly to the long condensate axis. From the absorption image we deduce the center-of-mass motion and gain information on the distortion of the BEC.

In the absence of the optical lattice, the center-of-mass motion of the BEC in the displaced trap is an undamped oscillation with frequency $`\omega _x=2\pi \times 8.7`$Hz and amplitude $`\mathrm{\Delta }x`$, to which in the following we refer to as the “free oscillation”. After switching on the optical lattice we observe dynamics in different regimes.

For small displacements, $`\mathrm{\Delta }x<50\mu `$m, the dynamics of the BEC resembles the free oscillation at the same amplitude but with a significant shift in frequency. Figure 2 shows a comparison of free oscillations and oscillations with superimposed lattice for $`\mathrm{\Delta }x=(31\pm 3)\mu `$m. For the lattice potential $`V_0/k_B270`$nK we find a shifted frequency $`\omega ^{}=2\pi \times (8.0\pm 0.1)`$Hz. As can be seen from Fig. 2, this frequency shift is also reproduced in numerical simulations of the 1D GPE using an explicit time-marching method .

The frequency shift can be explained in terms of a renormalization of the atomic mass in the band states originating from the periodic potential. From the data in Fig. 2 we obtain an effective mass $`m^{}/m=(\omega _x/\omega ^{})^2=1.18\pm 0.02`$. Different from earlier experiments on cold atoms in an optical lattice under constant acceleration , in the present small-amplitude regime under harmonic forces we are only exploring the states near the Brillouin zone center. The above value of $`m^{}`$ refers, therefore, to states near the bottom of the energy band.

The essentially undamped oscillations of the BEC on the time scale of the experiments in the present small-amplitude regime is a manifestation of superfluid behavior. The coherent condensate is being accelerated through band states as if it were a quasi-particle . Also, for small displacements we observe only marginal heating effects, i.e., the small thermal cloud of atoms accompanying the BEC can be fully accounted for by spontaneous scattering.

However, the BEC enters a regime of dissipative dynamics when we further increase the initial displacement $`\mathrm{\Delta }x`$ and hence the velocity of the condensate. In Fig. 3 we report the measured ratio between the first oscillation peak amplitude and the free-oscillation amplitude as a function of the trap displacement, together with the values from the numerical simulation. At a displacement $`\mathrm{\Delta }x50\mu `$m when the maximum velocity attained by the condensate is $`v3`$mm/s, this ratio suddenly deviates from unity, indicating the insurgence of dissipation in the condensate motion. As shown in the inset of Fig. 3, the subsequent dynamics is a damped oscillation of the center-of-mass at a greatly reduced frequency. The damping increases by further increasing the initial displacement, as is seen in the main body of Fig. 3, this behavior being also displayed by the simulation data in the same Figure.

With the onset of dissipative processes the condensate shape in the experiment becomes distorted and a much broader distribution, compatible with a thermal component appears. A thermal component is not allowed to arise in the numerical simulation, which is still based on the GPE. However, the density distribution of the condensate in the simulation becomes fragmented and its phase is completely randomized. That is, the condensate in this regime breaks up into subsystems residing in an essentially independent manner inside the various wells of the periodic potential.

Superfluidity can be expected to disappear when the velocity of flow is sufficient for the spontaneous emission of elementary excitations, as is the case for a homogeneous Bose gas . In a trapped condensate moving at sufficiently high velocities, emission of phonons and other excitations is favoured and the gas becomes heated . The essentially 1D dynamics of the present sample implies an important role for longitudinal phonon excitations in these processes, with a spectrum of critical velocities because of the inhomogeneity. In a simplified picture, the optical lattice can be viewed as a medium with a microscopic roughness, which leads to a velocity-dependent local compression of the gas moving through the planes of the lattice. This results in a friction force which damps the motion.

Let us therefore enquire about the relative number of atoms in the superfluid component of a BEC in a state of motion at a given velocity $`v`$, $`N_s(v)/N`$ say, with $`N`$ being the number of atoms inside the harmonic trap in the absence of the optical potential. In order to measure this function and to deduce a maximum critical velocity $`v_{max}`$, we have varied the displacement $`\mathrm{\Delta }x`$ and recorded the atomic distributions after a fixed evolution time $`t_{ev}=40`$ms. For low velocities, up to about $`2`$mm/s, the sample follows the position of a freely oscillating BEC, the ratio $`N_s/N`$ being a constant approximately equal to $`0.7`$. This reduction below unity is merely due to the loss of atoms by spontaneous scattering of photons from the optical lattice beams during the preparation of the BEC.

Upon increasing the velocity of the BEC, we observe a retardation of a part of the cloud, leading to a well detectable separation from the superfluid component after free evolution. For velocities $`v4`$mm/s we observe that only the central part of the fluid is moving without retardation, leading to a drastically changed aspect ratio with respect to the “unperturbed” BEC. The spatial separation from the thermal component allows a clear demonstration of the superfluid properties of inhomogeneous Bose-Einstein condensates and a precise measurement of the critical velocity. The data for $`N_s(v)/N`$ in Fig. 4 show a dramatic depletion of the number of atoms in the superfluid component as the velocity of the fluid increases.

To model the breakdown of superfluidity in the inhomogeneous density distribution of the trapped BEC in Fig. 4, we first discuss the position dependence of the longitudinal sound velocity in the sample. In an inhomogeneous system, as already pointed out by Andrews et al.  in discussing sound propagation in a magnetically trapped BEC, one may define a local speed of sound $`c_s(r)`$. This is given by $`c_s(r)=\sqrt{(n(r)/m)(\delta \mu /\delta n)}`$ , where within the Bogolubov approximation the stiffness constant $`\delta \mu /\delta n`$ would be equal to the coupling strength $`g`$. We have evaluated the appropriate stiffness constant by giving a longitudinal stretching (or squeezing) to our model system by a relative amount $`ϵ`$ of order $`1\%`$ at fixed transverse profile. We find $`\delta \mu /(\mu ϵ)0.7`$. Taking $`\mu /k_B170`$nK and $`\delta nnϵ`$ where $`n`$ is the average density ($`n0.4n_{max}6\times 10^{13}`$cm-3), we find $`c_{s,max}5.2`$mm/s for the maximum value of the local sound velocity at the peak of the BEC density. This is in excellent agreement with the data in Fig. 4, showing that complete destruction of the superfluid component occurs at $`v_{max}5`$mm/s.

Assuming, therefore, that the critical velocity $`v_c(r)`$ for local destruction of the superfluid component in the inhomogeneous condensate coincides with the local speed of sound $`c_s(r)`$, we have $`v_c(r)\sqrt{n(r)}`$. As observed, superfluidity breaks down first in the low-density regions. The envelope function of the density distribution of the BEC is an inverted parabola in 3D (see Fig. 1) and hence, by integration over the high-density region, we get an equation for the relative number of atoms in the superfluid part of the BEC for a given velocity $`v`$, $`N_s(v)/N=\left[5/2\times (1v^2/v_{max}^2)^{3/2}3/2\times (1v^2/v_{max}^2)^{5/2}\right]`$. This expression implies that about 90% of the atomic probability density is localized in a region which remains superfluid up to velocities $`vv_{max}/2`$. The line in Fig. 4 shows that the above expression for $`N_s(v)/N`$ gives a very good account of the data, the fitted value of the maximum velocity being $`v_{max}=(5.3\pm 0.5)`$mm/s.

In further experiments we have also observed indications that the dissipation onset occurs at higher velocities for decreasing $`V_0`$ and that the BEC propagates without dissipation in a regime of very low atom number. We plan to investigate these behaviors in detail in future work.

In conclusion, we have investigated the dynamics of BEC’s in a periodically modulated potential, both experimentally and in numerical simulations. By measuring the effect of the periodic potential on the sloshing-mode oscillation inside the harmonic trap we have determined an average effective mass of the atoms in the condensate. The combined use of a periodic optical potential with the harmonic confinement has allowed us to observe novel features of superfluidity in an inhomogeneous atomic BEC and to demonstrate a new technique for measuring a local density-dependent critical velocity.

The results of this work are of importance for future experiments using periodic potentials for the manipulation of Bose-Einstein condensates and for the understanding of dissipative processes in coherent matter waves. The precise control of the parameters promises to be a powerful tool for a quantitative exploration of novel regimes occuring at different atom numbers or tunnel barrier heights.

We acknowledge discussions with M. Artoni and A. Smerzi and support by the EU under Contract HPRI-CT 1999-00111 and HPRN-CT-2000-00125 and by MURST through the PRIN 1999 and PRIN 2000 Initiatives.