2 Spectral theory of regular graphs
We shall here present the basic results in the spectral theory of regular graphs, and state the main results this project aims to formalise.
2.1 Trivial eigenvalues
Let \(\mathfrak {d}\) be a non-negative integer. We know the spectrum of any regular graph is included in \([-\mathfrak {d},\mathfrak {d}]\) by Lemma 1.3.10. Let us first talk about the edges of this interval, \(\pm \mathfrak {d}\).
Assume \(G\) is not empty and locally finite. Then \(G\) is regular of degree \(\mathfrak {d}\) iff \(a \mathbf{1}= \mathfrak {d}\mathbf{1}\).
By Definition 1.1.24, \(G\) is regular of degree \(\mathfrak {d}\) if and only if for all \(x \in V(G)\), \(\deg (x)=\mathfrak {d}\). By Lemma 1.3.3, this is equivalent to having, for all \(x \in V(G)\), \(a \mathbf{1}(x) = \mathfrak {d}\), which is equivalent to \(a \mathbf{1}= \mathfrak {d}\mathbf{1}\) by Definition 1.2.2.
Assume \(G\) is regular of degree \(\mathfrak {d}\) and \(V(G)\) is finite. Then \(\mathfrak {d}\) is an eigenvalue of the adjacency operator with associated eigenfunction the constant function \(\mathbf{1}\).
If \(G\) is regular of degree \(\mathfrak {d}\) and \(V(G)\) is finite, then \(\| a\| =\mathfrak {d}\).
Assume \(G\) is regular of degree \(\mathfrak {d}\) and \(V(G)\) is finite. Then the multiplicity of the eigenvalue \(\mathfrak {d}\) is exactly the number of connected components of \(G\).
We treat differently the case \(\mathfrak {d}=0\), where \(a\) is identically equal to \(0\) and every function \(V(G) \rightarrow \mathbb {C}\) is in the kernel of \(a\), and hence the result holds since the connected components of \(G\) are all the \(\{ x\} \) for \(x \in V(G)\). Now assume \(\mathfrak {d}\neq 0\).
Lemma 1.3.2 implies that all locally constant functions are included in the eigenspace associated to the eigenvalue \(\mathfrak {d}\). Let us show the other inclusion. Assume \(f\) is such that \(af=\mathfrak {d}f\). In particular, \(\| af\| =\mathfrak {d}\| f\| \) and hence by the equality case in Lemma 1.3.6,
In particular
Note that this sum contains \(\mathfrak {d}\) terms and, for all \(d,d' \in \mathrm{dartSet}(x)\), \(f(\mathrm{end}(d))=f(\mathrm{end}(d'))\) so all of its terms are equal. Since \(\mathfrak {d}\neq 0\), we obtain that, for all \(d, d' \in \mathrm{dartSet}(G)\), \(f(\mathrm{end}(d))=f(\mathrm{end}(d'))\), i.e. \(f\) is locally constant.
By Theorem 1.2.17, the dimension of the space of locally constant functions is exactly the number of connected components of \(G\), which allows to conclude.
Assume \(G\) regular of degree \(\mathfrak {d}\geq 1\) and \(V(G)\) is finite. Then \(-\mathfrak {d}\) is an eigenvalue of \(a\) if and only if \(G\) has a bipartite connected component.
The following lemma will be useful.
Assume \(G\) is preconnected and \(E(G)\) is non-empty. Then \(G\) is bipartite iff there exists a non-zero function \(f : V(G) \rightarrow \mathbb {C}\) such that, for all \(x, y \in V(G)\), if \(x\) and \(y\) are adjacent, then \(f(x)=-f(y)\).
We first prove Lemma 2.1.6.
Assume \(G\) is bipartite. Then there exists a partition \(U_1, U_2\) of \(V(G)\) such that any edge of \(G\) has one end in \(U_1\) and the other in \(U_2\). Take \(f = \mathbf{1}_{U_1}-\mathbf{1}_{U_2}\). The function \(f\) is not equal to \(0\), since \(U_1\) is not empty, and for \(x \in U_1\), \(f(x)=1 \neq 0\). For any \(x, y \in V(G)\) adjacent, one of the following occurs:
either \(x \in U_1\) and \(y \in U_2\), and hence \(f(x)=1=-f(y)\);
or \(x \in U_2\) and \(y \in U_1\), and hence \(f(x)=-1=-f(y)\).
Now assume there exists a non-zero function \(f : V(G) \rightarrow \mathbb {C}\) such that, for any \(x, y \in V(G)\) adjacent, \(f(x)=-f(y)\). By assumption, \(E(G)\) is not empty, so there exists \(x \in V(G)\) with at least an adjacent vertex. For any \(y \in V(G)\), since \(G\) is preconnected, there exists a walk \(w\) from \(x\) to \(y\). We check by induction that the hypothesis on \(f\) implies \(f(y) = (-1)^{\mathrm{length}(w)}f(x)\). Since \(f \neq 0\), there exists \(y \in V(G)\) such that \(f(y) \neq 0\), from which we deduce \(f(x) \neq 0\). We define \(U_1=\{ y \in V(G) : f(y)=f(x)\} \) and \(U_2=\{ y \in V(G) : f(y)=-f(x)\} \).
By the previous computation, \(V(G) = U_1 \cup U_2\).
Since \(f(x) \neq 0\), \(U_1 \cap U_2 = \emptyset \).
\(U_1\) contains \(x\) and is hence not empty. We picked \(x\) so that it has at least one adjacent edge, which will be an element of \(U_2\), and hence \(U_2\) is not empty.
For any edge \(e \in E(G)\) linking two vertices \(y, z\), we check that \(y \in U_1 \Rightarrow x \in U_2\) and \(y \in U_2 \Rightarrow z \in U_1\) thanks to the fact that \(f(y)=-f(z)\).
So, \(G\) is bipartite.
We can now proceed to the proof of Proposition 2.1.5.
Let us assume that \(- \mathfrak {d}\) is an eigenvalue of \(a\). Then by definition there exists a non-zero function \(f \in \ell ^2(G)\) such that \(af=-\mathfrak {d}f\). In particular \(\| af\| =\mathfrak {d}\| f\| \). By the equality case in Lemma 1.3.6, for any \(x \in V(G)\), any \(y, z\) adjacent to \(x\), \(f(y)=f(z)\). But then we have for \(x \in V(G)\)
a sum with \(\mathfrak {d}\neq 0\) terms in which all terms are equal. Hence for any \(y\) adjacent to \(x\), \(f(y)=-f(x)\). Since \(f \neq 0\), there exists \(x \in V(G)\) such that \(f(x) \neq 0\). We apply Lemma 2.1.6 to the graph \(\mathrm{cc}(x)\) with the restriction of the function \(f\) (which we can do as \(\mathrm{cc}(x)\) is preconnected and has at least one edge since \(\deg (x) = \mathfrak {d}\geq 1\)), and obtain that \(\mathrm{cc}(x)\) is bipartite.
Now, let us assume that one connected component \(C\) of \(G\) is bipartite. \(C\) is not empty so it contains at least one vertex, which has at least one incident edge as the graph is regular of degree \(\mathfrak {d}\geq 1\). Hence we can apply Lemma 2.1.6 to \(C\) and obtain a function \(f\) such that, for any \(x\), \(y\) adjacent, \(f(x)=-f(y)\). Then, let us define \(F(x) = f(x)\) if \(x \in C\) and \(0\) otherwise. \(F \in \ell ^2(G)\) since \(G\) is finite. We check that \(aF=- \mathfrak {d}F\) (here using the fact that, if \(x\), \(y\) are adjacent, then \(x \in C \Leftrightarrow y \in C\)). \(F \neq 0\) as there exists \(x \in C \subset V(G)\) for which \(F(x) = f(x) \neq 0\). So \(-\mathfrak {d}\) is an eigenvalue of \(a\).
2.2 The spectral gap
Let us now introduce the main object of interest of this project, the spectral gap.
Assume \(G\) is regular of degree \(\mathfrak {d}\) and \(V(G)\) is finite. Then the operator \(a\) induces a bounded self-adjoint operator \(a|_{\mathbf{1}^\perp }\) on the orthogonal of \(\mathbf{1}\) in \(\ell ^2(G)\), and \(\| a|_{\mathbf{1}^\perp }\| \leq d\).
This is classic theory of self-adjoint bounded operators, as \(\mathbf{1}\) is an eigenvector of \(a\) by Lemma 2.1.2.
We will aim to study \(\| a|_{\mathbf{1}^\perp }\| \). For us, the “spectral gap" is the difference
We will see in the results below why this is an interesting quantity. Since there are several co-existing conventions for what the spectral gap is we will refrain from making it into a formal definition.
This special norm is actually the absolute value of an eigenvalue of the graph.
Assume \(G\) is regular of degree \(\mathfrak {d}\) and \(V(G)\) is finite. Then there exists \(\lambda \in \mathbb {R}\) and a non-zero function \(f : V(G) \rightarrow \mathbb {C}\) such that \(af=\lambda f\), \(\sum _{x \in V(G)}f(x)=0\) and \(|\lambda | = \| a|_{\mathbf{1}^\perp }\| \).
The operator \(a|_{\mathbf{1}^\perp }\) is a self-adjoint operator in finite dimension by Lemma 2.2.1, and hence its spectrum is entirely made of real eigenvalues and its norm is the supremum of their absolute values. Hence there exists a function \(f \in \mathbf{1}^\perp \) and \(\lambda \in \mathbb {R}\) such that \(a|_{\mathbf{1}^\perp }f = \lambda f\), \(f \neq 0\) and \(|\lambda |=\| a|_{\mathbf{1}^\perp }\| \). The function \(f\) and the number \(\lambda \) satisfy the claim.
The results proven in Section 2.1 imply the following.
Assume \(G\) is regular of degree \(\mathfrak {d}\) and \(V(G)\) is finite. Then, \(\| a|_{\mathbf{1}^\perp }\| = \mathfrak {d}\) iff \(G\) is disconnected or bipartite.
By Lemma 2.2.2, there exists a function \(f : V(G) \rightarrow \mathbb {C}\) and a real number \(\lambda \) such that \(af=\lambda f\), \(|\lambda |=\mathfrak {d}\) and \(\sum _{x \in V(G)} f(x)=0\). Since \(\lambda \in \mathbb {R}\), either \(\lambda = \mathfrak {d}\) or \(\lambda =-\mathfrak {d}\).
If \(\lambda = \mathfrak {d}\), then since \(f\) is not constant (otherwise it would be equal to \(0\) as \(\sum _{x \in V(G)}f(x)=0\)), the multiplicity of the eigenvalue \(\mathfrak {d}\) for \(a\) is at least \(2\). By Proposition 2.1.4, the number of connected components of \(G\) is \(\geq 2\) and hence \(G\) is disconnected.
If \(\lambda = -\mathfrak {d}\), then \(-\mathfrak {d}\) is an eigenvalue of \(a\). By Proposition 2.1.5, \(G\) has a connected component \(C\) that is bipartite.
If \(C=V(G)\) then \(G\) is bipartite.
Otherwise \(G\) is disconnected as it has a strict connected component.
The Alon–Boppana bound is the following lower bound.
Let \(G\) be a regular graph of degree \(\mathfrak {d}\) with a finite diameter. Then,
This bound is not required for the project, but it is not very difficult to prove and I believe it would be a good side project if someone wants to give it a try. Here is a reference [ , where the proof if for simple graphs but can be easily adapted.
The special value \(2\sqrt{2 \mathfrak {d}- 1}\) appears here as the spectral radius of the \(\mathfrak {d}\)-regular tree.
A graph \(G\) is a \(\mathfrak {d}\)-regular tree if it is a tree and regular of degree \(\mathfrak {d}\).
Let \(G\) be a \(\mathfrak {d}\)-regular tree. Then \(\| a\| = 2 \sqrt{\mathfrak {d}-1}\).
The proof of Theorem 2.2.6 will be detailed in Section 2.3.
Proposition 1.1.79 allows to see the Alon–Boppana bound as a limitation for the spectral gap as the graph grows (i.e. \(\# V(G)\) is large). From this observation Alon famously conjectured that most large regular trees have a near-optimal spectral gap. The aim of this blueprint is to prove this result for the permutation model introduced in Definition 3.2.3.
Let \(r \geq 2\) be a integer and \(\mathfrak {d}= 2r\). For any \(\epsilon {\gt} 0\),
This result was first proven by Friedman in the early 2000s in a very long proof [ . We will use a new method introduced by Chen, Garza-Vargas, Tropp and van Handel in [ called the polynomial method, which produced a radically simpler proof of this result.
Let us prove a simple consequence of this result.
Let \(r \geq 2\) be an integer and \(\mathfrak {d}= 2r\). Then,
and
Denote \(A = "G_{\vec{\pi }} \text{ is disconnected}"\) and \(B = "G_{\vec{\pi }} \text{ is bipartite}"\). By Proposition 2.2.3,
We check directly that \(2 \sqrt{2 \mathfrak {d}- 1} {\lt} \mathfrak {d}\). Hence taking \(\epsilon = (\mathfrak {d}- 2 \sqrt{2 \mathfrak {d}- 1})/2 {\gt} 0\) we obtain
Hence
which goes to \(0\) as \(N \rightarrow \infty \) by Theorem 2.2.7. So \(\lim _N \mathrm{Prob}_{N,\mathfrak {d}}^{G}(A) = 0\) and \(\lim _N \mathrm{Prob}_{N,\mathfrak {d}}^{G}(B)=0\) which allows to conclude.
2.3 The infinite regular tree
[TODO: prove that the spectral density of the \(d\)-regular tree is given by the Kesten-McKay distribution]