Direct sums and the Szlenk index (Q2429763)

The Szlenk index of Banach spaces was introduced by \textit{W. Szlenk} [``The non-existence of a separable reflexive Banach space universal for all separable reflexive Banach spaces'', Stud. Math. 30, 53--61 (1968; Zbl 0169.15303)] in order to show that there is no universal space for the class of separable reflexive Banach spaces. This notion has become an important tool in the geometry of Banach spaces; see the survey by \textit{G. Lancien} [``A survey on the Szlenk index and some of its applications'', RACSAM, Rev. R. Acad. Cienc. Exactas Fís. Nat., Ser. A Mat. 100, No.~1--2, 209--235 (2006; Zbl 1112.46009)]. More generally, one defines the Szlenk index for any \(w^\ast\)-compact subset \(K\) in the dual \(E^\ast\) of a Banach space \(E\) (the Szlenk index of \(E\) being that of the unit ball \(B_{E^\ast}\) of its dual). It is an ordinal, if it exists, which measures the number of operations one has to do to erase the set \(K\) when one removes all small \(w^\ast\)-open subsets. Explicitly: for \(\varepsilon > 0\), let \(S_\varepsilon (K)\) be the remaining subset of \(K\) when deleting all \(w^\ast\)-open subsets of \(K\) of diameter less than \(\varepsilon\); for any ordinal \(\alpha\), one defines \(S_\varepsilon^{\alpha + 1} = S_\varepsilon [S_\varepsilon^\alpha (K)]\), with \(S_\varepsilon^0 (K) = K\), and \(S_\varepsilon^\alpha (K) = \bigcap_{\beta < \alpha} S_\varepsilon^\beta (K)\) if \(\alpha\) is a limit ordinal. The \textit{\(\varepsilon\)-Szlenk index} \(Sz (K, \varepsilon)\) of \(K\) is the least ordinal \(\alpha\) such that \(S_\varepsilon^\alpha (K) = \emptyset\) if such an ordinal exists. One then writes \(Sz (K, \varepsilon) < \infty\), and \(Sz (K, \varepsilon) = \infty\) otherwise. The \textit{Szlenk index} of \(K\) is \(Sz (K) = \sup_{\varepsilon > 0} Sz (K, \varepsilon)\). For an operator \(T : E \to F\) between two Banach spaces, its Szlenk index \(Sz (T)\) is that of \(T^\ast (B_{F^\ast})\). Note that \(E\) is an Asplund space (resp., \(T\) is an Asplund operator) if and only if \(Sz (E) < \infty\) (resp., \(Sz (T) < \infty\)), and this Szlenk index is of the form \(\omega^\alpha\) for some ordinal \(\alpha\). \(T\) is compact if and only if \(Sz (T) = 1\). In this paper, the author studies the behaviour of the Szlenk index of \(c_0\) or \(\ell_p\)-direct sums (\(1\leq p \leq \infty\)) of operators. The cases \(p = 1\) and \(p = \infty\) are easy because \(\ell_1\) and \(\ell_\infty\) fail to be Asplund spaces, and hence only the behaviour of the factors plays a role: if \(T_\lambda : E_\lambda \to F_\lambda\), \(\lambda \in \Lambda\), is a uniformly bounded family of Asplund operators, then it is equivalent to have: (i) \(Sz [(\bigoplus_\lambda T_\lambda)_p] < \infty\), (ii) \(Sz [(\bigoplus_\lambda T_\lambda)_p] = \sup_\lambda Sz (T_\lambda)\), (iii) \((\| T_\lambda\|)_\lambda \in c_0 (\Lambda)\). However, the cases \(p = 0\) (\(c_0\)-sums) and \(1 < p < \infty\) are much more delicate; for example, one may have \(Sz [(\bigoplus_\lambda T_\lambda)_p] > \sup_\lambda Sz (T_\lambda)\) (though the equality occurs whenever \((\| T_\lambda \|)_\lambda \in c_0 (\Lambda)\)). The main result of the paper asserts that for \(p = 0\) or \(1 < p < \infty\), and for any uniformly bounded family of Asplund operators \(T_\lambda : E_\lambda \to F_\lambda\), \(\lambda \in \Lambda\), one has, for any ordinal \(\alpha \geq 1\), the equivalence between: (i) \(Sz [(\bigoplus_\lambda T_\lambda)_p] \leq \omega^\alpha\) and (ii) \(\sup_\lambda Sz (T_\lambda, \varepsilon) < \omega^\alpha\) for all \(\varepsilon > 0\). Several applications to the geometry of Banach spaces are given.