A necessary condition for estimates for the \(\overline{\partial}_b\)-complex (Q819222)

The author considers an abstract CR manifold of CR-dimension \(n\) and codimension \(k \geq 1\), and is interested in estimates of the form ``For a given \(x_0 \in M\) and every \(\delta >0\) there exists an open neighbourhood \(\Omega_\delta \subset M\) of \(x_0\) such that \[ \| u\| _0 \leq \delta \| \square_b^{(9)} u\| _0 \forall u \in \mathcal{D}_{(0,9)} (\Omega_\delta),\tag{\(*\)} \] \(\| \cdot \| _0\) being the \(L^2\)-norm, \(\square_b^{(q)}\) the Kohn-Laplacian acting on \((0, q)\) forms and \(\mathcal{D}_{0,q}(\Omega_\delta)\) the space of \(\mathcal{C}^\infty (0,9)\) forms with compact support in \(\Omega_\delta\)''. It is known that local solvability in \(L^2\) for \(\square^{(9)}_b\) is equivalent for \((*)\) to hold for a fixed \(\delta\), and that hypoellipticity of \(\square_b^{(9)}\) with a loss of derivatives \(\leq 2\) implies \((*)\). The author proves a weak analog of a result of \textit{A. Andreotti, G. Fredericks} and \textit{M. Nacinovich} [Ann. Sc. Norm. Super. Pisa, Cl. Sci., IV. Ser. 8, 365--404 (1981; Zbl 0482.35061)] namely, if \(x_0 \in M\) and if at some characteristic point \(\rho_0\) above \(x_0\) the Levi form \(\mathcal{L}(p_0)\) has signature \((q, n-q)\) or \((n-q,q)\), \(q\in \{0, \ldots n\}\) then \((*)\) does not hold. From this condition a necessary condition, the following estimate for the \(\partial_b\)-complex to hold results, namely ``For a given \(x_0 \in M\) and every \(\delta >0\) there exists an open neighbourhood \(\Omega_\delta \subset M\) of \(x_0\) such that \[ \delta^{-1} \| u\| _0^2 \leq \| \bar\partial_b u\| _0^2 + \| \bar\partial_b^* u\| _0\; \;\forall \;u \in \mathcal{D}_{(0,9)} (\Omega_\partial)''.\tag{\(**\)} \] A necessary condition that ensures that (**) holds is that it \(\mathcal{L}(\rho_0)\) has signature \((q, n-q)\) or \((n-q,q)\) were \(\rho_0\) is as above a characteristic point above \(x_0\), then \((**)\) does not hold. If \((I_\varepsilon)\) is, for a given \(\varepsilon>0\), the estimate \[ c\| u\| _\varepsilon^2 \leq \| \bar \partial_b u\| _0^2 + \| \bar\partial_b^* u\| _0^2 +\| u\| _0\tag{\(***\)} \] for any smooth, compactly supported \((0,q)\) form in a neighbourhood \(\Omega\) of a point \(x_0 \in M\), then, for an abstract CR manifold \(M\) of arbitrary codimension one has: If \((I_\varepsilon)\) holds at \(x_0 \in M\), in degree \(\rho,0 \leq q \leq n\) for some \(\varepsilon >0\), the Levi form is nondegenerate at some characteristic point \(\rho_0\) above \(x_0\) then the Kohn condition \(Y (\rho)\) condition holds true at \(\rho_0\). The method of proof is interesting: it uses results for a class of systems with double characteristics, which contains the Kohn Laplacian associated with a CR structure, already considered by \textit{L. Boutet de Monvel} and \textit{F. Trèves} [Commun. Pure. Appl. Math. 27, 59--89 (1974; Zbl 0286.35065)] and \textit{P. Popivanov} [Partial differential equations, Banach Cent. Publ. 10, 279--299 (1983; Zbl 0555.35019)]. The author interprets, in the case of the Kohn Laplacian, these results in term of known geometric invariants. The auxiliary results obtained by the author present some interest in their own right. Some definitions are needed; let \(X\) be an open set of \(\mathbb{R}^n\), \(P=P^* \in OPS^2 (X)\) be a classical, formally self-adjoint and properly supported pseudodifferential operator. The symbol \(p\) of \(P\) has an asymptotic expansion \(p(x,q)\sim \sum_{j\geq 0} p_{2j-1} (x_i)\), with the \(p_{2j-1}\) positively homogeneous of degree \(2-j\) with respect to \(\xi\); let \(\sum= \{(x,y) \in T^* x \setminus 0\), \(p_2 (x, \xi)=0 \}\) be the characteristic set of \(\underline{\text{P}}\), \(p_1^s=p_1 +\frac{1}{2} < \partial_\xi, \; \partial_x >p_2\) the subprincipal symbol of \(\underline{\text{p}}\), \(F_\rho\) defined by \(\sigma (v, F_\rho w)=\frac{1}{2} \;<\text{Hess}\; p_2(\rho) v, w >, \; \forall v,w \in T_\rho T^* X\), with \(\sigma\) the canonical symplectic 2-form on \(T^* X\). If \(p_2\) is non-negative the spectrum of \(F_p\) consists of \(0\) and \(\pm i \mu_j\) with \(\mu_j >0\), and \(T_r + F_p=\sum_j \mu_j\). Then the author proves that, with \(P=P^* \) a \(N\times N\) system of pseudo-differential operators as above, with principal symbol of the form \(p_2 (x,\xi)I\)\;(where \(I\) is the \(N \times N\) identity) and supposing that for a given \(x_0 \in X\) and every \(\delta >0\) there exists an open neighbourhood \(\Omega_\delta\) of \(x_0\) such that \(\| u\| ^2 \leq \delta (P u,u)\) for any \(u \in C_0^\infty (\Omega_\delta; \mathbb{C}^N)\), for every \(\rho_0=(x_0,\rho_0) \in \sum\) we have \(p_1^s (\rho \delta + Tr^+F_{\rho_0} I\geq 0\) and Ker \(F_{\rho_0} \cap I_m F_{\rho_0}=\{0\} \Rightarrow p_1^s (\rho_0)+ TH^+ F_{\rho_0}I\) is invertible. From this the author derives easily a well-known result of \textit{L. Hörmander} [Math. Ann. 140, 124--146 (1960; Zbl 0090.08101)].