Winding number criterion for the origin to belong to the numerical range of a matrix on a loop of matrices

The numerical range of a matrix is a compact convex set in the complex plane that contains the convex hull of the spectrum of the matrix. A key question is whether the origin belongs to the convex hull of the spectrum or the numerical range. This question arises in many computational and engineering applications such as the stability analysis of dynamic systems and the study of scattering matrices. Yet, there lacks an analytical criterion for this problem. Many relevant applications involve parameter-dependent matrices. In this paper, we provide a simple sufficient analytical criterion for the zero-inclusion problem, for a loop of parameter-dependent matrices. We prove the following theorem: Let [Formula: see text] (the set of [Formula: see text] invertible complex matrices) be continuous with [Formula: see text], thus the winding number of [Formula: see text] is well defined. If the winding number is not divisible by n, then the origin belongs to the convex hull of the spectrum, thus the numerical range of [Formula: see text] for some [Formula: see text]. Our criterion may find potential applications in physics, engineering, and computation.

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Publication Details

Journal
Mathematics Open
Published
2025-01-01
DOI
https://doi.org/10.1142/s2811007225500038
Primary Topic
Matrix Theory and Algorithms
Type
article
Field-Weighted Citation Impact
0.00

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article

Winding number criterion for the origin to belong to the numerical range of a matrix on a loop of matrices

Cheng Guo, Shanhui Fan
Mathematics Open
Matrix Theory and Algorithms
article

Winding number criterion for the origin to belong to the numerical range of a matrix on a loop of matrices

Cheng Guo, Shanhui Fan
article en

Abstract

The numerical range of a matrix is a compact convex set in the complex plane that contains the convex hull of the spectrum of the matrix. A key question is whether the origin belongs to the convex hull of the spectrum or the numerical range. This question arises in many computational and engineering applications such as the stability analysis of dynamic systems and the study of scattering matrices. Yet, there lacks an analytical criterion for this problem. Many relevant applications involve parameter-dependent matrices. In this paper, we provide a simple sufficient analytical criterion for the zero-inclusion problem, for a loop of parameter-dependent matrices. We prove the following theorem: Let [Formula: see text] (the set of [Formula: see text] invertible complex matrices) be continuous with [Formula: see text], thus the winding number of [Formula: see text] is well defined. If the winding number is not divisible by n, then the origin belongs to the convex hull of the spectrum, thus the numerical range of [Formula: see text] for some [Formula: see text]. Our criterion may find potential applications in physics, engineering, and computation.

Mathematics OpenVol. 04
Stanford University (US)
Simons Foundation
Openalex Percentile: Top 94%
Matrix Theory and Algorithms
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Winding number criterion for the origin to belong to the numerical range of a matrix on a loop of matrices — Cheng Guo, Shanhui Fan · Mathematics Open (2025) | TGRS Research Map | TGRS