Theory Wiki · Subproblem Analysis

Real Nonnegative Inverse Eigenvalue Problem

Investigating real spectra realizable by general nonnegative matrices ($A \ge 0$, $\sigma \subset \mathbb{R}$), non-orthogonal eigenvector geometries, and the symmetry gap.

1. Definition & Eigenvector Degrees of Freedom

Relaxing the symmetry constraint provides significant geometric flexibility.

The Real Nonnegative Inverse Eigenvalue Problem (RNIEP) asks: given a multiset of $n$ real numbers $\sigma = \{\lambda_1, \lambda_2, \dots, \lambda_n\} \subset \mathbb{R}$, does there exist an entrywise nonnegative matrix $A \ge 0$ (not necessarily symmetric) whose spectrum equals $\sigma$?

Definition: The RNIEP

Formal Statement

Find an $n \times n$ matrix $A = (a_{ij}) \in \mathbb{R}^{n \times n}$ such that:

$$\begin{aligned} a_{ij} &\ge 0 \quad (\text{entrywise nonnegativity}) \\ \sigma(A) &= \{\lambda_1, \lambda_2, \dots, \lambda_n\} \subset \mathbb{R} \end{aligned}$$

Unlike the Symmetric NIEP (SNIEP), where $A = Q \Lambda Q^T$ is always orthogonally diagonalizable, a general real nonnegative realization need not even be diagonalizable—as shown already at order two by $\bigl(\begin{smallmatrix}1 & 1 \\ 0 & 1\end{smallmatrix}\bigr)$. In general, $A$ admits a Jordan decomposition over $\mathbb{C}$ (or real Jordan form):

$$A = X J X^{-1} \quad (\text{and } A = X \Lambda X^{-1},\; X \in \mathrm{GL}(n, \mathbb{R}) \text{ when diagonalizable})$$

Both non-orthogonal eigenbases and nontrivial Jordan blocks enlarge the feasible spectral region: an orthogonal matrix $Q \in O(n)$ possesses only $n(n-1)/2$ angular parameters, whereas a general similarity $X \in \mathrm{GL}(n, \mathbb{R})$ has $n^2$ entries, allowing eigenspaces and generalized eigenspaces to tilt relative to the nonnegative orthant.

2. Necessary Invariants for RNIEP

Trace nonnegativity, Newton inequalities, and moment constraints.

1

Real Spectrum

$$\sigma \subset \mathbb{R}$$

All candidate eigenvalues are required to be real.

2

Perron Root

$$\lambda_1 = \max_{i} |\lambda_i| \in \sigma$$

Perron-Frobenius theorem guarantees the maximal root is positive.

3

Power Sum Traces

$$s_k = \sum_{i=1}^n \lambda_i^k \ge 0 \quad (\forall k \ge 1)$$

Because $A \ge 0$, all powers $A^k \ge 0$, so their traces must be nonnegative.

4

JLL Inequalities

$$s_k^m \le n^{m-1} s_{km} \quad (\forall k, m \ge 1)$$

Johnson–Loewy–London (1978/1979) Hölder trace bounds on diagonal moments.

For real spectra $\sigma \subset \mathbb{R}$, all even power sums $s_{2k} = \sum \lambda_i^{2k} \ge 0$ hold automatically, while odd trace bounds $s_{2k-1} \ge 0$ and the Johnson–Loewy–London (JLL) inequalities $s_k^m \le n^{m-1} s_{km}$ (such as $s_1^2 \le n s_2$ and $s_1^3 \le n^2 s_3$) impose nontrivial constraints on negative eigenvalues.

3. The Advantage of Non-Symmetry: $\operatorname{RNIEP} \supsetneq \operatorname{SNIEP}$

Why non-symmetric realizations can achieve what symmetric realizations cannot.

A major historic milestone in combinatorial matrix theory was establishing whether symmetry is a restrictive requirement for real spectra. For dimensions $n \le 4$, symmetry is non-restrictive:

$$\operatorname{RNIEP}(n) = \operatorname{SNIEP}(n) \quad \text{for } n \le 4$$

In 1996, Charles R. Johnson, Thomas J. Laffey, and Raphael Loewy proved that the symmetric and real problems are genuinely different (first constructed at $n = 6$), and subsequent work by Eleanor Meehan (1998), Laffey & Meehan (1999), and Hartwig & Loewy established strict containment for every order $n \ge 5$:

$$\operatorname{SNIEP}(n) \subsetneq \operatorname{RNIEP}(n) \quad \text{for all } n \ge 5$$

Explicit Order-5 Separating Spectrum

Hartwig–Loewy · Laffey–Meehan (1999)

Consider the classical trace-zero family $\sigma(t) = \{3+t, 3-t, -2, -2, -2\}$. Evaluating at $t = \tfrac{1}{2}$ and scaling by $2$ to clear fractions gives the integer list:

$$\sigma = \{7, 5, -4, -4, -4\}$$

Its power sums are $s_1 = 0$, $s_2 = 122$, $s_3 = 276$, $s_4 = 3794$, and $s_5 = 16860$ (satisfying $4s_4 - s_2^2 = 292 > 0$), and it is realized by the explicit zero-diagonal nonnegative integer matrix:

$$A = \begin{pmatrix} 0 & 1 & 0 & 0 & 0 \\ 28 & 0 & 1 & 0 & 0 \\ 92 & 4 & 0 & 1 & 0 \\ 0 & 0 & 4 & 0 & 1 \\ 60 & 0 & 0 & 25 & 0 \end{pmatrix} \ge 0$$

Indeed, $\det(xI - A) = x^5 - 61x^3 - 92x^2 + 912x + 2240 = (x - 7)(x - 5)(x + 4)^3$. Yet no symmetric $5 \times 5$ nonnegative matrix can have spectrum $\sigma$: every trace-zero symmetric nonnegative $5 \times 5$ matrix with ordered eigenvalues $\lambda_1 \ge \dots \ge \lambda_5$ satisfies $\lambda_2 + \lambda_5 \le 0$ (so $\sigma(t) \in \operatorname{SNIEP}(5) \iff t \ge 1$), whereas here $\lambda_2 + \lambda_5 = 5 + (-4) = 1 > 0$. Moreover, $A$ carries a $3 \times 3$ Jordan block at $-4$ (Cronin & Laffey 2018 showed $\sigma(t)$ for $t < 1$ requires non-diagonalizability), while distinct-integer examples such as $\{12, 9, -6, -7, -8\}$ also violate $\lambda_2 + \lambda_5 \le 0$ and separate diagonalizable $\operatorname{RNIEP}(5)$ from $\operatorname{SNIEP}(5)$.

4. Dimension Solvability & The Laffey-Meehan Frontier

Trace conditions suffice for $n \le 4$, but fail definitively at order 5.

n ≤ 4 Completely Solved

Trace & Dominance Criteria

Solved for real spectra by Loewy & London (1978): a real $n$-tuple ($n \le 4$) is realizable if and only if Perron dominance $\lambda_1 \ge |\lambda_i|$ and $s_1 = \sum \lambda_i \ge 0$ hold (general complex $n=4$ solved by Meehan 1998 and Torre-Mayo et al. 2007).

n = 5 Open Frontier

Trace Insufficiency

Laffey and Meehan studied $\{3+t, 3-t, -2, -2, -2\}$: for $0 \le t < \sqrt{16\sqrt{6}-39} \approx 0.438$ (such as $t = 0$), all power-sum and JLL inequalities hold, yet $4s_4 < s_2^2$ rules out any $5 \times 5$ nonnegative realization.

n ≥ 6 Open Frontier

Higher Dimensions

Requires higher-order semi-algebraic polynomial inequalities. Constructive algorithms remain an active field of research.

5. Real Algebraic Geometry & Trace Polytopes

Semi-algebraic solvability and interactive geometric visualizations.

Semi-Algebraic Solvability (Clark, 2024)

Real Algebraic Geometry

In 2024, Benjamin J. Clark demonstrated that the RNIEP forms a semi-algebraic set. By the Tarski-Seidenberg projection theorem, the set of realizable real spectra $\operatorname{RNIEP}(n) \subset \mathbb{R}^n$ can be defined by a finite Boolean combination of polynomial equalities and inequalities:

$$\sigma \in \operatorname{RNIEP}(n) \iff \bigvee_{i=1}^M \bigwedge_{j=1}^{K_i} \big( P_{ij}(\lambda_1, \dots, \lambda_n) \ge 0 \big)$$

This confirms that the RNIEP is solvable by finitely many algebraic conditions, shifting modern research toward identifying minimal defining systems.

Interactive Trace Polytope Gallery

Compare order-5 RNIEP vs. SNIEP trace polytopes in real-time 2D and 3D WebGL, inspecting how non-symmetric realizability extends beyond the symmetric boundary.

Open Polytope Gallery →

6. Primary Literature & Citations

Foundational papers from the NIEP Comprehensive Bibliography

7. See Also & Related Articles