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Stationary and dynamical scattering in the full energy-angular representation

Statement

Assume the Axiom of Countable Choice (The Axiom of Countable Choice (ACω)). Let V∈L∞(R3;R) be real and compactly supported, and set H0=−Δ, H=H0+MV on H2(R3). Use the independently constructed complete wave operators

Ω±=s-lim⁡t→±∞eitHe−itH0,S=Ω+∗Ω−,

whose individual ranges equal Hac(H)=Hc(H), as in Compact-support asymptotic completeness. The local positive-energy resolvent and outgoing solution are those of Outgoing Fredholm invertibility and Stationary outgoing integral and flux. These named supplier inputs must be proved independently; this item does not establish completeness by assuming its own stationary identification.

Write σ for surface measure on S2, normalized by σ(S2)=4π, h=L2(S2,dσ), and

g^(p)=(2π)−3/2∫R3e−ip⋅xg(x) dx,(F0g)(E,ω)=E1/42g^(E ω).

For a compactly supported g∈L2 and E=k2>0, let RH(E±i0)g denote the local resolvent limits, and define the free trace on compact sources and the two stationary transforms by

Z0(E)g=k4π3/2∫e−ikω⋅xg(x) dx,Z±(E)g=Z0(E)[g−VRH(E±i0)g].

Then:

(a) F0 is a unitary from L2(R3) onto K=L2((0,∞),dE;h). The initially defined stationary transforms extend to Z±=F0Ω±∗ on L2(R3); their restrictions to Hac(H) are unitary onto K, they vanish on the pure point subspace, and they diagonalize H as multiplication by E on its absolutely continuous subspace.

(b) There is a measurable operator-valued unitary S(E) on h such that F0SF0∗=MS(E). No generic nonradial potential is assumed to preserve individual spherical harmonic channels. For R∈SO(3) set VR(x)=V(R−1x) and (URa)(ω)=a(R−1ω). The covariance is S[VR](E)=URS[V](E)UR−1, not commutation with UR for a fixed nonradial V.

(c) Let uk,d be the outgoing stationary solution restricted to a ball B containing the support of V:

uk,d=(I+χBR0(k2+i0)V)−1(eikd⋅x∣B),fk(ω,d)=−14π∫Be−ikω⋅xV(x)uk,d(x) dx.

Here R0(z)=(H0−z)−1 and χB denotes restriction/localization; the inverse is the inverse of I+K, not of K. Define (Aka)(ω)=∫S2fk(ω,d)a(d) dσ(d). Then

S(E)=I−2πi Z0(E)[V−VRH(E+i0)V]Z0(E)∗=I+ik2πAk.

Adjoints Z0(E)∗ and products in this formula are understood on the compact interaction region, not as bounded maps into global L2 plane waves. The right side is norm-continuous on compact positive-energy intervals and gives a unitary representative for every E>0.

(d) If in addition V is radial, the energy-angular fiber decomposes in the fixed countable spherical harmonic basis as S(E)Ylm=Sl(E)Ylm. For the reduced radial equation

−φl′′+(l(l+1)r2+V(r))φl=k2φl,φl(r)/rl+1⟶1,

let fl be the outgoing solution with fl(r)=ei(kr−lπ/2)(1+O(r−1)) outside the interaction region and set Wl=W(φl,fl)=φlfl′−φl′fl. Then

Sl(E)=Wl(E)‾Wl(E),∣Sl(E)∣=1.

Equivalently, for the real normalized regular solution al=ρl φl=clfl+dlf‾l, ρl=k/(π∣Wl∣2), the multiplier is (cl/dl)/(cl0/dl0), where the superscript 0 denotes the corresponding free normalization. The real regular transforms (Tlg)(E)=∫0∞al(E,r)g(r) dr extend to unitaries from the absolutely continuous reduced radial subspace onto L2((0,∞),dE). They implement the scalar channel statement with the incoming/outgoing phase factors specified in the proof. No Coulomb continuum transform is used for a compact potential.

No zero-energy nonresonance, absence of a zero eigenvalue, positivity of the whole spectrum, finite bound-spectrum assumption, or radiality is imposed on (a)-(c). The negative and any zero point spectrum are omitted by the absolutely continuous restriction, rather than falsely declared nonexistent.

Facts & Assumptions

Given: CC, the potential V, the self-adjoint operators H0,H, their separable spectral calculus, the independently proved individual complete wave operators, and the independently established positive-energy injectivity of the compact outgoing/incoming Fredholm operators.

[F1]

The independent completeness input Compact-support asymptotic completeness gives isometric Ω± with each range Hac(H)=Hc(H) and spectral intertwining. Relative compactness and the essential-spectrum conclusion of Compact scattering defects and the zero-energy obstruction give discrete negative spectrum by the finite-rank spectral-neighborhood argument; No positive compact-potential eigenvalues rules out positive atoms. Thus Hac(H)=PH((0,∞))L2, whereas a zero eigenvalue is permitted. The separable PVM/calculus is CC spectral calculus on a Hilbert space with a fixed countable dense sequence, with the fixed rational box dense sequence; no general AC/DC-strengthened spectral theorem is invoked.

[F2]

For every E>0, I+KE± is injective on a bounded interaction ball, where KE±=χBR0(E±i0)V has kernel e±ik∣x−y∣V(y)/(4π∣x−y∣). The incoming assertion follows by conjugation for real V. The CC finite-rank Hilbert factorization establishing its bounded inverse is Outgoing Fredholm invertibility; step 1.2 below proves the local boundary continuity actually needed here from that input.

[F3]

The explicit Fourier transform is unitary under CC (Plancherel theorem), and the explicitly given countable Ylm form an ONB of L2(S2) (Sphere ONB), with the Rodrigues and associated-polynomial formulas of Legendre Rodrigues equation and Associated Legendre function normalization. No arbitrary Hilbert basis or uncountable family of fiber identifications is selected.

Proof

1.1F3algebra

[The exact free representation] Polar integration gives dp=k2 dk dσ=(k/2) dE dσ. Consequently ∥F0g∥K2=∫∣g^(p)∣2dp=∥g∥22. Conversely a measurable a(E,ω) defines g^(kω)=2/k a(k2,ω), which has the required L2(dp) norm; Fourier inversion gives its unique preimage. Thus F0 is onto and intertwines H0 with ME. On a bounded spatial support, the integral defining Z0(E) is bounded into h by Cauchy-Schwarz, uniformly on compact positive E intervals, and depends continuously in operator norm on E by bounded-support differentiation of the exponential. Its coefficient is k/2(2π)−3/2=k/(4π3/2).

1.2F2algebra

[Local resolvent boundary limits] On bounded balls the kernel eiz∣x−y∣/(4π∣x−y∣), with the upper-half-plane square-root branch, converges in Hilbert-Schmidt norm to the outgoing kernel as z=E+iε→E+i0, locally uniformly for E>0: the dominating squared singularity C∣x−y∣−2 is integrable in three dimensions. Multiplication by bounded V preserves this convergence. Invertibility at each real E is [F2]; the Neumann perturbation identity for a bounded inverse gives continuous inverses on a neighborhood of each such E, and a finite cover of a compact positive interval gives a uniform inverse bound. For a compact source g, enlarge the ball to contain its support and use the resolvent equation to obtain χBRH(z)g=(I+Kz)−1χBR0(z)g. Therefore these local resolvents converge in operator norm on compact-source/local-output spaces. The lower limits follow by complex conjugation and have the adjoint reciprocity (χBRH(E+i0)χB′)∗=χB′RH(E−i0)χB. This proves the local norm boundary construction and its uniform energy control; no global unweighted trace bound is asserted.

1.3givenalgebra

[Radial regular and outgoing solutions] For the radial specialization (d) only, assume radial V. For each fixed l,k the regular solution is constructed by the Volterra equation φl(r)=rl+1+∫0rGl(r,s)(V(s)−k2)φl(s)ds, where Gl(r,s)=[rl+1s−l−r−lsl+1]/(2l+1). Dividing by rl+1 bounds the normalized kernel by s/(2l+1). On [0,L], successive iterates of the error are bounded by CnL2n/(2nn!), proving convergence, uniqueness, the stated origin normalization and local energy continuity. Differentiation gives the radial equation, and for real energy the solution is real. Outside the support, an exact outgoing solution is ei(kr−lπ/2)∑j=0lij(l+j)!/[j!(l−j)!(2kr)j]; direct coefficient substitution verifies the free radial equation and outgoing normalization. Continue it inward on compact intervals away from zero using the usual integral-equation Picard series, whose factorial estimates need only countable iteration. The Wronskian is constant. If it vanished, the nonzero real regular solution would be proportional to the outgoing solution outside the support. Its imaginary radial current is zero, whereas the outgoing current is k times the squared proportionality constant; this forces that constant to vanish and contradicts the origin normalization. Thus Wl≠0.

2.1F1step 1.1algebra

[The strong Abel limit, including bound states] Put W(t)=eitH0e−itH. For g=Ω+h, ∥W(t)g−h∥=∥Ω+h−W(t)∗h∥→0 by the defining wave limit. Hence W(t)→Ω+∗ strongly on Hac(H). Its Abel average Aε+=ε∫0∞e−εtW(t)dt has the same limit there: split the integral at a time after which the norm error is below a prescribed tolerance; the fixed finite initial interval has weight tending to zero. If Hg=λg, the average instead equals ε(ε−i(H0−λ))−1g and tends to zero, since its squared spectral multiplier is bounded by one and tends to zero off the singleton {λ}, which has zero free spectral measure. Finite sums of point eigenvectors are dense in the pure point subspace; all averages have norm at most one, so the limit is zero on that whole subspace. The density uses only the countable atomic decomposition on this separable Hilbert space. By [F1] there is no singular continuous remainder. Thus Aε+→Ω+∗ strongly on all L2. Reversing time gives Aε−→Ω−∗, with Aε−=ε∫0∞e−εtW(−t)dt.

2.2F1step 1.1algebra

[The damped Cook-adjoint identity] On D(H)=D(H0), differentiation gives W′(t)=−ieitH0Ve−itH. Integrate this identity; since V is bounded and both groups are unitary, the resulting strong integral identity extends by density to every g∈L2. Integration against εe−εt and interchange of absolutely convergent strong integrals yields Aε+=I−i∫0∞e−εteitH0Ve−itHdt. On a compact positive interval the map Z0(E) from the fixed support of V is uniformly bounded, so Fubini is legitimate there. Since ∫0∞e−εte−it(H−E)dt=−iRH(E+iε) by the scalar spectral calculus, the two factors −i multiply to −1, giving (F0Aε+g)(E)=Z0(E)[g−VRH(E+iε)g] for compactly supported g. The reverse-time identity has +i before its strong integral and +iRH(E−iε) for the Laplace integral, so it likewise gives the minus sign and the lower resolvent.

2.3F3step 1.1algebra

[The angular normalization, with its derivation] The explicit associated-polynomial harmonics are restrictions of homogeneous harmonic polynomials of degree l: substitute their Rodrigues formulas into rlYlm(x/r) and the Cartesian Laplacian to check polynomiality and harmonicity. This space has dimension 2l+1. Indeed the Laplacian from degree l polynomials onto degree l−2 polynomials is surjective: twice integrating a target polynomial in x3 gives an operator J with ∂32Jq=q, and the finite sum ∑n(−J(∂12+∂22))nJq cancels the other two second derivatives; the sum terminates because their degree in x1,x2 drops. Subtract the two polynomial-space dimensions. The 2l+1 orthonormal Ylm therefore span this space, which is invariant under orthogonal rotations. Its projection kernel Kl(ω,d)=∑mYlm(ω)Ylm(d)‾ is rotation invariant. At the north pole only m=0 survives, with Yl0=(2l+1)/(4π)Pl and Pl(1)=1; hence Kl(ω,d)=(2l+1)Pl(ω⋅d)/(4π) after rotation. Define jl(z)=zl∫−11eizt(1−t2)ldt/(2l+1l!). Integrating Rodrigues' formula by parts l times gives ∫−11eiztPl(t)dt=2iljl(z). Endpoint integration by parts in the polynomial Pl gives jl(z)=sin⁡(z−lπ/2)/z+O(z−2); the power series at zero gives jl(z)∼zl/(2l+1)!!. Differentiating the integral and integrating its t derivative verifies z2jl′′+2zjl′+(z2−l(l+1))jl=0. Project the zonal exponential at the north pole onto degree l: integration in the azimuth kills m≠0 and the displayed Legendre integral fixes its m=0 coefficient. Rotate the result and use Kl to obtain ∫S2eizω⋅dYlm(d)dσ(d)=4πiljl(z)Ylm(ω). Thus its factor, phase and origin/free asymptotics have all been computed. Angular channel projections commute with the radial Hamiltonian: on smooth compact spatial tests this follows from the polar Laplacian and this finite harmonic projection; Taylor expansion at the origin ensures the projected tests remain smooth there. The projections preserve the H2 domain by density and commutation with the free graph norm, so the regular radial reduction is legitimate.

3.1F1step 2.1step 1.2step 2.2algebra

[Stationary and dynamical transforms coincide] For compact g, step 1.2 makes the right sides of step 2.2 converge uniformly on every compact positive energy interval, hence in its L2(dE;h) norm, to the displayed Z±(E)g. Step 2.1 makes the left sides converge in the full K norm to F0Ω±∗g. Their limits agree on each interval; the countable exhaustion [1/n,n] identifies them a.e. on (0,∞). Compactly supported L2 sources are dense, so the formulas extend uniquely to Z±=F0Ω±∗. Completeness in [F1] then proves their asserted unitarity on Hac(H), their vanishing on the pure point subspace and the energy intertwining. This is an actual Abel/resolvent comparison, not a naming of stationary kernels as wave operators.

4.1F1step 1.2step 3.1algebra

[The spectral jump with its exact density] For compact sources g,h, the positive-energy spectral measure has density determined by Z−: its quadratic density is ∥Z−(E)g∥h2, with mixed densities obtained by finite polarization. These densities are continuous locally in E by step 1.2. In the PVM resolvent integral, (RH(E+iε)−RH(E−iε))/(2πi) corresponds to the Poisson kernel ε/[π((λ−E)2+ε2)]. On compact positive intervals its integral against the continuous mixed density converges to that density; spectral measure outside a slightly larger interval contributes at most Cε∥g∥∥h∥, while positive point or singular continuous contributions are absent by [F1]. Thus, on compact-source/local-output spaces, RH(E+i0)−RH(E−i0)=2πi Z−(E)∗Z−(E) as a bilinear-form identity. The local adjoint on the right is a generalized kernel adjoint, not a global plane-wave operator. Local boundary convergence in step 1.2 makes both sides actual continuous energy forms.

5.1step 1.2step 3.1step 4.1algebra

[Recovering the scattering matrix] For compact g, subtract the two stationary formulas: Z+(E)g−Z−(E)g=−Z0(E)V[RH(E+i0)−RH(E−i0)]g. The interaction-region adjoint of Z−(E) is B(E)=χB[I−RH(E+i0)V]Z0(E)∗, by step 1.2 reciprocity. It is bounded h→L2(B) because Z0(E)∗ restricted to B is a bounded integral operator and the local resolvent is bounded. Step 4.1 now gives Z+(E)g=[I−2πiZ0(E)VB(E)]Z−(E)g. The coefficient is locally norm-bounded; compact sources are dense, and Z− maps the absolutely continuous subspace onto K, so this equality extends on each compact energy interval to all inputs. Consequently Z+Z−∗=MI−2πiZ0VB. But by step 3.1 the left side is F0Ω+∗Ω−F0∗=F0SF0∗. Expanding B proves the first formula in (c).

6.1F1step 1.2step 5.1algebra

[The amplitude constant and unitary continuous version] Put ck=k/(4π3/2). On B, Z0(E)∗a=ck∫eikd⋅xa(d)dσ(d), and [I−RH(E+i0)V] maps each incident plane wave to uk,d=(I+KE+)−1eikd⋅x. Hence the kernel of Z0[V−VRH(E+i0)V]Z0∗ is ck2∫Be−ikω⋅xV(x)uk,d(x)dx=−kfk(ω,d)/(4π2). Multiplication by −2πi gives exactly ikfk/(2π). All integral interchanges concern finite angular measure and bounded compact-region operators. The amplitude kernel is smooth in both angular variables by differentiating the bounded-support plane waves before applying the inverse and the compact-source integral. Its operator is Hilbert-Schmidt and locally norm-continuous in energy by step 1.2. The dynamical S is unitary by individual completeness. Apply its norm equality, and the norm equality for its adjoint, to 1Av for finite-measure energy sets A and each rational-complex finite angular vector v. The resulting integral norm identities give pointwise isometry and coisometry off a countable null set; density gives unitary fibers there. Their norm-continuous explicit representative is unitary at every positive energy, because its two unitary defects vanish a.e. and are continuous. No threshold limit is used.

7.1F1F3step 3.1step 5.1algebra

[A countable multiplier-commutant construction] For completeness, decomposability can be constructed without arbitrary measurable fiber selection. If Q=F0SF0∗, spectral intertwining gives QM1A=M1AQ for every Borel energy set. Fix the countable angular ONB ej. Each scalar coefficient Qij=πiQιj commutes with scalar projections. On the nested finite intervals In=(1/n,n) set qij,n=Qij1In. For bounded simple f supported in In, projection commutation gives Qijf=fqij,n. Testing indicators of the measurable sets where ∣qij,n∣>∥Q∥+1/m proves ∣qij,n∣≤∥Q∥ a.e.; their restrictions agree on overlaps. Choose representatives for this countable family under CC and assemble qij(E) off a countable union of null sets. For each rational-complex finite vector c and each finite output truncation, the bound for Q(1Ac) implies pointwise ∑i≤N∣∑jqij(E)cj∣2≤∥Q∥2∥c∥2: otherwise a positive-measure subset of a finite interval would contradict the integrated bound. There are only countably many c,N; remove their common null set. Increasing N and completing the rational finite vectors constructs a unique bounded Q(E) on h, with strongly measurable action. Equality on simple finite-angular vectors proves Q=MQ(E). Perform the same construction for Q∗; its coefficient matrix is the pointwise adjoint. The scalar adjoint identity (Qij)∗=πjQ∗ιi gives transposed conjugate coefficients a.e.; finite angular pairings and bounded completion therefore identify the field of Q∗ with the actual adjoint Q(E)∗. Testing the norm equalities for Q and Q∗ on 1Ac, for the countable rational finite vectors c, makes both fields isometries off one countable union of null sets. Complex polarization gives Q(E)∗Q(E)=I; the adjoint-field isometry gives Q(E)Q(E)∗=I, so the inverse is genuine and no formal infinite matrix multiplication was used. This uses countably many representatives and rational tests, not AC or dependent fiber choices. The fiber agrees a.e. with step 6.1's explicit stationary one.

7.2F1step 1.1step 6.1algebra

[Generic rotation covariance] Spatial rotation URg(x)=g(R−1x) gives H[VR]=URH[V]UR−1 and commutes with H0. Conjugating each defining strong wave limit yields Ω±[VR]=URΩ±[V]UR−1 and the same formula for S. Polar Fourier coordinates satisfy F0UR=URF0. Thus the fiber covariance in (b) follows a.e.; the explicit continuous stationary kernels give it at every E>0. No step asserts H[V] commutes with rotations unless VR=V.

8.1F1F3step 4.1step 7.1step 2.3step 1.3algebra

[The regular radial spectral transform is genuinely onto] The angular decomposition reduces the radial potential and free Laplacian to the countably many reduced radial problems, with the regular origin boundary inherited from H2(R3). The local outgoing radial Green kernel is −φl(r<)fl(r>)/Wl: its derivative jump is −1, and its origin and outgoing conditions characterize it uniquely. Since φl is real and φl=cfl+df‾l, d=Wl/(2ik) and c=−W‾l/(2ik)=d‾. Therefore the difference of the outgoing and incoming Green kernels is 2ikφl(r)φl(s)/∣Wl∣2. The same explicit Poisson spectral argument as step 4.1 yields density ρlφl(r)φl(s), with ρl=k/(π∣Wl∣2). Thus Tl initially has squared norm ∥Pacg∥2 on compact sources and extends to an isometry on the absolutely continuous radial subspace. For an energy set A, polarization of the density formula says that TlPH(A)g is the orthogonal range projection of 1ATlg; their norms are equal because both squared norms equal the spectral measure of g on A. Hence 1ATlg is already in the range and TlPH(A)g=1ATlg. Its range is therefore closed and reducing; the scalar case of step 7.1 says its range projection is multiplication by 1A for a measurable energy set A. Fix a countable dense list of compact radial step functions. At each positive energy not all their integrals against the nonzero continuous local function ρlφl vanish. Their transformed representatives are continuous in energy locally. Since each lies in the range, all vanish a.e. on the complement of A; the countable union shows that complement is null. This proves onto, not merely an isometric kernel formula. The regular origin condition used here follows from the spherical-harmonic radial decomposition: the other local solution has reduced leading term r−l, which is not locally L2 for l≥1; for l=0 its three-dimensional 1/r term is excluded by Hloc2 and its delta Laplacian.

9.1F3step 3.1step 1.3step 8.1step 2.3algebra

[Radial coefficient matching and the channel phases] Normalize al=ρlφl=clfl+dlf‾l. Step 8.1 gives ∣cl∣=∣dl∣=1/(2πk). For the free normalized regular solution al0=k/π rjl(kr) the coefficients in the same e±i(kr−lπ/2) convention are cl0=1/(2iπk), dl0=−1/(2iπk). The angular Fourier identity proved in step 2.3 gives the free channel transform (−i)lTl0. In the distorted inverse Z−∗, the outgoing resolvent correction leaves the incoming free coefficient unchanged; the inverse Z+∗ instead leaves the outgoing coefficient unchanged. The regular origin condition makes each solution a scalar multiple of al, and matching these unchanged coefficients therefore gives Z−∣lm=(−i)ldl0/dl‾ Tl and Z+∣lm=(−i)lcl0/cl‾ Tl. All factors have modulus one. Their product yields the dynamical channel multiplier cl0/cl‾(dl0/dl)=(cl/dl)/(cl0/dl0)=W‾l/Wl. This proves the radial stationary-dynamical identification through actual normalized kernels, rather than importing a Coulomb transform or citing an unspecified packet limit.

10.1step 6.1step 7.1step 7.2step 1.3step 8.1step 2.3step 9.1algebra∎

[Agreement with the scattering amplitude] Integrating incident directions against Ylm(d) produces 4πilrjl(kr) in the reduced lm channel. Its incoming coefficient is matched by the regular distorted solution; its outgoing coefficient is consequently multiplied by Sl. The difference from the incident outgoing coefficient is 4πil(1/(2ik))(Sl−1) in the ei(kr−lπ/2) convention. Converting to eikr cancels ile−ilπ/2 and gives angular amplitude-operator eigenvalue 2π(Sl−1)/(ik). Thus I+ikAk/(2π) acts on the channel by precisely Sl, agreeing with step 6.1. Every m has the same radial equation, so no arbitrary angular-sector selection occurs; the countable channel sum and the countable exceptional sets are legitimate under CC. These constructions prove all the assertions.

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