This version is a draft one.

Some proofs (or idea of proofs) and references are to be

added. Any contribution to complete this manuscript is welcome.
THE SPECTRAL SHIFT FUNCTION
FOR QUANTUM HAMILTONIANS

VINCENT BRUNEAU

Abstract. The Spectral Shift Function (SSF) initially introduced by Lifshits and
Krein allows a spectral analysis of trace class (or relatively trace class) perturbations of
some reference operators. The SSF coincides with the difference of counting functions of
eigenvalues when the spectrums are discrete, and provides a spectral quantity in order
to compare self-adjoint operators having continuous spectrums. After the introduction
of the SSF and the statement of general properties, we will study it for perturbations
of electrical and magnetic quantum Hamiltonian. We will be particularly interested in
asymptotic properties and connection with resonances.

Contents
1. Introduction 2
2. The spectral shift function (SSF) 3
2.1. Finite dimensional case 3
2.2. Trace class and Fredholm determinant 4
2.3. Schrödinger operators 6
2.4. The SSF for perturbations of trace class 6
2.5. The SSF for relatively trace class perturbations 7
2.6. Some interpretations of the SSF for Schrödinger operators 9
3. Resonances and SSF 10
3.1. Breit-Wigner approximation 11
3.2. Levinson formula 12
4. Weyl asymptotics and semi-classical limits 13
4.1. Introduction of the semi-classical limits 13
4.2. Pointwise semiclassical asymptotics of the SSF 15
4.3. Semiclassical Breit-Wigner approximation 16
4.4. Other asymptotic behaviors: large coupling, large magnetic fields,
semi-classical Dirac operators, non-relativistic limits, ... 16
5. Magnetic hamiltonians 16
5.1. Definition of the magnetic Schrödinger operators 16
5.2. The spectral shift function ξ(E; H, H0 ) 18
5.3. Berezin–Toeplitz operators 18
5.4. Asymptotics of ξ(E; H, H0 ) as E → (2q + 1)b 19
5.5. Sketch of the proof of Theorem 5.4 21
5.6. Other asymptotics results on the SSF for magnetic Hamiltonians 22
6. Inverse problems 22
1
2 V. BRUNEAU

References 23

1. Introduction
An important result of the spectral theory of partial differential operators is the following
Weyl asymptotic formula. If Ω ⊂ Rn is a bounded domain and λ0 < λ1 ≤ · · · ≤ λj · · ·
are the eigenvalues of the Laplace-Dirichlet operator −∆Ω , in 1911, H. Weyl shows that
ωn n
N (−∆Ω , λ) := #{j ∈ N; λj ≤ λ, } ∼ Vol(Ω) λ 2, λ % +∞,
(2π)n
where ωn is the volume of the n-dimensional unit ball.
A first consequence is that the spectrum determine the volume (the area for n = 2) of
the domain. In reference to the famous article [53], one can hear the area of a drum.
The research on remainder terms remained an open problem for many years. A general
result was obtained by Ivrii [47] and Melrose [60] in 1980 for smooth domains:
ωn n (n−1)
(1.1) N (−∆Ω , λ) = n
Vol(Ω) λ 2 + O(λ 2 ), λ % +∞.
(2π)

Question: Are there analogous results for the exterior problem (that is for −∆Rn \Ω )?
In this case the spectrum is continuous (sp(−∆Rn \Ω ) = [0, +∞)). What is the analog
of N (−∆Ω , λ)?

The same question arises in the study of spectral concentration phenomena. For ex-
ample, for the 2D magnetic Schrödinger operators (with constant magnetic field) it is
given by accumulation of eigenvalues at the Landau levels, but it is not applicable for
3D magnetic Schrödinger operator whose spectrum is continuous.

Answer: The Spectral Shift Function (SSF) is a spectral quantity which makes it pos-
sible to measure a distribution of continuous spectrum (and of the discrete one). For
the obstacle problem it can be view as
 
ξ(−∆Rn \Ω , −∆Rn ; λ) := lim N (−∆BR , λ) − N (−∆BR \Ω , λ) ,
R→+∞
n
where BR is the ball in R of radius R. It also coincide with the scattering phase for
the pair (−∆Rn \Ω , −∆Rn ) and for smooth obstacle it satisfies :

ωn n (n−1)
(1.2) ξ(−∆Rn \Ω , −∆Rn ; λ) = Vol(Ω) λ 2 + O(λ 2 ), λ % +∞.
(2π)n
The first general result (in odd dimension) was given in [61] after works dealing with
special cases like [49] (star shaped domains). In any dimension it is proved in [84].

For the 3D magnetic magnetic Schrödinger operators the spectral concentration phe-
nomena could be expressed by the blow up of the SSF at the Landau levels.
 THE SSF FOR QUANTUM HAMILTONIANS 3

Moreover we will see that, locally, near a resonance w = µ − iΓ, the SSF is a smoothed
step function:
1 λ−µ
ξ(λ) ∼λ→µ arctan + R(λ).
π Γ

2. The spectral shift function (SSF)

2.1. Finite dimensional case. When we study the eigenvalues of a hermitian matrix
A, {λj }1≤j≤d , it’s natural to introduce the characteristic polynomial:
d
Y
PA (z) := det(zI − A) = (z − λj ).
j=1

Then the eigenvalues of A are the zeroes of PA . Moreover, for =z > 0, up to a constant,
z 7→ ln(PA (z)) define a holomorphic function on {z ∈ C; =z > 0}, and, up to a constant,
we have:
1
(2.1) NA (λ) := #{j ∈ N; λj eigenvalue of A ≤ λ, } = − lim = ln(PA (λ + iε)).
π ε→0
Indeed in the sense of the distributions, for the derivative, we have:
d
d X 1
ln(PA (λ + iε)) = ,
dλ j=1
λ − λ j + iε

and we deduce (2.1) using that

1  1  1  1 1 
lim = = lim − = −δλj (λ)
ε→0 π λ − λj + iε ε→0 2iπ λ − λj + iε λ − λj − iε
where δλj is the Dirac distribution supported at λj .
Now, if we want to compare the distribution of the eigenvalues of two matrices A and
A0 , then
1   1
NA (λ)−NA0 (λ) = − lim = ln(PA (λ+iε))−ln(PA0 (λ+iε)) = − lim = ln(DA,A0 (λ+iε)).
π ε→0 π ε→0
where
PA (z)    
DA,A0 (z) := = det (A − zI) (A0 − zI)−1 = det I + (A − A0 )(A0 − zI)−1
PA0 (z)
is the so-called Relative Determinant. On the other hand, for any f ∈ D0 (R), the
function ξA,A0 := NA0 (λ) − NA (λ) satisfies:
Z
ξA,A0 (λ)f 0 (λ)dλ = hξA,A0 , f 0 iD0 ,D = −hξA,A
0
0
, f iD0 ,D
R
X X
= f (λj (A)) − f (λj (A0 ))
sp(A) sp(A0 )

= tr(f (A) − f (A0 ))

4 V. BRUNEAU

The function ξA,A0 will be called the Spectral Shift Function for the pair (A, A0 ). But
we want to consider unbounded operators in Hilbert spaces (for example the Laplacian
in L2 (Rn )). Before to generalize the notion of Spectral Shift Function, let us introduce
Trace class operators and Fredholm determinants.
2.2. Trace class and Fredholm determinant. In this section we give only results
useful for this course, more general results (and proofs) can be fund in Refs: [89], Simon
(Trace Ideals)... ReedSimon and references given there.
In a Hilbert space H, for a non negative compact selfadjoint operator A, we denote by
λj (A), j ∈ N, its eigenvalues (in decreasing order), which can accumulate only at zero.
1
For any compact operator A, we denote by |A| := (A∗ A) 2 its modulus and by sj (A) :=
λj (|A|) the so called s-numbers or singular numbers (in particular s1 (A) = kAkL(H) ).
Definition 2.1. Let A ∈ L(H) and p ≥ 1. We say that A is in the Schatten class Sp if
the following series converges:
X
sj (A)p := (kAkp )p .
j∈N

The particular Schatten classes S2 (resp. S1 ) is the Hilbert-Schmidt class (resp. trace
class).
is in S2 if and only if for any orthonormal basis (vn )n , kAvn k2 converges
P
An operator A
and kAk22 = kAvn k2 (which coincides with the sum for (vn )n being the eigenvectors
P
of AA∗ ).
Proposition 2.2. Equipped with the norm k · kp , Sp is:
(1) a subspace of the class of compact operators, denoted S∞
(2) an increasing sequence of spaces: if p1 ≤ p2 , then Sp1 ⊂ Sp2 with k · kp2 ≤ k · kp1
(3) a two-sided symmetric ideal of L(H) : if B1 , B2 ∈ L(H) and A ∈ Sp , then
B1 AB2 ∈ Sp with kB1 AB2 kp ≤ kB1 kkAkp kB2 k
Moreover: for p1 , p2 , p ≥ such that p1 = p11 + p12 , if Aj ∈ Spj then A = A1 A2 ∈ Sp and
kAkp ≤ kA1 kp1 kA2 kp2 .
The proof of these results uses the Weyl-Ky Fan inequalities on the singular numbers:
si+j−1 (A + B) ≤ si (A) + sj (B); si+j−1 (AB) ≤ si (A)sj (B).
Proposition 2.3. If the operator A acts in L2 (Ω), Ω ⊂ Rn , as an integral operator:
Z
Au(x) = K(x, y)u(y)dy,
Ω
2
then A ∈ S2 if and only if K ∈ L (Ω × Ω) and kAk2 = kKk2 .
Corollary 2.4. For f, g ∈ L2 (Rn ) and h ∈ L1 (Rn ), let us introduce the operators:
A := f (x) g(i∇), T0 := f (x) h(i∇)g(x), T1 := f (i∇) h(x)g(i∇).
Then we have:
A ∈ S2 (L2 (Rn )), and T0 , T1 ∈ S1 (L2 (Rn ))
 THE SSF FOR QUANTUM HAMILTONIANS 5

with
kAk2 ≤ kf k2 kgk2 and kTj k1 ≤ kf k2 kgk2 khk1 .
With the notation of the previous Corollary, the trace class property of A also holds for
f and g in h.i−δ L2 (Rn ), with δ > n2 (see [81]).
For example, on L2 (Rn ), hxi−ρ (−∆ + 1)−k is in the trace class (resp. Hilbert-Schmidt
class) if ρ > n, k > n2 (resp. δ > n2 , k > n4 ).
Proposition 2.5. If the operator A is a trace class operator, then for any orthonormal
basis (vn )n , the following series converges absolutely and the sum does not depend on
the choice of basis:
X
hAvn , vn i := tr(A).
The number tr(A) is called the trace of A and satisfies:
X
tr(A) = λj (A), |tr(A)| ≤ kAk1 .
j∈N

Moreover for bounded operators A, B such that AB ∈ S1 and BA ∈ S1 , we have

tr(AB) = tr(BA).
Consequently, we have tr(A∗ A) = kAk22 and with the inner product (A, B) 7→ tr(B ∗ A),
the Hilbert-Schmidt space S2 is a Hilbert space. We also have:
Proposition 2.6. If A is a trace class operator on L2 (Rn ), given by an integral kernel
K (as in Proposition 2.3) which is continuous on Rn × Rn , then:
Z
tr(A) = K(x, x)dx.
Rn

Proposition 2.7. If the operator A is a trace class operator, then the following infinite
product converges absolutely:
Y
(1 + λj (A)) := det(I + A),
j∈N

and we have the estimate of the so-called (Fredholm)-determinant of (I + A):

| det(I + A)| ≤ ekAk1 .
Moreover for A, B such that AB, BA ∈ S1 , we have: det(I + AB) = det(I + BA).
By definition of the determinant, for A ∈ S1 , (I +A) is invertible a soon as det(I +A) 6= 0
(−1 is not an eigenvalue of A). Moreover, for a trace class-valued holomorphic function
z 7→ A(z), such that (I + A(z)) is invertible, the numerical function z 7→ det(I + A(z))
is a non vanishing holomorphic function and, we have:
 −1 d  dA(z) 
(2.2) det(I + A(z)) det(I + A(z)) = tr (I + A(z))−1 .
dz dz
6 V. BRUNEAU

2.3. Schrödinger operators. The typical operators we want to consider are pertur-
bations of the Laplace operator by potential in Rn , n ≥ 1, in the Hilbert space L2 (Rn ).
Let H0 = −∆ be the selfadjoint Laplacian (with domain H 2 (Rn )) and H1 = H0 + V ,
where V is the multiplication operator by a smooth potential (also denoted V ) which is
decaying at infinity. For example, we assume there exists ρ > 0, such that V satisfies:
(2.3) ∀α ∈ Nn , ∃Cα > 0, such that, |∂xα V (x)| ≤ Cα (1 + |x|)−ρ−|α| .
Then H1 with the domain H 2 (Rn ) is selfadjoint and for the spectrums we have:
(2.4) sp(H0 ) = spess (H0 ) = [0, +∞), spess (H1 ) = spess (H0 ) = [0, +∞).
Obviously, H1 − H0 = V is not of trace class, but if ρ > n, there exists c > 0 such that
for k > n2 , the resolvents satisfy:
(2.5) (H1 + cI)−k − (H0 + cI)−k ∈ S1 (L2 (Rn )).
Proposition 2.8. For z = k 2 with k ∈ C+ := {z ∈ C; =z > 0} the operator (H0 −zI)−1
is an integral operator with integral kernel Kn given for n = 1 and n = 3 by :
ieik|x−y| 1 eik|x−y|
(2.6) K1 (x, y) = ; K3 (x, y) = .
2k 4π |x − y|
For n > 1, Kn is connected to Hankel functions.
For V as above with ρ > n, we have for n = 3:
|eik|x−y| |2 |V (y)|
Z
1 1
2 −1 2 −1 2 −2
(H0 − k I) |V | ∈ S2 , with k(H0 − k I) |V | k2 = (4π)
2 2 dxdy,
R3 |x − y|2
  Z Z dη 
2 −2 2 −2 −3
V (H0 −k I) ∈ S1 , with, tr V (H0 −k I) = (2π) V (x)dx 2 2 2
dη
R3 R3 (|η| − k )
and for n = 1:
Z
2 −1

2 −1
 i  
V (H0 − k I) ∈ S1 , with, tr V (H0 − k I) = V (x)dx
2k R
2.4. The SSF for perturbations of trace class.
The Spectral Shift Function, now denoted SSF introduced in the early fifties by the
Physicist IM Lifshits measures an energy distribution. Lifshits had defined it from a
trace perturbation formula (see for example [89] for more details).
Theorem 2.9. Let A1 and A0 be two bounded selfadjoint operators on a Hilbert space H
such that A1 − A0 ∈ S1 . Then there exists a unique Spectral Shift Function ξ(A1 , A0 ; .),
integrable on R such that:
R
(1) tr(A1 − A0 ) = R ξ(A1 , A0 ; .)dλ
(2) For any f ∈ M(R), the set of Lebesgue mesurable functions, such that hpifˆ is
integrable,
  Z
(2.7) tr f (A1 ) − f (A0 ) = ξ(A1 , A0 ; .)f 0 (λ)dλ
R
(3) ξ(A1 , A0 ; .) = 0 for λ outside the convex hull of sp(A1 ) ∪ sp(A0 )
 THE SSF FOR QUANTUM HAMILTONIANS 7

Remark 2.10. Thanks to the spectral Theorem, for A = A1 , A0 , we have

Z
f (A) = f (λ)dEA (λ),
R
where λ 7→ EA (λ) = 1]−∞,λ] (A) is the resolution of the identity of A. Then formally, we
have:
Z  Z  
tr(f (A1 )−f (A0 )) = tr f (λ)(dEA1 (λ)−dEA0 (λ)) = − tr EA1 (λ)−EA0 (λ) f 0 (λ)dλ.
R R
and in the sense of the distributions
 
ξ(λ; A1 , A0 ) = tr EA1 (λ) − EA0 (λ) .
 
But, in general, EA1 (λ) − EA0 (λ) is not of trace class...

Idea of the proof of Theorem 5.4. Following [52] the SSF is given in the proof of Theo-
rem 8.2.1 of [89] by:
1
(2.8) ξ(A1 , A0 ; λ) = − lim = ln(DA1 ,A0 (λ + iε)).
π ε→0
where DA1 ,A0 is the perturbation (or relative) determinant:
 
DA1 ,A0 (z) := det I + (A1 − A0 )(A0 − zI)−1 .
The first step of the construction consists in considering rank-one perturbations. Then
using telescopic formula, it is extended to finite rank perturbations. Finally, an absolute
convergence in L1 proves the existence of (2.8) for trace class perturbations.
Then Theorem 5.4 is proved successively for f (λ) = (λ − z)−k , k ∈ N, f (λ) = e−itλ
and for a general class of functions containing the Schwartz space (see Theorem 8.3.3 of
[89]).
The validity of (2.7) for any f ∈ D(R) fixes ξ(A1 , A0 ; .) up to an additive constant.
Therefore for f supported outside sp(A1 ) ∪ sp(A0 ), the l.h.s. of (2.7) vanishes and then
ξ(A1 , A0 ; .) is constant outside the convex hull of sp(A1 ) ∪ sp(A0 ). Thus the uniqueness
of ξ(A1 , A0 ; .) is guaranteed by choosing ξ(A1 , A0 ; .) = 0 below inf sp(A1 ) ∪ sp(A0 ) and
the last property of Theorem 5.4 follows taking f ∈ D(R) constant equal to 1 on the
convex
R hull of sp(A 1 ) ∪ sp(A0 ) (for such function we have f (A) = f (A0 ) and then
0
0 = R ξ(A1 , A0 ; .)f (λ)dλ = ξ− − ξ+ ). 
2.5. The SSF for relatively trace class perturbations. For perturbations of Laplace
or Dirac operators, in general there exists c ∈ R and k ∈ N such that for ϕ(λ) = (λ+c)−k
2
or for ϕ(λ) = e−λ or for ϕ(λ) = 1R± (λ + c)e−λ , we have
ϕ(H1 ) − ϕ(H0 ) ∈ S1 .
Then applying Theorem 5.4 with Aj = ϕ(Hj ), j = 0, 1, there exists a SSF, ξ(ϕ(H1 ), ϕ(H0 ))
satisfying for a class of functions g:
  Z
tr g(ϕ(H1 )) − g(ϕ(H0 )) = ξ(ϕ(H1 ), ϕ(H0 ); µ)g 0 (µ)dµ.
R
8 V. BRUNEAU

Consequently, if ϕ is one-to-one on sp(H) ∪ sp(H0 ), the function

ξ(H1 , H0 ; λ) = sgnϕ0 (λ) ξ(ϕ(H1 ), ϕ(H0 ); ϕ(λ)), on sp(H1 ) ∪ sp(H0 )
satisfies:   Z
tr f (H1 ) − f (H0 ) = ξ(H1 , H0 ; .)f 0 (λ)dλ
R
for any f = goϕ.
For instance, if Hj + cI are positive operators and (2.5) holds true for some k > 0,
Theorem 5.4 is applicable to µ 7→ f (µ−1/k − c) for µ ∈ sp(H + c) ∪ sp(H0 + c) and we
obtain:
Theorem 2.11. Let H1 and H0 be two semi-bounded selfadjoint operators on a Hilbert
space H such that for some k > 0 and c > 0,
(H1 + cI)−k − (H0 + cI)−k ∈ S1 (H).
Then there exists a unique Spectral Shift Function ξ(H1 , H0 ; .), such that:
(1) λ 7→ (1 + |λ|)−k−1 ξ(H1 , H0 ; λ) is integrable on R
(2) ξ(H1 , H0 ; λ) = 0 for λ < inf(sp(H) ∪Rsp(H0 ))
(3) tr((H1 + cI)−k − (H0 + cI)−k ) = −k R ξ(H1 , H0 ; .)(λ + c)−k−1 dλ
(4) For any f ∈ S(R),
  Z
tr f (H1 ) − f (H0 ) = ξ(H1 , H0 ; λ)f 0 (λ)dλ.
R
For more general discussion on the choice of ϕ, we refer to Section 11 of [89].
Remark 2.12. By applying the above relation, to the functions λ 7→ e−tλ , t > 0 or to
λ 7→ e−itλ χ(λ), t ∈ R, χ ∈ D(R), we have the relations:
  Z
−tH1 −tH0
(2.9) tr e −e = −t ξ(H1 , H0 ; λ)e−tλ dλ, t > 0,
R
  Z
−itH1 −itH0
(2.10) tr e χ(H1 ) − e χ(H0 ) = ξ(H1 , H0 ; λ)(e−itλ χ)0 (λ)dλ, t ∈ R.
R
These relations could be useful in the study of trace formulas.
Remark 2.13. In the asymptotic study of the SSF, it may be possible to approximate
it by its convolution with a mollifier θε = 1ε η̂( ε· ) with η ∈ D(R), η(0) = 1:
  Z
(2.11) ξ(H1 , H0 ; ·) ? θε (λ) = − ξ(H1 , H0 ; λ)θε0 (µ − λ)dµ
0

R 
(2.12) = tr θε (H1 − λ) − θε (H0 − λ)
Z
1 itλ
 itH1 itH0

(2.13) ”=” √ e− ε η(t)tr e ε − e ε dt.
ε 2π R
For counting functions of eigenvalues, such approximation is often justified by Tauberian
theorems, but an important new difficulty with the SSF, is that we don’t know if it is
a monotonic function.
 THE SSF FOR QUANTUM HAMILTONIANS 9

2.6. Some interpretations of the SSF for Schrödinger operators. Thanks to

both previous sections, for the Schrödinger operators H1 = −∆ + V and H0 = −∆ with
V satisfying (2.3), for ρ > n, the SSF ξ(H1 , H0 ; .) satisfying Theorem 2.11 exists. In
particular, on the discrete spectrum of H1 it is connected to the counting function of
negative eigenvalues of H1 :
ξ(H1 , H0 ; λ) = −#{j ∈ N; λj eigenvalue of H1 ≤ λ}, λ < 0.
Moreover for λ ≥ 0 we have the following interpretations of the SSF, in terms of the
scattering phase and the average Time-Delay
Proposition 2.14 (Birman-Krein formula [5, 89]). Under the above assumptions, for
almost every λ > 0, we have
det(SH1 ,H0 (λ)) = e−2πiξ(H1 ,H0 ;λ) ,
where SH1 ,H0 is the scattering matrix for the pair (H1 , H0 ).
The idea of the proof is to use a representation formula of the scattering matrix (see
[89] ). The proof of the representation formula given by Pushnitski in [68] uses similar
arguments.
Another time-dependent interpretation of the SSF is given by the time-delay operator
TH1 ,H0 introduced in [48] (see also [83]). Thanks to the Eisenbud-Wigner formula, this
operator TH1 ,H0 is related to the scattering matrix SH1 ,H0 by:
∗ 0
TH1 ,H0 = −i SH 1 ,H0
SH 1 ,H0
,
and then using the Birman-Krein formula, we have:
Proposition 2.15. Under the above assumptions, for almost every λ > 0, the derivative
of the SSF coincide with the average time delay:
ξ 0 (H1 , H0 ; λ) = tr(TH1 ,H0 (λ)).

Let us also mention that although a fundamental theorem of analysis does not exist for
operators, at the level of traces we have:
  Z 1  
tr f (H1 ) − f (H0 ) = tr f 0 (sH1 + (1 − s)H0 ) (H1 − H0 ) ds.
0

Let us come back to the first expression of the SSF in terms if the resolution of the
identities. As written above, formally we have
 
ξ(H1 , H0 ; λ) = tr EH1 (λ) − EH0 (λ) .
But the r.h.s. is not well defined and it is an equality in a weak sense. If we take the
derivative, we have the following interpretation of the derivative of the SSF in terms of
dEH
the spectral projections dλ j , j = 0, 1:
 dE dEH0 
H1
ξ 0 (H1 , H0 ) = tr − .
dλ dλ
10 V. BRUNEAU

On the other hand, let us recall the Stone formula:

dEHj 1  
(2.14) (λ) = Rj (λ + i0) − Rj (λ − i0) , a.e.
dλ 2iπ
where Rj (λ + i0) = s − limε&0 Rj (λ + iε), Rj (z) = (Hj − z)−1 .

Then, formally, using moreover that

dEHj dEHj
= (λ + c)m (Hj + c)−m
dλ dλ
we have

0 (λ + c)m h −m
i1
ξ (H1 , H0 ) = tr (Rj (λ + i0) − Rj (λ − i0))(Hj + c) ,
2iπ 0
where [Aj ]10 := A1 − A0 .
The interest of this last formal relation is the possibility to give a sense to the r.h.s.
and then for pairs of Schrödinger operators we will have the following representation
formula of the SSF.
Proposition 2.16. [17] For two selfadjoint semi-bounded operators H1 , H0 such that
for some m0 > 0 and c < inf(sp(H) ∪ sp(H0 )), we have
(H1 − H0 )(H0 + c)−m0 ∈ S1 ; (H1 + c)−m0 − (H0 + c)−m0 ∈ S1
then the SSF, ξ(H1 , H0 ; ·) and the functions, σ± :
 
(2.15) σ± (z) := (z + c)m tr (H1 − z)−1 (H1 + c)−m − (H0 − z)−1 (H0 + c)−m , ±=z > 0
are well defined for any m ≥ m0 .
Moreover for =z < 0, σ− (z) = σ+ (z) and, in the sense of distributions D0 (R), we have
0 1  
(2.16) ξ (H1 , H0 ; λ) = lim σ+ (λ + iε) − σ− (λ − iε)
2iπ ε→0+
Proof:

This result was adapted in [31] for perturbations of the Stark Hamiltonian (which non
semi-bounded).
Bouclet - Bruneau

3. Resonances and SSF

On the discret spectrum, the SSF is a step function with a jump at each eigenvalue,
the hight of the jump is the multiplicity of the eigenvalue. What about the continuous
spectrum? And for operators having discret and continuous spectrum what about the
threshold points?
 THE SSF FOR QUANTUM HAMILTONIANS 11

3.1. Breit-Wigner approximation. In a scattering experiment, the physical data is

mathematically encoded in the scattering matrix SH1 ,H0 (λ). This unitary operator ad-
mits, en general, meromorphic extension and the pole are called scattering poles or
resonances. Physically, the manifestation of resonances is often detected by sharp vari-
ation of the scattering phase or peaks of the average time delay (which coincide with
the derivative of the scattering phase, see Proposition 2.15). This connection between
scattering phase (or SSF) and resonances is known as the Breit-Wigner approximation
which says that when λ is near a resonance w = µ − iΓ, the derivative of the SSF (or
the scattering phase) has a peak like:
1 Γ
ξ 0 (λ) ∼λ→µ ,
π (λ − µ)2 + Γ2
that is, if Γ is small, ξ(λ) should change by approximately 1 as λ crosses µ.
More precisely, for the obstacle problem, in the proof of a Weyl asymptotic for the
scattering phase (like (1.2), Melrose [61] proved:

Theorem 3.1. Let K ⊂ Rn , n ≥ 3 odd, be a smooth obstacle (K = Ω with Ω an open

bounded domain with smooth boundary such that Rn \ K is connected) for λ ≥ 0, we
have:
ξ(−∆Rn \K , −∆Rn ; λ) = sBW (λ) + sreg (λ),
where
 
1 X |w| Γ
s0BW (λ) = χ ; sBW (0) = 0
π λ (λ − µ)2 + Γ2
w=µ−iΓ∈res(−∆Rn \K )

with χ ∈ C0∞ (R, [0, 1]), χ(x) = 1 for |x| ≤ 2, χ(x) = 0 for |x| > 3, and for any k >> n
sufficiently large,
dk+1 sreg  
(λ) = O hλin−k−1
dλ
as λ % +∞.

Extended to more general compactly supported perturbations of the Laplacian in [64, 65]
and then in the semiclassical setting in [66]
For special cases see: [40] (semiclassical case of a well in an island), [88] (Stark effect).
These works are done for the scattering phase. In [17] and [18] we prove such results on
the SSF for short range perturbations of the Laplacian using Proposition 2.16.
Without analytic assumptions: BonyMichelRamond (ArXiv 2019)
A precise semi-classical result will be given in next section.
The idea, is to prove the meromorphic extension like:
(3.1)
  X 1
σ+ (z) := (z+c)m tr (H1 −z)−1 (H1 +c)−m −(H0 −z)−1 (H0 +c)−m = +Hol(z)
w−z
w∈res(H1 )
12 V. BRUNEAU

and using that σ− (z) = σ+ (z), we have the meromorphic extension:

X 1
σ− (z) = + Hol(z).
w−z
w∈res(H1 )

Then from Proposition 2.16, we deduce:

1  
(3.2) ξ 0 (H1 , H0 ; λ) = lim+ σ+ (λ + iε) − σ− (λ − iε)
2iπ ε→0
X X Γ
(3.3) = δw (λ) + + =Hol(λ)
(λ − µ)2 + Γ2
w∈res(H1 )∩R w = µ − iΓ ∈ res(H1 )
Γ>0

From such results, we deduce Sjöstrand’s trace formulas, like: for f holomorphic near a
domain Ω ⊂ C and ψ ∈ C0∞ (R) equal to 1 near Ω ∩ R:
  X
tr f ψ(H1 ) − f ψ(H0 ) = f (w) + remainder
w∈res(H1 )∩Ω

for example, for f (z) = e−itz/h , h > 0 (not allowed in Sjöstrand’s trace formulas), it gives
a relation between the propagator e−itH1 /h and e−itw/h = e−itµ/h e−tΓ/h for w = µ − iΓ.
(see also ”Poisson formula” of Zworski)
Let us give the idea of the proof of (3.1) for H0 = −∆ and H1 = H0 +V for V ∈ C0∞ (Rn ).

3.2. Levinson formula. A Levinson formula aims to study the SSF near a thresholds
point (between discret spectrum and continuum spectrum). For example, in L2 (Rn ),
let H0 = −∆ (with domain H 2 (Rn )) and H1 be the selfadjoint Schrödinger operator
H1 = −∆ + V , with V satisfying:
∀α ∈ Nn , ∃Cα > 0, such that, |∂xα V (x)| ≤ Cα (1 + |x|)−ρ−|α| ; ρ > n.
Then, spess (H1 ) = [0, +∞), and we can have discret spectrum below 0. It is known that
the SSF ξ(H1 , −∆) has a finite jump at 0 which can be computed (see JensenKato 79,
Murata82, Guillopé81).
Let us denote 0 := ξ(H1 , H0 , 0+ ) − ξ(H1 , H0 , 0− ). For n = 1, 0 = 0 and we have the
original Levinson formula:
ξ(0) − ξ(+∞) = #spdisc (H1 ).
For n > 1, the number 0 depends on existence or not of 0-energy states (eigenvalue) or
0-resonant states defined as a solution ϕ of (−∆ + V )ϕ = 0, ϕ ∈ / L2 (Rn ), but it is in
some weight Sobolev space.
Generalized Levinson formula can be proved via the relative Zeta function:
  X Z +∞
−s −s −s −s
ζ(s) := tr (H1 +E) −(H0 +E) = (Ej +E) +E 0 + ξ 0 (λ)(λ+E)−s dλ
Ej ∈spdisc (H1 ) 0
 THE SSF FOR QUANTUM HAMILTONIANS 13

which is defined and holomorphic for <s > n2 and admits an meromorphic extension
to the the complex plan (with regular points at −k, k ∈ N). Thanks to the following
formula, the meromorphic
 extensionfollows from asymptotic extension, as t & 0 of the
relative heat trace tr e−tH1 − e−tH0 :
Z +∞
−s 1
λ = e−tλ ts−1 ds.
Γ(s) 0
The proof of the Levinson formula needs the asymptotic expansion, as λ % +∞, of
ξ 0 (λ).
Let us mention, a Levinson formula proved by Carron02 for manifolds with conical
ends. It use a connection with properties of the Dirichlet/Neumann operator near zero
energies. For the connection of the SSF with the Dirichlet/Neumann operator, we also
refer to [3].
For potential with critical decay, let us mention [50].

4. Weyl asymptotics and semi-classical limits

4.1. Introduction of the semi-classical limits. As said in the introduction an im-
portant question concerns the Weyl type asymptotics for the SSF. It consists to study
the asymptotic behavior of ξ(H1 , H0 ; λ) as λ % +∞ (it is also useful for the proof of
the Levinson
p µ formula).
For h := λ , we obviously have:
(4.1) ξ(H1 , H0 ; λ) = ξ(h2 H1 , h2 H0 ; µ)
essentially because 1(−∞,λ] (H) = 1(−∞, λ µ] (H) = 1(−∞,µ] (h2 H).
µ
Thus the study of ξ(H1 , H0 ; λ) for λ large is equivalent to the study of ξ(h2 H1 , h2 H0 ; µ)
for h small (and µ fixed). Consequently for H0 = −∆ and H1 = −∆+V1 , the high energy
asymptotic is equivalent to the semiclassical asymptotic (h & 0) for the semiclassical
operators −h2 ∆ and −h2 ∆ + h2 V1 at fixed energies.
 
−tH1 −tH0
Remark 4.1. The asymptotic analysis of tr e −e as t & 0 is evidently to

2 2
 √
whose of tr e−h H1 − e−h H0 as h = t & 0

More generally, let us introduce the semiclassical operators

H0 (h) := −h2 ∆; H1 (h) := −h2 ∆ + V0 + h2 V1 ,
where V0 and V1 are multiplication operators (electric potentials). the object of semi-
classical analysis is to study the way in which the Schrödinger equation (describing the
dynamics of a quantum particle) is transformed into the Hamilton’s equation (describing
the dynamics of a classical particle) when h := m~ & 0 (~ est la constante de Planck et
m est la masse de la particule). For example, the classical hamiltonian associated with
H1 (h) = −h2 ∆ + V0 is p1 (x, η) = |η|2 + V0 (x) and for E1 > E0 such that p−1
1 ([E0 , E1 ])
is compact, Helffer-Robert [45] showed that the spectrum of H1 (h) is discret in each
intervalle [E0 + ε, E1 − ε], ε > 0, for h sufficiently small. Then the counting function
14 V. BRUNEAU

N (H( h), λ) − N (H1 (h), λ0 ) is well defined for λ, λ0 ∈ [E0 + ε, E1 − ε] and we have the
Weyl semiclassical asymptotic [45]:
(4.2) Z
−n
#{j ∈ N; λj eig. of H1 (h) ∈ [λ0 , λ]} = (2πh) dxdη + O(h1−n ), h & 0,
λ0 ≤p1 (x,η)≤λ

where λ, λ0 ∈ [E0 + ε, E1 − ε] are no-critical values of p1 (i.e. ∇x,η p1 (x, η) 6= 0 for

p1 (x, η) = λ et p1 (x, η) = λ0 ).
Concerning the SSF, a classical analogue for the pair (H0 (h), H1 (h)) can be define from
the associated classical hamiltonians given by the h-principal symbols, p0 (x, η) := |η|2
and p1 (x, η) := |η|2 + V0 (x), with the analogue formula of (2.7):
Z Z
(4.3) f (p1 (x, η)) − f (p0 (x, η))dxdη = f 0 (λ)ξ cl (p1 , p0 ; λ)dλ.
R2n R

It defines a Schwartz distribution ξ cl as soon as, p1 and p0 satisfy:

Z
sup |p1 (x, η) − p0 (x, η)| < ∞; |p1 (x, η) − p0 (x, η)|(1 + |p0 (x, η)|)−N dxdη < ∞,
R2n R2n

for some N > 0. For p0 (x, η) := |η|2 and p1 (x, η) := |η|2 + V0 (x), we obtain:
Z  n n
cl
ξ (p1 , p0 ; λ) = ωn λ+ − (λ − V0 )+2 (x)dx.
2

Rn

Let us remark that

Z
cl 1− n cl nωn
(4.4) lim ξ (p1 , p0 ; λ) = 0; lim λ 2 ξ (p1 , p0 ; λ) = V0 (x)dx.
λ→−∞ λ→+∞ 2 Rn

Remark 4.2. The classical analogue of time delay (or transit time) defined in Bollé-
cl
Osborn81 coincides with dξdλ .
Using the standard h-pseudodifferential calculus we prove the following weak asymptotic
expansion of the derivative of the SSF.
Theorem 4.3. Let V0 and V1 be smooth functions on Rn satisfying
(4.5) ∀α ∈ Nn , ∃Cα > 0, such that, |∂xα Vj (x)| ≤ Cα (1 + |x|)−ρ−|α| ; ρ > n.
Then for any f ∈ C ∞ (R) satisfying
dk f n
∀k ∈ N, ∃Ck > 0, such that, | k
| ≤ Cα (1 + |λ|)r−k ; r<− ,
dλ 2
f (H1 (h))−f (H0 (h)) is a trace class operator in L2 (Rn ) and the following full asymptotic
expansion holds as h & 0:
  X
tr f (H1 (h)) − f (H0 (h) = hξ , f 0 i  (2πh)−n c2j (f )h2j ,
j≥0
 THE SSF FOR QUANTUM HAMILTONIANS 15

where the coefficients c2j are distributions in f (smooth at each λ which is not critical
for p1 ) and :
Z Z
cl 0 cl 0 2
c0 (f ) = hξ , f i; and for V0 = 0, ξ = 0; c2 (f ) = f (|η| )dη V1 (x)dx.
Rn Rn

In particular for f (λ) = e−λ it gives heat asymptotics and for the high energy asymptotic
of ξ(−∆ + V1 , −∆; λ) we have the following asymptotic in the sense of distributions:
 Z 
−n n
X
0 −2 −j
(4.6) ξ (−∆ + V1 , −∆; λ)  (2π) λ 2 γn V1 (x)dx + λ αj (V1 ) .
Rn j≥0

with γn an universal constant depending on n.

Now the problem is to give pointwise high energies and semiclassical asymptotics of the
SSF.
4.2. Pointwise semiclassical asymptotics of the SSF. In comparaison to the Weyl
asymptotics for the counting function, an important difficulty with the SSF is that it
is not a monotonic function. In order to apply Tauberian theorem (saying that the
asymptotic of a quantity is well approximated by the asymptotic of its convolution with
a mollifier) we have to decompose the SSF into the sum of monotonic functions (or of
a ”singular” monotonic function and of a ”regular” one). However, it is known that
outside the point spectra, the SSF is smooth.
To formulate the typical results let us introduce the notion of non-trapping energies.
Definition 4.4. We say that E > 0 is nontrapping for the classical hamiltonian p1 (x, η) =
|η|2 + V0 (x) if any initial data (x0 , η0 ) such that p1 (x0 , η0 ) = E the solutions (x(t), η(t))
of the following Cauchy problem (halmiltonian system) go to ∞ as |t| → +∞:

 x0 (t) = 2η(t)
η 0 (t) = −∇x V0 (x(t))
(x(t), η(t)) = (x0 , η0 )


Theorem 4.5. If J is a compact interval of [0, +∞), nontrapping for p1 (x, η) = |η|2 +
V0 (x), then the SSF for the pair (H0 (h), H1 (h)) (with the above assumptions) satisfies:
X
ξ 0 (H1 (h), H0 (h); λ)  (2πh)−n c2j (λ)h2j as h & 0, uniformly for λ ∈ J.
j≥0

The coefficients satisfy hcj , f i = cj (f ) (see Theorem 4.3). Furthermore this expansion
can be derivated in λ at any order.
REFERENCES : (high energies): Buslaev71 , Guillope81, Majda-Ralston78, Popov82,
Robert91-92-94-96; semi-classical: Robert-Tamura87....
Without the nontrapping condition, no complete pointwise energy asymptotics for the
SSF exists in general. The general picture is that fixed energy for which trapping classical
trajectories accumulate yields oscillations in ξ 0 . However an asymptotic expansion with
one or two terms still exists, similar to Weyl estimates for the counting functions of
bound states. For example for the SSF for the pair (H0 (h), H1 (h)) we have (Robert94):
16 V. BRUNEAU

Theorem 4.6. If λ > 0 is noncritical for p1 (x, η) = |η|2 + V0 (x), then the SSF for the
pair (H0 (h), H1 (h)) (with the above assumptions) satisfies the Weyl law:
ξ(H1 (h), H0 (h); λ) = (2πh)−n ξ cl (p1 , p0 ; λ) + O(h1−n ) as h & 0.
If on the energy surfaces p−1
1 (λ) the set of closed trajectories is of Liouville measure
zero, then the remainder term can be improved into o(h1−n ).
For other results on the semiclassical asymptotics for the SSF let use mention the survey
paper of D. Robert ([85]).
Let us discuss the pointwise high energy asymptotic expansion for the 3D-Schrödinger
operators: H0 = −∆, H1 = H0 + V with V satisfying (4.5).

Results for systems ([2], ....) , periodic operators ([27, 35],

Time independent approach: [30],
Many-body: [86]

4.3. Semiclassical Breit-Wigner approximation.

4.4. Other asymptotic behaviors: large coupling, large magnetic fields, semi-
classical Dirac operators, non-relativistic limits, ... Stark Hamiltonians: [31, 30]
Large coupling: [69, 71, 72, 28]

5. Magnetic hamiltonians
5.1. Definition of the magnetic Schrödinger operators. The self-adjoint unper-
turbed Magnetic Schrödinger operator in R3 is given by
(5.1) H0 = H0 (b) := (−i∇ − A)2
initially defined on C0∞ (R3 ) and essentially self-adjoint in L2 (R3 ). Here A = − bx22 , bx21 , 0


is a magnetic potential generating the magnetic field B = curl A = (0, 0, b) where b > 0
is the constant scalar intensity of B.
If we identify L2 (R3 ) with L2 (R2x⊥ ) ⊕ L2 (Rx3 ) we have the decomposition:
(5.2) H0 = H⊥ ⊗ Ik + I⊥ ⊗ Hk
where I⊥ and Ik are the identities in L2 (R2x⊥ ) and L2 (Rx3 ) respectively,
 2  2
∂ bx2 ∂ bx1
H⊥ := −i + + −i −
∂x1 2 ∂x2 2
is the unperturbed 2D-Magnetic Schrödinger operator, the so-called Landau Hamilton-
ian, self-adjoint in L2 (R2x⊥ ), and
d2
Hk := − 2
dx3
2
is the 1D free Hamiltonian, self-adjoint in L (Rx3 ).
 THE SSF FOR QUANTUM HAMILTONIANS 17

d 2
2
We check easily that H⊥ is unitarely equivalent to b(− dy 2 + y1 ) ⊗ Iy2 and then the
1
spectrum of H⊥ is a pure point spectrum given by the so-called Landau levels (2q + 1)b,
q ∈ N. Each Landau level is an eigenvalue of infinite multiplicity :
dim Ker (H⊥ − (2q + 1)b) = ∞
. Then, the spectrum σ(H0 ) of the operator H0 is absolutely continuous and coincides
with [b, ∞) (see e.g. [1]). Moreover, the Landau levels play the role of thresholds in
σ(H0 ).
Representation (5.2) shows that the operator H0 has a waveguide structure since the
transversal operator H⊥ has a purely point spectrum and the set of its eigenvalues is a
discrete subset of the real axis, while the longitudinal operator Hk has a purely absolutely
continuous spectrum. This waveguide structure of H0 explains the qualification of the
Landau levels, i.e. the eigenvalues of the transversal operator H⊥ , as thresholds in
the spectrum of the “total” 3D operator H0 . The important difference with the usual
waveguides is that the eigenvalues ((2q + 1)b, q ∈ N, of the transversal operator Hk are
of infinite multiplicity.
It is known that perturbations of H⊥ by electric potentials U tending to 0 at infinity
will produce accumulations of eigenvalues at the Landau levels. For non-negative (resp.
non-positive) perturbations the concentration of eigenvalues at the Landau levels from
above (resp. below) will be governed by the the Berezin–Toeplitz operator
pq U pq : pq L2 (R2 ) → pq L2 (R2 ).
where pq is the orthogonal projection onto Ker (H⊥ −(2q+1)b). Evidently, if U ∈ L∞ (R2 )
then pq U pq is bounded, and kpq U pq k ≤ kU kL∞ (R2 ) . Moreover, if U ∈ Lp (R2 ), p ∈ [1, ∞),
then by [75, Lemma 5.1] or [37, Lemma 3.1], we have pq U pq ∈ Sp , the pth Schatten–von
Neumann class, and
b
kpq U pq kpSp ≤ kU kpLp (R2 ) .
2π
As a corollary, if U ∈ L1loc (R2 ) and U (x) → 0 as |x| → ∞, then pq U pq is compact.
It is known that the distribution of eigenvalues near each Landau level (2q + 1)b is
governed by the distribution of eigenvalues of pq U pq near 0.
For perturbations of the 3D Magnetic Schrödinger operator we show that the infinite
degeneracy of the Landau levels regarded as eigenvalues of H⊥ , will produce singularities
of the associated SSF. More precisely, let us consider the electric potential V : R3 → R,
Lebesgue measurable, and bounded, and on the domain of H0 define the perturbed
operator
(5.3) H := H0 + V
which obviously is self-adjoint in L (R3 ).
2

For x ∈ R3 we will occasionally write x = (x⊥ , x3 ) where x⊥ = (x1 , x2 ) ∈ R2 are the

variables in the plane perpendicular to the magnetic field, and x3 ∈ R is the variable
along the magnetic field. We will suppose that V satisfies one of the following estimates:
• D (anisotropic decay): V (x) = O(hx⊥ i−m⊥ hx3 i−m3 ) with m⊥ > 2, m3 > 1;
• D0 (isotropic decay): V (x) = O(hxi−m0 ) with m0 > 3;
18 V. BRUNEAU

Note that assumption D0 implies D.

5.2. The spectral shift function ξ(E; H, H0 ). Let V satisfy D. Then the diamagnetic
inequality easily implies that the operator V (H0 + 1)−1/2 is Hilbert–Schmidt, and hence
the resolvent difference (H − i)−1 − (H0 − i)−1 is a trace-class operator. Therefore, we
can define the SSF
ξ(H, H0 ; ·) ∈ L1 (R; (1 + E 2 )−1 dE)
such that the Lifshits-Krein trace formula
Z
Tr (f (H) − f (H0 )) = ξ(H, H0 ; E)f 0 (E)dE
R
holds for each f ∈ C0∞ (R) and the normalization condition ξ(H, H0 ; E) = 0 is fulfilled
for each E ∈ (−∞, inf σ(H)) Moreover the SSF possesses the following more particular
features:
• ξ(H, H0 ; ·) is bounded on every compact subset of R \ b(2N + 1);
• ξ(H, H0 ; ·) is continuous on R \ (b(2N + 1) ∪ σpp (H)) where σpp (H) is the set of
the eigenvalues of H.
Before to describe the asymptotic behaviour of the SSF ξ(H, H0 ; E) as E → (2q + 1)b,
q ∈ N, let us give known behavior of the distribution of eigenvalues of auxiliary Berezin–
Toeplitz operators.
5.3. Berezin–Toeplitz operators. Fix q ∈ Z+ . Denote by pq the orthogonal projec-
tion onto Ker (H⊥ −2bq). As discussed in the previous subsection, we have rank pq = ∞.
Let U : R2 → C be a Lebesgue measurable function and pq be the orthogonal projection
onto Ker (H⊥ − (2q + 1)b), of infinite dimension.
Then for the Berezin–Toeplitz operator
pq U pq : pq L2 (R2 ) → pq L2 (R2 ).
whose symbols U admit respectively a power-like decay, an exponential decay, or have a
compact support, we have the following asymptotics as s ↓ 0 of the eigenvalue counting
function
Tr 1(s,∞) (pq U pq ) = #{ eigenvalues of pq U pq ≥ s}.
Lemma 5.1. [75, Theorem 2.6] Let 0 ≤ U ∈ C 1 (R2 ), and
U (x⊥ ) = u0 (x⊥ /|x⊥ |)|x⊥ |−α (1 + o(1)),
|∇U (x⊥ )| = O(|x⊥ |−α−1 ),
as |x⊥ | → ∞, with α > 0, and 0 < u0 ∈ C(S1 ). Fix q ∈ Z+ . Then
(5.4)
b 
x⊥ ∈ R2 |U (x⊥ ) > s  (1 + o(1)) = ψα (s)(1 + o(1)),

Tr 1(s,∞) (pq U pq ) = s ↓ 0,
2π
where | · | denotes the Lebesgue measure, and
Z
−2/α b
(5.5) ψα (s) := s u0 (t)2/α dt.
4π S1
 THE SSF FOR QUANTUM HAMILTONIANS 19

Lemma 5.2. [78, Theorem 2.1, Proposition 4.1] Let 0 ≤ U ∈ L∞ (R2 ) and
ln U (x⊥ ) = −µ|x⊥ |2β (1 + o(1)), |x⊥ | → ∞,
with β ∈ (0, ∞), µ ∈ (0, ∞). Fix q ∈ Z+ . Then
(5.6) Tr 1(s,∞) (pq U pq ) = ϕβ (s)(1 + o(1)), s ↓ 0,
where

b

 2µ1/β
| ln s|1/β if 0 < β < 1,
1
(5.7) ϕβ (s) := ln (1+2µ/b)
| ln s| if β = 1,
β
(ln | ln s|)−1 | ln s| if 1 < β < ∞.


β−1

Lemma 5.3. [78, Theorem 2.2, Proposition 4.1] Let 0 ≤ U ∈ L∞ (R2 ), supp U be
compact, and U ≥ C > 0 on an open non-empty subset of R2 . Fix q ∈ Z+ . Then
(5.8) Tr 1(s,∞) (pq U pq ) = ϕ∞ (s)(1 + o(1)), s ↓ 0,
where
(5.9) ϕ∞ (s) := (ln | ln s|)−1 | ln s|.
Asymptotic relation (5.4) is of semiclassical nature in the sense that it is written in
terms of the measure of that part of “the phase space” R2 where the symbol U of the
operator pq U pq is greater than s > 0. Similarly, asymptotic relation (5.6) with β ∈ (0, 1)
is of semiclassical nature. Asymptotic relation (5.6) with β = 1 is the border-line one:
1
the order is semiclassical but the coefficient ln (1+2µ/b) is not. Note that the main asymp-
1 b
totic term of ln (1+2µ/b) as b → ∞ coincides with the semiclassical coefficient 2µ . Finally,
asymptotic relation (5.6) with β ∈ (1, ∞) as well as asymptotic relation (5.8) are not of
semiclassical nature.

5.4. Asymptotics of ξ(E; H, H0 ) as E → (2q + 1)b. Let V satisfy D. For x⊥ ∈ R2 ,

λ ≥ 0, set
Z
(5.10) W (x⊥ ) := |V (x⊥ , x3 )|dx3 ,
R
 
w11 w12
Wλ = Wλ (x⊥ ) := ,
w21 w22
where
Z
2
√ Z √
w11 := |V (x⊥ , x3 )| cos ( λx3 )dx3 , w22 := |V (x⊥ , x3 )| sin2 ( λx3 )dx3 ,
R R
Z √ √
w12 = w21 := |V (x⊥ , x3 )| cos ( λx3 ) sin ( λx3 )dx3 .
R
Unless V = 0 almost everywhere, we have
rank pq W pq = ∞, rank pq Wλ pq = ∞, λ ≥ 0.
20 V. BRUNEAU

If Fj (V ; λ), j = 1, 2, are two real non decreasing functionals of V , depending on λ > 0,

we write
F1 (V ; λ) ∼ F2 (V ; λ), λ ↓ 0,
if for each ε ∈ (0, 1) we have
F2 ((1 − ε)V ; λ) + Oε (1) ≤ F1 (V ; λ) ≤ F2 ((1 + ε)V ; λ) + Oε (1).
We also use analogous notations for non increasing functionals Fj (V ; λ) of V .
Theorem 5.4. [37, Theorems 3.1, 3.2] Let V satisfy D0 , and V ≥ 0 or V ≤ 0. Fix
q ∈ Z+ . Then we have
(5.11) ξ((2q + 1)b − λ; H, H0 ) = O(1), λ ↓ 0,
if V ≥ 0, and
(5.12) ξ((2q + 1)b − λ; H, H0 ) ∼ −Tr 1(2√λ,∞) (pq W pq ) , λ ↓ 0,
if V ≤ 0. Moreover,
 
1 pq Wλ pq
(5.13) ξ((2q + 1)b + λ; H, H0 ) ∼ Tr arctan √ , λ ↓ 0,
π 2 λ
if V ≥ 0, and
 
1 pq Wλ pq
(5.14) ξ((2q + 1)b + λ; H, H0 ) ∼ − Tr arctan √ , λ ↓ 0,
π 2 λ
if V ≤ 0.
Note that in the case q = 0 asymptotic relation (5.12) concerns the distribution of the
discrete eigenvalues of the operator H with V ≤ 0 near the origin which coincides with
the infimum of its essential spectrum. Inserting the results of Lemmas 5.1, 5.2, or 5.3
into (5.12), (5.13), and (5.14), we could obtain the main asymptotic term of the SSF as
E → (2q + 1)b. In particular we deduce the following intriguing
Corollary 5.5. [76] Let V satisfy D0 , and V ≤ 0. Fix q ∈ Z+ . Then
ξ((2q + 1)b + λ; H, H0 ) 1
(5.15) lim =
λ↓0 ξ((2q + 1)b − λ; H, H0 ) 2 cos απ
if W satisfies the assumptions of Lemma 5.1, i.e. if W admits a power-like decay with
decay rate α > 2, or
ξ((2q + 1)b + λ; H, H0 ) 1
(5.16) lim =
λ↓0 ξ((2q + 1)b − λ; H, H0 ) 2
if W satisfies the assumptions of Lemma 5.2 or Lemma 5.3, i.e. if W decays exponen-
tially1 or has a compact support.
Relations (5.15)–(5.16) could be interpreted as generalized Levinson formulae.
1In
the case of exponential decay of W we should also suppose that V satisfies D with m⊥ > 2 and
m3 > 2.
 THE SSF FOR QUANTUM HAMILTONIANS 21

5.5. Sketch of the proof of Theorem 5.4. (this section follows a part of the survey
paper [12])
We start with a representation of the SSF due to A. Pushnitski [68, 19], which is a
version, on the continous spectrum, of the Birman-Schwinger principle. Assume that V
satisfies D. Then the norm limit
T (E) := lim |V |1/2 (H0 − E − iδ)−1 |V |1/2
δ↓0

exists for every E ∈ R \ (2N + 1)b. Moreover, T (E) is compact, and 0 ≤ Im T (E) ∈ S1
(see [19, Lemma 4.2]). Assume in addition that ±V ≥ 0. Then for E ∈ R \ 2bZ+ we
have Z
1 dt
ξ(E; H, H0 ) = ± Tr1(1,∞) (∓(Re T (E) + tIm T (E)))
π R 1 + t2
(see [68, Theorem 1.2], [19, Subsection 3.3]).
The first important step in the proof of Theorem 5.4 is the estimate
Z
1 dt
(5.17) ±ξ(E; H, H0 ) ∼ Tr1(1,∞) (∓(Re Tq (E)+tIm Tq (E))) , E → (2q+1)b
π R 1 + t2
where
Tq (E) := lim |V |1/2 (pq ⊗ Ik )(H0 − E − iδ)−1 |V |1/2
δ↓0

= lim |V |1/2 (pq ⊗ (Hk + (2q + 1)b − E − iδ)−1 )|V |1/2 E 6= (2q + 1)b.
δ↓0

If E = (2q + 1)b − λ with λ > 0, then Tq (E) = Tq (E)∗ , and (5.17) implies
(5.18) ±ξ(E; H, H0 ) ∼ Tr1(1,∞) (∓ Tq (E)), E → (2q + 1)b.
Moreover, we have Tq (E) ≥ 0, i.e. Tr 1(1,∞) (−Tq (E)) = 0. Then (5.18) with the upper
sign implies
ξ(E; H, H0 ) = O(1), E ↑ (2q + 1)b,
provided that V ≥ 0, i.e. we obtain (5.11).
Assume now that V ≤ 0. The second important step in the proof of Theorem 5.4 is the
estimate
(5.19) Tr1(1,∞) (Tq ((2q + 1)b − λ)) ∼ Tr1(1,∞) |V |1/2 (pq ⊗ S− (λ)) |V |1/2 , λ ↓ 0,

where S− (λ) denotes the operator with constant integral kernel 2√1 λ . Note that 1
√
2 λ
could be interpreted as the divergent part as λ ↓ 0 of the integral kernel
√
λ|x3 −x03 |
e−
(5.20) √ , x3 , x03 ∈ R,
2 λ
of the resolvent (Hk + λ)−1 . Our next step requires the following abstract
Lemma 5.6. [9, Theorem 8.1.4] Let L be a linear compact operator acting between two,
possible different, Hilbert spaces. Then for each s > 0 we have
Tr 1(s,∞) (L∗ L) = Tr 1(s,∞) (LL∗ ).
22 V. BRUNEAU

Applying Lemma 5.6 with appropriate L, we immediately find that

(5.21)  
1/2 1/2

pq W pq
Tr1(1,∞) |V | (pq ⊗ S− (λ)) |V | = Tr1(1,∞) √ = Tr1(2√λ,∞) (pq W pq ) .
2 λ
Putting together (5.18), (5.19), and (5.21), we obtain (5.12).
Let now E = (2q + 1)b + λ with λ ↓ 0. Then the next important step is the estimate
Z Z
1 dt 1 dt
Tr1(1,∞) (∓(Re Tq (E) + tIm Tq (E))) 2
∼ Tr1(1,∞) (∓tIm Tq (E))
π R 1+t π R 1 + t2
1 1
= Tr arctan (Im Tq (E)) = Tr arctan |V |1/2 (pq ⊗ S+ (λ)) |V |1/2


(5.22)
π π
√
cos λ(x3 −x03 )
where S+ (λ) is the operator with integral kernel √
2 λ
, x3 , x03 ∈ R. Applying
Lemma 5.6 with appropriate L, we get
 
1
1 pq Wλ pq
(5.23) Tr arctan |V |1/2 (pq ⊗ S+ (λ)) |V |1/2 = Tr arctan √ .
π π 2 λ
Now the combination of (5.17), (5.22), and (5.23), yields (5.13)–(5.14).
5.6. Other asymptotics results on the SSF for magnetic Hamiltonians. Per-
turbation by obstacles are considered in [21], where a third order asymptotic expansion
is given. The two leading terms are independent of the obstacle, and the third term is
determined by b and the logarithmic capacity of the projection of the obstacle onto the
plane perpendicular to the magnetic field B.

Strong magnetic fields: [19, 13]

Open pb (half plane: [14], Dirac, ...)

6. Inverse problems
Gesztesy and Simon [42] proved an unicity result for Robin boundary parameters on
potentials given the spectral shift functions for the two Schrödinger operators. For a
parameter α ∈ [0, π) and v a real, relatively-Laplacian compact potentials on R+ let us
introduce the Schrödinger operators on the half-line:
(6.1) h(α, v) := −d2 /dx2 + v
with the Robin (mixed) condition depending on α > 0:
(6.2) (sin α)u0 (0) + (cos α)u(0) = 0, α ∈ [0, π),
For vj , j = 1, 2 two real, relatively-Laplacian compact potentials on R+ and αj , βj , j =
1, 2 real parameters in [0, π), we define four Schrödinger operators h(α1 , v1 ), h(β1 , v1 )
and h(α2 , v2 ), h(β2 , v2 ).
For the corresponding SSFs ξ(h(α1 , v1 ), h(β1 , v1 ); λ) and ξ(h(α2 , v2 ), h(β2 , v2 ); λ), the
following inverse result holds.
Proposition 6.1. [42, Theorem2.4] The following are equivalent:
 THE SSF FOR QUANTUM HAMILTONIANS 23

(1) For all λ ∈ R,

ξ (h(α1 , v1 ), h(β1 , v1 ); λ) = ξ(h(α2 , v2 ), h(β2 , v2 ); λ).
(2) α1 = α2 , β1 = β2 and v1 = v2 .
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Vincent Bruneau
Institut de Mathématiques de Bordeaux, UMR CNRS 5251
Université de Bordeaux
351 cours de la Libération, 33405 Talence cedex, France
E-mail: Vincent.Bruneau@math.u-bordeaux.fr