A NNALES DE L ’I. H. P., SECTION A
S. N. M. R UIJSENAARS P. J. M. B ONGAARTS
Scattering theory for one-dimensional step potentials
Annales de l’I. H. P., section A, tome 26, n
o1 (1977), p. 1-17
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1
Scattering theory
for one-dimensional step potentials
S. N. M. RUIJSENAARS P. J. M. BONGAARTS Instituut-Lorentz, University of Leiden,
Leiden, The Netherlands Ann. Inst. Henri Poincaré,
Vol. XXVI, n° 1, 1977,
Section A :
Physique théorique.
ABSTRACT. - We treat the
scattering theory
for the one-dimensional Diracequation
withpotentials
that arebounded, measurable,
real-valued functions on the realline, having
constantvalues,
notnecessarily
the same,on the left and on the
right
side of a compact interval. Suchpotentials
appear in the Klein
paradox.
It is shown thatappropriately
modifiedwave operators exist and that the
corresponding S-operator
isunitary.
The connection between
time-dependent scattering theory
and time-independent scattering theory
in terms ofincoming
andoutgoing plane
wave solutions is established and some further
properties
areproved.
Allresults and their
proofs
have astraightforward
translation to the one-dimensional
Schrodinger equation
with the same class of steppotentials.
1. INTRODUCTION
The mathematical
theory
ofpotential scattering
has beendeveloped
to a considerable extent in the last twenty years. Three-dimensional Schro-
dinger
operators are treated in amonograph by
Simon[1],
while recentresults and references on Dirac operators can be found in papers
by
Eckardt
[2]
andGuillot/Schmidt [3].
In both cases theinvestigated
poten- tials go to zero atinfinity
in some sense. In this paper we consider scatter-ing theory
forpotentials
nothaving
this property. For thesepotentials
the usual
techniques (cf. [1] )
are nolonger easily applicable.
It thereforeseems
appropriate
to treat thisproblem
first in one space dimension.More in
particular,
westudy
thescattering
of wavepackets,
describedby
the one-dimensional Diracequation,
atpotentials
that arebounded,
Annales de l’Institut Henri Poincaré - Section A - Vol. XXVI, n° 1 - 1977.
2 S. N. M. RUIJSENAARS AND P. J. M. BONGAARTS
measurable,
real-valued functions on the realline, having
constantvalues,
not
necessarily
the same, on the left and on theright
side of a compact interval.Such
potentials
occur in the well-known Kleinparadox. Rigorous scattering theory
for the c-number Diracequation
with suchpotentials
is a necessary
preliminary
for the discussion of thisparadox
in a second-quantized setting.
This will be undertaken in a separatepublication [4].
In
§
2 we introduce a modification of the usual definition of wave opera- tors.Using
a lemma on the free evolution we then prove that these modifiedwave operators exist. In
§
3 the existence ofincoming
andoutgoing
solu-tions is
proved.
In§
4 we establish the connection between these solutions and the wave operators and prove that theS-operator
isunitary.
Themain result of
§
5 is theasymptotic completeness
of the wave operators.The paper ends with a summary of the
changes
which should be madeto obtain
analogous
results for theSchrodinger equation
with the samepotentials.
2. PRELIMINARIES.
A LEMMA ON THE FREE EVOLUTION.
THE WAVE OPERATORS.
As an evolution
equation
in the Hilbert space ofsquare-integrable
two-component
spinors
I’ --_LZ(R)2,
the free one-dimensional Diracequation
readswhere
and
In
(2.3)
m >0 ;
aand f3
are 2 x 2 matricessatisfying
It
easily
follows thatHo
isself-adjoint.
We choose therepresentation
It is
easily
seen that our results arerepresentation-independent.
We have occasion to use a
spectral representation
forHo generated by
theunitary
operatorAnnales de l’Institut Henri Poincaré - Section A
3
SCATTERING THEORY FOR ONE-DIMENSIONAL STEP POTENTIALS
satisfying
where
One has
The
straightforward proofs
of theunitarity
ofVo
and of(2.8)
and(2.11)
are omitted. ~Ve denote the
projections
ofHo
and the momentum opera-, . , ,
We then define Note that
We will consider a
perturbed
Dirac HamiltonianIn
(2.14)
R > 0 and U > 0. Results for the case ofarbitrary
real valueson both sides of
I x
R can beeasily
obtainedby adding
a constantand/or using
theparity
operatorBesides P we will also use the
(Wigner)
time reversal operatorNote that
Vol. XXVI, n° 1 - 1977.
4 S. N. M. RUIJSENAARS AND P. J. M. BONGAARTS
LEMMA 2.1
(On
the freeevolution).
- LetFor
any 03C6~D
and a E R there areCn
> 0(n E N + )
such thatwhere xI
is the operator ofmultiplication by
the characteristic function of I.Prooi
-Setting
one
has, by
dominated convergence,Clearly,
where
and
h(p, p’)
is a function withsupp h
c[b, c]
x[b, c],
0 b c.Introducing
one
easily
sees that this is a 1 - 1 Coo map from(0, oo)
x(0, oo)to(0, 1)
x Rwith inverse
As the inverse is C~° the Jacobian is non-zero and coo.
Thus,
where
Annales de l’Institut Henri Poincaré - Section A
5 SCATTERING THEORY FOR ONE-DIMENSIONAL STEP POTENTIALS
and
F(y, v)
is aCo
function with supp F cx [vl, v2],
- oo vl oo.
Hence,
there existCn
> 0(n E N+)
such thatIt follows that
Thus,
the upper relation of(2.19)
holds. Sincethe lower one holds as well.
tjj
It
easily
follows from this lemma that forany ~
E Jf and a E R(Use
P to obtain the secondrelation.) Thus,
if resp. then exp( -
is a wavepacket
which moves from left toright
resp.right
to left.
(In particular
one infers that anegative
energy wavepacket
movesin a direction
opposite
to its averagemomentum.)
It is
physically quite plausible
that theusual,
wave operators do not exist if U > 0(we
shall prove this in section5). Indeed,
thepotential
thenhas
(had)
apersistent
effect on wavepackets moving
to(coming from)
theright,
which is reflected in an extraoscillating
factor exp( - iUt)
as com-pared
to thecorresponding
free wavepacket. However,
a moment’s consi- deration suggests that this factor can be neutralized if one definesand compares the
perturbed
evolution exp( - iHt)
with the two « almost free » evolutions exp( - (for
t - d-oo)
instead of the free evolution exp( - iHot).
The next theorem shows that this indeedhappens.
THEOREM 2.2. - The
(modified)
wave operators exist.Proof.
- Sinceit suffices to prove that W _ exists. This will follow if for
any 03C6
E Dbelongs
toL1(( -
00, -1]) (cf.
e. g.[5]).
To show this we note thatwhere
Vol. XXVI, n° 1 - 1977.
6 S. N. M. RUIJSENAARS AND P. J. M. BONGAARTS
and has compact support.
Hence, setting e
= exp( - iHot),
The statement now
easily
follows from(2.19). jjjjjj
In the
sequel
we will needspectral representations
forH~ , generated by
theunitary
operatorsdefined
by
where
Evidently,
and
where L : Jf~ -~ is the
conjugation
definedby
3. INCOMING AND OUTGOING SOLUTIONS.
We shall consider
absolutely
continuous(a. c.)
solutions of the diffe- rentialequation
with the
boundary
conditionwhere A
belongs
to a domain 0 c C in whichCi
1 andC2
areanalytic.
THEOREM 3.1. - For
any ~,
e 0(3.1)
has aunique
a. c. solutionU(x, ,1) satisfying (3.2).
It isAnnales de l’Insutut Henri Poincaré - Section A
7 SCATTERING THEORY FOR ONE-DIMENSIONAL STEP POTENTIALS
a) analytic
in0, uniformly
for x in a bounded subset ofR ; b) jointly
continuous on R x0 ;
c)
differentiable w. r. t. x on a setKv depending only
on V and the com-plement
of which has measure zero,uniformly
for À in a compact subset of 0.Proof
- Existence of an a. c. solution of(3.1-2)
isclearly equivalent
to existence of a continuous solution of the
integral equation
where
We will first prove that
(3 . 3)
has aunique
solution in the Banach space B of two-componentcomplex-valued
continuous functions on a compact2
interval I
(a
EI)
with thenorm ~ F II
_’B’ sup Fi{x) I. Defining
a Vol-terra
integral
operator on Bby
i= 1 xEI(3 . 3)
can beregarded
as anequation
in B :It
easily
follows that(3.6)
has theunique
solutionExistence and
unicity
of the solution on R now follows from an easy conti- nuation argument.Since
~(~,)
is an entire function with values in2(B)
all terms in the sumare
analytic
in 0. It theneasily
follows from the Weierstrass theorem thatU( . , À)
isanalytic
in 0.Thus,
sincea follows.
Evidently, b
follows from a. To prove c we defineVol. XXVI, n° 1 - 1977.
8 S. N. M. RUIJSENAARS AND P. J. M. BONGAARTS
By
the fundamental theorem of calculus there exists a setKv having
therequired properties
and such thatUsing (3.3)
and b it theneasily
follows thatuniformly
for ), in a compact subset of 0.II
We note that if
Ui, U2
are a. c. solutions of(3.1)
thenis a constant.
Indeed,
=(M(x, }~)U2(x)=0
b’x EKv (3 .13)
(cf. (2 . 4-5)).
We further observe that ifU(x)
satisfies(3.1)
with I e R then(TU)(x)
also does. In the next theorem we use thefollowing
intervals onthe E-axis:
THEOREM 3.2. - For A = E real
(3.1)
admits solutions of thefollowing
form :
where
Annales de l’Institut Henri Poincaré - Section A
9 SCATTERING THEORY FOR ONE-DIMENSIONAL STEP POTENTIALS
where
and
The functions
a(E), b(E)
andc(E)
are real-valued anda(E)
has a finitenumber of zeros in any closed interval
belonging
to( - m
+U, m).
If
[a, b]
is a subset of any of the above-mentioned 6 energy intervals then there exists an E > 0 such that all functions of E in(3.15-21)
whichare defined on
[a, b]
haveanalytic
continuations to the closedrectangle Q
E C with corners a ±iE, b
d- iE. Theanalytic
continuations of the func- tionsUI - ~(x, E)
whichcorrespond
to[a, b]
have theproperties a, b
and c from Th. 3.1 onQ.
Proof
- We first assume E e I.Then, by
Th.3.1, (3.1)
with /L = E andthe
boundary
conditionhas a
unique solution, satisfying
Calculating F(U, TU)
for x - R and x > R it follows thatso we can set
Using
theboundary
conditionVol. XXVI, n° 1 - 1977.
10 S. N. M. RUIJSENAARS AND P. J. M. BONGAARTS
one
analogously
infers the existence of a solutionU;(x, E) satisfying
Calculating F(Ui-, F(U1,
andF(U1,
for x - R andx >- R one then obtains
ti(E) = t2(E)
=t(E)
and(3.16).
If
[a, b]
c I thenE)
canobviously
beanalytically
continued tothe closed
rectangle Q
c C with corners a d- ie for any e > 0. Thusby
Th. 3.1 and(3.23)
the same is true for the functionsand, consequently,
forp(E)
andq(E)
as well.Choosing
now an 8 > 0 such that the continuation ofp(E)
is non-zero onQ
it follows thatt(E),
and
U1(x, E)
can beanalytically
continued toQ
and that the continuation ofU 1 (x, E)
has theproperties a, b
and c onQ.
A similar argument shows that the same is true forr2(E)
andU2 (x, E)
so we haveproved
the theorem for the case E e I. Theproof
for the 5remaining
cases isanalogous.
To prove
finally
the statement ona(E)
we assume that there are an infi- nite number of zeros in some closed interval J c( - m
+U, m).
Asa(E)
is
analytic
on J it then must be zero on it.However,
H would then havean uncountable number of
eigenvectors. ~
The functions denoted
by U i- (x, E)
are theincoming
solutions. Theoutgoing
ones are definedby
Defining
anoperator ? :
~ - -~ :if +by
where
one
clearly
hasCOROLLARY 3.3. - The operator
S
isunitary. jjjjjj
4. THE CONNECTION BETWEEN
W +
AND THE INCOMING AND OUTGOING SOLUTIONS.
THE S-OPERATOR.
We shall now show that the operators
W ± V ±
aregeneralized integral
operators, the kernels of which are theincoming
andoutgoing
solutions.Annales de l’Institut Henri Poincaré - Section A
11 SCATTERING THEORY FOR ONE-DIMENSIONAL STEP POTENTIALS
THEOREM 4.1. - For any
where
Proof
In view of(3.29)
and the relation it suffices to prove thatfor any
f
e Jf with compact support inJ,
where J =I,
..., V. We shall show this for the case that M = suppf
c Iand f2 =
0. Theproof
for theremaining
cases isanalogous.
Denoting
the r. h. s. of(4 . 4) by (U _ f )(x)
iteasily
follows from(3.15)
and
property b
that and thatwhere
CM only depends
on M.Using
property c, dominated convergence and(3 .11 )
one also infers thatso
Moreover,
by (3.11)
and Fubini’stheorem,
so
(U -- f)(x)
is a. c.Thus, and, by (4. 7),
where
TE
denotesmultiplication by
E.Therefore, by induction, LL f
ED(H")
and
Vol. XXVI, n° 1 - 1977.
12 S. N. M. RUIJSENAARS AND P. J. M. BONGAARTS
Using (4.6)
we then infer that the limit N - 00 of the r. h. s. exists.Hence,
We now assert that
To prove this, we set
Then,
if x >R,
Regarding
the r. h. s. as a function on R oneeasily
sees,using (2 . 31 ),
thatSimilarly,
Moreover,
from theRiemann-Lebesgue
lemma and dominated conver-gence it follows that
--
Thus,
as
asserted.
. We
finally
conclude thatwhere
(4.12)
has been used.jjj
COROLLARY 4. 2. - For
any 03C6
E JV,Defining
theS-operator by
we now have
THEOREM 4.3. - S is
unitary
andProof
- Astraightforward computation, using (4 . 3),
Th.4.1, (3 . 30-31)
and (3 .15-20), proves that
Annales de l’Institut Henri Poincaré - Section A
13 SCATTERING THEORY FOR ONE-DIMENSIONAL STEP POTENTIALS
Thus
(4.23)
holds. In view Gf Cor. 3.3 S isunitary. jjjj
COROLLARY 4 . 4. - Ran W_ = Ran
W +.
THEOREM 4 . 5. - For
any §
E jf and a E Rwhich proves
(4.26).
Theproof
of(4.27)
isanalogous. jjj)
The relations
(4.26-27)
can beinterpreted
as the connection between the matrix elements ofS
and theprobability
that a one-dimensional wavepacket
which comes in from theright
or theleft,
afterhaving
been scatteredby
thepotential
is « detected » at theright
or the left. When e. g.only /(E) = (V-1~)1(E) ~ 0, and
issharply peaked
aroundEo E I,
then theperturbed
wavepacket corresponding to § (described by
exp(-
in the
Schrodinger picture)
came from the left in the far past; theprobabi- lity
that it will be detected in the far future on theright
or on the left is thenapproximately equal
toT(Eo)=
resp.R(Eo)=E rl(Eo) 12,
i. e. theusual transmission and reflection coefficient.
If I
issharply peaked
around
Eo
E II then theperturbed
wavepacket
came from the left in thefar past and will be detected on the left in the far future with
probability
one, etc.
5. COMPLETENESS OF THE WAVE OPERATORS.
THE
SCHRÖDINGER
CASE.The main result of this final section is that the range of the wave opera- tors
equals
theorthocomplement
of the bound states. We denote the spec- tralprojection
of H on the Borel set Qby
the resolvent of Hby R~,
and the 2 x 2 matrix with elements
ViUj by
V (x) U. Note thatVol. XXVI, n° 1 - 1977.
14 S. N. M. RUIJSENAARS AND P. J. M. BONGAARTS
LEMMA 5.1. 2014 IfU > 2m H has no
eigenvalues.
If U 2m itseigenvalues belong
to( - m
+U, m)
and it has no essential spectrum in( - m
+U, m).
Proof
- The first two statements are obvious. To prove the last one we note thatby (3.21) Eo
is aneigenvalue
if andonly
ifa(Eo)
=0,
so theeigenvalues
havemultiplicity
one and have no limitpoint
in( - m
+U, m).
Thus,
it suffices to show that = 0 for any[a, b] c ( -
m +U, m)
with
a(E) #
0 on[a, b].
We shall prove thisby
means of Stone’s formula:where
By
Th. 3 . 2Ui(x, E)
anda(E)
haveanalytic
continuationsUi(x, À)
resp.to a
rectangle Q
c C with corners a b + such thata(~,) ~
0 onQ.
We define for
any §
and }B, EQ
The
integrals
areclearly absolutely
convergent. We assert thatR;
=R;.
Indeed,
ifsupp §
is compact one concludes that(R~~)( ~ )
ED(H)
and that((~ -
=h), U2{x, ~))~{x) ~ (5 . 5)
Thus,
sinceby (3 . 21 )
F(Ui(x, E), U2(x, E)) =
VE E( - m
+U, m), (5.6)
our statement follows. An easy argument now shows that for
any §
E ~~(a. e.)
where I --_ E -~- ib and 0 c5 E.
Hence, assuming
thatsupp §
is compact,one infers
by
dominated convergence that for a. e. xIt follows that
P~ ~ =0. tt
We
decompose ~ by setting
Annales de l’Institut Henri Poincaré - Section A
15
SCATTERING THEORY FOR ONE-DIMENSIONAL STEP POTENTIALS
the restriction of H to
Yt ac
has a. c. spectrum, to continuoussingular
spectrum, and to:it pp
purepoint
spectrum.THEOREM 5 . 2. - =
0 ;
Ran W _ = RanW+ = (5 .10) Proof
- In view of Cor. 4.4 and Lemma 5.1 it suffices to show thatTo prove
(5.11-12)
we will use Stone’s formula as in theproof
of Lemma 5.1so as to obtain
expressions
forPI,
...,Pv.
We assume first[a, b]
c I.By
Th. 3.2
Ui(x, E)
andt(E)
haveanalytic
continuations to arectangle Q
c Cwith corners a + iE, b :t iE, such that
t(~,) ~
0 onQ. Using
the relationone concludes as before that for
any ~
E Yf and ~, EQ
with Im x > 0As the
analogue
of(5.8)
we then getwhere we used the relation
RI
=R*.
Sincewe conclude that
Thus,
in view of(4 .1 )
and(4 . 21 )
The same arguments and formulas also lead to
(5.18)
if[a, b]
c IIIor V.
Hence, by continuity,
Vol. XXVI, n° 1 - 1977.
16 S. N. M. RUIJSENAARS AND P. J. M. BONGAARTS
We now assume
[a, b] c
II.Arguing
as before andusing
the relationone then infers that
(5 .14-15)
hold true in the same sense ifU2
isreplaced by U2
and tby
1. Sinceit follows that
If
[a, b]
c IV one also gets(5.22),
withU1 -+ Thus, (5.18)
holdsin both cases. Therefore Since
we
finally
conclude that(5.11-12)
hold true.II
We are now in a
position
to exhibit aspectral representation
of H. Let}~=
i be acomplete
orthonormalfamily
ofeigenvectors
of H witheigenvalues 00).
Forany 03C6~H
we defineTHEOREM 5 . 3. -
a)
If U 2m :EnE(- m
+U, m), n
=1,
..., K. If U > 2m H has noeigenvalues. b)
Forany §
E Yfc)
If A is a Borel set then forany cp
E Jfwhere
denotes
n the sum over all n such thatEn
E A.Annales de l’Institut Henri Poincaré - Section A
SCATTERING THEORY FOR ONE-DIMENSIONAL STEP POTENTIALS 17
COROLLARY 5.4. - If U > 0 the unmodified wave operators do not exist.
Proof
- To show this we make use ofmultiplicity theory (cf. [6] ).
IfU > 0 then II ~ 0. Since the
multiplicity
ofHo
in IIequals
2 existence ofs. lim exp
(iHt)
exp( - iHot)
wouldimply
that themultiplicity
of H in IIf-~± 30
is at least
equal
to 2.However, by
Th. 5 . 3 the lattermultiplicity equals
1.jjjjj
We
finally
want to sketch howanalogous
results can be obtained for the one-dimensionalSchrodinger equation
with the same class of step poten- tials.Making
obviouschanges
all results of§
2 can be obtained. In§
3one should now discern 3 energy
intervals: I1 = (U, oo), I2 - (0, U)
andI3 - ( -
oo,0). Using
instead of F the Wronskian of 2 solutions of the Schro-dinger equation
all results of§
3 have an easytranslation ; II corresponds
to I,
12
to II and13
to( - m
+U, m).
Inparticular (3.15-16)
hold forIi, (3 .17), (3 . 20)
for12
and(3 . 21 )
for13
if theV~ 1:)
arereplaced by
theirSchrodinger analogues.
The results of§§
4,5 are then obtained innearly
the same way. In
particular
theexpressions
for the resolvent of the Dirac Hamiltonian also hold true for theSchrodinger
counterpart iff3
is omitted.ACKNOWLEDGMENT
This
investigation
is part of the research program of the «Stichting
voor Fundamenteel Onderzoek der Materie
(F.
O.M.)
», which is finan-cially supported by
the «Organisatie
voor ZuiverWetenschappelijk
Onderzoek
(Z. W. O. )
».REFERENCES
[1] B. SIMON, Quantum mechanics for Hamiltonians defined as quadratic forms. Princeton, University Press, 1971.
[2] K.-J. ECKARDT, Math. Z., t. 139, 1974, p. 105-131.
[3] J. C. GUILLOT, G. SCHMIDT, Arch. Rat. Mech. Anal., t. 55, 1974, p. 193-206.
[4] P. J. M. BONGAARTS, S. N. M. RUIJSENAARS, The Klein paradox as a many particle problem. To be published in Ann. Phys. (N. Y.), t. 101, 1976, p. 289-318.
[5] S. T. KURODA, Nuovo Cimento, t. 12, 1959, p. 431-4.54.
[6] N. I. ACHIESER, I. M. GLASMANN, Theorie der linearen Operatoren im Hilbert-Raum.
Berlin, Akademie-Verlag, 1960.
le 28 juillet 1975.
Manuscrit révisé, reçu le 2 juillet 1976)
Vol. XXVI, n° 1 - 1977.