We construct higher order spectral shift functions, extending the perturbation theory results of M. G. Krein and L. S. Koplienko on representations for the remainders of the first and second order Taylor-type approximations of operator functions. The higher order spectral shift functions represent the remainders of higher order Taylor-type approximations; they can be expressed recursively via the lower order (in particular, Krein's and Koplienko's) ones. We also obtain higher order spectral averaging formulas generalizing the Birman-Solomyak spectral averaging formula. The results are obtained in the semi-finite von Neumann algebra setting, with the perturbation taken in the Hilbert-Schmidt class of the algebra.
Multiple scalar integral representations for traces of operator derivatives are obtained and applied in the proof of existence of the higher order spectral shift functions.
We construct higher order spectral shift functions, which represent the remainders of Taylor-type approximations for the value of a function at a perturbed self-adjoint operator by derivatives of the function at an initial unbounded operator. In the particular cases of the zero and the first order approximations, the corresponding spectral shift functions have been constructed by M. G. Krein and L. S. Koplienko, respectively. The higher order spectral shift functions obtained in this paper can be expressed recursively via the lower order ones, in particular, Krein's and Koplienko's spectral sh…
It is well known that the sum of negative (positive) eigenvalues of some finite Hermitian matrix $V$ is concave (convex) with respect to $V$. Using the theory of the spectral shift function we generalize this property to self-adjoint operators on a separable Hilbert space with an arbitrary spectrum. More precisely, we prove that the spectral shift function integrated with respect to the spectral parameter from $-\infty$ to $λ$ (from $λ$ to $+\infty$) is concave (convex) with respect to trace class perturbations. The case of relative trace class perturbations is also considered.
We consider the Schrödinger operator on a star shaped graph with $n$ edges joined at a single vertex. We derive an expression for the trace of the difference of the perturbed and unperturbed resolvent in terms of a Wronskian. This leads to representations for the perturbation determinant and the spectral shift function, and to an analog of Levinson's formula.
In this article we continue our analysis of Schroedinger operators with a random potential using scattering theory. In particular the theory of Krein's spectral shift function leads to an alternative construction of the density of states in arbitrary dimensions. For arbitrary dimension we show existence of the spectral shift density, which is defined as the bulk limit of the spectral shift function per unit interaction volume. This density equals the difference of the density of states for the free and the interaction theory. This extends the results previously obtained by the authors in one d…
In this paper we study the asymptotic expansion of the spectral shift function for the slowly varying perturbations of periodic Schrödinger operators. We give a weak and pointwise asymptotics expansions in powers of $h$ of the derivative of the spectral shift function corresponding to the pair $\big(P(h)=P_0+ϕ(hx),P_0=-Δ+V(x)\big),$ where $ϕ(x)\in {\mathcal C}^\infty(\mathbb R^n,\mathbb R)$ is a decreasing function, ${\mathcal O}(|x|^{-δ})$ for some $δ>n$ and $h$ is a small positive parameter. Here the potential $V$ is real, smooth and periodic with respect to a lattice $Γ$ in ${\mathbb R}^n$.…
This paper is a continuation of my previous work on absolutely continuous and singular spectral shift functions, where it was in particular proved that the singular part of the spectral shift function is an a.e. integer-valued function. It was also shown that the singular spectral shift function is a locally constant function of the coupling constant $r,$ with possible jumps only at resonance points. Main result of this paper asserts that the jump of the singular spectral shift function at a resonance point is equal to the so-called resonance index, --- a new (to the best of my knowledge) noti…
In this paper it is shown that in case of trace class perturbations the singular part of Pushnitski $μ$-invariant does not depend on the angle variable. This gives an alternative proof of integer-valuedness of the singular part of the spectral shift function. As a consequence, the Birman-Krein formula for trace class perturbations follows.
The spectral shift function of a pair of self-adjoint operators is expressed via an abstract operator valued Titchmarsh--Weyl $m$-function. This general result is applied to different self-adjoint realizations of second-order elliptic partial differential operators on smooth domains with compact boundaries, Schrödinger operators with compactly supported potentials, and finally, Schrödinger operators with singular potentials supported on hypersurfaces. In these applications the spectral shift function is determined in an explicit form with the help of (energy parameter dependent) Dirichlet-to-N…
We obtain a representation formula for the derivative of the spectral shift function $ξ(λ; B, ε)$ related to the operators $H_0(B,ε) = (D_x - By)^2 + D_y^2 + εx$ and $H(B, ε) = H_0(B, ε) + V(x,y), \: B > 0, ε> 0$. We establish a limiting absorption principle for $H(B, ε)$ and an estimate ${\mathcal O}(ε^{n-2})$ for $ξ'(λ; B, ε)$, provided $λ\notin σ(Q)$, where $Q = (D_x - By)^2 + D_y^2 + V(x,y).$
We study the asymptotic behavior as L \to \infty of the finite-volume spectral shift function for a positive, compactly-supported perturbation of a Schrödinger operator in d-dimensional Euclidean space, restricted to a cube of side length L with Dirichlet boundary conditions. The size of the support of the perturbation is fixed and independent of L. We prove that the Cesàro mean of finite-volume spectral shift functions remains pointwise bounded along certain sequences L_n \to \infty for Lebesgue-almost every energy. In deriving this result, we give a short proof of the vague convergence of th…
This paper extends Krein's spectral shift function theory to the setting of semifinite spectral triples. We define the spectral shift function under these hypotheses via Birman-Solomyak spectral averaging formula and show that it computes spectral flow.
We study the manner in which spectral shift functions associated with self-adjoint one-dimensional Schrödinger operators on the finite interval $(0,R)$ converge in the infinite volume limit $R\to\infty$ to the half-line spectral shift function. Relying on a Fredholm determinant approach combined with certain measure theoretic facts, we show that prior vague convergence results in the literature in the special case of Dirichlet boundary conditions extend to the notion of weak convergence and arbitrary separated self-adjoint boundary conditions at $x=0$ and $x=R$.
We consider the Schrödinger operator with constant magnetic field defined on the half-plane with a Dirichlet boundary condition, $H_0$, and a decaying electric perturbation $V$. We analyze the spectral density near the Landau levels, which are thresholds in the spectrum of $H_0,$ by studying the Spectral Shift Function (SSF) associated to the pair $(H_0+V,{H_0})$. For perturbations of a fixed sign, we estimate the SSF in terms of the eigenvalue counting function for certain compact operators. If the decay of $V$ is power-like, then using pseudodifferential analysis, we deduce that there are si…
We study the manner in which a sequence of spectral shift functions $ξ(\cdot;H_j,H_{0,j})$ associated with abstract pairs of self-adjoint operators $(H_j, H_{0,j})$ in Hilbert spaces $\cH_j$, $j\in\bbN$, converge to a limiting spectral shift function $ξ(\cdot;H,H_0)$ associated with a pair $(H,H_0)$ in the limiting Hilbert space $\cH$ as $j\to\infty$ (mimicking the infinite volume limit in concrete applications to multi-dimensional Schrödinger operators). Our techniques rely on a Fredholm determinant approach combined with certain measure theoretic facts. In particular, we show that prior vagu…
The spectral shift function ξ_{L}(E) for a Schrödinger operator restricted to a finite cube of length L in multi-dimensional Euclidean space, with Dirichlet boundary conditions, counts the number of eigenvalues less than or equal to E \in \RR created by a perturbation potential V. We study the behavior of this function ξ_{L}(E) as L to infinity for the case of a compactly-supported and bounded potential V. After reviewing results of Kirsch [Proc. Amer. Math. Soc. 101, 509-512 (1987)], and our recent pointwise convergence result for the Cesàro mean [Proc. Amer. Math. Soc. 138, 2141-2150 (2010)]…
We discuss the well known ``Fredholm index=spectral flow'' theorem and show that it can be interpreted as a limit case of an identity involving two spectral shift functions.
We introduce the concept of a spectral shift operator and use it to derive Krein's spectral shift function for pairs of self-adjoint operators. Our principal tools are operator-valued Herglotz functions and their logarithms. Applications to Krein's trace formula and to the Birman-Solomyak spectral averaging formula are discussed.
In the large coupling constant limit, we obtain an asymptotic expansion in powers of $μ^{-\frac{1}δ}$ of the derivative of the spectral shift function corresponding to the pair $\big(P_μ=P_0+μW(x),P_0=-Δ+V(x)\big),$ where $W(x)$ is positive, $W(x)\sim w_0(\frac{x}{|x|})|x|^{-δ}$ near infinity for some $δ>n$ and $w_0\in {\mathcal C}^\infty(\mathbb S^{n-1};\,\mathbb R_+).$ Here $\mathbb S^{n-1}$ is the unite sphere of the space $\mathbb R^n$ and $μ$ is a large parameter. The potential $V$ is real-valued, smooth and periodic with respect to a lattice $Γ$ in ${\mathbb R}^n$.
Given a self-adjoint operator H, a self-adjoint trace class operator V and a fixed Hilbert-Schmidt operator F with trivial kernel and co-kernel, using limiting absorption principle an explicit set of full Lebesgue measure is defined such that for all points of this set the wave and the scattering matrices can be defined and constructed unambiguously. Many well-known properties of the wave and scattering matrices and operators are proved, including the stationary formula for the scattering matrix. This new abstract scattering theory allows to prove that for any trace class perturbations of arbi…
Given a pair of self-adjoint operators $H$ and $V$ such that $V$ is bounded and $(H+V-i)^{-1}-(H-i)^{-1}$ belongs to the Schatten-von Neumann ideal $\mathcal{S}^n$, $n\ge 2$, of operators on a separable Hilbert space, we establish higher order trace formulas for a broad set of functions $f$ containing several major classes of test functions and also establish existence of the respective locally integrable real-valued spectral shift functions determined uniquely up to a low degree polynomial summand. Our result generalizes the result of \cite{PSS13} for Schatten-von Neumman perturbations $V$ an…
We prove a strictly positive, locally uniform lower bound on the density of states (DOS) of continuum random Schrödinger operators on the entire spectrum, i.e. we show that the DOS does not have a zero within the spectrum. This follows from a lower Wegner estimate for finite-volume continuum random Schrödinger operators. We assume throughout iid random variables and the single-site distribution having a Lebesgue density bounded from below on its support. The main mathematical novelty in this paper are pointwise-in-energy bounds on the expectation of the spectral shift function at all energies …
We consider a compact perturbation $H_0 = S + K_0^* K_0$ of a self-adjoint operator $S$ with an eigenvalue $λ^\circ$ below its essential spectrum and the corresponding eigenfunction $f$. The perturbation is assumed to be "along" the eigenfunction $f$, namely $K_0f=0$. The eigenvalue $λ^\circ$ belongs to the spectra of both $H_0$ and $S$. Let $S$ have $σ$ more eigenvalues below $λ^\circ$ than $H_0$; $σ$ is known as the spectral shift at $λ^\circ$. We now allow the perturbation to vary in a suitable operator space and study the continuation of the eigenvalue $λ^\circ$ in the spectrum of $H(K)=S …
We discuss convergence properties of the spectral shift functions associated with a pair of Schrodinger operators with Dirichlet boundary conditions at the end points of a finite interval (0, r) as the length of interval approaches infinity.
We derive strong estimates for Schatten norms of operator derivatives along paths of contractions and apply them to prove existence of higher order spectral shift functions for pairs of contractions.
We affirmatively settle the question on existence of a real-valued higher order spectral shift function for a pair of self-adjoint operators $H$ and $V$ such that $V$ is bounded and $V(H-iI)^{-1}$ belongs to a Schatten-von Neumann ideal $\mathcal{S}^n$ of compact operators in a separable Hilbert space. We also show that the function satisfies the same trace formula as in the known case of $V\in\mathcal{S}^n$ and that it is unique up to a polynomial summand of order $n-1$. Our result significantly advances earlier partial results where counterparts of the spectral shift function for noncompact …
The new representation formula for the spectral shift function due to F.Gesztesy and K.A.Makarov is considered. This formula is extended to the case of relatively trace class perturbations.
We consider the self-adjoint operator $H=H_0+V$, where $H_0$ is the free semi-classical Dirac operator on $R^3$. We suppose that the smooth matrix-valued potential $V=O(<x>^{-δ}), δ>0,$ has an analytic continuation in a complex sector outside a compact. We define the resonances as the eigenvalues of the non-selfadjoint operator obtained from the Dirac operator $H$ by a complex distortions of $R^{3}$.We establish an upper bound $O(h^{-3})$ for the number of resonances in any compact domain. For $δ>3$, a representation of the derivative of the spectral shift function $ξ(λ,h)$ related to the semi…
The recently introduced concept of a spectral shift operator is applied in several instances. Explicit applications include Krein's trace formula for pairs of self-adjoint operators, the Birman-Solomyak spectral averaging formula and its operator-valued extension, and an abstract approach to trace formulas based on perturbation theory and the theory of self-adjoint extensions of symmetric operators.
We discuss applications of the M. G. Kre\uın theory of the spectral shift function to the multi-dimensional Schrödinger operator as well as specific properties of this function, for example, its high-energy asymptotics. Trace identities for the Schrödinger operator are derived.
We study the Koplienko Spectral Shift Function (KoSSF), which is distinct from the one of Krein (KrSSF). KoSSF is defined for pairs $A,B$ with $(A-B)\in\calI_2$, the Hilbert-Schmidt operators, while KrSSF is defined for pairs $A,B$ with $(A-B)\in\calI_1$, the trace class operators. We review various aspects of the construction of both KoSSF and KrSSF. Among our new results are: (i) that any positive Riemann integrable function of compact support occurs as a KoSSF; (ii) that there exist $A,B$ with $(A-B)\in\calI_2$ so $\det_2((A-z)(B-z)^{-1})$ does not have nontangential boundary values; (iii) …
In this paper I prove existence of an irreducible pair of operators $H$ and $H+V,$ where $H$ is a self-adjoint operator and $V$ is a self-adjoint trace-class operator, such that the singular spectral shift function of the pair is non-zero on the absolutely continuous spectrum of the operator $H.$
We study the spectral shift function (SSF) $ξ(λ)$ and the resonances of the operator $H_V := \big( σ\cdot (-i\nabla - \textbf{A}) \big)^{2} + V$ in $L^2(\mathbb{R}^3)$ near the origin. Here $σ:= (σ_1,σ_2,σ_3)$ are the $2 \times 2$ Pauli matrices and $V$ is a hermitian potential decaying exponentially in the direction of the magnetic field $\textbf{B} := \text{curl} \hspace{0.6mm} \textbf{A}$. We give a representation of the derivative of the SSF as a sum of the imaginary part of a holomorphic function and a harmonic measure related to the resonances of $H_V$. This representation warrant the Br…
Let H=Δ+\sum_{#a=2} V_a be a 3-body Hamiltonian, H_a the subsystem Hamiltonians, Δthe positive Laplacian of the Euclidean metric on X_0=R^n, V_a real-valued. Buslaev and Merkurev have shown that, if the pair potentials decay sufficiently fast, for ϕsmooth and compactly supported, the operator ϕ(H)-ϕ(H_0)-\sum_{#a=2}(ϕ(H_a)-ϕ(H_0)) is trace class. Hence, one can define a modified spectral shift function σ, as a distribution on R, by taking its trace. In this paper we show that if V_a are Schwartz, then σis in fact smooth away from the thresholds, and obtain its high energy asymptotics. In addit…
We study convergence of the spectral shift function for the finite interval restrictions of a pair of full-line Schrödinger operators to an interval of the form $(-\ell,\ell)$ with coupled boundary conditions at the endpoints as $\ell\to \infty$ in the case when the finite interval restrictions are relatively prime to those with Dirichlet boundary conditions. Using a Krein-type resolvent identity we show that the spectral shift function for the finite interval restrictions converges weakly to that for the pair of full-line Schrödinger operators as the length of the interval tends to infinity.
Let $H$ signify the free non-negative Laplacian on $\mathbb{R}^2$ and $H_Y$ the non-negative Dirichlet Laplacian on the complement $Y$ of a nonpolar compact subset $K$ in the plane. We derive the low-energy expansion for the Krein spectral shift function (scattering phase) for the obstacle scattering system $\{\,H_Y,\,H\,\}$ including detailed expressions for the first three coefficients. We use this to investigate the large time behaviour of the expected volume of the pinned Wiener sausage associated to $K$.
We use recent results on the boundary behavior of Cauchy integrals to study the Krein spectral shift of a rank one perturbation problem for self-adjoint operators. As an application, we prove that all self-adjoint rank one perturbations of a self-adjoint operator are pure point if and only if the spectrum of the operator is countable. We also study pairs of pure point operators unitarily equivalent up to a rank one perturbation and give various examples of rank one perturbations of singular spectra.
In this paper we develop the method of double operator integrals to prove trace formulae for functions of contractions, dissipative operators, unitary operators and self-adjoint operators. To establish the absolute continuity of spectral shift, we use the Sz.-Nagy theorem on the absolute continuity of the spectrum of the minimal unitary dilation of a completely nonunitary contraction. We also give a construction of an intermediate contraction for a pair of contractions with trace class difference.
We consider the 3D Pauli operator with nonconstant magnetic field B of constant direction, perturbed by a symmetric matrix-valued electric potential V whose coefficients decay fast enough at infinity. We investigate the low-energy asymptotics of the corresponding spectral shift function. As a corollary, for generic negative V, we obtain a generalized Levinson formula, relating the low-energy asymptotics of the eigenvalue counting function and of the scattering phase of the perturbed operator.
We develop an analog of classical oscillation theory for Sturm-Liouville operators which, rather than measuring the spectrum of one single operator, measures the difference between the spectra of two different operators. This is done by replacing zeros of solutions of one operator by weighted zeros of Wronskians of solutions of two different operators. In particular, we show that a Sturm-type comparison theorem still holds in this situation and demonstrate how this can be used to investigate the finiteness of eigenvalues in essential spectral gaps. Furthermore, the connection with Krein's spec…
For the pair $\{-Δ, -Δ-αδ_\mathcal{C}\}$ of self-adjoint Schrödinger operators in $L^2(\mathbb{R}^n)$ a spectral shift function is determined in an explicit form with the help of (energy parameter dependent) Dirichlet-to-Neumann maps. Here $δ_{\cal{C}}$ denotes a singular $δ$-potential which is supported on a smooth compact hypersurface $\mathcal{C}\subset\mathbb{R}^n$ and $α$ is a real-valued function on $\mathcal{C}$.
We consider the 3D Schrödinger operator $H_0$ with constant magnetic field $B$ of scalar intensity $b>0$, and its perturbations $H_+$ (resp., $H_-$) obtained by imposing Dirichlet (resp., Neumann) conditions on the boundary of the bounded domain $Ω_{\rm in} \subset {\mathbb R}^3$. We introduce the Krein spectral shift functions $ξ(E;H_\pm,H_0)$, $E \geq 0$, for the operator pairs $(H_\pm,H_0)$, and study their singularities at the Landau levels $Λ_q : = b(2q+1)$, $q \in {\mathbb Z}_+$, which play the role of thresholds in the spectrum of $H_0$. We show that $ξ(E;H_+,H_0)$ remains bounded as $E…
Let $H_0$ and $V(s)$ be self-adjoint, $V,V'$ continuously differentiable in trace norm with $V''(s)\geq 0$ for $s\in (s_1,s_2)$, and denote by $\{E_{H(s)}(λ)\}_{λ\in\bbR}$ the family of spectral projections of $H(s)=H_0+V(s)$. Then we prove for given $μ\in\bbR$, that $s\longmapsto \tr\big (V'(s)E_{H(s)}((-\infty, μ))\big) $ is a nonincreasing function with respect to $s$, extending a result of Birman and Solomyak. Moreover, denoting by $ζ(μ,s)=\int_{-\infty}^μdλξ(λ,H_0,H(s))$ the integrated spectral shift function for the pair $(H_0,H(s))$, we prove concavity of $ζ(μ,s)$ with respect to $s$, e…
We explore connections between Krein's spectral shift function $ξ(λ,H_0,H)$ associated with the pair of self-adjoint operators $(H_0,H)$, $H=H_0+V$ in a Hilbert space $\calH$ and the recently introduced concept of a spectral shift operator $Ξ(J+K^*(H_0-λ-i0)^{-1}K)$ associated with the operator-valued Herglotz function $J+K^*(H_0-z)^{-1}K$, $\Im(z)>0$ in $\calH$, where $V=KJK^*$ and $J=\sgn(V)$. Our principal results include a new representation for $ξ(λ,H_0,H)$ in terms of an averaged index for the Fredholm pair of self-adjoint spectral projections $(E_{J+A(λ)+tB(λ)}((-\infty,0)),E_J((-\infty…
In this note the notions of trace compatible operators and infinitesimal spectral flow are introduced. We define the spectral shift function as the integral of infinitesimal spectral flow. It is proved that the spectral shift function thus defined is absolutely continuous and Krein's formula is established. Some examples of trace compatible affine spaces of operators are given.
We compute the Fredholm index, ${\rm ind}(D_A)$, of the operator $D_A = (d/dt) + A$ on $L^2(\mathbb{R};\mathcal{H})$ associated with the operator path $\{A(t)\}_{t=-\infty}^{\infty}$, where $(A f)(t) = A(t) f(t)$ for a.e. $t\in\mathbb{R}$, and appropriate $f \in L^2(\mathbb{R};\mathcal{H})$, via the spectral shift function $ξ(\, \cdot \,;A_+,A_-)$ associated with the pair $(A_+, A_-)$ of asymptotic operators $A_{\pm}=A(\pm\infty)$ on the separable complex Hilbert space $\mathcal{H}$ in the case when $A(t)$ is generally an unbounded (relatively trace class) perturbation of the unbounded self-ad…
We study the spectrum of multipliers (bounded operators commuting with the shift operator S) on Banach spaces of sequences on Z and the spectrum of operators commuting with the shift on Banach spaces of sequences on Z^+.We generalize the results for multipliers on Banach spaces of sequences on Z^k.
