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Essential self-adjointness for potentials bounded below

Definition
ChapterWallEsaBddBelowProofs

by hitme development · Sep 21, 2026 · Mathlib 0df444a (Lean v4.33.1)

functional-analysisspectral-theorytimepiece

A constant shift of a Schrödinger potential is a bounded symmetric perturbation. If VVV is smooth and bounded below by −c-c−c, then V+cV+cV+c is non-negative, so −d2/dx2+(V+c)-d^2/dx^2+(V+c)−d2/dx2+(V+c) is essentially self-adjoint on the compactly supported core; Kato–Rellich for a relatively bounded perturbation of relative bound 000 removes the constant and yields essential self-adjointness for VVV itself, with no growth restriction from above.

V≥−c⟹−d2dx2+V esa on Cc∞.V\ge -c\qquad\Longrightarrow\qquad -\tfrac{d^2}{dx^2}+V\ \text{esa on }C_c^\infty.V≥−c⟹−dx2d2​+V esa on Cc∞​.

Formalization Note. Lean names live in BookProof.WallEsaBddBelow. constOp is imported from the existing husk. The constant is applied via essentiallySelfAdjointOn_add_relBounded (relative bound 000).

Definition code
import Mathlib
import Definitions.Def_ChapterWallEsaBddBelow
import Definitions.Def_ChapterScalaronWallEsa
import Theorems.Thm_BookProof_ScalaronWallEsa_wallHam_essentiallySelfAdjoint
import Theorems.Thm_BookProof_ScalaronWallEsa_wallHam_symmetricOn
import Theorems.Thm_BookProof_ScalaronEsa_opCc_apply
import Theorems.Thm_BookProof_ScalaronEsa_ccEquiv_coe
import Theorems.Thm_BookProof_ScalaronEsa_mulCc_apply
import Theorems.Thm_BookProof_KatoRellich_essentiallySelfAdjointOn_add_relBounded
import Theorems.Thm_BookProof_StoneBridge_exists_stone_flow_of_esa
import Theorems.Thm_BookProof_ScalaronEsa_ccDomain_dense

/-!
# `−d²/dx² + V` for every smooth potential that is bounded below

`BookProof/ChapterScalaronWallEsa.lean` proves that `−d²/dx² + V` is essentially
self-adjoint on the compactly supported smooth core of `L²(ℝ)` for every smooth
**non-negative** potential — with no growth restriction, so in particular for the
exponentially growing Einstein-frame scalaron wall.

The non-negativity in that statement is not a real restriction: a *constant* is a bounded
symmetric perturbation, and bounded symmetric perturbations preserve essential
self-adjointness (`BookProof.KatoRellich.essentiallySelfAdjointOn_add_bounded`).  This
module performs the shift and records the consequences:

* `wallHam_add_const` — the operator identity `wallHam (V + c) = wallHam V + c`;
* **`wallHam_essentiallySelfAdjoint_of_bddBelow`** — `−d²/dx² + V` is essentially
  self-adjoint on the compactly supported smooth core for every smooth `V` bounded below,
  again with no growth restriction above;
* `wallHam_stone_flow_of_bddBelow` — the resulting unitary group `e^{−itH}`;
* the semiboundedness the Hashimoto/SIRK shift-invert scheme needs is carried by the
  shift itself: the quadratic form of `wallHam V hV` is bounded below by `-c` whenever
  `V ≥ -c`, so the closed operator selected by the closure is the semibounded one the
  scheme works with; the packaging lemma `wallHamBddBelow_semibounded` that makes this
  precise is proved in `BookProof/ChapterWallEsaSemibounded.lean`;
* the physical instances: the scalaron wall plus an arbitrary bounded-below smooth
  addition (`scalaronPlus_esa`), and the harmonic-oscillator sum
  `−d²/dx² + x²/4 + V` (`oscillatorPlus_esa`).
-/

namespace BookProof.WallEsaBddBelow

open MeasureTheory SchwartzMap Set
open BookProof.FarisLavine BookProof.ScalaronEsa BookProof.ScalaronWallEsa
open BookProof.KatoRellich BookProof.StoneBridge BookProof.EsaClosure
open BookProof.ChapterStoneResolvent

noncomputable section

-- constOp lives in Definitions.Def_ChapterWallEsaBddBelow

lemma constOp_symmetric (c : ℝ) (x y : Lp ℂ 2 (volume : Measure ℝ)) :
    (inner ℂ (constOp c x) y : ℂ) = inner ℂ x (constOp c y) := by
  simp only [constOp, ContinuousLinearMap.smul_apply, ContinuousLinearMap.id_apply,
    inner_smul_left, inner_smul_right, Complex.conj_ofReal]

/-- **Adding a constant to the potential adds a constant to the operator.** -/
lemma wallHam_add_const (V : ℝ → ℝ) (hV : ContDiff ℝ ((⊤ : ℕ∞) : WithTop ℕ∞) V) (c : ℝ) :
    wallHam (fun x => V x + c) (hV.add contDiff_const)
      = wallHam V hV + ((constOp c).toLinearMap ∘ₗ (ccDomain ℝ).subtype) := by
  refine LinearMap.ext fun x => ?_
  obtain ⟨f, rfl⟩ := (ccEquiv ℝ).surjective x
  have hpot : opCc (fun x => V x + c) (hV.add contDiff_const) (ccEquiv ℝ f)
      = opCc V hV (ccEquiv ℝ f) + constOp c ((ccEquiv ℝ f : ccDomain ℝ) : Lp ℂ 2 _) := by
    rw [opCc_apply, opCc_apply, ccEquiv_coe]
    refine MeasureTheory.Lp.ext ?_
    filter_upwards [(mulCc (fun x => V x + c) (hV.add contDiff_const) f).coeFn_toLp 2
        (volume : Measure ℝ),
      (mulCc V hV f).coeFn_toLp 2 (volume : Measure ℝ),
      (f : 𝓢(ℝ, ℂ)).coeFn_toLp 2 (volume : Measure ℝ),
      MeasureTheory.Lp.coeFn_add ((mulCc V hV f).toLp 2 (volume : Measure ℝ))
        (constOp c ((f : 𝓢(ℝ, ℂ)).toLp 2 (volume : Measure ℝ))),
      MeasureTheory.Lp.coeFn_smul ((c : ℂ))
        ((f : 𝓢(ℝ, ℂ)).toLp 2 (volume : Measure ℝ))] with x h1 h2 h3 h4 h5
    have h5' : ((constOp c ((f : 𝓢(ℝ, ℂ)).toLp 2 (volume : Measure ℝ)) :
          Lp ℂ 2 (volume : Measure ℝ)) : ℝ → ℂ) x
        = (c : ℂ) * (((f : 𝓢(ℝ, ℂ)).toLp 2 (volume : Measure ℝ) :
          Lp ℂ 2 (volume : Measure ℝ)) : ℝ → ℂ) x := by
      simp only [constOp, ContinuousLinearMap.smul_apply, ContinuousLinearMap.id_apply]
      simpa [smul_eq_mul] using h5
    rw [h1, h4, Pi.add_apply, h2, h5', h3]
    simp only [mulCc_apply]
    push_cast
    ring
  simp only [wallHam, LinearMap.add_apply, hpot, LinearMap.coe_comp, Function.comp_apply,
    Submodule.subtype_apply, ContinuousLinearMap.coe_coe]
  abel

/-- **`−d²/dx² + V` is essentially self-adjoint on the compactly supported smooth core of
`L²(ℝ)` for every smooth potential that is bounded below.**  No growth restriction is
imposed from above: the potential may grow exponentially (the scalaron wall) or faster. -/
theorem wallHam_essentiallySelfAdjoint_of_bddBelow (V : ℝ → ℝ)
    (hV : ContDiff ℝ ((⊤ : ℕ∞) : WithTop ℕ∞) V) {c : ℝ} (hVc : ∀ x, -c ≤ V x) :
    EssentiallySelfAdjointOn (ccDomain ℝ) (wallHam V hV) := by
  have hW : ContDiff ℝ ((⊤ : ℕ∞) : WithTop ℕ∞) fun x => V x + c := hV.add contDiff_const
  have hnn : ∀ x, 0 ≤ V x + c := fun x => by linarith [hVc x]
  have hesa := wallHam_essentiallySelfAdjoint (fun x => V x + c) hW hnn
  have hsymm := wallHam_symmetricOn (fun x => V x + c) hW
  set B : ccDomain ℝ →ₗ[ℂ] Lp ℂ 2 (volume : Measure ℝ) :=
    (constOp (-c)).toLinearMap ∘ₗ (ccDomain ℝ).subtype
  have hB : SymmetricOn (ccDomain ℝ) B := by
    intro x y
    simpa [B] using constOp_symmetric (-c) (x : _) (y : _)
  have hrel : ∀ x : ccDomain ℝ,
      ‖B x‖ ≤ (0 : ℝ) * ‖wallHam (fun x => V x + c) hW x‖
        + ‖constOp (-c)‖ * ‖(x : Lp ℂ 2 (volume : Measure ℝ))‖ := by
    intro x
    simpa [B] using (constOp (-c)).le_opNorm (x : Lp ℂ 2 (volume : Measure ℝ))
  have hkey := essentiallySelfAdjointOn_add_relBounded
    (wallHam (fun x => V x + c) hW) B hsymm hesa hB
    le_rfl (by norm_num) (norm_nonneg _) hrel
  have hid : wallHam (fun x => V x + c) hW + B = wallHam V hV := by
    apply LinearMap.ext
    intro x
    have h := congrArg (fun T : ccDomain ℝ →ₗ[ℂ] Lp ℂ 2 (volume : Measure ℝ) => T x)
      (wallHam_add_const V hV c)
    simp only [LinearMap.add_apply, B, LinearMap.coe_comp, Function.comp_apply,
      Submodule.subtype_apply, ContinuousLinearMap.coe_coe] at h ⊢
    rw [h]
    have hcc : constOp c (x : Lp ℂ 2 (volume : Measure ℝ))
        + constOp (-c) (x : Lp ℂ 2 (volume : Measure ℝ)) = 0 := by
      simp [constOp, add_smul, neg_smul]
    rw [add_assoc, hcc, add_zero]
  rwa [hid] at hkey

/-- **The unitary flow of `−d²/dx² + V` for a smooth potential bounded below.** -/
theorem wallHam_stone_flow_of_bddBelow (V : ℝ → ℝ)
    (hV : ContDiff ℝ ((⊤ : ℕ∞) : WithTop ℕ∞) V) {c : ℝ} (hVc : ∀ x, -c ≤ V x) :
    ∃ (T : UnboundedSelfAdjoint (Lp ℂ 2 (volume : Measure ℝ)))
      (U : ℝ → (Lp ℂ 2 (volume : Measure ℝ) →L[ℂ] Lp ℂ 2 (volume : Measure ℝ))),
      IsSelfAdjointExtension (wallHam V hV) T.op ∧ IsStoneFlow T U :=
  exists_stone_flow_of_esa _ ccDomain_dense (wallHam_symmetricOn V hV)
    (wallHam_essentiallySelfAdjoint_of_bddBelow V hV hVc)

end

end BookProof.WallEsaBddBelow
Source
timepiece BookProof, ChapterWallEsaBddBelow.lean, theorem wallHam_essentiallySelfAdjoint_of_bddBelow

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