Werner Muller

Math. Nachr.
111 (1983) 197-288
Spectral Theory for RIEMAhTian Manifolds with Cusps and a Related

Trace Formula1)
By WERNERM ~ L L E R
of Berlin
(Received June 8, 1982)
Table ut contentla
0. Introduction
.................................
1 . T h e L ~ P L ~ c i a n o n t h e c u s p 1. . . . . . . . . . . . . . . . . . . . . . . . . . .
7. The fundamental solution of the heat equation and the resolvent kernel on the cusp . .
3. The asymptotic expansion of the trace of the heat kernel on the cusp . . . . . . .
4. RIloMANNian manifolds with cusps
.......................
5 . The itnalytic continuation of the resolvent kernel . . . . . . . . . . . . . . . .
6. The spectrum of the Lamscian . . . . . . . . . . . . . . . . . . . . . . . . .
7. The EISENSTEIN
functions . . . . . . . . . . . . . . . . . . . . . . . . . . .
8. A trace formula . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
References
0. Introduction
.
.
197
203
207
237
243
252
257
263
276
Let $1 be a compact RIERIANNian manifold and let 13 be the LAPLACian of M

acting on the space of forms A*(&.!).It is well-known that there exists a close
relationship between tho spectrum of d and the geometry and topology of the
manifold M [2], [3], [6], [7]. However, many important problems in various fields
of mathematics lead to non-compact RIEMANNian manifolds. Examples are
locally symmetric spaces of finite volume and complex quasi-projective varieties
with the induced KAHLERmetric. This makes it desirable t o understand the spectrum of the Laplacian and its relation to geometry and topology for a certain
claw of non-compact RIEMANNian manifolds, including the above examples.
Recently, J. CHBEGER[12] extended a portion of the spectral theory of the
LAPucian t o spaces with cone-like singularities and suspension8 of it. Actually,
this is Lztheory on the non-compact RIEMANNian manifold which is the complement of the singular set and the metric near the singularities is that of a metric
cone. It turns out that new qualitative aspects emerge which ar not present in the
non-singular case.
For example, he recovers the ATIYAH
-PATODI
- SINGER
theorem concerning
I)
Extended version of the first part of the authors paper [43].
198
MBller, Spectral Theory for Riemannian Manifolds
the eta invariant which describes the deviation. from HIRZE

BRUCHS signature
formula in the case of cone-like singularities.
The purpose of this paper is to study the spectrum of the LAPLAcian on noncompact RIEMANNian manifolds for which the metric near infinity is that of a
cusp. More precisely, consider a closed connected RIEMANNian manifold
By
the metric cusp on X we mean the space R + x X equipped with the metric
x.
where g denotes the metric tensor of X.A RIEMANNian manifold M is called a

RIEMANNian manifold with cusps if there exist finitely many mutually disjoint
submanifolds Fj,j= 1 , ...,m, with smooth boundaries such that M -
u int (FJ
m
j= i
is compact and each Fiis isometric to a product [aj - ) x X j , ai=-O,with a metric of

the form (0.1). The aimplost example is the upper half-plane devided by a FucHsian
group of the first kind. If we slighMy modify our definitiop, then all locally symmet ric spaces of R-rank one and finite volume are included (see [43] for details).
Our guideline is SELBERQS
trace formula for R-rank one lattices [44], [48],
[53]. In particular, the case of a FUCHSIAN
group of the first kind has been considered by many authors and thereexist many different proofs [25], [35], [39], [48].
Basic is the theory of EISENSTEIN
series which describes the abRolute continuous
spectrum of the LAPLAcian [37], [38]. To treat the case of an arbitrary RIEMANNian
manifold with cusps, we extend the method of L. D. FADDEJEV
[24], [25]. This
method starts with the observation that the resolvent of d can be considered as a
completely continous pertubation of the resolvent of an ordinary differential
operator on the half-line with pure absolut continuous spectrum. FADDEJEV
applies methods of the stationary approach to scattering theory to prove the
analytic continuation of the EISENSTEIN
series and the functional equation they
satisfy. This is closely related to the analytic continuation of the resolvent kernel.
In the locally symmetric case one can start with the resolvent kernel on the universal covering Hand average this kernel over the discrete group r to get a good
expression for the resolvent kernel on T\H valid in a certain half-plane Re (8)=-C.
Using this description of the resolvent kernel, FADDEJEV
shows that the resolvent
equation considered as an operator equation i t , certain BANACH
spaces, can be
reduced to a FREDHOLM
integral equation. This is the key for the analytic continuation of the resolvent kernel and the functional equation it satisfies. The main
results about the spectral resolution of d are consequences of these properties of
the resolvent kernel.
In our situation this method is not applicable. The core of our method is the
construction of the fundamental solution of the heat equation. Via LAPLACE
transformation we get a good expression for the resolvent kernel which is valid
in a certain half-plane Re ( A ) r C . To construct the fundamental solution, we start
with analysis on the cusp.
199
Miiller, Spectral Theory for Riemannian Manifolds
Let X N be a closed RIEMANNian manifold of dimension N . We consider the

product R+x X , equipped with the metric (0.1).Let d b e the LAmAcian on X. The
LAPLACian on functions on R+XX is given by
We use separation of variable s to construct the fundamental solution K((y,x),

(y, x),t ) for the heat equation on R + x X .Let P(z,z, t ) be the fundamental solution of the heat equation on the upper half-plane H a n d let W ( x ,x, t)be the fundamental solution of the wave equation
a
w ( x , 0 )= u , ( x ) -u(x,
,
at
(!?a+ - d) u = 0 on X with initial conditions
0) = O . Then the heat kernel K has the following expression
in terms of P and W :
K ( (y, x),(y,x).t )
(0.3)
This formula is basic for the study of K . We use HADAMARDS

construction of the
fundamental solution to the wave equation [16] to show that K has the following
short time asymptotic :
for O-ctsT, k, I, m ( N , where z=(y, x), z=(y, x) and e ( z , 2) is the geodesic

distance of z and z.
By similar methods we study the resolvent kernel B((y, x), (y, x), 8 ) . The
kernel Q can be expanded in terms of the eigenfunctions of the Laplacian d o f X.
Let go(y,y, 8) be the constant term of this expansion. Then one of our main
results (theorem 2.82.) is the following estimation
(0.5)
IC((y. x),(y, x), 8 ) - -
go(y, y,
vol (X)
8)
sC(yy)(N-i/2(d(x,212
where d(x,x)is the geodesic distance on X. This estimation is uniform for s in a

compact subset of the half-plane Re ( 8 ) > N / 2 . This is the content of $0 1 and 2.
In $ 3 we consider the heat kernel K restricted to the diagonal and determineits
asymptotic expansion as t -0. For further applications we need an asymptotic
expansion which is uniform with respect to y for y z a w0.
After this preparation we proceed in $ 4 with the study of RIEMANNian manifolds
with cusps. We construct the fundamental solution to the heat equation - + A = o
at
200
Muller, Spectral Theory for Riemannian Manifolds
on such manifolds by standard methods. A parametrix is gotten by patching

together the fundamental solutions on the different CUSPS and a fundamental solution on a compact manifold which contains the complement of the cusps via the
same construction as in [3]. The corresponding fundamental solution E(z,z, t )
has a good,off diagonal short time asymptotic which is similar to (0.4) (see theorem
4.10). Taking the LAPLACEtransform of the heat kernel we get a good expression
for the kernel R(z,z, s) of the resolvent ( A - s ( N - - 8 ) ) - i , valid in a half-plane
Re ( 8 )2-c.
In 9 5 we extend FADDEJEVS
method [24] to our situation. The basic idea is to
fix a, Re
(8)>C,
and to use the resolvent equation
R(8)-R(8)=(8 ( N - 8 ) - 8 ( N - 5 ) ) R(8) R(8)

(0.6)
written in terms of the kernels aa an integral equation for the resolvent kernel
R(z,z,s).With the help of this integral equation one achievs the analytic continuation of the resolvent kernel from the part which is far from the spectrum onto
a neighborhood of the spectrum. For this purpose we have to introduce certain
B ~ ~ ~ ~ ~ sBr(M),
p a crER,
e s (see definition 4.18) and to consider (0.6) as an operator equation on t h e s e B A ~ A cspaces.
~
For simplicity we assume that M has only
one cusp. Thus M=FoU F1where Po is compact and P,= [ a , -)xX, where a>O
Vol ( X )= 1. We consider the ordinary differential operator
with domain C;( (a, -)).
With respect to boundary conditions f(a)= - / ( a ) ,

U
we get a self-adjoint extension A , to the space D ( [ u ,-), y-(Nf)dy).Let

8 ) be the kernel of the resolvent ( A , - 9 ( N - 8 ) ) - i . We consider u as a kernel
on Fl and extend it by zero to M . It defines an integral operator which we denote
by Ro(8).Then it follows from our description of the reclolvent kernel for Re ( 8 )=- C
that R(8)- Ro(8)is a compact operator on D ( M ) .This justifies the application of
methods of pertubation theory to the study of A. Next, we compare the semigroups generated by A and Ao, where A= d. For this purpose we identify
D ( [ a ,m),
with a subspace $jocL2(PI)c&2(M).
Let Po be the orthogonal projection of D ( M )onto $jo. Let p(y, y, t ) be the kernel of e-lAo. Our construction of the heat kernel E implies that e-tA-ee-dOPois trace class and the trace
is equal to J(E(z,z, t ) -p(z, 2, t ) ) dp(z) where we consider p as a kernel on M and
dp denotes the RIEMANNian meaaure on M .
From these facts we draw in 6 several conclusions about the qualitative properties of the spectrum of A . First of all, the invariance principle of BIRMANKATO[33] implies that the wave operators
- lim e i l A e - i ( d o p o
x>>O,
u (y, y,
w*
-+f
exist and define isometries of Qo onto the subspace Lj,(M) of absolute continuity
of A . The multiplicity of the continuous spectrum is equal t o the number of cusps
201
Miiller. Spectral Theory for Riemannian Manifolds
a,,.
of M . The scattering operator S = W: W -is a unitary operator on

The absense
of singular continuous spectrum is a consequence of the meromorphy of the resolvent kernel. Another consequence is that the discrete spectrum of A consists of
eigenvalues of finite multiplicity with infinity as the only possible point of accumulation.
In $ 7 we introduce the EISENSTEIN
functions and describe the wave operators
W , and the scattering operator S explicitely in terms of EISENSTEIN
functions.
This is the stationary approach to scattering theory. The EISENSTEIN
function
can he considered as generalized eigenfunctions for A . To every cusp F j there corresponds a unique EISENSTEIN
function Ei(z, s), j= 1, ..., m. @ ( x , 8 ) is a meroniorphic function of 8CC and i t satisfies AE'(z, 8)=8 ( N - 8 ) Ei(z,8 ) . The meromorphy
of Ej is a consequence of the meromorphy of the resolvent kernel. It is rather
easy to define Ei(z, 8) for Re ( 8 ) > N / 2 , e $ ( N / 2 ,N ] (see 7 . 1 5 ) . The difficult task
is to prove that the EISENSTEIN
functions can be extended analytically across
the line Re ( s ) = N / 2 .The restriction of the EISENSTEIN
function Ei to the cusp
Pi = [ai.
m) x X ican be expanded in terms of the eigenfunctions of the LAPLAcian
of Xi. The constant term of this expansion is
6ijy:+Cij(8) $ - 8
where yi denotes the parameter on the half-line [ai,

-) and C,(s) is a meromorphic
function. Let C(s)= (Cii(8)).The scattering operator S = W*,W - is unitarily equivalent to a decomposable operator f&A) dR, where S(A)is a m X m matrix. This
matrix coincides with C ( N / 2 + i A ) . One of the main features of the theory of
EISENSTEIN
series are the functional equations they satisfy. It turns out that in
our general situation the EISENSTEIN
functions also satisfy a system of functional
equations :
(0.8)
C(8)c ( N - 8 ) = 1
m
E i ( z , 8 ) = CCij(8)E i ( z , N - 8 ) .
j=i
Using the EISENSTEIN

functions we define an operator
):
E" : D ( M )+L2 R + ,Cm,hv

(0.9)
(EAq4,(r)
=
1Ei
(2,
From the description of
N/2
+ ir) q ( z ) d p ( 4
TY, in terms of EISENSTEIN

functions follows that IT is a n
isomet,ryof Li,(M) onto L2
and it vanishes on the subspace Li(M)c
cLQl) which is spanned by the eigenfunctions of A . Moreover, E^ carries t h e

LAPLAcian to the multiplication operator f(r)-(A7214 +r2) f ( r ) .
202
DIMer, Spectral Theory for Riemannian Manifolds
In 9 8 we prove two trace formulas. The first trace formula expresses the trace
of the operator e - r A -e-tAoPo in terms of the scattering matrix C(s) (proposition
8.11.). This trace formula is analogous to the trace formula for the Schrodinger
operator in R" [14], [30]. The second trace formula is the first step towards a
generalization of SELBERG'S
trace formula. To describe it we have to introduce the
function h(z, t ) which is zero on Po and which is equal to (474-iexp
N'4
( -4
-)
yy
on the cusp F,.,

j= 1, ..., m. Let lo= 0 -= l1< ... be the eigenvalues of A . Then
E(z,z', t ) is the heat kernel on M . To get a complete analogue of SELBERG'S

trace
formula we have to use the wave equation method and to analyse the singularities
-dqt
of the distribution Ze
a t periods of periodic geodesics. Finally we note that
the integral on the left hand side of (0.9) has an asymptotic expansion as t - 0 . In
this expansion occurs the term
where [ ( a ) is the zeta function of X = U Xi,

nt is the number of cusps , u N = [ ( 0 )
j=1
and y is EULER'S
constant. This is a nonlocal contributiondue to the non-compactness of M . Theother coefficients in the expansion up to order ti/' are given by the
same local expressions in the metric and its derivatives as in the case of a compact
RIEMANNian manifold.
In this paper we restrict attention to the LApLAcian on functions. Thus, some
of the interesting new phenomena dissussed in [43], for example, theL2-cohomology and the eta invariant, are not encountered. We plan to treat these problems
in a future publication.
Acknowledgement: Part of this work has been fulfilled during a visit of the
author at the IHES. The author would like to express hie deep gratitude to the
Institute des Hautes Etudes Scientifiques for its kind hospitality. Moreover, the
author wishes to thank J. DODZIUK,
who red a preliminary version of this paper
very carefully and pointed out several mistakes.
203
1. The LAPucian on the cusp

Let S be a closed RIEMANNian manifold with metric g and let N = dim X. For
simplicity we assume that X is orientable. The product 1 = R i x Xequipped with
the metric
where ye R + , will be called the metric cusp over X. If we change

- variables bv
y=e, then 1 is isometric to the product RXX with metric
dsz=dr2+e-2*g.
The typical example is the POINCARB

upper half-plane H devided by the discrete
;)I
subgroup
n Z ) of S L ( 2 , Z ) .In this case we have

and ds2=
+,.
dy2 dx2
where z = x + iy. Let e(z, 2) be theRIEMANNian distance of 2, z E I and let d(x,2)

be the RIEnxANNian distance on X . In analogy to the hyperliolic space we define
for z=(y, x),z=(y, 2).

Leiiiina 1.3. Y is a complete RIEMANNian mccnifold and the RIEMANNian
clistcime on ZI satisfies
llog (y/y)l z;(z, z) s 2 arcsh (l/u(z, 2))
P r o o f . Let y ( t ) = (y(t),z(t)),t E [ O , . I . be a curve of minimal length connecting

z and z. Then
Let z = (y, x),2 = (y, 2) and let d = d ( x , x).There is a geodesic a : [0, d ] - X

of minimal length from x to 2. Since x is parametrized by arc length, the metric
metric
ARB
induced on R+X[O,d ] cR + x X is ds= y-2 (dy2+/Zz2), i.e., ~ ~ ~ P O I N C
on the upper half-plane H . Let w = iy, ic =cl + iy and let B : [ O , b] H be the hyperbolic line segment from w to w.
This segment is completely contained in the strip
___
0 s R e (10) s d . It is well-known that the length of p is 2 arcsh
w ) ) . But
u(w, w)=(4yy)-i ((y-y)2+d(z, x ) ~ ) = u ( xz),
, which proves that e ( z , 2)s
~2 arcsh
2 ) ) . Finally, let zE Y, z = (y, z), and consider the geodesic ball
B,(z)of radius r centered at z. The inequality (1.4) implies that B,(x)is contained
(IU(W,
(I.(.,
Miiller, Spect,ral Theory for Riemannian 3Ianifolds
204
in [ye-', ye']XX, which is compact. Hence, B,(z)is relatively compact and therefore, Y is complete. H
Let d be the LAPLAcian of Y with respect t o the metric (1.1), acting on C"( Y ) .
Since Y is complete by lemma 1.3, it follows that A is formally self-adjoint on
C,"(17, the space of compactly supported C- functions, and has a unique extension d t o an unbounded self-adjoint operator 011 Lp( Y) [13], [27]. Our purpose is to
describe the spectral resolution of d.
Let d be the LAPLAcian on X and let f C " ( R + x X ) .An easy calculation
shows that
Now, we decompose the LAPLAcian A according t o the eigenspaces of A. Let

d with eigenvalues
p;, , u j g O . Every f c C - ( R + x X )can be expanded in terms of { ( ~ i } , . ~ ~
( q j } j c N ~ L 2 ( Xbe
) an orthonormal basis of eigenfunctions of
(1.6)
f(Yv 4= c g j ( Y ) T j ( 4
j= 0
where
J ~ ( Y 5)
, qj(z)
X
gj(Y)=
Since f is smooth, it follows that g,(y)CC"(R+)and (1.6) converges in the Cm

topology. In particular, formula (1.5) implies that
Suppose that f EC" ( R +X X ) is an eigenfunction of A , i.e., Af =Af, A R f .Then,

Ivy ( 1 . 7 ) , it follows that thecoefficients gn(g)in the expansion (1.6)satify thefollowing ordinary differential equation
Then Wis asolutionof

Set 2 = s ( N - s ) , sEC. If p; +O, let ~Y(y)=y--~-"gj(p~'y).
RESSEL'Sdifferential equation for imaginary argument
I t is well-known that (1.9) has the two linearly independent solutions Ka-N/2(y)
and 18-N,2(y),whereK,(y) and I,(y) are the modified BESSELfunctions [41]. Hence,
if pi + 0, then two linearly independent solutions of (1.8) are
y"I2 K , -
(piy )
and yX" I , --,-12 ( p j y ).
For pj=O we get the following two linearly independent solutions:

yN/2*(8-N/2)
RIuller, Spectral Theory for Riemannian Manifolds
205
Thus, we obtain
Lemma 1.10. Let f C - ( R + X X )satisfy Af=Af for some AER+.Set A=s ( N - s ) ,

s c C . Then
f(y, X) =a0y8+boyn.-
+ Ci fJ2(ajK8-N/2(~j~)
+ b j 1 8 - N / 2 ( ~ j ~ )~
) j ( x-)
j=
Now, we determine the spectral resolution ofd . By (1.7) it suffices to study the
ordinary differential operator
considered as an unbounded operator on L2(R+,y-dy).

lize the operator by
Again, we norma
Dp=y-N/2o D, o #I2 .
If we change variables by y-py, it follows that D,, is unitarily equivalent to
D + N2/4, where
d4
d
(1.12)
D = -y-y-+y2.
dY2
dY
D with domain Cr(R+)is essentially self-adjoint and has a unique self-adjoint
extension
D to L2 R + ,-
(-
(Dg,g)=
[l]. Let gC:(R+). By partial integration one gets
S Y (l9(Y)l2+I9(Y)l2)dY~O.
This shows that D is positive definite.

Let 8 bea HILBERTspace and A a self-adjoint operator on 8 which has a simple
spectrum. By the spectral theorem there exists a Bore1 measure v on the real line
and a unitary equivalence U : 8 -L2(R, dv), which intertwines A and the multiplication operator by x [23]. If A is the self-adjoint extension of an ordinary differential operator on L2([a, b ] ) , --msa<b s-, then the unitary equivalence U
can be interpreted as eigenfunction expansion of f LS([a, b ] ) . Suppose, that the
spectral measure is absolute continuous. Then the eigenfunction expansion is a
certain integral transformation.
. Changing variables by y = 8 , it follows that D

(
d2
is equivalent to the STURM-LIOUVILLE
operator
+ebon L2(R). Let D =
Now, consider D on L2 R+
=J M E Abe the spectral resolution of
ax2
D.D has only an absolute continuous spec-
trum. Since D is positive, the spectrum coincides with R+ and dEAis given by
206
Jliiller, Speotrel Theory for Riemsnnie I Manifolds
The corresponding integral transformation

follows: Let gECt(R+).Then
8 nd
its inversion formula are a s
(1.14)
g(Y)=-l
' { K i V F(Y) U(9)(4 sh
n
(di)d l
([as], 1'. 96). This integral transformation is known as KANTOROVITSCH-LEBEDJEV

transformation [5], [41], [49]. It follows from (1.14) that for gcCt(R+)
-0
, there is a unique extension

U to a n
(
3
onto L2(R+, where the measure is given by d v ( l )
t)
Since C,(R+)is dense in La R+

isometry of L2 (R+,
of
--
dv
dv)
(rill) d l .
Let g E L2(R+,y-1 dy). Then it follows that g E dom l3 iff
=n-2 sh
1 2 IU(g)12ah (niq dl-=:oo and
w-l@)) = W g ) (4
The spectrum of D+N2/4 is the interval [N2/4, -) and the spectrum of D,,is
therefore [N2/4, -). The corresponding unitary transformation U,,, p w 0, of
Lz(R+,y-"+%y) onto D ( R + ,n - 8 h (nlq d l ) and its inversion are defined on
C W + ) by
For p=O we have Do= -y2 - + ( N dy2
given by
o
.
1) y
d
d!J
and Uo and its inversion are
207
As above, gcdom D iff l U , ( g ) (1)cLZ and if gEdom D,, then
U,(D,S)( 4 = ( J + N 2 / 2 )U,(g) (4
Using (1.12), we get immediately the spectral resolution of L3 itself. If 8 is a

HILBERTspace and dv a BOREL
measure on R + ,let L'(R+.d v ; @) be the space of
measurable functions g : R+ +@, such that
filg(4ll2 d v ( 4
==O0
(ZIT)d l . We define n map
Let d v ( l )=n-3 sh
u : L2 (R+X X ) -L'(R+,
d l ) G3 L?(R+,d v ; 1')
_-
(1.17)
as follows: L?t gj(y)= [f(y, x) ~ ~ p idz.

( ~Then
)
X
U,(f) (4
= UpJgj) (4
*
If /fC," ( R +X X ) , the inversion formula for U reads as follows
f =yX/2J
,-i(lwqo(f)
(A)dl
(1.18)
+n-?yXr2
2 ([Kivr(pjy) U,(f) (1)sh (rill) d?.) vj(z).
j=l
If we multiply this equation by f and integrate, then we get
llf1I2=JIIU(f) (4lP dv(4=lIWf)ll'

0
i.e.,
U is an isometry. Moreover, if fedom d then
1.19)
( Uf) (1)= (1 N V 4 )
1Uf)(1).
9. The fundamental solution of the heat equation and h e reso.ient
kernel on the cusp

With the help of the spectral resolutionof d we can construct various functions
h(d) of d. I n particular, we are interested in the heat operator e-"', the wave
operator
sin t
--
ij
12
and the resolvent (d -A)-'.
Our main interest is t o construct
and t o study the kernels, which represent these operators. I n this paper we deal
only with e-tA-and (d - A ) - i . The wave kernel will be studied in another publication. The properties of the wave kernel are important t o get a complete analogue
of SELBEBG'S
trace formula.
208
We start with the construction of the heat kernel. Let Y be the product R + x X
equipped with the metric (1.1). A point (y, x)ER+XX will be denoted by z 1. As
explained in $ 1, the LApLAcian d with domain C,(Y ) is essentially self-adjoint
and the heat operator
e-t:
D(Y )+L*( Y )
is well defined by HILBERT

space theory. Following H. DONNELLY
[20], we say that
the heat equation on Y
(:+A)
u ( z , t)=O
lim u ( t )= uo, u0E dom d

1-0
has a good fundamental solution if there exists a smooth kernel K(z, z, t ) satisfying the following properties :
K(z, z, t)=O, where A, and A,. are the

LAmAcians acting in the first and second variable respectively.
32) lim K ( z ,z, t ) = 6 ( z -z), the DIRACdelta measure.
t -n
F3) i) There exist constants
Ci>0, C2=-0 and C3=- 0 such that
for y, y s 0 and t z o .
ii) For T w O a r b i t r a r y , O < t s T , y , y z a w O a n d k , l , m E N o n e h a s
where @(z, 2) is the RIEMANNian distance and x=(y, x), z=(y, x). C , , c2
depend on T and a.
One of the main results of this section will be the edstence and uniqueness of a
good fundamental solution of the heat equation. First we turn to the question of
uniqueness.
Definition 2.1. Let uoEdom d . We say that u(z,t ) , z c Y ,t z0,is asolution of the
CAUCHY
problem with initial data u0
(:+A)
U=O
lim u(t)=uo
t-0
if 1 ) With rewpect to t , u(x, t ) i s a continuous differentiable function with values

D(Y ) and u(z,0) =uo(z).
in
209
2) For every t, O s t < m , u(z,t)Edom d.

3)
Ct
+ A u(z,t ) = O .
Lemma 2.2. Every solution u(z, t ) of the CAUCHYproblem in the sense of 2.1 is
uniquely determined by the initial data.
P r o o f . Let uoEdom d and let u(z,t) be a solution of the CAUCHYproblem with
initialdata uo. Since for every tER+,u(z, t) E D ( Y), the isometry U defined in $ 1,
can be applied to u ( z , t). It follows from 1) of 2.1 that U ( u ( - ,t)) is a differentiable
function of tcR+. If we use 2) and 3) or 2.1 and (1.19) we get
a
-
at
U ( u ( t ) )( A ) = U
(a"t u(t)) ( A )
-
= -(A+N2/4) U ( U ( t ) ) ( A )
= - U(A,u(z, t)) (A)
Moreover, lim U ( u ( t )=
) U(u0).Hence, it follows that u ( z , t) = U-i(e-("~/4)LU(uo)).
1-0
Proposition 2.3. A smooth kernel K(z, z', t) which satisfies Fl)-F3) is uniquely
determined by these properties. Moreover, e-"-is represented by K, i.e.,
(e-t'f(z) = J ~ ( zw,, t) f(w) dw
1'
for every f E L*(Y).
P r o o f . L et f E C t (Y )a n d se t u (z , t )=
K(x, w,t)f(w)dw.Thenu(z, t)EC"Y(X
x R + ) and F2) implies that lim u(z,t) = f ( z ) . Since f ECt( Y),the integral can be
6-0
differentiated under the integral sign and we get by F1)
-+A
(3:
u(z,t)=
-+A,
) K(2,w,
If we apply F1) again, it follows that
Au(z, t ) = J K ( z , W, t ) df(w) dw .
Y
Applying F3), i),one has for t =-0
14 Math. Nechr. Bd. ill
t ) f(w)dw=O.
Muller, Spectral Theory for Riema.nnian Maaifolde
210
....
and therefore
- 2,#2~~t-2(N+')IlfllE Hence, u(t)cL2(Y). If we replace f by df it follows that Ildu(t)ll--, i.e., u(t)E
Edom d and -u(t) exists in L2. Hence, u(z, t ) iu a solution of the CAUCHYprob-
at
lem with initial data fC,"(Y) in the sense of 2.1. Let Ki(z, z', t ) , i= 1, 2, be two
smooth kernels with Fl)-F3). Set K = K 1 - K , . By lemma 2.2 we have
JK(z,w,t)f(w)dw=O
Y
for every fEC,"(Y). This proves the first btatement. To prove the second statein [17]. Let v(z, t ) =u(z, t ) -(e-"f) (2). Then
ment, we argue as J. DODZIUK
Since a(z, O)=O, it follows that u(z, t ) = e - " f , fcC,"(Y).Now let f D ( Y ) . F3), i)
shows that K ( z , w,t ) considered as a function of w is in L2.Therefore, u ( z , t ) is
well-defined for every fD(
Y) and-the arguments given above show that Ilu(t)lls
~ C t - ( ~ + ' )Therefore
f.
u(z,t ) =e-"f for every f c U ( Y). This proves the proposition.
Now we turn to the construction of a good fundamental solution for the CAUCHY
problem. It is relatively easy to construct a smooth kernel K(z, z', t ) which satisfies F1)and F2). To prove that the kernel satisfiee F3) too, needs most of our
effords.
Let uoEdom d. We construct a solution of the CAUCHYproblem with initial
data uoas follows. U(uo)E L2implies that e-(A++N1/4)1U(u0)
(A) E L2 for every t z 0.Let
(A+ NY4)f
u(z, t ) = U-1 ( e W O ) (4)
*
(2.4)
Then for every t z O , u(b)<DandIlu(t)l12'ilu(uo)112=lluo112.The condition uoEdom d
is equivalent to (R+N2/4) U(uo)(A) EL2, which shows that u(z,t) is continuously
differentiable with respect to t and for every t z O one has u(t)Edomd with
Ildu(t)l12sIlduol12.Moreover,
(:
+ d ) u(z, t ) = 0
and lim u(z, t )=uW Therefore,

I- 0
u(z,t ) is a solution of the CAUCHYproblem withinitial data uW If t s O , then (1.19)
implies that for every kE N

1l(dz+I)%(., t)112 511
( 1 + ~ 2 / 4 +l)~ee-L(a+N1/')U(uo)~~~~Ct-2'
11~(u~)112
.
In particular, this shows that uEC" ( Y XR+).One can use the inversion formula
(1.18) to get an explicit expression for u(z, t ) . Let uoC,"(R+X X)and let
c&(Y)
c
uo(Y9 4 =
j=o
Vj(4
Jliiller, Spectral Theory for Riemannian Manifolda
211
be the expansion of uoin terms of an orthonormal basis of eigenfunctiona {Q},.~~

of 2. We want to change the order of integration in each summand of (1.18). To
see that we can actually do that, we use the following integral representation of
the modified RESSELfunction K , [all :
rn
Moreover, note that

al
. Hence
uniforniely with respect to y zO, I t 0. This shows that the integral
Wp, y, g', t )
(2.7)
- n2
2(yyt)x'2
exp -
+Az) t ) Kil(,uy)K&y') Iz ah ( n l )dIz
is ttbsolutely convergent. Since giE C,"(R+),

we can indeed interchange the order of
integration in each summand of (1.18) and get
(2.8)
?&
x, t ) =
j=0
--
J CE,(y,u , t ) gj(u) u-'N+i)du

0
where
and for jz 1
q y , 9'9 t ) = k(&, y, 9'9 t )
The integral representation (2.5) of K,(r) can be used to estimate the derivatives
d"
K v ( r ) .It follows that the kernel (2.7) can be differentiated under the i n k dr"
gral sign. Tn particular, k(p,y, y', t ) R
i tt smooth kernel. Moreover, if f c C r ( R + )let
0
g,(y, t ) =
J k (n,3, u, t ) f(u)u-"+"du .
0
Then
(2.10)
lim g,(y, t)=f(y) .

1-0
212
To show that k(p, y, y, t ) is actually the fundamental solution of the CAUCHY

problem (2.10) we need some more estimates. These estimates will allowus tointerchange the summation with the integration in (2.8) and the corresponding series
will turn out to be a smooth kernel.
We start by calculating the cosin transformation of k(p,y, y, t ) with respect
to p. Formula ( 2 . 5 ) shows that K,(y) is an analytic function in the half-plane
Re($)2 O.Let u > O . We us3 CAUCHYStheorem to shift the path of integration in (2.7)
to the line Re (s)= u. Hence
k(p, y, y, t )
NOW,suppose that O-=a-=1/2. Then by (2.5)
Let s=a+iA. Then IT(s+ 1/2)I-isCez. Hence, the integrand in (2.11) can be
estimated by Ce-2t+cp-20(yy)--0 e-fi(u+v).Therefore, if we cslculate the cosin
transformation of k(p,y, y, t ) we can interchange the two infinite integrals. The
interior integral is
s K,(PY) JaPUy)
COB ( P X )
dP
n2
_- (yyp2
(----)2YY
x?+ y+ y2
cos (ns)-lP-i/2+8
where P,(z) is the LEGENDRE

function of the first kind [a]. Shifting the path of
integration back to the line Re ( a ) = 0 gives
J NPl Y, Y,t ) cos (P)dP
Before proceeding further, we recall the following facts about harmonic analysis
Let K = S 0 ( 2 ) .The elementary spherical function @,,EC-(K\G/K)
on G=SL(2,R).
associated with AER, considered as a function on R+ =K\G/K, is expressible in
213
PLANCHEREL
measure for the elementary spherical functions is precisely Ath(n;t)d;t.
For z, zEH={z
12-212
1 Im (z)=-O} let
u(z, z)=--
. Then
YY
the PLANCHEREL
theorem
for SL(2, R) implies that the fundamental solution of the heat equation on H ,
where H is equipped with the POINCAR&
metric, is given by
P(z, z, t )
(see [28]). If we compare (2.12) and (2.13) we obtain
Proposition 2.14. Let P ( z , z, t ) be the fundamental solution of the heat equation on

the upper half-plane H a n d let k ( p , y , y, t ) be defined by (2.7). Then
J k(Pu,Y , Y, t ) COB (PIdP
=W Y Y
Nz- 1
1(N-1)12 exp( -4t) P(x+iy, iy,t).
Now recall that
[PO, VII, 7.41. If we insert this formula into (2.13) and interchange the order of
integration, we end up with the following expression for the fundamental solution P :
J,
-t/4
(2.15)
P ( z ,z, t ) =-(4nt)312
sexp(
-f)
2 arcsh
where z, zE H and u =u(z, 2) =
(!!)
1 4 sh (s/2)2 -u
12-212
~
-.
as
I n particular
YY
-ti4
(2.16)
P ( ~ + i yiy,
, t ) = ( ~ y ) ~ - ~
(47Zp
2 am&
8exp(-$)h
1 2 ch (8) yy -y2- y2-52
(23
Let J&) be the BESSEL

function of order 0. We recall that
(a2-x2)-,
<a
, x=a
, acz-ca.
214
[ 4 ] . Note, that 2ch(s) yy-y2-y2sOiff
e z l o g (y/g).Using theseremarks, ( 2 . 1 6 )
can be rewritten as
P (x+iy, iy, t )
The interchanging of the order of integration is allowed since IJo(z)ls 1 for xER
[ 5 4 , p. 311. Putting this together with proposition 2.14, we obtain
Lemma 2.17. T h e kernel k(p,y, y. t )

BEssELfunction JIB
?UM
the following representation by the.
k ( p , ?J. y, t )
Formula (2.15) can be used to estimate the partial derivatives of the kernel
We reivrite the right hand side as follows: Let g ( s ) = ( 4 4
exp
P.
( -$) and define
the function & ( w ) by

(2.18)
& ( e 8 + e e 8 - ~ 2 ) = g ( s.)
If we change variables in (2.15) by w = 4 sh ( s / 2 ) 2 = e 8 + e - - 2 , then

(2.19)
d ~ = 4 x &(w) yW-21 dw ,
P(z,z, t ) = - 2n
I1
whereu =u(z, 2). With the help of this formula we can calculate the partial derivates of P.Let z = z + i y , z=z+iy. For every nCV there exist real numbers
a,,cR, k, Z=1, ..., n,such that
(2.20)
an
- P(z,z,
ax*
t )=
cakl
@)((w)
(yy)
k=l 1Sk
dw
u
U
-&()(w)i
Similarly, one can calculate the partial derivatives with respect, t o z,y, y and t .
Next, we estimate t h e integral
G dw. For this purpose we change
215
variables again by w =4 sh (8/2)2. Using (2.18) one has
Lemrna 2.22. For every n s 2 and

s z 0 and O < t 5 T
T w 0 there &tS
a conelant C such that for
P r o o f . First consider the case s 5 1. Let f ( s ) =f ( s ) is holomorphic at

sh ( 8 )
8 = 0 and only even powers of s occur in its TAYLOR
expansion, i.e.,
f(s)=
2U k P .
k =O
Hence,
~
(t
(iirf(s)
Since
:)'f(s)
is holomorphic at s=O for every k N .
s C k for 0 5.9 s 1. Furthermore, by definition of
1
2 sh (9)
- ds
.).g(8)
is a polynomial in
This shows that
g(8),
(i
i)'/(a), k = O , ..., a-1,
and
(1
)i!g(s),I = 1 , ...,n,we get the desired estimate for 0 s s s 1.
s d8
Now, suppose that s z 1. We claim that for every n z 2 there exist real polynomials Pk(x,y), k = 1, ..., n, of degree 4 and integers y ; c N satisfying szq+
+k, if k w 1 and y: + 2, such that for n z 2
z/c
It is easy t o prove this statement using induction. Let
.G(x,
y ) = z a lk x' I y' 1 ,
1= I
w h e r e c i ~ + / $ + k ~ y ~ i f k a>nl d a ; + / $ + 2 s f l . Ifszl and O-=ts!Pthen
216
ch (s)';sh (a)@!
sh (8) sh (s/2) sk 5 Cs2 ,
..n
sh ( s ) ~ ~
for 8 i z 1. This proves the lemma.
Using this lemma together with (2.21) we get the following estimation :
where zc=u(z,z'). But arcsh
(IT7)
is precisely the hyperbolic distance
e(z,z') of z, z'EH. Hence, (2.20) implies
Lemma 2.24. Let e(z, z') be the hyperbolic dietance of

there e x & ?a constant C =- 0 such that
2,
z'
c H . For every n c N
In the same way all the other partial derivatives of P can be estimated. The
detaiIs will be omitted. Now, we apply (2.24) t o our original problem -the study
of the kernel k ( p , y, y', t). Let P(X
y, y', t) be its Fourier transformation with
_ .
k ( p , y y', t) cos
respect t o p. Then k^(z,y, y', t ) = 2
(w)
dp and applying (2.14)
and (2.24), one has for mEZ, m z l ,
-Jxterp
(--arc shz
4t
(2)
)dx.
(XI)
To estimate the integral
217
dx, we change variables by
z= sh (u)and use the fact that sh (u)ch (u)is a linear combination of sh (nu)and
ch (nu),n 5 1 + 1. Then, standard LAPLACE

transformation [4]shows that the integral can be estimated by Cti/eCt.Hence, for every me N, m z 1, we get
(2.25)
Ik(p, Y9 YI1 t)I
where C and c depend on m. If m = 0, the factor containing yy has to be replaced

by ( y ~ ) ~ /Similar
.
arguments lead to the following estimation for the partial
derivatives : For all k, 1, m, n N,a > O there exists a constant C > 0 such that
uniformly for y , y t a 2 0 .
Csing (2.25) it is easy to see that k ( p , y , y, t ) is indeed the fundamental
solution of the heat equation problem
goEdom Dp ,
g ( t ) =go,
lim
c--0
where D, is the differential operator defined by (1.11)with domain C,(R+).
Lenima 2.28. The kernel k(p,y , y, t ) is the fundamental solution of (2.27), i.e.,
(e-tDPf) ( y )=
k ( p , y , y, t ) f(u)u-(N+i)du,
f L2(R+,u - ( ~ + % u ) .
Proof. Let f C ; ( R + ) .If we use the definition (2.7) of k and change the
order of integration, we find that
J k ( p , y, y, t ) f(u)u-(~+%u = U-(eP
(A
+*/*)UP(f)( A ) ) ,
where U , is the integral transformation (1.16). Since U Pdiagonalizes Dp, the claim
and
u )set
follows for f c C ; ( R + ) . Now, let fELz(R+,u - ( ~ + ) ~
( AJ, ( y )= J k ( p , y , u, t ) f ( u )?.4-(N+i)dU *
0
218
Then, by ( 2 . 2 5 ) ,we get
om
and therefore
= 2Ct
J e-"*du llfll& .
-om
Hence, A, is a bounded operator in L2 which coincides with e-ldV on the dense

subspace C:. This proves the lemma. W
Now, we come back to the series ( 2 . 8 ) .The numbers pi are by definition the
eigenvalues of the LAPLACian d on the closed manifold X. It is well-known that
in this case the series
converges for m > N . Therefore, (2.25) implies
j=i
that we can interchange integration and summation in ( 2 . 8 ) and the resulting

series is uniformely convergent on compact subsets. Let
Then i t follows from (2.26) that the series, which we obtain by taking partial
.derivatives of kj(y, y', t) pj(z) pj(z'), is uniformely convergent on compact subsets.
Hence, K(z,z', t ) is a Ca kernel and its partial derivatives can be estimated as
follows :
where a = k + l + m + 2 p + + q + N + 3 / 2 , uniformely for y, y' za>O.

In partcular, we can rewrite ( 2 . 8 ) as
(2.31)
(e-tdf) ( z ) = J K ( z , z', t )
dz'
for every fEC;( Y) * dz' is the volume element of Y. We summarize the results,
we have proved so far by
219
Proposition 2.32. Let K(z, z', 2) be defined by (2.29). K is a smooth kernel and
for every a>O, k, 1, meh', the exist constants C=-0 and c>O mch that
where a = k + l + m + N + 3 / 2 , uniformely for y , y'za>O and t z O . If k = l = m = Q ,

the estimation is uniforme for y , y ' z 0 , t z O .
We continue with the study of the kernel K (z,z', t ) . First, we claim that (2.31)
holds for every f EL*(Y). This can be seen as follows. The kernel K(z. z', t ) considered as a function of z' Y is in L2 by (2.32). Therefore, i f f L%(
y ) . the right
hand side of (2.31) is well-defined. Let
( B i )(2) = ,[K(z, z', t ) f(zl) dz'
Using (2.32) and the aame arguments as in the proof of lemma 2.28 it follows
that B, is a bounded operator on L*(Y).This operator coincides with e--l' on
the dense subspaceC,'( P ) . This proves the claim. In other words, e-"-is an integral
operator with a smooth kernel.
Let f C ; ( R + ) .Using (2.32) again, we see that we can differentiate (2.31) under
,
the integral sign. Hence
T
.
for every f EC,"(R+).

Therefore, the kernel K satisfies
(;+A')
K(Z,.Z', t ) = O .
From the definition of K follows that A,K(z, z', t ) , = A , K ( z ,z', t). This is property
Fl).F2) is also a consequence of proposition 2.32. Let f be a bounded continuous
function on Y. For every y E R + and E=-O define V , = ( u R + I llog ( u / y ) I z & ] .
Then, by proposition 2.32
1 tgxxK(z,z', t ) w )dz'I
for t s 1. Hence, the integral over V , X X is exponentially small in t as t -0. Let

g C : ( Y ) be such that g ( z ) = f ( z ) for zE[ye-', yee]xX. Then, the above argument
shows that
220
-.
as t 0. Since g is continuous with compact support, the inversion formula (1.18)

implies
and therefore
lim
1-0
[~
( zz',, t ) f(z')dz' = f ( z ) ,
which is equivalent to F2).

The verification of property F3) is more complicated. We have to use the fundamental solution of the wave equation on X. This method is similar to that applied
by Y. KANNAI[32] to study the off diagonal short time assymptotic for fundamental solutions of diffusion equations. We will only give the arguments for the estimation of the kernel itself.
Consider k ( p , y, y', t ) as a family of functions, depending on y, y'ER+. The
crucial point, which was emphasized by J. CHEEGERin his work on spaces with
cone-like singularities [12], is that the kernel K ( ( y ,z),(y', z'),t ) , considered as a
family of functions, parametrized by y, y'R+ is actually a family of kernels
for the family of operators k ( l d , y, y', t ) , where d i s the LAPucian on X.It follows
from (2.25) that k(l/d, y, y', t ) is well-defined by the spectral theorem.
Let COB (TIT)be the solution operator of the following CAUCHYproblem for
the wave equation on X
(2.33)
(g-d)
u(z,t ) = O
~(3
O)=%(z),
,
-a(z,O ) = O ,
at
uoCdom if.
Let
Then k(vd, y, y', t ) is related to the wave operator by
(2.34)
V ( t ,?/,y', t ) cos (tl/d)dt .
k ( l d , y, y',
0
This needs some justification. From (2.14) and (2.24) follows that
Ik"(t, y, y', t ) ]sC(yy')"-'"2t-i
(tv)11
Since llcos
s 1 this inequality implies that the right hand side of (2.34) is
well-defined. Now, we use the representation of k by the BEssELfunction Jo
221
which is given by lemma 2.17. The BEssELfunction satisfies IJo(z)ls 1 for zER,
[54, p. 311 and Jo(0)= 1. Therefore, if p+O then it follows from LEBESOUES
theorem that the infinite integral in lemma 2.17. is uniformely convergent to
Hence
This jutif ies (2.34).

Let W ( z ,z,t) be the distribution kernel of cos
W ( z ,x, t)=
(tl/z).
It can be written as
-~
COB
bpj) V j ( 4 V , ( 4
j=O
The series converges in the SOBOLEV

space H-(NYf(
Y). Hence, the distribution
kernel of
y, y, t ) is given by
k(l/z
-
(2.35)
Id
V(t) W ( z ,d , t) d t
c- k(&, y, Y,
i= 0
__
t ) V j ( 4 Vj(Z) = K ( ( y ,4,
(Y,x), t )
k(l/z
But we know already that K is a smooth kernel, i.e.,

y, y, t ) is a family of
integral operators with smooth kernels depending on (Y,y) E R+X R+.If we use
proposition 2.14. which relptes k to the fundamental solution P(z, z, t ) of the
heat equation on the upper half-plane H,then we get the following expression for
the kerenl K:
(2.35)
K ( ( y ,4,(Y,21, t )
-4(yy)N-2 exp -
N2-1
.
t)
P (t+iy, iy,t ) W ( z ,x, t) dt
Let S(z, z,t) be the fundamental solution of the following Cauchy problem
for the wave equation on X
(g-d)
u(z,t ) = ~
(2.36)
u(z, o)=o,
a
at
-u(z, 0)=u1(z), u,Edom
d.
222
a
at
Then W ( x ,x', r )=- S ( x ,x', T ) . The following lemma is basic for our purpose.
5
- Cq-'"f
i ) (yy')"ll'ecft
- 112
uniformely for y, y' Z O and t z o . C depend8 on a.

P r o o f . The distribution kernel of Uc,,(t) is given by
U,,,((Y,
2)s
(Y'9
4,t )
If j z 1, we can integrate by parts and the corresponding integral is equal to
By (2.14) and (2.24) we have
uniformely for 0 -= b S y, y' s c-z 00. This proves the first statement of the lemma.
The infinite Series, starting with j = 1, ean be estimated by
Using (2.14), (2.20) and (2.23), it follows that the infinite integral is bounded by
223
To deal with the remaining integral, note that
uniformely for O -~
i t -s T . Finally, the factor t-krz(yy)-k2can be absorbed by
exp - arcsh?
( pxy--$),/
3t). This gives the desired estimation of the

4YY
second statement of the lemma.
Let E > O__. .If_d(z,z)>V&, z,z c X , we set a = rd(r,Z)?--E and i-j=(d(s,5)d)?-~ ) / 2 Then
.
d(z,5)=-a + 77. By finite propogation speed of solutions
to the wave equation one has W(z,s, t)= 0, if d(s,z)>t. In particular, W ( s ,z, t) =
= o if T i
a + 1712 -Z d(z,s) and therefore
K ( (y, z), z),
t ) = Ua,J(y, 4, (y,x ) , t )
if n(r.2)=- ) / E .
Application of lemma 2.37. leads to
I&-,
($9
where u(z,2 ) is defined by (1.2).
Now, suppose that d(z,5) >)/2&. Then u ( z , z) -
&
z u ( z , 2)/2. Moreover,
4YY
,
d,, is the diameter of X. Together with lemma
note that i-j z (do- l(ii- ~ ) / 2where
1.3. thie implies
f o r d ( z , z ) 2 1 / 2 & , t ~ o a n dy~o.Here,asalways,
y,
z=(y, s ) , z = ( y ,z).Theconstant C depends on T.
It remains to study the kernel K in the neighborhood of the diagonal. For this
construction of the fundamental solution to the wave
purpose we use HADAMARDS
equation [16, p. 740-7441. Let do be the injectivity radius of the exponential map
on X. If %EX and q-=d{, then Exp, : T,X -X is a diffeomorphism of the ball of
radius q, B,(O)c T , X , onto the geodesic ball B,(z)
C X of radius g . Let a =-do and
y p C ( R ) m in lemma 2.37. By lemma 2.37 we know that
ql,i((Y,
(Y, 51, t)=K((y, 4,
(Y,21, t )
-
k A (t y y , t ) ( 1 - q
(t -a ) ) W ( s ,z,t )d t
224
Miiller, Spectral Theo-y fcr Riemannian Manifolds
is smooth as a function on YX Y X R + and it can be estimated by C(yy)t-2

_____
exp -arcah2 ( ~ 3 ( y - y 2 ) / 4 t ) . If d(x,z)-cdO<a,then by lemma 1.3.

(2.39)
4YY
lUa,l(z,z, t)I sc(yy)N2t--1/2

exp ct--e(z::)2)
Therefore, it suffices to study the second integral. This integral will be denoted
by I((y, z), (y, z),t). Let S(z, z,t) be the fundamental solution of the wave equation (2.36). HADAMARDS
construction [161 yields the following representation
for S:
m
(2.40)
B(-k/2) (t2-d(z,
S(z, z, t) =
d)2)
g , ( ~ ,2)
+ R,(z,
z, t) .
k=3 -N
The functions gk(z,

2) are determined by certain transport equations and are C*
as functions of zc I?,(%). 8(-k2)are fractional derivatives of the delta distribution
and the remainder term R, can be made arbitraryly smooth in (z,t)EBq(z)X
x ( d ( z ,z)- E , d(z, 2)+ E ) if m is chosen large enough. If m is chosen so that
RmcC+,then
(2.41)
a
,
at Rm(z,x, t)= O ( [ t - d ( ~%)IT)
as t - d ( z , z). r + , rER, denotes max (r, 0). We recall the argument, given by
KANNAI[32], to prove (2.41). By finite propogation speed one has S(z, z,t) = 0
for It1 <d(z, z). All fractional derivatives of the delta function vanish identically
for negative values of the argument. This implies that the C+ function in t ,
Rm(z,z,t), vanishes for Itl-=d(z, 2) which proves (2.41). It follows from (2.41)
that
afl
(2.42)
a
at
P ( t ,y, y, t) (1 -r+~ (t-u))- R,(z, x,t) d t
is a continuous function on Y x Y X R + .Moreover, using (2.14), (2.24) (2.41) and

(1.3),it is eaay to see that this kernel can be estimated by
where y, y z 0 , t zO. Therefore, it remains to study the following integrals
q (Y, 4,(Y,21, t )
=
i.(%
y, y, t ) (1 -9 (t-a))
a
at
8(--12)
(+-d(z,
d)2)
dt .
225
If 1w2, then
If Z52, let Z/2=a-j, a{O, - } , j N . Then

2
the differentiation being understood in the sense of distributions. Hence, for I =- 2

we get
a+i
while for 1 S 2 one has

a+l
Now, if Zr2 we can apply (2.14),(2.24) and lemma 1.3. to prove that
y, y ' z 0 , t z o .
For 1 ~ 2 we
, proceed as follows. Let y,,(t) = (;z;t)n
--
(1-g,
(Z-a)).
since
q ( t - - a ) = ~for z s a + l / 2 and rp(r-a)=lfor rzaf1,itisobvious that [y,,(z)la

sC,,,~ for
8 ,some constant C,,. Moreover, by (2.14), and (2.19), one ha9
226
Using (2.23) and lemma 1.3., this gives for Z s 2
The integral can be estimated either by
C ( y t ~ ' ) ~ 'ch
~
(t) exp
(-3
dt=Cn1/2(yyf)'/2t1/2et
or by
This implies
where y , y ' z O a n d t z O .
By definition of I and I, one has
where&,, is a continuous kernel on I'X Y X % + . Putting (2.43),(2.46) and (2.47)

together we get.
Lemma 2.48. Let 6" be the injectivity radius
of
X . There exist constants C=-Q
and c wO such that
for d ( r , 2') -= do, y, y f z 0 and t s 0.

If we apply lemma 2.37. and 2.48. then it follows that for d(s,5') <do
By (2.38) we know that the same result holds for d(z, 2') S&. Similar arguments
ak
can be used to deal with -d'd?K(z, z', t ) . The result is
atk
227
Proposition 3.49. Let K ( z , z', t ) be the kernel defined by (2.29). For every T > O ,
a w 0 and k,1, mEX there exists a constant C w Q such that
for O - = t s Tam2 y, y ' z a .

This is property F3), ii) which was required to be satisiied by a good fundamental solution to the heat equation. Finely, we remark that the kernel K satisfies
K ( z , z', t ) = K(z', Z , t )
and the semigroup property
K ( z ,2'. t + s ) =
1K ( z ,
W,t)
K(w, z', 8) dw
This follows from the fact, that K represents e-l'. Our main result concerning
the fundamental solution of the heat equation on Y can be summarized by
Theorein 2.50. Let Y be the prodwct R+x X equipped with the metric (1.1). There
exists a good fundamental aolution K(z,z', t ) for the heat equation problem o n Y satisfying properties F1) -F3). T h e kernel K is unique and satisfies
K(2, z', t ) =K(z', 2, t )
and
(2,z',
t +s) = J K ( z , W , t ) K( w,z', 8 ) dw
Y
Moreover, K represents e--ld in the senae that

(ectif)
1~
(2)=
( zw,
, t ) f(u:)dw
for ecerg f EL'(1').

The same methods can be used t o study the resolvent R(A)= (d -1)-1 and its
- LEBEDJEV
transform can be
kernel. However. the use of the KANTOROVITSCH
avoided hy using the LAPLACE
transform of the heat kernel. If Re (A) 0 then the
transformation :
resolvent is related to the heat operator via LAPLACE
(2.51)
( A -A)-'=
J' etAe-"- dt,
Re ( A ) -= 0 .
Let C2 he the constant occuring in F3), i). If Re (A) < -C2 and z i z ' i t follows from
(F3)that the LAPLACE
transform of K exists. Let
(2.52)
C(z,2'. A ) =
1etaK(z,z', t ) dt,
Re (A)-= - C 2 .
Recall, that
(2.53)
/
0
t-'exp
(-:
-tit)
dt=2
($.;)-"+I
K,,-,(~&x)
228
see [4]). This together with F3) implies that G(z,z, A) is smooth off the diagonal
and satisfies
i-N
__
(2.54)
e ( z , 2)
IG(z, z, 41 Z C (1 + ~ y ) ~ / ~
Kn.-i
__
(~/BQ(z,
2))
where /?=-(Re (A) +c2)and K,(r) is the modified BESsELfunction of order Y .

Using (2.5), it is easy to see that K,(r) has the following mymptotic behaviour:
For r s l
]logrl, if Re (Y) = 0
, if Re (Y)=-O
while for r z 1
IK,(r)I z C T - ~e -,
uniformelp for Y in a compact subset of Re (Y) > O . Therefore, the integral
jG(z, w ,A) f(w)dw exists for every f D (Y). Since K(z, z, t ) represents e--, it
follows by interchanging the order of integration that
( R ( 1 )f ) (z) = G(z,w,2) f(w)dw

1
for every
Y) and Re (A) -= -C2. Hence, Q(z, w,A) is the kernel of the resolvent
in the half-plane Re (A) i- G2. One of our goals is t o find the analytic continuation of G(z,z, A). Recall, that the heat kernel has the expansion (2.29). It follows
from (2.14) and (2.24) that the LAPLACEtransform of k ( p , y, y, t ) with respect to
texistsfory*yandRe(A)-=l. LetsEC, R e ( s ( N - s ) ) - = l andset
(2.57)
g(p, y, y, s) = J k ( p , y, y, t ) e8(N-8)t
dt ,
0
where y+y. First, we determine the LAPLACEtransform of P ( s ,y, y, t). Let

( N - s ) , sic. Using (2.13) and (2.14) we get
A=s
f P ( X y,
, y, t ) es(N-8)dt
0
where QJz) is the LEOENDRE

function of the second kind (see [5,
Remark 2.69. As in the
m e of
the heat kernel, &s--(N+1),2
22
81).
+y2 +y2
--__-
2yy
is
closely ~&ed to the reJolvent kernel on the upper half-plane H.Let R(z,z, s), s C,
229
be the kernel oft he resolvent (dH-s ( 1 -s))-i, where AH ia the LBsLacian on H. The
PLANCHEREL
theorem for the upper half-plane implies that R(z,d , s) is given by
Therefore, by (2.58),one has
where Re (8 (N-s))-=land y * y l .
N-1
Now, recall that for y > y l , Re (a)>----2
where K , and I, are the modified BESSELfunctions [4].This proves the following
Leinilis
2.61. Let g(p, y, yl, s), Re (s ( N - s ) ) 1,~ be defined by (2.57).Then
Let D, be the differentialoperator defined by (1.11). The functions yN2Ka-N,2(py)

and f 2 1 , - N ~ 2 ( p yare
) two linearly independent solutions of the differential
equation
P r - 8
(N-s))f(y)=O
If J , is the BEssELfunction of order v , then I,(r)=e-Yni/2Jv(ir)

and weget thefollowing integral representation for I, from known representations of J , [41]:
(2.62)
I,( r ) = - 2i-vr
l k r ( v + f)
ch (ru) (1-u2)v-/2du.
This shows that
uniformely for v in a compact subset of the half-plane Re ( v ) > O . Let f ECr(R+).

Then it follows from (2.55), (2.61) and (2.63) that /g(p, y , u,8 ) fo u-(N+)duis
230
Miiller, Spectral Theory for Riemannian Menifolds
in Lz(R+,y-(Nfi)dy) for Re (8)>N/2. Moreover, the WRoNsman determinant of

K,(y) and I,(y) is equal to y - i [41]. Let RJ8) =(D,,-e ( N - 8 ) ) - 1 be the resolvent
of Dp.Then the above remarks imply that
0
for Re ( 8 )>N/2 and f EC;(R+). Furthermore, it follows from (2.55) and (2.63)
that g(p, y, u, 9) considered as a function of u is in LZ(R+,u-(+dzt). Hence,
(2.64) can be extended to all f E Lz. In other words, we have
Lemma. 2.66. The kernel g(p, y, y, s) which G defined in lemma 2.61 is the
kernel of the resolvent R,(s) =(D,,
-8 ( N - 8 ) ) - 1 for Re (8)=-N/2.
Now. we corn back to the kernel Q. Using (2.5) and (2.62) we get
Hence, by (2.61) one has

(2.66)
1
lim g(p, y, y, 8) = ___- (yy)
P-0
2s-N
Moreover, from (2.55) and (2.63) follows that

(2.67)
(X-1)/2
Idp. Yv Y, 41SC(YY )
e--cIII-IIl
I
p=-0
uniformely for y, y z a z O , p s b > o and 8 in a compact subset of the half-plane

Re (8)>N/2.
Let gj(y, y, 8)= g ( p j , y, y, a ) , j = 1, 2, ... and gO(y, y, 8)=Iim g(p, y, y, 8 ) . The
Ir-0
p j , p j z O , are the eigenvalues of the Laplacian d a n d therefore, Tr (e-?

for t > O . Then, (2.67) shows that the series
exists
~ _ _
Sj(Z,
Y,
8) V j ( 4
VjW
j=l
converges uniformely for ly-ylz&>O, y, yza,>O and 8 in a compact subset of

/ (e-lv-vlT.Let y+y
Re(s)>N/2 and it can be estimated by C ( Y Y ) ( ~ - ~ )Tr
aud Re (8 ( N - s ) ) < -C2. If we use the expression (2.29) for the heat kernel and
calculate its LAPLACE
transform, then the above result implies that we can inter.
change integration and summation. Consider the resolvent kernel Q as a function
of 8EC. Then we obtain the following.
Lemma 2.68, Let 8EC be such that Re ( 8 ( N - a ) ) - = -C2. Then the resolvent
kernel a, considered as a function of 8 , has the following expansion for y =ky
231
The right hand side of this equation converges for Re ( 8 ) w N / 2 and y =ky"
Moreover, using (2.5) and (2.62), it is easy to see that the series
2 @:*(gj(Y9
Y'? 8) FA).
j =I,
cpi(z',)
converges for y +y', Re ( 8 )w N / 2 and all k, ZCX, uniformely on compact subsets

Hence, G(z,z', s) is a smooth kernel off the set y=y'. Our purpose is to show
that G is actually the resolvent kernel in the half-plane Re (8)w N / 2 . To achieve
this we have t o estimate the kernel near the diagonal z=z'. We proceed as in the
case of the heat kernel. By (2.67), the operator g ( f x y, y', s), y i y ' , Re (8)>N/2,
is well-defined. Let g"(t,y, y', 8) be the cosin transformation of g(p, y, y', 8) with
respect to p. By (2.60) one has
P
where Q, is the Legendre function of the second kind. - Q,(z) has the following
dzm
representation by the hypergeometric function. For [ z [z- 1, larg ( z - 1)l -=n,m*V,
Y + - 1, - 2 , ... one has
Y+rn+2 v + r n + l
3
,v + - ,
*F( 2 '
2
2
2-2
140, Q 71. Now, recall the following expansion of the hypergeometric function in
the neighborhood of z= 1
[2y (k+ 1) - y (cr+k) - y
(P+k)-In (1 -43 (1 - z ) ~
for a, / I * O , - 1, ..., Iz- lI-=1, larg (1 -z)l c n .y(z) denotes the logarithmic derivaand ( a ) t = F ( a + k ) / r ( a )[40].
tive of r(z)
Let a ='
2,
/I = '2
Then
.we obtain the following expansion for &,(z)
2
232
Using (2.69) and (2.70) we get the following asymptotic behaviour of &&) :
Q . ( z ) = O ( -logT)2 - 1
Q,(z)
=o
z-+1
as
(z-P-9
Z+m,
1
where v + - n - - ,
nEN. Hence, if Re (8) >N/2 then g"(r,y, y',
2
integrable with respect to t and the operator
8)
is absolutly
g(I2) can be written as
0
rn
(tfz)
where COB
is the solution operator of (2.33) Again, by (2.69) and (2.70), i t
follows that we can integrate by parts to get
(2.72)
g d z , y, y',
sin
(tl/d)
~- --
is the solution operator of the CAUOHYproblem (s.36). As in the
l/a
~(17)
case of the heat operator it follows that the distribution kernel of

is equal
to a((y, x),(y, d ) ,8). Therefore, g()/a, y, yf, 8), y + y', is an integral operator with
C'-kernel. We already know from (2.67) that
The last inequality follows from [11, Theorem 6.321. Let dobe the diameter of X.
If ~y-y'l >do then obviously
(2.73)
Io((?/,51, (y', 2'1, 8)-Qo(y,
Yf, 8 ) ---I
(x)j
VO~
C(yy')"( (y - y')2 +&(x,x')2) -(N- 1)/2

To study the kernel in the neighborhood of the diagonal we uae the following
sin (tdZ)
representation of (2. Let S(s,d , t ) be the distribution kernel of
233
Then, by (2.72)one has

(2.74)
G((y, x),(y', 2'1,
8)
c8
for Re ( 8 )> N / 2 .
Now, we proceed as in the case of the heat kernel. First we prove
1
Lemma 2.75. Let rpECm(R)besuch that rp(t)=O if ts- and rp(t)=i if tzl. FW
2
Re ( v ) > O , a z O , q > O let
Then Vu,sis a smooth kernel on
Px Y .
P r o o f . The distribution kernel S ( x , X I ,
t)can
be written as
By (2.69)we see that we can partially integrate to get the following expression
for Va,q:
Since
converges, i t follows by standard arguments that V,,q is a
j= 1
smooth kernel. H
In order to estimate the infinite sum in (2.76)we use the following integral representation of Q,(z):
For Re (v) =- - 1 and Jarg( z f 1) 1 -= n one has
1
Q,(z)=Z-"-'
j- (1-t2)'
(Z-t)--i
dt
-1
[41]. Let z $ ( - 1 , 1). Then this formula can be differentiated under the integral
sign
i
dn
-Qv(z)=
dzn
<;+-'
( - 1)-
(v+l)
...
(l-t2)'(z-t)-'-'-"
-t
dt
234
If Re ( v ) s O .z=r real and r > l then

i
lv+ll
... i v i n l ( n- ( ( r + l ) - n - ( r - l ) - f l ) ,
r-1
log r f l
The infinite sum in (2.76) can be estimated by
n>l
, n=l.
Using (2.77) it follows that the integral can be further estimated by
where Cidepends on v . By finite propogation speed of solutions to the wave bquation we have S(z, x,7 ) = O if d(s, 2)>t. Therefore, if y +y and d(s,2)-217 then
This shows that the limit y+y of the left hand side exists for z * d . The Hame
arguments apply to all partial derivatives. It follows that Q is smooth off the
diagonal. Now, we determine the singular behaviour of U along the diagonal. Let
(2.78)
I((y,z),(y, s),8 )
S(s, XI, 7 ) at
By lemma 2.75 we know that U -I is a smooth kernel. Therefore, we have only

t o consider the kernel I. Let do be the injectivity radius of X and msume that
d(z, 2)-=do. If R,(z, x,t)is the remainder term in (2.40) then by (2.41) it follows
that for m>>O
235
Miiller, Spectral Theory for Riemannim Manifolds

IS
a continuous kernel on YX Y and using ( 2 . 7 7 ) ,it can be estimated by
a+l
t
22
(t-d)n+ d t S C 1 ,
+ (y-
y)2
where C1 depends on 8 . Finally, consider the integrals

(2.79)
I k ( ( y ,z),(y9
8,
%)7
a+l
For kz2
(2.80)
1 11
while for k < 2 , k = a - j , where a 0 , - and j a non-negative integer one has
Applying ( 2 . 7 7 ) , the integrals I k can he estimated as follows: If k z 2 then

a+i
t2
0
a+l
+ (y - y)X
(t2-#)Y2
-/lr sc
t-1 ( t ? - d 2 ) k l +
2-
ZCl
-
uniformely for y, y z 0 and s in a compact subset of Re
( 8 )> N / 3 .
( l - v ( t - u ) ) . Then I y i ( t ) l s C t , tER. Let k<2. Then,
applying ( 2 . 7 7 ) and ( 2 . 8 1 ) ,we get

o+l
a+ 1
Similarly, it follows that 11,I sC log (d2 + (y - y)2). By definition of I and I k we

have
I((Y,z),(Y,z),s)
=
- (YV
(N-1)/2
I~((Y?
21, ( y f ,z),8 ) g k ( z , 5) +Rm(z, z,8 )
k = 3 - N IG
where
imply
8, is a continuous kernel and gk is smooth. The above estimations of I ,
236
Lemma 2.82. For every compact subset K of the half-plane Re

exists a constant C =- 0 such that
( 8 )> N / 2
there
for d(z, x)<do, y , y s 0 and sCK.

Using the same arguments as above it follows that
I
This together with lemma 2.75 and 2.82 gives
ford(z,z)<do;y,y~O.On
theotherhand,ifd(x,z)~ d O a n d t < d O t h e n S (2.
x ,t)=
= 0 and
ST
). Hence,
G( (y, z),(y, z),

8 ) = - (yy)(N-l)IL
Vd,,d,, (9,2),(y, z), N +
n
this estimation holds without any restriction on x and 5.
We summarize our results by
Theorem 2.83. T h e kernel G(z,z, s ) is smooth off the diagonal and for every
compact subset K of the half-plane Re ( 8 )w N / 2 there exists a constant C > O such that
Reinark 2.84.
-~
go(y, y, s) is the constant term of the kernel G and G vol ( X )

go has the same behaviour as the resolvent kernel of the LAmAcian on a
vol (X)
compact manifold.
Using theorem 2.83. it is easy to see thatGis actually the resolvent kernel in
the half-plane Re ( 8 )> N / 2 . Let f EL1( Y ) .Theorem 2.83 shows that the integral
h(z,8 ) =
J G(z, W, S) f(w) dw
Y
exists if Re (8)> N / 2 . Now, suppose that f E C,(Y ) with supp f c [a,b]x X , 0 -=a-=
< b c 00. Since G has a weak,singularity along the diagonal, it follows from standard arguments [26] that h(z,8 ) is LZ on [a,b ] x X . Consider the expansion of f :
f(Y9 4 =
caj(Y)
Vj(4
j=O
Then supp a j c [a, b]. B y definition, gi(y, y, s)=g(pi, y , y, 8 ) where g ( p , y, y,
8)
Miiller, Spectral Theory for Riemannian Mmifolds
237
is defined in lemma 2.61. If y>b a n d j z 1 then
du
-i12e-Y
5y(N-iV2
Pj
f11a-N/2(u),2
21 l l f l l
This shows that h is in L2 on [b, m) x X.By similar arguments we prove the square
integrability on (0, a]x X. It is obvious that h ( z ,a ) is C-with respect t o the variable z. It satisfies
(d,-s (N-8)) h(z,8) = f ( ~ ) .

This is an easy consequence of (1.7) and lemma 2.65. Hence
(2.85)
(Ws)f ) (z)= YSWZ,w ,8) f(w)dw
for f C;( Y ) . But the right hand side of (2.85) converges for every f EL*(Y ) by
theorem 2.83. Therefore, (2.85) holds for every fEL2( Y ) .Thus, we obtain
Corollary 2.86. T h e kernel a! represents the resolvent R(s)=(d -8 (N-s))-l in

the half-plane Re(s)>N/2.
Remark 2.87. I t seems to be worth to note that the heat kernel (resolvent kernel)
o n the cusp R+ x X can be synthesized out of the heat kernel (resolvent kernel) on the
upper half-plane and the wave kernel o n the closed RIEMANNian manifokE
(see
(2.35) and (2.71)).
3. The asymptotic expansion for the trace of the heat kernel on the cusp
The purpose of this section is to find an mymptotic expansion aa t -0 of the
heat kernel K restricted to the diagonal. We require that the expansion is uniform
with respect to y , for yza>O. This will be important in Q 8. Again, let Y be the
product R+x X , equipped with the metric (1.1) and let K be the heat kernel on Y .
Consider the restriction of K to the diagonal of Y . From lemma 2.17 and (2.29)
we get the following explicit expression for it
238
Bliiller, Spectral Theory for Riemannian Manifoldn
This is a smooth function on Y X R + . If we subtract the constant term, we are

left with a function which is integrable over [a, m) x X for every a >o.
To find an asymptotic expansion as t - 0 , which is uniform with respect t o y
for y s a > O , we consider the following auxiliary function
(3.2)
g(1, u) = J J,,(2Au-'%h (u'I2s))se-" ds

0
C" as a function of u s 0 . We calculate its TAYLORexpansion at u=O.

For this purpose we use the following formula for the n-th derivative of an implicit function.
g(1, u) is
Leinrna 3.3. For every n E N there exist weighted homogeneous polynomials
k = I , ..., n, where 2' means that we sum only over those v l , ..., v,2j v j = n and 2 v j = k , such that for every 9,f E C"(R ) one has
It is easy t o prove this lemma by induction.

Now, recall that the BESSELfunctions J o and J , satisfy [54]
(3-4)
Jb(x)= - J t ( x ) ,
By induction it follows that
J ; ( x )=J,(x) -
JIM .
~
which satisfy
Killer, Spectral Theory for Riemann'an Manifolds
239
Now, we note that
J , ( ~ A s "s~m)+ v ' 2 e - a d s = m ! ~ e - a z ~ m ( A, z )
(3.7)
0
where Lh(z)denote the LAcuERRean polynomials, defined by
(see [4]). Let k=21. Then ( 3 . 5 )and ( 3 . 7 ) imply that
J j , : k ) ( 2 l S ) s2n+k+Ie-82,js
1)
If k=21+ 1 we get a similar formula using the same arguments. Formula ( 3 . 8 )

shows that deg Em
= m ,Hence, L:+l-j(Az)is a polynomial in A of degree 2n + 21 - 2 j .
Therefore, there exist polynomials P,,(z)E Q[sl of degree s 3 n - 1 such that
By TAYLOR'S
formula we get
(3.9)
Pn(4
g(A,u ) = - e-"+P,(A) e-'*?u+ ...+- - - e

2
12 !
-j.2
u " + R ~ + ~ (Bu)
A, ,
0 < 6 < 1 , where R,,, is the LAGRAmian remainder term
We estimate the remainder term as follows: As before, let f(u,S) =
sh(s1u)
~
u'i
and
set
(3.10)
pk,m(u,
s)=Pk,,(f'(u),..., f"-"(u))
,
where the Pk,mare the polynomials of lemma 3.3. Then, by lemma 3.3. it follows
that
240
Killer, Spectral Theory for Riemannian Manifold8
Let k=21. Using ( 3 . 5 ) we get
s Jik)(2Af(u,s)) Fk,Ju,
(3.11)
8 ) 8e-"ds
Now, we note that the differential equation for Jo implies the following equation
Hence
Moreover, let uO>O be fixed. Then
for Osusu,. This together with ( 3 . 1 0 ) and the definition of the polynomials
Pk,, implies that
if s - 0 , uniformely for USU,. We apply ( 3 . 1 2 ) to the integral

om
and integrate by parts. The result is

(3.14)
1-2s
Jo(21f(u,8)) J'fL,Ju,
where Fj:L,jsatisfies
8 ) .se+'ds
241
uniformely for 0 s u iuO.If 2m k - 2j - 2 z 2 then the same process can be applied

to (3.14) and by iteration we get that the integral (3.13) is equal t o
ce
(3.15)
A-2p
1J0(2Af(u,
8 ) ) FiTL,(u, s)
se-81ds,
where p
sm + 1 -j and FEA,i satisfies

8 )=
q$&4
+k - 2j - 2 p ), if
0(~2m
if
o(eca),
s-0
S+CO.
Now, we recall that [Jo(x)[

5 1, xER, [54, p . 311. Hence, the integral in (3.15) can
ce
be estimated by C s ec8se-8'ds.In order to deal with the second kind of integrals

0
in (3.11) we note that Ji(x)= - J i ( x )and

1
Jh(2Af(~,
s))=
-____
d
-
Jo(2Af(u,8 ) ) .
A ch ( s u ~ 'ds
~)
Then we use the same kind of arguments as in the first case. The same applies to
the case k = 21 + 1. In this way we get
Lemma 3.16. Let uOwO.For every m s n + 1 there exists a constant Cn,m>O

such that
I dn+i
dun'
g(A,u ) sCn,mf.-2m
for 0 i u sue.
Using lemma 3.16., the remainder term in (3.9) can be estimated as follows
lRn+f(A,u)l s c n , m A - ? m u ~ + ' ,
where vn ~n
+ 1 and 0 5 u zu0.This implies

ce
where
IR, + i(Ati/2, t )I s Cn,mA-2mtn -m

uniformely for 0 s t s t,.
Let R(z,X I , t ) be the fundamental solution of the heat equation on X without
+
contribution of the zero eigenfunction, i.e., if {qk}kEN

are the eigenfunctions of
and lk the corresponding eigenvalues then
c
c
K ( X , XI, t ) =
k=l
16 Math. Nachr. Bd. i l l
e-Aktqk(X)
n(s')
242
If we insert the expansion (3.17) into (3.1) then we obtain the following expansion
of the heat kernel K restricted to the diagonal:
where Rn, satisfies
IEn+i(y,2,t )I
cy - ( 9 + 2 )
c-
q ( - v / z+ 1)
1qgx)I~
tfl--v'z
j= 1
uniformely for 0 st st0. Since R satisfies the heat equation, we have
y'd2R(x, x', t y q = - - R(z,x', fy.)

at
and therefore the expansion of the heat kernel K can be rewritten
where P -
"-2'
at3
Since X is compact, we have an asymptotic expansion
1
6
where R i's the scalar curvature. I n general we know that there exist universal
polynomials Pk(x),kcN, which depend only on dim 2f such that, relative to any
local coordinate system, iZk is given by
[2], [7]. The first coefficients can be calculated explicitely : iZo(x)= 1, iil(x)= - R ( z ) ,
where gii are the components of the metric tensor relative to the local coordinate
system [2]. Let 5(8) be the zeta function of X. Let kEN and Re (8)> N / 2 . If we
take the MELLIN transform of
R(x, x, t ) and integrate by parts, then we
Mutter, Spectral Theory for Riemannian Manifolds
o htain
I t u - ' -t
I
:ir
243
R(z, Z,t ) dt =.# t6-'R(z,x , t ) dt =$I'(s) [(*) .

0
The right hand side has a meromorphic continuation onto C. Therefore, if we take
the inverse YELLIS transform, it follows from (3.20) that
(3.22)
(-ti)"
c(2)
H,(x) t i .
E
K ( Z , 2 , t)--(43Ct)--'-/2
i =O
This result, conilhied with (3.19),shows that there exists an Mymptotio expansion
of K as t - 0 :
(3.23)
K ( (y. x ) , (y, z),t )
tz(4nf)-'avV+')/'
ai(Y, 4 ti *
i=O
The first coefficient satisfies a&,
X ) = 1.
In general we have
Proposithi 3.24. Relative to any local coordinate system on X , the coefficients

a,(y, x ) in the asywzptotic expansion (3.23)are given by the universal polynomials Pk
i n the coefficients of the metric tensor on the cwrp with r a p e d to this coordinate
system.
P r o o f . Let 11'hea closedRImuxxian manifo1dcontainingNv=[y-2, y+2]X
X X equipped with the cusp metric. Let K'(z, z', t ) be the restriction of K(z, z', t )
to N,xN,xR+. If we patch together K' and a parametrix of sufficiently high
order on IV - ([y - 1, y + 13 x X) we get a parametrix for the fundamental solution
of the heat equation on W.But the asymptotic expansion of the heat kernel is
determined 1)y any of its parametrices of sufficiently high order. This proves the
proposition.
4.
RIEMANNhll
manifolds with
CUSPS
In this section we consider RIEnIAxxian manifolds M for which the metric

near infinity is equivalent to the metric on a cusp. Every such manifoldis complete,
which implies that the LaPLAcian d with domain C;(M) is essentially self-adjoint.
Our purpose is to study the spectral properties of the self-adjoint extension d.
We start with the construction of the heat kernel on M. Our construction is
based on proposition 2.49. We note, that there are other conRtructions of fundamental solutions on non-compact RIEMANNiail manifolds. J. DODZIUK
[ 171 proved
that on an arbitrary open RIEMAKKian manifold a fundamental solution for the
heat equation can be constructed as the limit of the fundamental solutions on
compact subdomains. Moreover, the fundamental Holution is unique if the manifold is complete and has R r c c ~curvature liounded from below. Biit we need in
addition yery precise estimates of the heat kernel as t -0. Anothcr construction
10'
244
is that of DONNELLY
[20]. He generalized the usual parametrix construction [7]t o
RIEMANNian manifolds with bounded geometry and proved good estimates for the
heat kernel. However, his method applies only t o complete negatively curved
manifolds with RICCIcurvature and injectivity radius bounded from below. Both
constructions are not applicable in our case.
If we take the LAPLACE
transform of the heat kernel, then we get a good expression for the resolvent kernel in a half-plane Re ( A ) -= - C , C =-0and we study
the operator defined by the resolvent kernel in certain BANACH
spacos. This will.
be used in the next section for the analytic continuation of the resolvent kernel
Definition 4.1. Let MAY+'

be a RIEMANNian mmifold
of
dimension N + 1. M is
u Fj
m
called a RIEMANNian manifold with cusps if there exists a decomposition M =
j=O
of M into finitely many smooth connected submanifolds F j ,j = O , ..., m, with smooth

boundaries aFj = X i , which are connected for js 1, such that
1) Po is compact
l for i ~ l Fi
, is isometric
2 ) F i n F j = O , if i + j , i,jzl,F i n F o = a P i .i ~ and
to [ai, m ) x X i , ai w 0 , equipped with the metric
dy2
+-1
gi ,
Y2 Y2
where g, denotes the metric tensor of X i .
Note, that we do not exclude the case where M has a non-empty boundary.
But in order t o simplify proofs, we assume throughout this paper that the boundary of M is empty. However, all results can be easily extented t o a situation where
a non-empty boundary occurs.
ds2 = --
Remark. Let r c S L ( 2 , R) be a FucHsian subgroup of the irst kind without

torsion. Then any compactly supported pertubation of the POINCAR~
metric o n HlI'
is a n example of a RIEMANNiaii manifold with cusps.
Lemma 4.2. Every RIEMANNian manifold with cusps is a complete RrEMANNian
manifold.
This lemma is an ea8y consequence of lemma 1.3.
Let d be the LApucian of M acting on C-(M). Since M is complete it follows
from [13], [27]that d with the domain C;(M) is essentially self-adjoint. Let d be
the closure of A in D ( M ) .We employ a variant of the usual parametric method
[7]t o construct the fundamental solution of the heat equation - + d

at
=o
on M .
This method is similar t o that, used by ATIYAH,PATODI

and SINGER
in [3] and
in [ls]. For the sake of simplicity we assume that M has only one
by DONNELLY
cusp Piwhich is isometric t o [a, a)X X equipped with the cusp metric and the
For b s a we denote by Fcb-,,+, the premeasure is normalized by Vol (X)=l.
image of [b, a)x X under the diffeomorphism F s[a,m) x X.Moreover, set M , =
= M - P , , c z o . Let Ki(z, z', t ) be the heat kernel on the cusp R + x X , constructed
245
in 0 2. Let 14 be a closed RIEMANNian manifold containing M z isometrically and

let K,(z, z, t ) be the fundamental solution of the heat equation on W restricted
t o MzxM,x R+.Following [3], we let ~ ( bc ), denote any increasing C function
of a real variable u , such t h a t p = 0 for u ~b and p = 1 for u ZC. Then we define
four C functions Q1,G2,!Pi,
Ul, by
@.=1-q
( 1 1
a+-,a+l
Y2=1-!P,
We regard these functions as functions on the cylinder [a, a + l ] x X and then extend them t o M in the obvious way. Using these functions we put
(4.3)
H ( z , z, t ) = @I(Z) &(z, z, t ) YI(2)+ G,(2) Kz(Z,z, t ) Yz(z) .
The kernel (4.3) is a parametrix for the fundamental solution of the heat equation
on &I. Let
(4.4)
& ( z , z,
t )=
-+
(:t
4, H ( z , z, t ) ,
We introduce an auxiliary function on M :

1 , if zEM-PI
(4.5)
i(z) =
y, if zEFl and z = ( y , z ) .
The following properties of Qi are easy consequences of proposition 2.49. and the
corresponding result for a compact manifold with boundary
i) Ql(z, z, t ) = O if z $ F I - F ,
ii) For every 1 E LV,T =- 0 there exist constants C1, C2=-0 such that
uniforrnely for 0 -= t < T.

Now, define Qk by induction in the usual way as
Using i), it follows that Q k ( z ,z, t ) = 0 if z $ PI- F,, for every kCLV.Hence, the integral exists. Using the same arguments as in [18, lemma 4.21 it follows that the
series
(4.7)
Q ( z , z, t ) =
z( - U kQ&,
z,
t)
k=l
converges uniformely on compact subsets in the C topology and for every ZEN,
T>O there exist constants C3, C,>O such that
uniformely for 0 <t < T.
246
Moreover, &(z, z, t ) = O if z (
tained by setting
Fi-Pz.As in
E ( z , z, t ) = H ( z , z, t ) + H
(4.9)
* &(z, z,
[7] the fundamental solution is ob-
t)
where
1
* &(z, z, t ) = J .[ H ( z , U ,t -8)&(u,z , 8)dud8

I1
The kernel H
* Q can
be estimated by
uniformely for 0 -= t -C T . The constants C, and C, depent on 1 E N a n d T . The kernel

E ( z ,z, t ) defined by (4.9) has the following properties
i) :t
+ Az) E(z,z, t ) = o , where A, is the LAPLAcian acting in the first variable.
ii) lim E(z, z, t ) =S ( z - z ) , the DIRACdelta measure.

2 -2
iii) For T w o there exist constants Ci, CZ>O such that
uniformely for 0 -=t -= T . i(z) is the function defined by (4.5). i) and ii) follow as in
[7]. iii) is a consequence of proposition 2.49, (4.10) and the estimation of the heat
kernel on a compact manifold.
For f c C r ( M ) we define an operator A , by
( A , / ) ( 2 ) = J E ( z , z, t ) f(Z)dp(z)
where d p is the RIEMANNian measure on M . i) and ii) imply that A , coincides with
e-ti on C ; ( M ) . Using iii) and the same arguments as in the proof of lemma 2.28,
it follows that A , extends t o a bounded linear operator on LZ(M).Hence
(e-lj)
( z )=
1 ~ ( z z,t)
, f ( z ) dp(z)
Jl
for every f c L z ( M ) .This proves that E ( z ,z, t ) is a good fundamental solution of

the heat equation on M.Using D U R A M Eprinciple
L~
as in [ 191 it follows that E is
unique, symmetric and satisfies the semi-group property. Summarizing, we proved
Theorem 4.11. Let M be a RIEMANNian manifold with cusps. Then the heat
.
equation problem on M
247
has a fundamental soldon E(z,z', t) ~atisfyingi) - iii) above. The kernel E is zcniqzce,
symmetrir in ( z , z') and satisfies
E(z, z', t , f t , ) = $E(z, u,ti) E(u, z', t2) d p ( 4

M
A slight modification of corollary 1.6. in [20] gives the following estimation

of the heat kernel for large t : There exist constants Ci, C2,
C3>O such that
for t z o . Now, we turn to the study of the resolvent R(A)=(d - A ) - l , AEC- R+.
For Re (I)-= 0 the resolvent is related to the heat operator e-"-via LAPLACE
transformation
(d - A ) - 1 =
1 en'e-%t,
Re ( A ) -0
The estimation (4.12) enables us to get an explicit expression for the resolvent
kernel in the half-plane Re (A)-= -Cz,where Czis the constant ocouring in (4.12).
If Re ( A ) -= - C2 and z + z' then it follows from (4.12) that the LAPLACE
transform
of E(z, z', t ) with respect to t exists. Let
(4.13)
R(z. z'. A ) = [ e"E(z, z', t) dt, Re (A) -= -C2
The kernel R(z,z', A) is smooth off the diagonal z*z' and for z+z' its singularity
is of order e(z, z ' ) - ( ~ - ' ) . This is a consequence of (4.12). Let f D ( M ) .Then the
integral jR(z,u,A)
dp(u) exists and, using (4.12),we can change the order of
integration. This shows that R represents the resolvent in the half-plane Re (A) -=
i
- C2. The heat kernel E decomposes into the parametrix H and the kernel H
8 &. If the LAPLACE
transforms of H and H * Q exist then we get a corresponding
decomposition of the resolvent kernel. To see that it exists, consider first the
parametrix H defined by (4.3). H i s patched together from the fundamental solution Kion the cusp R+x X and the fundamental solution of the heat equation K 2
on the closed RIEMANNian manifold W containing M 2= M - F2.By property P3)
of the kernel K , there exists a constant A s 0 such that for z+z' the LAPLACE
transform of K iexists in the half-plane Re (A) -= -A. Let
f(u)
(4.i4)
R,(Z,
21,
-entKi(z,
I )=
21, t ) dt,
~e ( A ) < - A
Thk is the cuspidal part of the resolvent kernel. Set jZ=s (N-a), sEC, Re (9)>
rN/2. The kernel R, can he considered as a function of 8EC and Ri(z, z', a )
coincides with the kernel B of theorem 2.83. In particular, Ri(z, z', 8 ) has an analytic continuation onto the halfplane Re (8)>N/2 and it represents the resolvent
in this half-plane. K z is the heat kernel on the compaat manifold W. I n this cam
248
Miiller, Spectre1 Theory for Rieniannian Manifolds
the usual parametrix method gives the estimation
uniformely for 0 <t < 2'. To get an estimation for large t we recall that the kerneI
K 2 has the following expansion
i=
0
where {yijiCNis an orthonormal basis of eigenfunctions of the Laplacian on W

and Ai are the corresponding eigenvalues. Hence, if t z 1 then
C e --lit
((yi(z)j2+1'pi(z')i~)ssup
K(z,z,t ) .
2
ZlV
Therefore, the LAPLACE
transform of K 2 exists for z + z' and Re ( A ) -= 0. Let
IK2(z,z', t)I s
i=O
(4.15)
R 2 ( z ,z', A ) = Je"tK2(z, z', t ) dt, Re ( A ) < O .

0
The kernel R2is smooth off the diagonal and along the diagonal it has a singularity
of order e ( z , z')-("-') . Now consider H x &. (4.10) gives the estimation of H x Q
for small t. On the other hand, H x & = E - H and therefore IH * &Is IEl+ IHI.
Then it follows from (4.12) and the remarks about H , made above, that there
exist constants A , , A2,A 3 > 0 such that
(4.16)
IH
&(z, z',
t)I s A , ( i ( z )i(z'))"'
exp
for t z0. Let

mm
(4.17)
R&, z', A) = e"H
&(z, z', t ) dt, Re ( A ) -= - A ,
R3 is a continuous kernel. In thia way we get the following decomposition of the

resolvent kernel :
(4.18)
R=@iRIYi+@2R2?'2+ R3,
for Re ( A ) -= -C, where C > O is a sufficiently large constant. Our goal is to find the
analytic continuation of the resolvent kernel R(z,z', A) from Re (A) < - C onto C.
To achieve this, we use the method of L. D. FADDEJEV
[24] (see also LANG[36]),
which he applied in the caae of HIT. The starting point is theresolvent equation
R(A)- R(A')= ( A -A') R(A) R(1') .
Since d has a non-empty continuous spectrum, we have to consider this equation
as an operator equation in certain BANACH
spaces Br, rER, instead of LZ(M).
Again, we amume that M haa only one cusp Fi.We introduce BANACH
spaces
%r(M)which are analogous to the BANACH
spaces considered in [24], [36].
Definition 4.19. Let r E R. Then we set
BAN)= b r ( E 6 ) CBBr(pi)
249
where Br(Fo)is the space of continuous functions on the compact manifold Po

with the usual supremum norm and g r ( P i )is the space of continuous functions
9 on the cusp F1such that
with the norm
We proceed by studying the properties of the kernels R&, z', A ) , i = 1, 2, 3,

and the operators they define. Set A=s (N-s) with s C ,Re (8) >N/2. According
t o lemma 2.68, we have the expansion
R,((y, 34, (y'9 57, a)= C9j(Y, Yf* 8) V j ( 4 V j W
j=O
where gj(y, y', s) =g(pi, y, y', s) and g(p, y , y',

(4.20)
m(z, z',
8 )= & ( z ,
z', 8)-go(Y, y',
By theorem 2.83, the kernel m(z, z',
8) is
8)
8) is
given by lemma 2.61. Let
smooth off the diagonal satisfying
Let L ( s ) be the operator defined by the kernel m ( z , z', 8). We prove several facts
about this operator.
Lemma 4.21. Let Re (6) >N/2. The operutor L ( s ) defined by the kernel m is
compuct in L2(Fl).
P r o o f . Let Lk(s)be the degenerated operator which is defined by the kernel
The estimation (2.67) of g(p, y, y', 8) shows that gi(8) EL2 ( F i X F i ) . Hence,
is a compact operator on L2(Fl).Let rpCELz(F,). Using (2.67) it follows that
I/
Lk(8)
( L ( 4-L,(4) V (/Lz~cp~i!III~lILz
where Cwo is independent on k and V. But pi tends t o infinity if j - a . This
proves the lemma. W
Lemma 4.22. Let Re (s) >N/2. For every tE R the kernel m(z, z', s) defines u
continuom linear operutor
9
U s ) : B ~ ( J ' I ) - B ~ - ~ ( *F I )
The operutor induced on B-i(Fi) is compuct.
P r o o f . Let ~ I CBr(Fl).First, we show that L ( s ) 9 is continuous. Let yoC[l, -)
be fixed and l e t D i r [ y o - 2 , y o + 2 ] x X , D,=Fi-Di. Let I y o - y I ~ l .Then (2.67)
implies that
j" 4
Dz
2 ,
u, 4 9,(4
dp(4
250
Miiller, Spectral Theory for R,iemannLn Manifolds
exists and is continuous in z=(y, z)for Iyo-yI sl. Let & S O and set
S(2, .S)={(y', s')EP1 I (y-y')2+d(z,
2')2S&}
Then, using theorem 2.83., we get
/- Im(2, x ' , 8)1 dp(2') SC&2.

S&S)
Since Dl is compact, it follows from [26, I, $ 3 , lemma 11 that
m(z, 2'9
4 Cp(2') dp(z')
DI
is continuous for ZED,.In order to show that L(B)'p belongs to B,.-2,we decompose the integral over Fias follows
and estimate each of the integrals seperately. It is easy to estimate the first and
the third one using integration by parts. By theorem 2.83., the second integral
can be estimated by
Let B ( s ) c X be a geodesic ball centered at zEX of radius e. We decompose the

integral over X into one over B(s) and one over the complement X - B(z).The
integral over [y - 1, y 11 x (X - B ( s ) )can be estimated by C vol (X)
y--(N+3)12
+'.
For the remaining one we introduce polar coordinates and the desired estimation
follows by an easy calculation. Taking these remarks together, we obtain
IIL(8) d l r - 2
~cll~ll~
9
which proves the first statement of the lemma. To prove the second statement we
use the fact that for r ' i r every bounded and equicontinuous family of functions
in Br,(F1)is relatively compact in '%$(F,)
[36, XIV, Q 71. Therefore, we have to
show that L(s) maps the unit ball of B-i into an equicontinuous family of functions. Let TPEB-~with ll'pll-isl. Then I'p(y, z ) l s y - l s l . Hence
Let zo be fixed and let F,= D, u D 2be the above decomposition of P1with respect
to yo. Consider the integralover D2. If Iy-yol s 1 then Iy-y'I t 1 and Iyo-y'J s 1.
Therefore, we can pass to the limit under the integral sign. The proof of lemma 1
in [26, I, Q 31 implies that the integral over D1is continuous too. This proves the
lemma.
Now, consider the constant term go(y,y', 8) of Ri(z,z', 8). Let o = R e (8)> N / 2
and let N - u <r < u. Then i t is easy to see that
(4.23)
ylgo(y, y',
a
8)1
~ ' ~ - ~ - ' i d y ' s C y, '
Miiller, Spectral Theory for Rieinaniiian Manifolds
251
uniformely for y r a . This implies that the kernel go defines a bounded linear operator
Lob) : %(Pi) W P , )
for r as above. The following lemma is an immediate consequence of this fact.
The proof is similar to the corresponding one in [36, XIV, Q 71.
-+
Lemma 4.24. Let Re ( 8 )z N / 2 . Then go(y,y, s) defines a bounded linear operator

on L(F,).
So far we considered only the cuspidal contribution R, to the resolvent R. It
is easy to determine the properties of the remaining two kernels R, and R3. Let
W he the closed RIEMANNian manifold which contains -M, and let R(z, z, A ) be the
resolvent kernel of the L M u c i a n on W .Then, by definition, R2(z,z, A ) = R(z,z. A )
for z, z c M2.Hence, from the known results in the closed case (see [47] for example)
we obtain the following
Lemma 4.26. The kernel R,(z, z, A ) is smooth off the diuyonal z=z. Along the
diagonal it has a weak singularity of order e(z, z ) - ( ~ - ) . The operator defined by
the kernel !D2(2) R,(z, z, A) !P2(z) is a compact operator on L2(M). Moreover,
considered as an operator which maps % J M ) into
r , rc R, it is compact.
In order to deal with RRwe need an auxiliary estimation of H :E &. Let QI(z. z, t )
be the kernel defined by (4.4).From the definition of the functions @,, !D2, !Pi,Y,
follows that QI(z, z, t ) = 0 if Iy - $1
1
<
. where z = (y. z). 2 = (y,d).This together
with (2.30) implies that

i) QI(z, z, t ) = O i f z( F , - F,
ii) There exist constants CL,
C,. C:;>O such that for z , z c F ,
for t z O .
Using ii) and the arguments of [7.p. 2121, it is easy to prove that there exist
constants C,. C,, Cu>O such that
forz, zEPi, tsO.Moreover. & ( z , z. t ) = O if z g F , - F , . Now let z , zcP,. If we estimate the convolution H :/: &. using (4.26) and (2.30).we get
for t z O and z, zEF,. Let Re (It)-= - C , and suppose that y. y=-l. P u t A= - ( A +

+C,) Using (4.27),we get
IR,(z,
2.
1)l
252
Therefore, if Re ( A ) -= - C , then it follows that R3(A)EL? ( M X M ) . I n particular,

the kernel R3 defines a compact operator on L2(M). Summarizing, we have
Lemma 4.28. Let Re (A)-= -C8. Then R3(A)EL2( M x M ) and the operator
defined by the kernel R3 on D ( M ) is compact. Moreover, there exist constante CI,,
and Cli > O such that
(yy)/2
&(Z,
-c,lv=Eim
z, A ) / SCi(, _ _ _ _ _ ~ - -
Y-Re (A)-C,
Reinark 4.29. Let A=s ( N - s ) with s E C , Re ( 8 ) > N / 2 . Then the resolvent

kernel depends on S C C .Let R ( z , z, 8)= R(z,z, 8)-!Bl(z) go(y, y, 8) Y t ( z f ) . In t h e
lemmas above we proved that R has the same properties as the resolvent kernel
of the LAPLAcian on a compact RIEMANNian manifold:
i) R(z,z, A ) is smooth off the diagonal and it has a weak singularity of order
e(z, z)-(#-) along the diagonal.
ii) The kernel R(z, z, A ) defines a compact operator on L2(M).
Therefore, the essential contribution of the cusp t o the resolvent is the constant term go of the cuspidal part Rl.
6. The analytic continuation of the resolvent kernel

Again, we assume that .&I has only one cusp F , = [ a , - ) x X , a>O, and t h e
measure on X is normalized by Vol ( X )= 1. Consider the following ordinary
differential operator
(5.1)
on the half-line [a, a),a>O, with domain C r ( ( a ,a)).
Let x>O. We choose the
boundary conditions
Then (5.1) with domain C,((a,a)) has a self-adjoint extension to L2([a,a),

y-(s+)dy). This extension will be denoted by An.Let A be the self-adjoint extension of the LAPLACian d on M . Every function on [a, a)can be considered as a
function on F l z [ a , - ) X S and in this way L2([a,a),
~ - ( ~ + ) d is
y )contained in
L ? ( M ) .Let POhe the orthogonal projection of L2(M) onto this subspace. Using
253
the heat kernel (4.9), we will show in 5 6 that e-" -ee-"aoPoisa trace class operator
This implies that the wave operators
W , = 8 - lim ea-4e-"AOpo
4-f-
exist and are complete, i.e., they define a unitary equivalence of the absolute
continuous part of A onto L2([a,m), y-(N+l)dy).In particular, the absolut contin-
,:[
uous spectrum of A is the interval1
m)
and it has multiplicity one. I n the
case of m cusps it will have multiplicity m. It is more difficult to get results about
the remaining part of the spectrum. To show that A has no singular continuous
spectrum, we use the limiting absorbtion principle [23]. According to this principle it is sufficient to show that the resolvent R(A)= ( A -A)-i has good upper and
lower boundary values on the real axis. Actually we will extend the resolvent
kernel R(z,z', 8) to a meromorphic function on C. This corresponds to a meromorphic extension of the resolvent R considered as a function of 8 E C, across the
line Re ( 8 )= N / 2 as an operator on the BANACH
spaces B,, introduced in 0 4. For
[24] which he used in the
this purpose we apply the method of L. D. FADDEJEV
case of H/l' to analyze the resolvent kernel as as a function of 8 C C. The essential
part was the study of the resolvent for Re ( A ) -= - C. For the remaining part almost
everything goes through without many changes Therefore, we only indicate the
insin points, referring the reader to [24] or [36]
The basic idea in analyzing the resolvent ( A-A)-iis to treat it as perturbation
of the resolvent (Ao-A)-1, where A , is the self-adjoint extension of the ordinary
differential operator (5.1) with respect to the boundary conditions (5.2). Let
(5 3)
t ( z , z',
8 )=
otherwise,
where go is the constant term of the resolvent of d on R + X X . Let T(8)be the
operator defined by the kernel (5.3), acting on La(M). Set 2=8 ( N - 8 ) with
s~ C', Re
:(-, N 1 and consider the resolvent as a function of
( 8 ) w N / 2 , 84
8.Then
R(8)= T(8)+ R(8)

(5.4)
and R(s)is a compact operator for Re (.~)>>0,by lemmas 4.21 , 4.25 and 4.28.
Now, recall that go(y, y', s)is a GREEN'Sfunction of the differential operator (5.1).
We replace T(8)by the resolvent R&) of A,. Let x 2-r 0 and set
(5.5)
8-x
a2s-N
C ( 8 ) = -~
sfx-N
6(y, 8)=y' 4.Y) y N Then 6(y, 8) is a solution of (5 1) satisfying the boundary conditions (5.2) It follows from the definitions that c ( 8 ) and 6(y, 8 ) have the following basic properties
(5.6)
C(8)
(N-8) =1
6(y, 8)=c(.Y) 6 (y, N - 8 )
254
Mullei, Spevtral Theory for Rieinnnnian Manifolds
The solutions 6(y,8) and yt7-'of (5.1) are linearly independent and their
WRoNsKian determinant, is equal to (29 -N) yNUi. Let
u ( y , y',
(5.7)
8)=
l--
2s-N
6(y',
8) yN-8,
6(y, 8 ) y'"8.
y'ey
y-=y' .
Prom the general theory of GREENfunctions follows that u(y, y', s) is a GREEN'S
function of the following ordinary differential operator
on [a, -). Moreover, for y * y ' it satisfies the boundary conditions (5.2). Therefore,
i t is the resolvent kernel of .4,,. The kernel u is symmetric in y, y' and satisfies
~~
u(y,y', 8) =u(y. g', S) .
Let
and let Ro(s)be the operator defined by the kernel uo,acting on a suitable space
of functions on M. It is easy to 8ee that Ro(s)is a bounded linear operator on
L2(M),if Re (8)=-N/2. If Re (8)> ( N - 1)/2,then R&s) maps b-,continuously into
% i - 6 , 6=Re (8) and it is compact as an operator on b-i
The kernel u and the operator Ro(8)have several basic properties which are
completely analogous to the properties of u and R&) in the case of the upper halfplane [36,XIV, Q 81. The proofs can be easily extracted from [36]. Let x>>O as
before and put T = T ( x ) ,A(s)=s ( N - 8 ) - x (N-x). Then we have the following
operator equation
(Z-il(8) T )(I+A(s) & ( 8 ) ) = I ,
(5.9)
Re ( s ) > N - x
which holdR in L2(M),if Re ( 8 ) > N / 2 and in

operator relation is
b-, if Re (8)=-(N-l)/2. Another
R&) - T = A @ ) TRo(s), TR&) = R&) T, Re (8) = - N -
(5.10)
The kernel u has the following easy but basic property
We want to study the analytic continuation of the resolvent kernel. Basic for
Re (8') > N / 2 ,
this purpose is the resolvent equation. Let 8,8'EC with Re (4,
c1
s, 8'4 -, N
. Then w0 have the following operator equation on LZ(M):
.h!(8)--(8')=(8
( N - 8 ) - 8 ' ( N - 8 ' ) ) R(8)R(8') .
Set R = R(x),R=R(x)and let 48) be as above. Then this equation reads
(5.13)
R ( s ) - R = t ( s )RR(8).
(5.12)
255
Miiller, Spectral Theory for Riemaniiian Manifolds
This can be considered as an equation for the operator R(s).However, since R is

not completely continuous, this equation has to be ~nodified.For this purpose w0
introduce the following operator
(5.14)
B(s)=(I-A(s)T)( R ( s ) - R g ( g ) )(I - A( 8 ) T).
By (5.9),the resolvent R(s)can be expressed in termes of B(s)and R,,(s)by

(5.15)
R(s)=Rg(s)+(I+A(s)&(s)) B ( s )(I+A(s)& ( a ) )
Using the resolvent equation (5.13) and the properties of R,,(s)it follows that B(s)
satisfies
B(s)=fi+J(sR
) ( I + ~ ( s&)( s ) ) B(s).
This equation, considered as operator equation in the BANACH
spaces %3- makes
sence for Re ( s ) > ( N - 1 ) / 2 . Actually, the point is that it can be reduced to a
FREDHOLM
integral equation for the kernel b(z, z', s) of B(e).Let
(5.16)
,,
(5.17)
K ( s ) = R(I+A(s)& ( a ) )
By the remark above we know that R,,(s)inaps %3 - continuausly into 8,--d for
Re ( 8 )> ( N - 1)/2. On the other hand, leminas 4.22., 4.25. and 4.28. iiiiply that R ,
considered as operator of
into %-,, is compact. Hence, if Re (8)> ( N - 1)/2
then K ( s )is a holomorphic family of compact operator$ on $3 - This implies the
following result
Theorem 6.18. Let K ( s ) be defined by (5.17). K(s) i s a holornorphic function on

the half-plane Re ( a )> ( N - 1)/2 with values i n the space of compact operators on
N
B - , , except possibly for s=--, where a pole may arrise. The
2
set of
points
where
I-A(s) K ( s ) i s not invertible is discrete and ( I - A ( s ) K ( s ) ) - l has at most poles at

theee points.
The proof follows from the general theory of holomorphic families of compact
operators [36, App.]. We call sE C a gingular point, if a is a pole of (I-I.@) K(s))-1We proceed to study equation (5.16). This can be done in the same way as in
[50, lemma 3.41. By the results of $ 4 we know that R is an integral operator defined
by a kernel with a weak singularity along the diagonal. The same applies to K ( s ) .
Hence, if 1 z [ ( N + 1)/2] + 1 , then the kernel of K(s)' R is continuous. Let
Bl(8)= B(8)&(8)
= &(B) - A ( 8 ) K(8) R
(5.19)
B1(8)=B,_,(s)-A(s)'-'K(s)"'R
Then
(5.20)
B(B)=R+il(t?)
K(8)R + ...+A(s)'-lK(s)'-'R+B~(B)
and B,(s)satisfies the equation

(5.21)
Bi(s)= B(8)4 - 4 8 ) K(8) Bi(8)
256
where B(s)= A(e)' K(s)lR. The operator S(s)has a kernel b(z, z', s) with continuous
components bij, i,j = O , 1 , where bij denotes the restriction of 6 t o F i x Fj.From
the definition of K ( s )and the properties of R follows that
C(yy')-l, 2, z'EF1
Cy-1,
z E F ~dEFo
,
Cy'-i,
z E F ~z'EF,
,
K ( s ) , Re ( s ) > ( N - l ) / 2 , is a compact operator on
Therefore, if we write
(5.21) in terms of the kernels, we get a FREDHOLM
integral equation. By ( 5 . 2 2 ) ,
b(x, z', s), considered as a function of z, belongs t o 8-,for every z'EM. Since
(I-jl(s) K(s))-I is a meromorphic family of bounded operators on B-i, this implies :
(5.22)
~ Q z z,',
s)I
Lemma 6.23. Let Re ( s )w ( N - 1)/2 and suppose that s is non-singular. T h e n the

operator
B,(s)= ( I - j l ( t ~ )K ( s ) ) - B(s)
~
has a continuous kernel b,(z, z', s ) which is a meromorphic function of s in the halfplane Re (8)=- ( N - 1 ) / 2 . Moreover, it satisfies
(bl(z,z', s)l s C ( y y ' ) - '
for x , Z ' E Fand
~ the corresponding inequality in the other cases.
Putting ( 5 . 2 0 ) and lemma, 5.23 together gives the following result about the
analytic continuation of the resolvent R(s):
Theorem 6.24. For each non-singular s in the half-plane R e ( s )> ( N - 1 ) / 2
define the operator B(s)by
B(s)= (I- A(s) K ( s ) ) - iR .
Then
i )B(s)is a meromorphic function in the half-plane Re (9) =- ( N - 1 ) / 2 with values
in the BANACH
space of bounded operators on,
ii) Let L = L ( x ) , where L ( s )i s the operator defined by the kernel ( 4 . 2 0 ) and x>>O
as above. There is a decomposition
B(s)= L B ( s ) +NB(s) ,
where LB(s)= L +A(s)L2+ ...+I(S)"~L'and N&) has a kernel n ( z , z', s ) which
is continuous off the diagonal of F o xPo and which has a weak singularity of order
e(z, z ' ) - ( N - i )along the diagonal of F o xFo. n ( z , z', 8 ) is a meromorphic function of s
and it satisfies
In(z, z', s)1 s C ( y y ' ) - ' ,
z , z'EP,
iii) For Re (s)w N I 2 , s g -, N , we have
:(
m4= RO(4 + (1+44 Ro(4) B(8)(1+wR&)) *

From this result follows that the resolvent kernel R(z,x',
8) has a.meromorphic
257
Miiller, Speotral Theory for Riemannian Manifolds
we
:
(
(Im (s ( N - s ) ) ) - I . Using this fact, it is easy to prove that the poles
have IIR(s)llL2s
continuation to the half-plane Re (a)> ( N - 1 ) / 2 . For Re ( 8 )>N/2, a $ -, N

of R(z,z', 8 ) in the half-plane Re
Summarizing, we get
(8)z N / 2
are all simple (see [36,XIV, $1 11)
Theorem 6.26. The resolvent kernel R(z,z', 8 ) ha5 a meromorphic contination

to the half-plane Re (s)> ( N - 1 ) / 2 with poles independent on z, z'. The poles in the
half-plune Re ( 8 )s N / 2 are on the line Re ( 5 )=Nl2 or on the interval1
N
poles are all simple, except the possible pole at s =
K I
Remark. It is clear that the poles on Re ( 8 )=N / 2 and -, N correspond to the

eigenvalues of d and the residues are the orthogonal projections onto the eigens-.
This will be proved i n $ 7 .
6. The spectrum of the Luucian

In this section we apply the results of the previous sections to determine the
nature of the spectrum of the self-adjoint sextension A of A. We recall some basic
facts about spectral theory [ 2 3 ] . Let A be a self-adjoint operator on a HILBERT
space @ and let {E(il)}be its spectral resolution. T o every w E @ there corresponds
the BOREL
measure (dE(A)v, v) on the real line R. Every BOREL
measure p on R
has a decomposition p = p d pSe pacinto the discrete part pd, the singular continuous part !lac and the absolute continuous part pa,. This gives a corresponding
decomposition of @ into three subspaces .!&(A),QaC(A)
and @'ac(A)
which are invariant under A (Le. vE$&(A) iff the measure (dE(2)v,v)is discrete, ...).If u ( A ) c C
is the spectrum of A then u ( A )=a,(A) U a,,(A) U u,,(A), where ud(A) is the spectrum of
. . . Let PaC(A)be the orthogonal projection of @ onto .@, Let At
and A3 be two self-adjoint operators in a H~LBEET
space 8. Suppose that the limit
+ +
exists. W , are the wave operators. W , map $jac(A,)isometrically into @,,(A,)

and intertwine Al and A2. If the range of W kis Q,(A2) we say that the wave
operators are complete. In this case the scattering operator S= W*,
W - exists 88 a
unitary operator on $jaC(Ai)
and commutes with Ai,ac.Therefore, with respect
to the spectral resolution of A,, S is unitarily equivalent to [ S(A;Al, A,) dA. If
O(A;,W)
the absolute continuous spectrum of At has multiplicity m, i.e., dim 8, (A) = m

then S(A; Al, A2)is a m x m matrix-the so-called scattering matrix. If-A,-A,
iR a trace class operator then the scattering matrix A(A) is closely related to
17 Math. Nschr. Bd. ill
258
the spectral shift function [S], [34J.Let V = A 2 - A 1 be trace class. Then

E(A)=n-l lim
arg det ( I + V ( A i - A - k ) - 1 )
40
exists for a.e. ACR. It satisfies t C L f ( R with

)
llEllLl~IIVllLland
- E(A) dA=Tr ( V ) .
-_
If @CC,(R)then @ ( A 2 ) - @ ( A iis) trace class with
Tr (@(A,)-@(Ai)) =
-- @(A) E(A) (LA .
The spectral shift &t) is related t o the scattering matrix by

exp (-2niE(A)) =det S(A) for a.e. A C O , , ~. ~
Now, consider a RIEMANNian manifold with cusps &I. For the moment w e
assume that M has only one cusp Pi= [u,-) X X , a > O . Let A be the Laplacian
on M with domain C ; ( M ) and let A be its self-adjoint extension. As before, let A,,
denote the self-adjoint extension of the ordinary differential operator (5.1) with
respect t o the boundary condition (5.2). A()is an operator on the HILBERTspace
LZ([u,-), ~ - ( ~ + ) d yIt) can
.
be identified with the subspace @,,cL(M)which is
defined by
@ O = { ~ E L ~ (I M
f ( z))= O if zEJn and f ( y , x)= f ( y ) if ( 9 , c~P), }
P,,
denotes the orthogonal projection of L2(M) onto 8,).First, we prove that e-tA -e-0Pn is a trace class operator. For this purpose we determine the kernel of
the heat operator e-O. Let p ( y , y, t ) be the fundamental solution of the heat
equation problem
I(
a2
-- y2 - + ( N at
atp
1) y
~~~~
aY
u ( y ,t ) = o
au
u =a
We multiply u(y, t ) by Y - ~ ~and change variables by y = eT.The fundamental

solution of the transformed problem can be constructed by standard LAPLACE
transform methods (see [lo, section 14.21). This gives
where ,6 =x -NJ2.
259
Now, consider the heat kernel E(z, z, t ) which is defined by (4.9). Let t > O be
fixed. Then the estimation (4.27) shows that H :i: &EL2 ( M X M ) . Further, it is
obvious that the kernel @(z) K2(z,z, t ) Y2(z) which is one part of the parametrix
H , is in L ( M x N ) .It remains t o consider GI(z) K l ( z , z, t ) !Pi(z). We use the
definition (2.29) of the heat kernel Kl on the cusp. The constant term of K iis
equal to
\YY
y4nt
and this is the first summand in (6.2). If we use the estimation (2.25) i t follows
that K , -k,,cL (Fix$,). Finally, it is easy t o see that
11
We conbider p(y, y, t ) as a kernel on FI and extend it by zero t o a kernel p ( z , z, t )

on N.If we take these remarks together it follows that E-pCL ( N x M ) . This
means that e - l d - e-tAaPois HILBERT
- SCHMIDT.
To see that this operator is
trace class, we use a trick of DEIFT
- SIMON
as in [31]. Using the semi-group property of e-IA and ePtAo we obtain, with t = 2 t ,
(6.3)
e-t=i - e - t A ~ p - e - r A
(1
(e-r.4
-e-r&~p,,)
+ ( e - r - 4 -e-d~po)
e-79~)p0
.
Let b >Inax (1, a) and set Fb= [b, m) x X. Let x E C - ( M ) be such that 0 -=x s 1,
~ ( z=) 1 if Z E F,, and ~ ( z=y-14
)
if ZEF,.Let m, be the multiplication operator by x
and consider the operator e-r-40In,. Its kernel is E(z, z, z) ~ ( z ) .Since x 5 1 , we
have ( E - k , , ) xCLP ( M X M ) .Moreover,
a u
Therefore, the kernel k,(y, y, t)~ ( y is

) in L2 ( P i X F l ) . This shows that e-rAtnZX
is HILBERT
- SCHMIDT.
By similar arguments we get that m,e-rdeP(J
is HJLBERT
ScHmm. The second operator, we have t o consider, is my (e-rd -e-7-0Po).
The
kernel of this operator is x(z)- ( E ( z ,z, t)- p ( z , z, t)).It follows from (4.27) that
x(z)-I H :F Q ( z , z, t)is in L2 ( M x N )and (2.25) implies that x(z)-1 (Ki(z,z, t)- k,(y, y, t))is in L?(Fi
~ 3 Finally,
~ ) . an easy calculation shows that y 1 / 4 ( p ( yy,
, t)
- k , ( y , y, t))is in L2 (F,
xF,) too. This proves that in; (e-r-4 -e-A~lPo)is a
HILBERT
- ~ H M I D Toperator. This gives a factorisation of e-rd ( e P r d- e-rAOP,,)
in a product of HILBERT
- SCHMIUT
operators. Hence, this operator is trace class.
The same argument applies t o the second summand in (6.3). Therefore, e-LA-eWtAoPo
is trace class. Its trace can be calculated in terms of the kernels. Let
Y ~a and let P , - = [ Y ,m ) X X c F I .Set M y = M - P y and let xr he the charac17
260
teristic function of M , c N . Then xy * e-"

xp is a bounded operator on L2(Mp)
which is defined by the kernel E restricted to N,x M,. Since M , is compact it
follows that xu e-tA * xp is HILBERT
- SCHMIDT. By property iii) of E we have
f J E(z, z f , t ) d p ( z ) dp(z') -=a.
aiy M
Therefore, x y e-" and e-"

xy are HILBERT- SCHMIDT operators. This implies
that xI-* e-cAXy is trace clam and its trace is given by
Tr
(xu
e-'A
- xy) =
J E(z, z , t ) d p ( z ) .
MY
By similar considerations we get

Y
Tr
(xl- e-lAo * x y ) =
*
p(Yy Y Jt,
dY
yNfi
If I-+-, then Tr (xl- (e-tA-e-cAoPo) x,) tends to Tr (e-"-e-"aPo).

On
theotherhand,letp(x, d , t ) bethekernel (6.2) extended by zero to akernelon M x M .
It follows from (2.25) and (4.27) that E(z,x , t ) - p ( z , z , t ) is integrable over M .
Hence
Tr (e-tA -e-lAnP0) =
( E ( z ,z , t ) -p(z, z , t ) )d p ( z )
M
Summarizing these remarks, we obtain
Proposition 6.4. Let M be a RIEMANNian manifold with cu=3psa n d consider

self-adjoint extension A of the LApucian A with domain C,"(M).Let A , be
self-adjoint extension of the ordinary differential operator (5.1) with respect to
boundary conditions (5.2) and let Po be the orthogonal projection of D ( M ) onto
subspare QorL2([a,m ) , y-(-v+')dy). T h e n for every t > O
e-t" -e-tAOPo
the
the
the
the
is a truce class operator and its trace is given by
Tr (e-'A -e-'"nPO) = , f ( E ( z ,z , t ) -p(z, z , t ) )dp(z) .

M
Since e-" -e-IAaPo is trace clam, we conclude from the invariance principle
that the generalized wave operators W , = W , ( A . A,,) exist and are complete
(see [33]). W , is isometric on Qo with range the Hubspace L ; , ( M ) c U ( M ) of
absolute continuity for A and A W , c W,A,. Thus, we obtain
Corollary 6.6. T h e wave operators W , ( A , A,) exist and define a unitary equivalence of Qo onto the subspace L&(M)of absolute continuity of A . W , intertwine A ,
and Aac.
and
The scattering operator S = W , W - exists as a unitary operator on
m
commutes with Ao.Suppose that M has m cusps. Then Qo is equal to @

L2([aj,
I a),
j= 1
~r(~+')CEyf).
Therefore, the multiplicity of the absolute continuous spectrum of A
26 1
Miiller, Spectral T h e q for Riemannian Xanifolds
is equal to the number of cusps of M . Let

S = J S(1, A , A,) dI
a(-&)
be the decomposition of S with respect t o the spectral resolution of A,. Then S ( I )

is a m x In matrix.
Now, we turn to the singular continuous spectrum. Let A be a self-adjoint
operator on a HILBERTspace Q and let ( E ( 1 ) )be its spectral resolution. For every
of singular
Bore1 set Sc R and vCQ set p,(S) = ( E ( S )v, v). The subspace QaccQ
continuity of A is defined as
is a singular BORELmeasure and
Q,,,
=
'8 ~,(sJ=oif ~ = { z >z, c ~
We apply this to our situation. By theorem 5.24, the resolvent R(8)extends across
space
the line Re ( 8 )= N / 2 as a meromorphic function with values in the BANACH
of bounded operators on
1%
:{
B-,. Let [a, b] c Rf be such that -+ir
I rE[a, b] con-
tains no poles of R(s)and let f c Ct(3.I).Consider the resolvent as a function of I =

N2
= s ( N - Y) and set
I, =
N2
+a', Ab = -+ b2. Then

4
'b
'a
exists. By the limiting absorption principle [23, p. 12021, this is equal to

( E ( ( I a ,i b ) ) f , f). This shows that the singular spectrum oa(A)of A consists of the
poles of R ( s ) on the line Re ( s ) = N / 2 . This set is discrete. Therefore, the above
characterization of @,, implies that L;c(M)= 0 and we have an orthogonal decomp,
L:(M) is the closed subspace spanned
osition L'(M) = L i ( M )@ L i c ( B ) where
by all eigenfunctions of A and Li,(M)is the subspace of absolute continuity for A .
Corollary 6.5. gives a complete discription of the absolute continuous spectrum
of A . It remains to study the discrete part of the spectrum. To simplify notations,
we again assume that M has a single cusp Fi.At first, we show that the eigenvalues
of .4 are related to the poles of (I-A(s) K(s))-i where K(s) is defined by (5.17).
Let r+ E L2(N) be an eigenfunction of A with eigenvalue 1.The regularity theorem
for elliptic equations implies that E C-n L2 and dg,= I T . Note that lemma 1.10
also applies in the case of [a, -)xX. Therefore, the restriction of g, to Pi can be
expanded as in lemma 1.10. Let I = 8 ( N -8) with Re ( 8 )z N / 2 . Using that (p E L2
we get the following expansion
(6.7)
P(Y*z)=aoyN-'+
ajf'"~-~,2(~jy)
j= 1
If Re ( 8 )= N l 2 then the condition g,E L2 implies a. = 0 . Since K , is exponentially

decreasing, i t follows that
(6.8)
~ ( y5)
, =czoyN-Ile(')+O(e-~)
262
as y--.Let
x>>O as in 0 5, R = R ( x ) and A(s)=s ( N - 8 ) - x ( N - x ) . Since p is an
eigenfunction of A , we have 1(s) Rp = p. If we use the decomposition (5.4) we get
(Z-A(s) T ) p=1(s) Rp. Consider the decomposition (4.18).Lemma 4.28. implies
that R3pE%-*. Moreover, the kernel of T is the constant term of RI on P,.Therefore,
( R ,- T ) U, vanishes on functions which depend only on y. Using lemma
4.22. wegetRp,E%-i.Hence, (I-A(s) TP)g,EB-_,.Letusapply theoperator K(s)=
= R ( I +A( s) R,(s))to this function. If we use the relations (5.9) and (5.10) we get
1(s) K(3)( I - 1(s) T ) p, = 1(s) R p = (Z- A(s) T ) p .

Therefore, ( I - 1(s)T ) p is an eigenfunction of the operator K ( s )and s is a pole of
( Z - I ( t ) K ( [ ) ) - l ,t C . But K(e) is a compact operator. This implies that every
eigenvalue 1 of A has finite multiplicity. Moreover, the poles of ( I - 1 ( 5 ) K ( t ) ) - l
are isolated points in the complexe plane and
is the only possible point of
accumulation. Thus, we obtain
Proposition 6.9. Let A be as above. The discrete part of the spectrum u,(A) consists of eigenvalues of finite multiplicity and is the only possible point of accumulation. Let 0 = l o-= lis A2 s ... be the eigenvalues and EAi the corresponding eigenspaces. Then
Remark 6.10. Proposition 6.10. does not say anything about the nature of the
eigenvalues. I n particular, the possibility that A has only finitely many eigenvalues is not excluded. The continuous spectrum of A is
[f , -). Therefore,
if A has
infinite many eigenvalues then almost all eigenvalues are embedded into the
continuous spectrum. It is well-known in mathematical physics that embedded
eigenvalues are very unstable. This suggests that generically there will be only
I 4)
finitely many eigenvalues which are contained in the interval1 0, - . Let N ( 1 )

be the number of eigenvalues of A , counted with multiplicity, which are less than
1. If M is a compact RIEMANNian manifold we have WEYLSformula
where n=dim M , for A+-. I n the non-compact case this asymptotic behaviour
of the counting function N ( 1 ) will be very exceptional. If r c S L ( 2 , Z ) is one of
the congruencesubgroupsro(N),Ti(N)
or r ( N )and M =H / r t h e n , using SELBERGS
trace formula, it can be shown that WEYLSformula is true in this case. It seems
t o be a difficult problem to determine the rcsymptotic behaviour of N ( 1 ) for other
discrete subgroups r c S L ( 2 , R ) of finite co-volume. Using NEUMANN
bracketing
263
as in [21] or [39] we will prove in another publication that
Vol ( M )
PI2 is the maximal posn =dim M . Therefore, asymptotically, ( 4 ~ ) - ~ / '
.(a+
1)
sible number of eigenvalues of A. We know that in the 2-dimensional case this

maximum is attained for M =HIT, where T is one of the congruence subgroups
To(N)F
, i ( N )or r ( N ) .
7. The EISENSTEIN
functions
The existence of the wave operators W , is closely related to the existence of
generalized eigenfunctions of A. This is the stationary approach to scattering
theory. Our purpose is to give an explicit description of the wave operators W ,
and the scattering matrix s(1)in terms of generalized eigenfunctions of A.
As before, let x>>O and R = R ( x ) ,R,= Ro(x).By the invariance principle [SJ,
[33] we conclude that the wave operators
W.&.
+ ( R ,R,) =s- 1-*lim eitRe-itR
"PO
exist, are complete and coincide with W , ( A , A o ) . Let W ( t )=eitRe-itRaPo.Since
R - Ro is a bounded linear operator in L2(M) we have
1"
W(t") v - W(t')y = i
eitR(R- Ro)e-i6hPocpdt
t'
{33, X, Q 31. By assumption, the limit lim W ( t )q ~ =W + q exists. Therefore

t-+-
-..
(7.1)
W +v = Pov+ i J eitR ( R- Ro)e-itRaPovdt.

0
The infinite integral in (7.1) is absolutely convergent. To see this, we use the eigenfunction expansion with respect to A,. The functions 6(y,a ) , defined by (5.5),are
generalized eigenfunctions of A,. Every cpE Lz[(a,a),y-(N+i)dy)can be expanded
in terms of the 6(y,s). For any y ~ C ; ( ( aa, ))let
IfDoisthe ordinary differential operator (5.1), then i3Fo(D,p)( r )=

boextends to an isometry of L2([a, a),y-"+')dy)
onto
Lz
264
p; E dorn A. we have
The adjoint operator 8: is given by
where f C C,"(R+).
Moreover, using (5.11) it follows that btt30= I. This is the eigenfunction expansion for Ao. Let W ( T )=
(T+
- r2 - x
that b o y ( r )has compact support on (a,

can write eVit& as follows
00).
( N-x )
-1
and let y E L2 be such
Using the inversion formula for bowe
Repeated integration by parts gives
Consequently, using theorem 2.83 and lemma 4.27, we get
lleilR (R-R,)e-atROllysCI(y)t - 2
This proves that the integral (7.1) is absolutely convergent. Therefore

(7.4)
-e-ateitR( R- R,)e-i'hPoydt .
W , y = Po(p+ i lim
C-O+
Suppose that Pay= p, i.e., VE&. We denote the infinite integral in (7.4) by I e ( y ) .
For the sake of simplicity set @ ( r )=S0y(r). If we replace e-"hPo by the right hand
Bide of (7.3) and interchange the order of integration, then
Consider the operator (A(a) R - I ) - i (R-R,),for Re (a)>N/2, where A(s)=

=d (N-a)-% (N-x).
:(
Lemma 7.6. For Re (a) >N/2, a 4 -, N we have

( A @ ) R - I ) - I ( R - R o ) = -(I+A(8) Ro(a))B(a)
265
This gives the mermorphic continuation of the left hand side to the half -plane Re (s) w
>( N - 1)/2*
P r o o f . Let Re
(9) > N / 2 ,
:(-, N 1. Using the resolvent equation for R(s)and
$6
Ro(s),we get
R - Ro = R(8)- R , ( s )- A(s) RR(s)+ A(s) R&(s)

= R(s)- Rds) -
48)(R(8)- R&)) -4s) ( R- Ro) Ro(8).
Hence (R-8,)(I+A(s)R,(s))=(I-A(s) R)(R(s)-RO(s)).

Using (5.15), this is
equivalent t o the equation in the lemma. By theorem 5.24., B(8)is a meromorphic
function in the half-plane R e (8) > ( N - 1)/2 with values in the BANACH
space of
bounded operators on ?8-i and therefore, (I+A(a)R,(s)) B(s) is a meromorphic
space of
function on the half-plane Re (s)> ( N - 1)/2taking values in the BANACH
bounded operators from % j 2 - p into Btd0,a = R e (5). This proves the lemma. W
Define the operator function W ( s )by
Ws)=44( I + W R,,(s))B(s)*
(7.7)
Now we prefer t o treat the case of several cusps. Suppose that M has m different
cusps F j = [ a i , - ) x X i , where ai>O and Vol ( X , )= 1 , j =1. ..., m. If is any function on M , we denote by p;. its restriction t o the submanifold F j c M , where j = O
is included. If k ( z , 2) is a function on M x J l we denote by kij(z,2) its restriction
t o F , x F j . As in (5.5) define ci(s) and @(yi, s) with respect t o the cusp Fj. For
each cusp we define a function $(s. z ) which has the following components
(7.8)
d(z,s) = dij@(yj, s),

&x,
8) = 0
i = 1 , ..., m
Definition 7.9. The EISENSTEIN

function Ei(z,s) which is associated to the cusp
F j is defined i n the strip N + 1 > R e
N-1
~by
2
(s) >-
E ~ ( z8), = ( I + W ( S ) )#(z, 8) .
This definition is suggested by (7.5) and lemma 7.6. Note, that definition 7.9.
makes sense. By theorem 5.24., the kernel b(z, x, s) of B(s)is of type - 1, i.e.,
Jb(2,z f , s)l5C(yyf)-1
for z, zfCFj.Therefore, B(s) maps 93n.+i-a,E > O , continuously into
B-i. Hence,
N-1
Ei(z, s) is well-defined for s in the strip --=Re ( . s ) - = N + l .
2
The EISENSTEIN
functions are generalized eigenfunctions of A. As a function
of a they have meromorphic continuations to the whole complexe plane and they
satisfy certain functional equations. Another method t o introduce the EISENSTEIN
functions and t o find their analytic continuation is due t o Y. COLIN DE VERDIERE
[15]. His method is based on the meromorphic behaviour of the resolvent of some
266
auxiliary self-adjoint operator A,. The operator A, has been introduced by LAXPHILIJPS
in [39, pp. 2061 for different reasons.
We describe now in detail the basic properties of the EISENSTEIN
functions.
Lemma 7.10. T h e EISENSTEIN

functions Ei(z, s), j= 1, ...,m, are meromorphic
functions of
of 2.
8,for 8
in the strip N + 1 >Re
N-1
( 8 )r
-
. The
poles are independent
P r o o f . This follows immediately from the properties of the kernel b(z, z,

of
8)
~ ( 8 ) .
Proposition 7.11. Let
N-1
--
< R e (a)-= N + 1.
T h e EISENSTEINficnctions
Ei(z,s),j= 1 , ..., m, w e smooth functions of x which satisfy

dE(2, s)=s ( N - 8 ) Ej(z, s) .
P r o o f . Let go(y,y, 8) be the constant term of the resolvent of O on R + x X ,
and let t ( z , z, 8) be the kernel which has components tij(z, z, s) =go(yj,yi, s),
j= 1, ...,m, and tii(z, z, 8)= O otherwise. As i n 5 5, we denote by T ( s )the operator
defined by the kernel t ( z , z, s) and set T = T ( x ) .The resolvent has the decomposition R = T + R , anaologous to (5.4). If we use the definition of W ( s ) ,(5.9) and
(5.16) then we get
1(8) R ( I + E ( s ) ) = l ( s )T + l ( s )( I + l ( s )&(a)) B(s)
= I @ ) T + W ( S ).
But an elementary calculation ehows that A(s) T y i ( . , s)=qj(-,s). Hence
4s) RE(., 8)=It(.,s), j = 1, ..., tn .
Let f E C;(M). Then
(Ej(*,a ) , O f ) = l ( s ) (REi(*,s), Of)
= ( ~ ( N - ~ ) + l ( s ) ) ( E ( * , s ) , f( N
) =- a8 ) ( E j ( . , s ) f, ) .
By elliptic regularity, this proves the proposition. m
To describe the asymptotic behaviour of Ej(z, 8) along the cusps Pi,
i = 1,
..., m, for y+m, we introduce the C-matrix C(s)=(Cij(s)) by
where ci(s) =
s-X
s+x-I?
a2s--1v
267
N-1
-=Re (8)-= N + l and let E$z, 8) be the restriction

2
of Ej to the c w p Fi = [ai,m) x Xi.Then
Proposition 7.13. Let
~~
@(z, s) =di,.y; c,(s)$ - a

a8
+O(edWi)
yi-m.
P r o o f . According to the definition 7.9. we have
Ei(z, a)=v'(z, 8)+ A ( 8 ) B(8)q ( z , 8)+I(a)' &(s) B(8)#(z, 8)

Rut &z, s) =Sij(y;+cj(s)yy-')). By theorem 5.24., ii), we have B ( e ) = L , ( s ) +
+ N B ( s ) .The operator L = L ( x )has the kernel m(z, z', x ) which is defined by (4.20).
This kernel has no constant term. Hence LB(8)q ( z , s) = O . The kernel of NB(8)is
continuously into B-i.
of type - 1 (see 5.24., ii). Therefore, NB(8) maps !133N+i-s
N-1
N+1
Hence B(s) $(., s)E 'B-i for 8 in the strip --=Re (8)-=
. Furthermore,
~
an easy calculation, using the definition of Rg(B),shows that

l(s)' (&(a)
B(8)qi(z, 8 ) ) i
3%
= y iA,-* 2 9 - N .
[p(z,
8) b(z, z', 8) q+'.
8 ) dp(z) dp(z') + O ( l )
M M
=C,(s) y y " o ( 1 ) .
On the other hand, by proposition 7.1 l . , we know that E$z, 8) satisfies LIE!;@,
8)=
=s ( N - s ) @(z, 8). Therefore, we can expand E{(z,8) as in lemma 1.10. If we use
the fact, that K, is exponentially decreasing and I , exponentially increasing it
follows from the above calculations that only K8-N,2(pjy)can occur in this expanN-1
N+1
sion. Therefore, if s is in the strip ----=Re
(8)-= -- then
2
2
E{(z,s) =S,y:+C,(s) t ~ f - ~ + O ( e - ~ ~ )
""7J'C-.
The asymptotic expansion in proposition 7.13. determines Ej uniquely.
Proposition 7.14. Let 8EC with Re (8)wN/2 and

one solution of the equution
du(z, 8)=s ( N - 8 ) u(z, 8)
which satisfies
most
(:%)
UI&
:(-, N 1. There ezi8k at
86
s)=dijg+yi(z,8) , i = l , ... , r n ,
yi E L2(J'i).
P r o o f . If ul and u2 are two solutions of At@, s) = 8 ( N - s J u ( z , 8) with the
asymptotic behaviour (*) then ul(-,
8) - u2(*,
a) E L'(M). Since 8 ( N -8) 6R+ it
follows that u,=u2.
268
Using proposition 7.14., we get a different construction of the EISENSTEIN

functions Ef(z,s) : Let hjC C-((uj, m)) be such that hj(y)= 0 in a neighborhood of
a, and h,(y)= 1 in a neighborhood of m. For a C let $(., 8)C C"(M) be the function
which is zero on M - F,and which is equal to hj(yj)2/i" for zC Fj = [ai,m) x Xi.P u t
Hi(z, a ) = ( d - s ( N - a ) ) p,(z, 8). Then HI(*,a)CC;(M) and i t depends holomorphically on
8. Now, suppose that ?+'

2
> Re (8)
proposition 7.14., it follows that

(7.15)
Ei(z,8)=V,(Z, 8)-(d
-8
( N - s ) ) - ' Hi(z, s), j = 1 , ..., 'w. .
The right hand side of (7.15) is well-defined for Re ( a ) > N / 2 ,
84
depends holomorphically on s. This gives the analytic continuation of E3(z,s) onto

N
the half-plane Re (8)>--. Moreover, the only possible poles of @(z, s) in the
half-plane Re
(3)z
2
N / 2 can occur in the interval1
.Y. COLINDE VERDIERE
[15] starts with formula (7.15) and uses an auxiliary operator d, with compact
resolvent to find the analytic continuation of the right hand side.
The most important feature of the system of EISENSTEIN
functions Ei(z,s),
j= 1, ...,m, are the functional equations they satisfy. To prove the functiona1
equations we need an auxiliary lemma.
N+1
N-1
Lemma 7.16. Let ~ - z R (8)
e >
- and suppose that
~-
s and
-s
are dif-
ferent from the poles of B(s). Then
B ( 8 ) - B ( N - s ) = A ( s ) 2 B(s)(R,,(s)-Ro( N - s ) ) B
(N-8)
P r o o f . By definition, B(s)=(I-A(s) K ( s ) ) - I R and K ( s ) = R(I+A(s)Ro(s))

(see 0 5). Therefore
B(s)- B ( N - s ) = [ ( I - A ( s ) K ( ~ ) ) - 1 - - ( I - - AK( ~()N - s ) ) - * ] R

= A ( S ) (I-A(3) K(t!?))-'(K(s)-K
(N--8)) ( I
-A@) K (N-8))-1 R
=A(s)2(I-A(s) K ( s ) ) - l R ( R , , ( s ) - R (, N - 8 ) ) ( I
-A(s) K (N-s))-l R
rn
= A ( s ) 2 B(8) ( R o ( s ) - R o( N - 8 ) ) B ( N - 8 ) .
If we define the convolution of two kernels in the usual way then lemma 7.16.
can be rewritten in terms of the corresponding kernels as
(7.17)
b,-bN-,=A(s)'b, * ( u , - u N - ~ ) * b N - , ,
where b,(z, z')=b(z, z', s), ... In the cme of m cusps we have to replace (5.11) by
(7.18)
U(z,d ,3)-U
(2,
z', N - 8 ) =---
28-N
m
j=i
$(z,
8)
$ (2, N - 8 )
269
hiiiller, Spectral Theory for Riemannian Manifolds
Using (7.17) and (7.18) we get
Hence, the C-matrix C(s) satisfies the following functional equation

C(S)C ( N - s ) = I
(7.19)
Suppose, that a and N - a are different from the poles of Ei(z, s ) , j = 1, ...,m. Consider the function
C C,(s)
Ei(z,N
-8)
j= 1
This funct,ion is a solution of the equation Av=s ( N - s ) v and its asymptotic

expansion along the cusp Fkis given by
= a i k y i + ~ i k (yf-'
~ ) +O(e-c'k) .
Using proposition 7.13. and 7.14.it follows that the system of EISENSTEIN
functions Ej(z,s),j = 1, ..., m ,satisfies the following functional equations
m
E ~ ( zS), = 2 Cij(s)Ei (2, N - s )
(7.20)
1 =I
for ( N - 1)/2 < Re (s)-= ( N + 1)/2. The functional equations (7.19) and (7.10) imply
that C(s) and Ei(z,s), j=1,..., m, have meromorphic continuations onto C.
U h g (7.15) it follows that
~~
Ei(z,s)=Ei(z,a ) , j=1,..., m .
This implies
(7.22)
C(S)=c(B).
(7.21)
-+
:
(
N/2 and the
Let IER. Applying the functional equation (7.19) and (7.22) we get C
+ il) C (
- + il = 1. Therefore, C(s) has no poles on the line Re ( 8 ) =
:only possible poles of C(s) in the half-plane Re
(8)rN/2
occur in the interval1
370
Miillor, Spectral Theory for Rieinannian Manifolds
Further information about the location of poles of Ei(z, s) can be deduced from
the MAASS-SELBERG
relations. To describe these relat,ions let Y z m a x ui and let
i
F i , l - = [ Y ,m)XXi, i = 1, ..., m. The constant term of Ei(z,s) along the cusp P,

will he denoted by af(y,s), i.e., a!(y, s) =dijy:+Cij(s) y:+.
If we cut off t h e
constant terms a t level Y we get L2 functions E;. More precisely, let
m
if
Z E N -U Fi,Y
i= 1
This function is C in the complement of
U mi, and d&$(z,s) is well-defined

i= I
on this set. Proposition 7.13. implies that e $ c L ( M ) . Let s be different from t h e

poles of Ei(z,.) and s different from the poles of Ej(z, -).Then
By.,8))
=(Ei(., s), i l E i ( - ,s))-(dEi(*,s), IT(.,
8)).
(s+$-N)
(8-2)
( E y e ,
8)
By GREENSformula, this expression is equal t o
and a Himple calculation gives
Leiiinia i.23. Suppose that s is not a pole of Ei(z, .) and sf is not a pole of Ei(z, -).
The?&
(s+?-N)
(8-2,
+ (8+ s - N )
.
(Ei(.,
a), E+,
-~
8))
( Cii(S) Y8-a - Cii(8)Y7-8) .
These equations are the so called MAASS- SELBERG

relations,. The MAASSSELBERG
relations can be applied as in [46, proposition 10.4.1 t o get additiond
information about the poles of the EISENSTEIN
functions. We already know t h a t
the C-matrix C(s) is holomorphic on the line Re ( 8 )=N / 2 . With the help of t h e
MAASS- SELBERG
relations we deduce that the EISENSTEIN
functions Ei(z,s ) ,
j= 1, ..., m , are also holomorphic on the line Re ( s ) = N / 2 . Furthermore, if so
,:(
N ] is a pole of Ei(z,s ) then its order is one and so is also a simple pole of Cij(s).
Finally, if s,,is a pole of n-th order of Ei(zO,s ) then so is a pole of n-th order of Ej(z,8 )
for every z M and n is equal to the maximal order of the pole of C,(s) in so, i =
= 1, ..., m. The proof of these facts is completely similar t o the proof of proposition
10.4. in [46].
We summarize our results ahout the EISENSTEIN

functions in the following.
Jliiller, Spectral Theory for Riemannian Manifolds
27 1
Theorein 5.24. Let M be a RIEMANNian manifold with c w p s and suppose that

the number of cusps is m. Let Ei(z, s ) ,j = 1 , ...,m, be the EISENSTEIN
function nssociated to the cusp F, and let C(s)= ( C t j ( s )be
) the corresponding C-matrix defined by
(7.12). These functions have the following properties
I) i )C(s) is a rrieromorphic function on the complex plane. Its poles are contained
in the half-plane Re (s)-= N / 2 and in the interval1 -, N
ii) The poles
-:( N ] of C(s)are simple.
s,,c
:(
1.
iii) C(s) is holornorphic in a neighborhood of the line Re (s)=N j 2 .

iv) The matrix C(s)is synimetric and satisfies the functional equation
C(S)C ( N -s) = 1
11) For every j , j = 1 , ..., m,

i ) Ei(z, s ) is a Inerornorphic function of JEC. Poles occur only in the half-plane
Re ( s )<Nj2 and in the interzall -, N .
:(
ii) Ei(z, s ) is holomorphic in a neighborhood of the line Re (s)=Nj2
(r, ]
iii) The poles s,,E

so is
N of Ei(z,s ) are simple and if so is a pole of Ei(z,s ) then
also a simple pole of C,(s).

iv) If s,, is a pole of Ei(z,, s ) of order n then s,, is also a pole of Ej(z, s ) of order n
for every Z E M .n ,isthe maximal order of the pole of Cii(s)at so, i= 1 , ..., nz.
v ) The system of EISENSTEIN
functions satisfies the functional equations
m
Remark. Suppose that M is a locally syminetric space I\G/K of R-rank one.

In this case the EISENSTEIN
functions E(z, s) coincide with the usual EISENSTEIN
series of the locally symmetric space (see [ 3 7 ] ,[ 3 8 ] ,[ 4 8 ] ,[ 3 5 ] ) .For example, let I
be a discrete subgroup of S L ( 2 , R) with finite co-volume. We assume that r is
torsion free and let M = r ! H .Fix a maximal system x1 = x2, ..., xm of r-ineyuivalent cusps of r. Let denote the stabilizer of xi in r and choose matrices y I , ...,
ymESL(2,R) such that y j x j = - and yjriyl:1=SL(2, Z), for j = 1 , ..., in. Then, by
definition, the EISENSTEIN
series associated to the cusp x j is
00,
It is a solution of ( A -s (1 -s)) u = 0 and its restriction to the cusp Fi is of the

form 6&+yi(x, s ) , yiEL2(Pi!,i= 1, ..., m. By proposition 7.14. it coincides with
the EISENSTEIN
function P ( z ,ti) defined by 7.9. In the locally symmetric case
there exist different methods of analytic continuation of EISENSTEIN
series [ 2 9 ] ,
[37], [38], [48]. SELBEROS
method is based on the MAASS- SELBERG
relations.
Miiller, Speotrd Theory for Riemannian Manifolds
272
Now, we can continue with the description of W +and &(A) in terms of generm
alized eigenfunctions. &, is isomorphic to the space @ Lz([a,,m), yi(N+i)dyi),

$31
where y, is the parameter on the half-line [ui, m) with respect to Fe A . is the direct
sum of m operators each of which is the self-adjoint extension of (5.1) with respect
to the corresponding boundary conditions a t ai. Suppose, that P,'p='p, 'p = (ql, ....
'pm) and 'piEL2([aj,m), yf(LY+i)dyi)is such that 'pAi(r)has compact support. Then
m
W+'p=
W+'pj
and we can treat W+'pj as in the case of a single cusp. For
<=I1,
~ consider
O
the function d ( z , r , ~ ) = ( B - ~ ( r ) f i ~( R
) -- lR , ) qi(z, r ) , which occursin formula (7.5). It followsfrom the previous considerations that lim zd(z, r , E )
a+,+
. Let ycC,"(M)and consider
exists and d ( z , r , 0) =$'
(18('pj),
y). If we express IE('pj)
by formula (7.5), we can pass to the limit under the
integral sign and get
(ii/
Ej(e., N
x-ir)
=i('pj,y ) - i
'pAi(r)dr, y )
We introduce an operator EA7which is defined on C,"(R+)with values in C"(M)

by
om
EA7j(z)=
(7.25)
Ej
2n
N
(2,
- i r ) f ( r ) dr
Then lim (IE(@,

y)=i(pj, y)-i(PTSo'pj, y). Therefore, using (7.4),we get
#-Of
(W+'pjs y)=(E7S0'pj,y ) for every yCC,"(M).Hence
the description of W , in terms of generalized eigenfunctions. In a similar way

one can describe W - :
(7.27)
m ~ _ _
~ E " ~ ~ o , j .
w-=
j-1
273
hliiller. Spectral Theory for Riemannian Manifolds
Now, we turn to the scattering operator S= W*,W - . S is an operator on @., If

we use the spectral representation go of A . we get an operator #=iF&Fo on
@
Z)
L2 R f , - which turns out to be decomposable. This can beseen as follows:
j-t
8 can be considered as a matrix ( 8 k l ) of operators, where 8kZ maps the I-th component into the k-th component. It follows from (7.26) and (7.27) that fiEl=EAEET.
Let f , gc
CF(R+).Then
k=O
(sf, g)= E . 1 - 1
(E$fk* E?gl)
U Fj,y, where
Let Y s m a x uj and let M y = M i

obtain
(7.28)
--
( E f k ,
E^?gl)
= lim
&J[
4nl
Y--
fk(T)
Fj,p=[Y, -)XXj. Then we
i-1
J Ek( 4fi.)El ( f +%) d&)
qlm
Z,
Z,
drdr .
MY
0 0
To calculate the integral of the EISENSTEIN

functions, we use the same method
as in the proof of the MAASS- SELBERGrelations. Let 8 , sEC be such that
( 8 - 8 ) (s+s-N) * O and 8 , s are different from the poles of Ei(z,
j=1, ..., m.
Using GREENSformula, we get
( S -8) (8+a - N ) j Ek(z,8) E(z, 8)d,u(z)
(7.29)
a),
&I 1
J (Ek(z,8 ) dEl(2, 8)-E(z, s) dEk(z,8 ) )dp(z)
MY
j-i
xi
( E : ( ( J , z ) , s a) - E ! ( ( Y , z ) , 8 )
aY
- E ; ( ( Y , ~ ) , S ) - B ; ( ( Y , ~ ) , .Y-(N-l)cZz,
Y))
aY
where E: is the restriction of Ek to
Fj.Let 8 = - + i r ,
s=-+ir
with
2
2
r=kr.If we replace Ef by its asymptotio expansion (7.13) we obtain
18 Math. Nachr. Bd. 111
r , rE R,
274
Miiller, Spectra.1Theory for Riemannian Manifolds
We break up the second term as follows
(c,,:(
+ ir') - c,,:( + i r ) )
cos ( ( r- r') log ( Y ) )
i (r-r')
+ (c,,
+ c,, + i r ) )
+it-')
sin ( ( r- r') log ( 1'))

r-r'
If we insert the resulting expression into (7.28)and paw to the limit Y

terms except the least one tend to zero and
then all
We consider f and g as elements of C,"(R+;Cm).

Let
in C". Then (7.30)implies
(a,
-) be the usual scalar product
This shows that fi is decomposable and the scattering matrix S ( r ) coincides with
Let E * = 2 EAf.Since W , is unitary it follows that llEn*fl(L1=IlfllL2.

Therei-J
Z)
fore, EA*extends to an isometry of @ L2 R+,

j=1
adjoint operator E' is given by

(7.32)
(Ev)~
= ( ~Ei
) (2:,
onto L i , ( M ) . On CF(M),the
+ i r ) y(z) dp(z) .
From the general properties of the wave operators we deduce the following result
about the spectral resolution of A.
Theorem 7.33. Let L k ( M )c Lz(h2) be the subspace of absolute w n t i n d y of A
and let P, be the orthogonut projection of L 2 ( M )onto j5L.N). T h e orthogonal wmplement of LL is the cloeen? subspace L: which ia 8 p n d by all eigenfobnctions of A.
Let E be the operator defined by (7.33). T h e n
i) El$:^*
=I ,
ii) E * E = Pa,.
iii) Let AAObe the operator o n
=($+r2)
j-i
f(r).T h e n E A c A A & .
(Y)=
defined by (AAof)
Muller, Spectral Theory for Riema.nnian Manifolds
iv) ker E A=Li and
275
3.
E Ais an isometry of Lie onto 0

L2 R + ,
1
P r o o f . Since the spectrum of A . is absolutely continuous, we have 8 $ 8 0 = I .

The theorem is now an immediate consequence of the properties of W , (see [33, X,
Theorem 3.2.1).
Thus the continuous spectral measure of A is given by
(7.34)
N
E(z, ?-ir)
dE(r)=
dr.
This fact implies that the resolvent satisfies the following functional equation
(7.35)
R(z,z,
8)- R
( z , z, N-s) =
2s-N
Cn Ei(z,s) Ei (z, N -s) .
j-1
On the other hand, one can start with the functional equation (7.35). It is easy to
prove (7.35) using the equation R(8)= Ro(s) (I+A(s)R,(s)) B(s)( I + I ( s )R,(s))
and the resolvent equation R,(s)- R&) = (A(s)-A(s)) Ro(s)R,)(s).For detail8
see [24] or [36]. If we apply the limiting alworption principle
a2
11
-I)+
( R (A+ia) - R ( I - i a ) p, p) dA=
2ni
al
1,
[S,1). 12021, it follows that the continuous clpectral measure is given by (7.34) and
theorem 7.33. is a consequence of this fact. rn
Theorem 7.33. implies that every pL2(N)can be expended in terms of eigenfunctions of A. Let {pn}nEAV
be an orthonormal basis of Li consisting of eigenfunctionsof A with eigenvalues A , , = O - = A i s .... If pEC;(M) then the eigenfunction expanrsion nf p is
(7.36)
p(4=
(%T>
, Pl,M
n GO
It extends to an isometry of L(M) into l%(N)

@ L?
formula is
11
and thePrAANcHEREJA
20
Let Re (8)> N / 2 . sa
The resolvent kernel R(z,z, s) has the following
276
expansion in the sense of distributions

-
Similarly, the heat kernel E(z, z', t ) has the following expansion in the sense
of distributions.
If we use proposition 2.49, then it is easy t o see that for every n N there exist
constants C,, CZ> O , depending on n,such that
Therefore, if z is fixed, then d:dt,E(z, z', t ) is L2 with respect ot 2'. By standard

SOBOLEV
space arguments this implies that the right hand side of (7.38) converges
uniformely on compact subsets of M X M in the sense of the C" topology.
8. A trace formula
be a compact RIEMANNian manifold and Io=O-=iZI s12s... the eigenLet
values of the LAmAcian A acting on functions. The heat operator e - t A is trace
class and if e ( z , z', t ) is the fundamental solution of the heat equation on M , then
2' e-"=Tr
n=O
(e-l") = $ e ( z , z,
M
t ) dp(z) .
This trace formula is basic for the relation between the spectrum of A and the geometry of M . If M is a RIEMANNian manifold with cusps then e-" is not trace class.
However, by proposition 6.4., e-tA - e-ldO Po is trace class and its trace is given by
[(E(z,z, t ) - p ( z , 2, t ) )d,u(z). Our purpose is to calculate Tr (e-'A -e-'doPo) in a
different way to get a relation between the spectrum of A and the geometry of N .
Miiller, Spectral Theory for Riemannian Mmifolds
277
We assume that M has rn different cusps F j = [aj,- ) X X j , where ujwO and

Vol (Xj)= 1. In this cme we have to replace A. by the sum of the operators which
correspond to the different cusps. Let {rpn}ncN be an orthonormal basis of Li
which consists of eigenfunctions with eigenvalues &=o -=Al s A 2 s .... For every
nc N we choose s, E C with Re (s,) z N / 2 and 1,=s, ( N -s,). The restriction of
p, to F j , j = 1 , ..., 731, can be expanded as in lemma 1.10. in terms of the eigenfunctions of the Laplacian d on Xi.If Re (5,) = N / 2 , i.e., 1, z N2/4, then the square
integrability of p, implies that pnIFi has no constant term for j = 1 , ..., m.This
implies Pop, = 0 for 1, z N2/4. Since only finitely many eigenvalues of d are con-
T)
tained in the interval1 0, -Then, by proposition 6.4.
, we have Pov, = 0 for almost all eigenfunctions e),
e-nt
+ 1le-t
- e--lAoPol1
An< Y / 4
where 11 is the trace norm. Let A , be the restriction of A to the subspace Li.
Then (8.1) implies that e - t A d ande-P, are trace class operators. Hence, e-fdP,, -e-tAoPo is trace class too. This operator has a kernel which we now describe.
It follows froin (8.1) that the kernel of e-IAPdis given by
e-lntpn(z)
12 rll
~iX3
*
Let Ei(z, s) be the EISENSTETN

function which is associated to the cusp Fj,
j = 1, ...,
m. It follows from (7.38) that the kernel of e-tAPaeis
Furthermore, from the spectral representation of A,, follows that the kernel of
e-tAoPois given by
Hence, e-lAPa,-e-tAoPois an integral operator with kernel
278
Miiller, Spectral Theory for Rienmnnictn Manifolds

m
Let Y zmax ai and let M , = M - U Fj,p. where F,, = [ Y , a)x Xi.Consider

i
j-1
the subspace @l,cL2(M)defined by Q y = { p C E 2 ( M ) I p(z)=O, if z$M,} and let

P , be the orthogonal projection of L a ( M ) onto f j y . If we repeat the arguments
givenin the proof of proposition 6.4 it follows that P,e-tAP, and Pye-tAOPoPl.
are trace class operators and
Therefore,
On the other hand e-tAPdis trace class and hy the same arguments as in the proof
of proposition 6.4. we get
Miiller, Spertral Theory for Riemannian Manifolds
279
Taking (8.3) and (8.4) together we get
To calculate the integrals o n the right hand side of (8.4) and ( 8 . 5 ) , we apply the
method which we used in Q 7 to describe the scattering operator in terms of the
r , rE R,r * r . If we replace Ei(z,8) by its asymptotic expansion (7.13) and use the
functional equation (7.19) for the matrix C(s),we obtain
If we pass to the limit r+r we end up with
Tr
(f:
C (:+ir)C(:-ir))
Now, we have to estimate the second and the third term aa r - m . One can
extend the method of LAX-PHILLIPS
[39, Theorem 8.6.1 to our situation to show
that there exists a constant C , > O such that
-r
as r --c 00. The details of the proof will be given in another paper. To estimate the
third term, we use the MAASS- SELBERG
relations. Let 8 E C be such that (8 - 8 ) (8 +
280
+ 8 - N ) + 0 and let Y t max

ap Then, by lemma 7.23,
i
+--_
8-s
Let u =Re
(9)
-~
(C&) Y8-ccjj(s) Yi--6).
z N / 2 . Since the left hand side is positive this implies
As a consequence we get
Lemma 8.8. The functions c j k ( 8 ) ,j,k = 1, ..., m,are bounded on the set {sEC I
Re
(9)z N / 2 ,
IIm (.)I
z l}.
If we multiply (8.6) by exp
and integrate from zero to infinity
then it follows from (8.7) and lemma (8.8) that each summand on the right hand
side can be integrated individually. To calculate the third summand we break u p
the integrals as follows
If we integrate by parts and use (8.7) it follows that the second integral is
sin ( 2 log ( Y) r )
tends to 6 ( r ) in the
0 ((log (Y))-l) as Y --. Further, note that
nr
sense of distributions as Y +a.Therefore, the first integral is
Taking these remarks together, we get

I
28 1
A2n j e x p ( ($+ t ) Tr ($C

-
12)
+ ir) C
- ir)) dr + o( Y )
as Y +-. In a similar way one can prove that
(8.10)
l P
m
[exp(-($+r2)t)
2nj5.
/Iqj(z,z+ir)(2dp(z)dr
MY
as Y --roo. If we insert (8.9) and (8.10)into (8.4) we obtain our first trace formula:
Proposition 8.11. Let l o = O - = l i sA25... be the eigenvalues of A and C(s) the
scattering matrix. Then
Remark. If we replace e - l t by any @ E S(R) we get a corresponding trace formula.

This trace formula is analogous to the trace formulas for the SCHRODINGER
operator
in R proved in [14], [30].
If we use ( 8 . 5 ) ,we obtain the second version of our trace formula. Consider the
fundamental solution E ( z ,z, t ) which is given by (4.9). From the estimation (4.27)
follows that j H ;k & ( x , z, t ) dp(z)4 00. Recall that the parametrix H was constructed
by patching together the restriction K 2 of the fundamental solution of the heat
m
x Xi)and
U (R+xXj).Let h(z, z, t ) be the kernel
which has
the fundamental solution on
j=t
I-!
the following components :
hi& z, t ) = 0, if
u ([al
1 , -)
equation on the closed manifold W containing M 2= iM -
i+j
or
. . .
z =3 = 0
282
(yj is the parameter on the half-line [aj,-) with respect to Fjand h, denotes the
restriction of h to F i x Pi).
The expansion (3.18) shows that Kf(z,z , t ) --h(z, z, t ) is
u Fj.Therefore, E(z,z, t ) -h(z, z, t )

m
absolutely integrable over
is absolutely
j-1
integrable over M . On the other hand

m
These observations together with (8.5) and (8.9) lead to the following trace
formula :
Theorem 8.13. Let .Nbe a RIEMANNian manifold with cwpa and let A be the
unique aelf -adjoint extension of A to an unbounded operator on L2(A?).Let A,, = 0 -c At s
11, s ... be the eigenvaleces of A , C(s) the scattering matrix, E(z,z, t ) the heat kernel
and h(z,z, t ) the function defined by (8.12). Then
(z+ir)C(:--ir))dr
-Afexp(-(:+r2)t)Tr(&C
2n
0
+ J- exp ( 4
t ) Tr ( C
():
14%
2 log aj .
j-1
Thus, the continuous spectrum contributes to the trace formula through the
scattering matrix C(s).
If M is a compact RIEMANNian manifold and e(z, z, t ) the heat kernel on bl,
then there is a well-known asymptotic expansion of /e(z, z, t ) +(z) as t - O + [2],
171, [42]. The coefficients which appear in this expansion are local expressions in
the metric tensor and its covariant derivatives. We determine the corresponding
expansion of [(E(z,z,t ) -h(z, z, t ) ) d&) &8 t + O + for aRmuNNian manifold with
cusps. In the case of the modular group r=S L ( 2 , Z ) the heat expansion on Hlr
has been calculated by A. B. VENKOV
[51]. It follows from (4.10) and (4.27) that
J H * &(z, z, t ) dp(z)is exponentially smell as t - O + . Thus in computing the rtsymptotic behaviour of the left hand side of the trace formula of theorem 8.13., we can
replace E by its parametrix H. H i s given by (4.3), where Ki(z,z, t ) is now the
na
heat kernel on
U ( R + x X j )Thus,
.
we obtain
j-i
283
Miller, Spectral Theory for Riemannian Manifolds
where Fj= [aj 1, m) x Xi.Consider the asymptotic expansion of K 2 ( z ,z, t ) as

t - O + . The coefficients are given by the universal polynomials (3.22) in the coefficients of the metric tensor and its covariant derivatives. Using proposition 3.24..
it follows that the coefficients of the asymptotic expansion of K , ( x , z, t ) coincide
with the coefficients of K 2 ( z ,x , t ) for zCFj-pi. Hence
m
(8.14)
j- ( E ( z ,2, t ) -h(z.
M
2~iJ ( K & ,
z, I ) ) dp(z) 5
O
2.
t ) -h(z,
2, t
) )d p ( 2 )
j-1
where XI= M - U Fi.

j-1
Since W is compact we know the asymptotic expansion o f the second integral

[2], [7], [42]. It remains to consider the first summand. K I is the s u m of the heat
kernels on R + x X j , j = l ,..., m. Wefix j and consider the heat kernel on R + x X j ,
which we denote by K(z, z, t ) . We use formula (3.19). Integration with respect
t o 5 in (3.19) gives
where d is the LAPLAcian on Xi.Po= 1 and IB, + ,(y. t)l s Cy-(*-+2)tn-ir. Note,
t h a t for every k C N , t o i O and y o i O there exists a constant CwO such that
for t &toand y z yo. 1, is the first positive eigenvalue of d.Therefore, if we integrate

Tr (e--lYZd-1) with respect t o y from uj t o mQthen we can interchange integration
and differentiation with respect t o t . Thus, we obtain
284
The remainder term is O(tn-N'2)as t + O + . Moreover

(8.16)
- fly
I T r (e-'v2.r-1) Y
ai
Tr (e-"
-- 1 ) dY
.
Y
ta?
3
Let Tr
(e-ld>
C bkY-S/2ik/?+ O ( Y ( ~ - ~ + ' ) ' ~be)
the asymptotic expansion of
k=O
Tr ( e - f f i ) .Then
z----+SR(?I)1
-(bN-l) (logt+2logai)-2
dY
bk
kaO
k+.V
N-k
where R(y) is the remainder term. On the other hand, if C(s) =
j- 1
function of d a n d y is EULER'S
constant, then
This implies
is the zeta
285
If we integrate the asymptotic expansion (3.22) with respect to x, we obtain
This fact together with (8.15) and (8.17) gives

(8.19)
f(
aj
K((y,x ) , (y,X I , t ) d x - h ( y , Y, t)) y-("'+')dy
Xj
t - O + , with certain coefficients ck. It is easy to identify the coefficients ck. The
coefficients b, in the asymptotic expansion of Tr (r-"; are homogeneous of degree
N
k--. Therefore, if we replace d b y y2d we get from (8.18)
2
as t - O + . We insert this expansion into (3.19) and collect terms of equal power of
t to get the coefficients c k ( y , x ) of the local expansion of K((y, z),(y, x ) , t). I f
k s ( N - 1 ) then it follows that
dY
c,(y, x ) - -=
Y
a.
Therefore, if k S N - 1 , then
ai
the coefficients in (8.19) are
and proposition 3.24. ehows that the ck(y, x ) are given by the universal polynomials (3.21) in the coefficients of the metric and their derivatives. Thus, we obtain
Theorem 8.20. Let the assumptions be the same as in theorem 8.13. T h e n we have
the following asymptotic expansion
N+1
+O(t"2)
a5
t+o+
286
tth
of
is the number of cusps F j = [ a j ,-)XX,,j= 1 ,
Xi,bi,Ay=C,(O) and b N =
..., m,
of M, ci(s)the zeta function
C bi,y. If
k s N - 1 then ck is given locally by the
j-1
universal polynomials (3.21) in the coefficients of the metric tensor and its covariant derivatives. In particular, co=
(~JZ)--"~
's
Vol (31)
and cI =6
the scalar curvature.
R,where R is
Remark. If M is a locally symmetric space I'\QlK of R-rank one, then the

integral on the left hand side of the trace formula (8.13)can be analysed by breaking u p the heat kernel into a sum over the va.rious conjugacy claases of I'. The
integral turns into a sum S I ( t )+ S,,,(t) +Sell(t)h',ly,,(t),where the single terms
correspond to the identity, the parabolic, elliptic and hyperbolic conjugacy classes
(see [25], [48], [53]). If is torsion free there are no elliptic elements. Moreover,
the contribution of the hyperbolic conjugacy classes is exponentially small tm
t - O + . Only Sr(t) and Spar(t)contribute to the asymptotic expansion as t - O + .
This is the expansion in theorem 8.20. Recall, that the hyperbolic conjugacy
classes correspond to the periodic geodesics. Therefore, in order to get a complete
analogue of SELBERG'S
trace formula in the case of an arbitrary RIEsrANNian
manifold with cusps, we have to,replace the heat kernel by the wave kernel. It is
very likely that the methods of DUISTERMAAT- GUILLEMIN[22] combined with the
analysis on the cusp can be used to extend the results [22] to manifolds with
cusps. The contribution of the periodic geodesics to the singularities of the dintri-
'
1L-t
will correspond to the contribution of the hyperbolic conjugacy

1)ution 2 e-i
CasseH in SELBERG'S
trace formula.
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Akademie der Wissenschaften der D D R

Institut fur Mathematik
D D R - 1086 Berlin
MohrenetraJe 39

Werner Muller

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Math. Nachr.

111 (1983) 197-288

Spectral Theory for RIEMAhTian Manifolds with Cusps and a Related

Let $1 be a compact RIERIANNian manifold and let 13 be the LAPLACian of M

Extended version of the first part of the authors paper [43].

MBller, Spectral Theory for Riemannian Manifolds

the eta invariant which describes the deviation. from HIRZE

where g denotes the metric tensor of X.A RIEMANNian manifold M is called a

is compact and each Fiis isometric to a product [aj - ) x X j , ai=-O,with a metric of

Miiller, Spectral Theory for Riemannian Manifolds

Let X N be a closed RIEMANNian manifold of dimension N . We consider the

We use separation of variable s to construct the fundamental solution K((y,x),

(!?a+ - d) u = 0 on X with initial conditions

0) = O . Then the heat kernel K has the following expression

This formula is basic for the study of K . We use HADAMARDS

for O-ctsT, k, I, m ( N , where z=(y, x), z=(y, x) and e ( z , 2) is the geodesic

IC((y. x),(y, x), 8 ) - -

where d(x,x)is the geodesic distance on X. This estimation is uniform for s in a

with cusps. We construct the fundamental solution to the heat equation - + A = o

Muller, Spectral Theory for Riemannian Manifolds

on such manifolds by standard methods. A parametrix is gotten by patching

and to use the resolvent equation

R(8)-R(8)=(8 ( N - 8 ) - 8 ( N - 5 ) ) R(8) R(8)

with domain C;( (a, -)).

With respect to boundary conditions f(a)= - / ( a ) ,

we get a self-adjoint extension A , to the space D ( [ u ,-), y-(Nf)dy).Let

Miiller. Spectral Theory for Riemannian Manifolds

of M . The scattering operator S = W: W -is a unitary operator on

where yi denotes the parameter on the half-line [ai,

Using the EISENSTEIN

E" : D ( M )+L2 R + ,Cm,hv

From the description of

TY, in terms of EISENSTEIN

isomet,ryof Li,(M) onto L2

and it vanishes on the subspace Li(M)c

cLQl) which is spanned by the eigenfunctions of A . Moreover, E^ carries t h e

DIMer, Spectral Theory for Riemannian Manifolds

on the cusp F,.,

E(z,z', t ) is the heat kernel on M . To get a complete analogue of SELBERG'S

where [ ( a ) is the zeta function of X = U Xi,

Miiller, Spectral Theory for Riemannian Manifolds

1. The LAPucian on the cusp

where ye R + , will be called the metric cusp over X. If we change

The typical example is the POINCARB

n Z ) of S L ( 2 , Z ) .In this case we have

where z = x + iy. Let e(z, 2) be theRIEMANNian distance of 2, z E I and let d(x,2)

for z=(y, x),z=(y, 2).

P r o o f . Let y ( t ) = (y(t),z(t)),t E [ O , . I . be a curve of minimal length connecting

Let z = (y, x),2 = (y, 2) and let d = d ( x , x).There is a geodesic a : [0, d ] - X

Miiller, Spect,ral Theory for Riemannian 3Ianifolds

Now, we decompose the LAPLAcian A according t o the eigenspaces of A. Let

Since f is smooth, it follows that g,(y)CC"(R+)and (1.6) converges in the Cm

Suppose that f EC" ( R +X X ) is an eigenfunction of A , i.e., Af =Af, A R f .Then,

Then Wis asolutionof

and yX" I , --,-12 ( p j y ).

For pj=O we get the following two linearly independent solutions:

RIuller, Spectral Theory for Riemannian Manifolds

Lemma 1.10. Let f C - ( R + X X )satisfy Af=Af for some AER+.Set A=s ( N - s ) ,

considered as an unbounded operator on L2(R+,y-dy).

[l]. Let gC:(R+). By partial integration one gets

This shows that D is positive definite.

. Changing variables by y = 8 , it follows that D

=J M E Abe the spectral resolution of