PROCEEDINGS OF TEE IEEE,VOL. 61, NO.
10, OCTOBER 1973
The Soliton: A New Concept in Applied Science
ALWYN C. SCOTT, F. Y. F. CHU,
I&
Abstract-The term sditon has recently been coined to describe
a pulselike nonlinear wave (solitary wave) which emerges from a
collision with a similar pulse having unchanged shape and speed.
To tiate at least seven distinct wave systems, represeating a wide
range of applications in applied science, have been found to erhibit
such s o l u ~ n sThis
. review paper cove= the ament status of soliton
research, paying parti& attention to the very important “inverse
method”wherebythe initial valueproblem for a nonlinear wave
system can be solved exactly through a succession of linear calcn-
&tiOXlS.
CONTENTS
I.Introduction
11. Wave Equations that Exhibit Solitons
A. The Korteweg-deVries Equation and Its General-
izations
B. The Self-Induced Transparency Equations
C. The Sine-Gordon Equation
D. Nonlinear Lattice Equations
E. The Boussinesq Equation
F. The Nonlinear Schrodinger Equation
G. The Hirota Equation
H. The Born-Infeld Equation
111. Elementary Soliton Calculations
A. KdV Solitary Waves
B. Two-Soliton (Doublet) Solutions
IV. Elementary Spectral Considerations
A. Periodic Boundary Conditions
B. Infinite Systems
C. The Manley-Rowe Equations
V. The Inverse Method
A. Related Linear Problem for KdV
B. Evolution of the Scattering Data
C. The Gel’fand-Levitan (Marchenko) Equation
D. Evaluation of + ( x , t ) forKdVbytheInverse
Method: Soliton and Doublet Formulas
E. @ O ( X ) - ~ X ~ ( X - X O )
F. KdV as a CompletelyIntegrableHamiltonian
System
G. The Inverse Method for Self-Induced Transparency
VI. Constants of the Motion and Conservation Laws
A. Definition of Constants of the Motion
B. Construction of an Infinite Numberof Conservation
Laws
C. Applications of Conservation Laws
D. Interacting Solitons
This inoikd paper is cue of a series planned m lopus of g ~ o is-l
kresi-The Editor.
Manuscript received May 7, 1973; revised June 13, 1973. This work
has been supported by the National Saence Foundation under Grants
GK-12502, GK-37552, and GP-37627.
A. C. Scott and F. Y.F. Chu are with the Department of Electrical
and Computer Engineering, University of Wisconsin,Madison, Wis.
53706.
D. W. McLaughlin is with the Department of Mathematics, Iowa
State University, Am-, Iowa 50010.
1443
AND DAVID W. McLAUGHLIN
Paper
VII. Stability of Traveling Waves
A. Linear Stability Theory
B. Nonlinear Stability Theory
C. Envelope Stability
D. Inverse Method
VIII. Fundamental Physical Theory
A. The Fermi-Pasta-Ulam Problem
B. Elementary Particle Theory
IX. Conclusions
Appendix A N-Soliton Formulas
Appendix B TravelingWaveSolutions for theNonlinear
Shriidinger Equation
Appendix C The Lagrangian Density
Appendix D The Gel’fand-Levitan (Marchenko) Equation
I.INTRODUCTION
T HE CONCEPT of a solitary wave was introduced to
the budding science of hydrodynamics well over a cen-
tury ago by Scott-Russell with the following delightful
description [I921 :
I was observing the motion of a boat which was rapidly
drawn along a MITOW channel by a pair of horses, when the
boat suddenly stopped-not so the maw of water in the chan-
nel which it had put in motion; it accumulated roundthe prow
of the vessel in a state of violentagitation, then suddenly leav-
ing it behind, rolled forward withgreat velocity, assumingthe
form of a large solitary elevation, a rounded, smoothand well-
defined heap of water, which continued its course along the
channel apparently without change of form or diminution of
speed. I followed it on horseback, and overtook it still rolling
on at a rate of some eight or nine milesan hour, preserving its
original figure somethirty feet long and a foot to a foot and a
halfin height. Its height gradually diminished, and after a
chase of one or two milesI lost it in the windings of the chan-
nel. Such, in the month of August 1834, was my first chance
interview with that singular and beautiful phenomenon. . . .
In 1895 Kortewegand deVries[128] provided a simple
analytic foundation for the study of solitary waves by de-
veloping an equation for shallow water waves (see (II.A.l)
below) which includes both nonlinear and dispersiveeffects
but ignores dissipation.Travelingwavesolutions of this
Korteweg-deVries(KdV)equationcan be obtainedby as-
suming
44%0 = h(t) (I.1)
where
t=x-?Ct (1.2)
represents the position in a coordinate system moving at a
velocity u for which the wave appears stationary. Equation
1444
Fig. 1. (a)Travelingwavesolutions tothe KdV equation (II.A.l).
(b) A solitary wave. (c) A solitary wave with different asymptotic
valuesatE=+- and[=--.
(1.2) then implies
(1.3a)
and
(1.3b)
so the original partial differential equation is reduced to an
ordinary differential equation which in turn can be solved by
conventionalanalyticorgraphicaltechniques (see Section
111-A, Appendix B, and [197, ch. 41). The qualitative nature
of such a solution is indicated in Fig. l(a). It consists of an
infinite and periodic train of localized ‘humps” for which the
velocity u of the train and the spacing d between humps are
continuouslyvariable. The solitary wave,which so strongly
excited the scientific and poetic imagination of Scott-Russell,
is obtained simply by lettingd+ m.
This review paper studies certain special solutions of dis-
persive waveequations which are called ‘solitons.” Scott-
Russell’s solitary wave is an example of such a solution. In
order to attempt thedefinition of a soliton we first define pre-
cisely the concept of a traveling wave as follows.
Definition: Given an underlying wave equation, a traveling
wave h ( i ) is a solution which depends upon x and t only
through €=x-ut, where u is a fixed constant.
From the class of traveling waves we then pick out local-
ized solutions, called solitary waves, which satisfy thefollowing
definition.
Definition: A solitary wave @ST([) is a localized traveling
wave; or, more precisely, a traveling wave whose transition
from one constant-asymptotic state as [+- 00 to (possibly)
another as .++ m is essentially localized in f‘.
Two types of solitary waves are sketched in Fig. l(b) and
(c). We remark that the concept of a solitary wave might have
been restricted to those waves having the general shape of
Fig. l(b) and excluding those with the shape of Fig. l(c). We
choose nottomakethisrestriction because the derivative
PROCEEDINGS OF TEE IEEE, OCTOBER 1973
with respect to ( of the wave in Fig. l(c) has the shape indi-
cated in Fig. 1(b).
The solitary wave was long considered a rather unimpor-
tantcuriosityinthemathematicalstructure of nonlinear
wave theory. Since i t clearly is a special solution to the partial
differential equation (PDE), many have assumed that some-
what special initial conditions would be required to launch it
and, therefore, that its role inrelationtotheinitialvalue
problem would be a minor one at best. Furthermore, i t was
generally supposed that if two solitary waves were initially
launched on a collision course, the nonlinear interaction upon
collision would completely destroy their integrity and iden-
tity. With the development of the modern digital computer it
became possible to test these assumptions by direct calcula-
tion.
The results of the first such test were obtained in 1962 by
Pemng and Skyrme [181]. They were interested in the soli-
tary wave solutionsof the sine-Gordon equation (see (II.C.2)
below) as a simple model for the elementary particles of mat-
ter.Computerexperiments were initiatedto see how such
model elementary particles would scatter upon collision. The
computer solution indicated that the solitary waves did not
scatter. They emerged from the collision having the same shapes
andvelocities withwhichtheyentered. From this ‘computer
clue,” Pemng and Skryme were able to find analytic expres-
sionsdescribing collision events which, i t is interesting to
note, had e n derived a decade earlier bySeeger, Donth, and
Kochendorfer [200]. Such is the vicissitudinousprocess by
which knowledge of nonlinearwavetheoryhas beendis-
seminated.
Shortly thereafter Zabusky and Kruskal published results
of a completely independent computer study of the applica-
tion of the KdV equation to the investigation of plasma waves
[245]. Once again the computer indicated that solitary waves
would emerge from the collision having the same shapes and
velocities with which theyentered.ZabuskyandKruskal
coined the term soliton to indicate this remarkable property
and launched a deep and many-faceted investigation of the
conditions under which solitons should be observed. The ram-
ifications of this investigation are the subject of the present
review. I t is by no meanscomplete (indeed the number of
papersappearto be enteringthe ‘exponential growth” re-
gime), but certain broad outlines are taking shape.
Although the term soliton was originally applied only to
solitary waves of the KdV equation, there are now several
nonlinearwaveequations known to exhibit similar effects,
and the term is often used in a wider context without formal
definition. We do not mention this as a criticism; indeed we
feel that outstanding theoretical uncertainties make it prema-
ture to establish a final definition. I t is, however, necessary
for us to indicate to the reader whatwe mean by a soliton in
this paper. Thus we present the following working definition.
Working Definition: A soliton @,(%-ut) is a solitary wave
solution of a wave equation which asymptotically preserves
its shape andvelocity upon collision with other solitarywaves.
T h a t is, given any solution @ ( x , t ) composed only of solitary
waves for large negative time,
-
N
@(X, t> @ST(fj), as t + - 00
j- 1
ti = x - ujt, uj const
SCOTT et al.: THE SOLITON 1445

stored per unit length of candle as E (joules per meter) and

DlSPERSlONLESS DISPERSION
the power required to support the flame as P (joules per sec-
ond), the flame travels at the fixed velocity
u = P/E.
The rate at which the flame eats energy must equal the rate
at which the energy is digested. The most important example
is probably the axon(or outgoing transmission line) of a nerve
NONLINEAR
cell. Again the velocity of propagation is determinedby a
DWERSIOKESS DISPERSDN power balance condition and canbe calculated from measured
geometric and electrical propertiesof the axon [197]. For the
(No SOLrfbRY W V E S (SCUTARY WAVES)
candle i t is obvious that two flames started on opposite ends
will eventually destroy each other upon collision at the center.
Fig. 2. Conditions under which solitary waves obtain. A similar property has been demonstrated for the nerve axon
[165]. Thus these solitary waves are not solitons.
In this paper we concentrate on nonlinear wave systems
such solitary waves will be called solitons if they emerge from
in which dispersion (or energy storage effects) dominate and
the interaction with no more than a phase shift, i.e.,
dissipative effects are small enough to be neglected. One way

+(xl t> - N

j- 1
4BT(h), +
as t + a
to characterize such a system is to demonstrate the existence
of an “energy function,” called a Lagrangiandensity,from
which the equation defining the system can be derived [89].
+
& = x - u j t 6jl 6 j const. For the convenience of the reader, a brief review of this classi-
cal theory is included in Appendix c. The paper begins with
Note that we have not explicitly introduced the concept a catalog of interesting wave equations including the corre-
of stability into this working definition. This is not because sponding energy functions, analytic expressionsfor solitary
we think stability considerations are unimportant. Indeed we waves,evidence for soliton behavior, and a brief survey of
feel that some aspect of stability will play a major role in the experimentsthatrevealsoliton effects. Thisis followed by
development of a fully satisfactory definition of the soliton Sections I11 and IV which outline elementary soliton calcula-
concept. In anycase, the asymptotic statements in this defini- tionsandintroduceconsideration of theFourierfrequency
tion imply some degree of stability. spectrum of a soliton. On this basis, Sections V through VI1
Under this definition the simplest exampleof a soliton is a discuss various theoretical developments relatedto the soliton
pulselike traveling wave solution of the dispersionless linear concept and attempt wherever possible to indicate demon-
wave equation1 strated or suspected theoretical interrelationships. Particular
attention will be given to the important ”inverse method”
whereby the initial value problem for several nonlinear wave
equations can be solved by linear techniques. Finally, we in-
clude some comments on the implications of soliton concepts
which isfamiliarto all electrical engineers. I t may seem for some fundamental theories in physical science.
strange that a nonlinear and dispersive wave equation could
even exhibita solitary wave solution, much less a soliton. This 11. WAVEEQUATIONS THAT EXHIBIT SOLITONS
situation is illustrated diagrammatically in Fig. 2 . The effect Inthis section we present a list of equationsthatare
of introducing dispersion without nonlinearity into (1.4) is to “interesting” from the pointof view of soliton theory. Clearly,
destroy the possibility of solitary waves because the various this list is incomplete; we expect it to grow in future years as
Fourier componentsof any initial conditionswill propagate at solitons become better understood. The ultimate limit of this
different velocities. Introducing nonlinearity without disper- growth and the directions it may take are presently unknown;
sion again removes the possibility for solitary waves because b u t i t is just this uncertainty, this sense of exploring a “new
the pulse energy is continually injected (via harmonic genera- continent”inapplied science, which is so intriguingand
tion) into higher frequency modes. In the time domain this exciting. We include a relatively full bibliography on poten-
often appears as the formation of shock waves. But with both tial applications with the hope that knowledge of the fruits
dispersion and nonlinearity, solitary waves can again form. and resources which have already been discovered will lead
The solitary wave can be qualitatively understood as repre- to rapid colonization and active exploitation.
senting a balance between the effect of nonlinearity and that In most cases for which they are available we include a
of dispersion. solitary wave solution and a two-soliton (“doublet”) solution
Solitary waves occur also on propagating systems that are to indicate that the solitary waves are “solitons” as defined in
characterized by nonlinearity and dissipation.Again a balance the Introduction. Various N-soliton solutions are collected in
obtains but in this case i t is between the release of stored Appendix A. Allof these soliton solutions can be considered
energy by the nonlinearity and its consumption by the propa- as limiting cases of the periodic traveling waves [shown in
gatingdisturbance.Thesimplestexample is probablythe Fig. l(a)] as d+ EQ . In Appendix B we illustrate this limiting
flame of anordinary candle. Takingthe chemical energy procedure byexamining a waveformulaforthenonlinear
Schrodinger equation; however, in the text we do not write
I Throughout this paper we will write a+/& as &C wherever it is formulas for the periodic waves because the elliptic function
typographically convenient. notation is not particularly lucid.
 1446 PROCEEDINGSOF TBE IEEE, OCTOBER 1973

A . The Kmteweg-deVrks Equation and Its Generalizations

:fi‘-CALCULATED FROU KdY
Theequation [20], [21], [112],[159],[162],[246],[248] I .

+t + a++, + I$=,= 0, a const(II.A.l) YEASURED FOR WATER

was first derived by Korteweg and deVries to describe the

lossless propagation of shallow water waves[128], [70], [ 1491,
[150].* I t is a useful approximation in many studieswhen one
wishes to include (and balance) a simple nonlinearity and a
simple dispersive effect. Such studies include 1) ion-acoustic
I-
wavesinplasma 1721, [233], [219-2211;2) magnetohy- E
drodynamic wavesin
plasma [8O], [117], [US], [164], i
[213]; 3) the anharmonic lattice [246], [249], [251]; 4) longi-
x
0
tudinaldispersivewavesinelasticrods[I671 : 5) pressure I
Y
wavesinliquid-gas bubble mixtures [243]; 6) rotating flow INITIAL DISPLACEYENT
down a tube [144]; and 7) thermally excited phonon packets a
inlow-temperaturenonlinearcrystals [217]. In general, a
rather large class of nearly hyperbolic mathematical systems
has been shown to reduce to the KdV equation [208], [264]. Fig. 3. Comparison of KdV predictions and water wave
Since(II.A.l)can be derivedfromtheLagrangianden- observations. Redrawn from Hammack [ 9 0 ] .
sity [24O]
a
L = +est - ea,+
6
+
e,+= + ++* (11.~.2)

where e,=+ and $=On, it can be considered lossless in the

conventional sense (see Appendix C).
As was already noted, Korteweg and deVries showed that
(II.A.1)hassolitarywavesolutions[128],andin1965
Zabusky and Kruskal published numerical results indicating
the formation of solitons [245]-[247].More recently, these t
computations have been extended by Tappert [218]. One ex-
plicit analytic expression describing a doublet solution (i.e,, / I\
two interacting solitons) is [162], [248]
72 3+4cosh(2~-88t)+cosh(4x-64t)
I$= k)
[3 cash (~-228t)+co~h (3~-36t)]*
* (II.A.3)

Forlarge t, (II.A.3)approachesthesuperposition of two

solitons in the form of

+=- 12Ki9

a
sech2 [Ki(Z-4Ki2t)+6i], i= 1, 2; 6 i COllSt (II.A.4)
with ~ 1 1= and ~2 = 2.
The firstevidence of solitonsinshallowwaterwas re-
corded by Scott-Russell [192]. Soliton effects have recently
been observed in tank experiments by Zabusky and Galvin
[250], and Hammack [go]. The natureof these effects is indi-
catedinFig. 3 (redrawnfromthedata of Hammack). An
initial disturbance of the water waves breaks up into a num-
ber of individual solitons with the larger amplitude solitons
traveling at greater velocities. This process can be computed
numerically by directly integrating the KdV equation.’ The
result of such an integration is also shown in Fig. 3. Experi-
mentally,ZabuskyandGalvin [250]show thatthis KdV
model of shallow water waves is very accurate even for very
large nonlinearities. We shall see in Section V that the evolu-
tion of the solitons can be exactly computed through a linear
By rescaling x and t one can place this equation in the familiar form
+tf+&+&, where the parameter 62 is analogous to theReynolds
number [250].
L
Fig. 4. Nondestructive collision of ion-acoustic plasma pulses.
Redrawn from Ikezi et d.[106].
calculation known as the “inverse method.” Determination of
the soliton velocities is quite simple: it involves only calcula-
tion of the bound state “energies” of a Schrodinger equation
for which the “potential” is the initial displacement. Similar
soliton effects have been observed by Ikezi et 02. [46], [106]-
[lo8 j, [93] in ion-acoustic plasma .wave experiments which
can also be described by the KdV equation [233]. The non-
destructive collision forion-acousticwavesolitonshasalso
been observed [46], [106]; for example, Fig. 4 (from the ex-
periments of Ikezi et al.) showsthe collision of twosuch
solitons that are traveling in opposite directions. However, in
thiscase, the ion-acousticwavesolitonsshouldperhaps be
described by some other wave equation like the Boussinesq
equation which allows waves propagating in both directions
rather than the KdV equation whichallowsonlyunidirec-
tionalpropagation. The existence of solitonshasalsobeen

-
* Hammack‘s integration procedure employed the equation
-&st 0.
&++& observed by Narayahamurti and Varma in nonlinear crystal
experiments 11661.
SCOTT et al. : THE SOLITON 1447

A generalized form of the KdV equation is a resonant two-level optical medium as if it were transparent

41 + a4Pdz + &*+I = 0,
[155]-[157]. This effect has been extensively studied [131]-
[138], [SO], [MI, [85] and can be physically explained as fol-
a const; p , r nonnegative integers (II.A.5) lows. The time interval of an ultrashort pulse (10-9-10-12 s)
is less than the phase memory time of the atomic levels in the
where optical medium; therefore, the induced polarization can re-
tain a definite phase relationship with the incident pulse. The
leading edge of the pulse then inverts the atomic population
while thetrailingedgereturns ittothegroundstate via
If r = 2 a (where a is a nonnegative integer), the Lagrangian stimulated emission. Thustheenergytransferred from the
density of (II.A.5) is leading edge of the pulse to the quantum systemis recaptured
by the trailing edge. The result, under proper conditions of
coherence and intensity, isa steady pulse profile which propa-
gates without attenuation at a velocity that can be two or
three orders of magnitude less than the phase velocity of light
+ +%-~,a$~,z + +%-I+z + * * +a+l$a + $+a,z2 (II.A.6) in the medium.
Inorderto model this effect, oneneeds (in principle)
where
Maxwell’s equations to describe the light wave, and an assem-
e, = 4 bly of quantum (two-level) atoms to describe the medium.
+i et%, i = I, 2. The light wave polarizes the atoms which, acting together,
become a source of the electromagnetic (EM) field. Suppose
If r = 2b - 1, where b is a positive integer, the Lagrangian the atoms are distributed with uniform density no and the
density of (II.A.5) is electric field is
E(x, t ) = & ( x , t ) cos (kox - wot)
where the envelope & ( x , t ) is assumed to be slowly varying
+ $2&2,z$’I,z + ‘ * $b&b-I,z + 3#b2* (II.A.7)
withrespect to the carrier, cos ‘(kox-wot). Then Maxwell’s
equations reduce to
I t is obvious that when r =0, p = O [i.e., when (II.A.5) is
linearanddispersionless],linearsolitarywavesdoexist. Et 8, = (6) + (1I.B.la)
Zabusky [246] has shown that solitary wave solutions exist if whereforconvenience we have taken the velocity of light,
r = 1. In this case, if p is odd, one gets a solitary wave with and other physical parameters, to be unity. For the equations
sgn [amplitude of wave] = sgn [a]. complete with physical parameters, we direct the reader to
the excellent survey paper by Lamb [135].
However, if p is even, one gets either a compressive solitary To understand (6)better [135], [139], consider a single
wave with two-level atom with energy levels separated by w =wo-&,
anddenotethepolarization a t ( x , t ) duetotheatom by
sgn [amplitude of wave] = sgn [a]
p ( h , x , t ) . Now p(&, x , t ) may be approximately decomposed
or a rarefactive wave where into components in phase and in quadrature with the EM
carrierwave.Thus p(&, x , t ) =6(&, x , t ) sin (&x-wot)
sgn [amplitude of wave] = - sgn [a]. +Q(h, x , t ) cos (Kox-o&), and the Schrodinger equation for
By phase plane analysis one can also show that no solitary the atom reduces to the Bloch equationsfortheenvelope
wave solutions existfor r > 1. functions 6 and Q :
The most simple generalization included in (II.A.5) is the 6 1 &X- AwQ (1I.B.lb)
m o d i f i d KdV equation
= Aw6 (1I.B.lc)
4: + + 4zzz = 0. (II.A.8)
Qt

3 t t = -&E6 (1I.B.ld)
This equation has beenused to describeacousticwavesin where X(&, x , t ) denotes the population inversion fora single
certain anharmonic lattices [246] and AlfCn waves in a col- atom. We can now define
lisionless plasma[114]. Intheircomputer film, Zabusky
et ul. [247] have shown that the rarefactive and compressive
solitary waves of (II.A.8) are soliton solutions. Miura [160] (6)= no! a g(Aw)@(Ao, x , t)dAw
-sa
has shown thatif 4 is a solution of (II.A.8) with a = -6, then
(&++*) is a solution of the KdV equation with a = -6. The where no is the atomic density and g(&) describes the un-
‘inverse method” for this modified KdV equation has been certainty in the energy levels.
discussed indetail by Wadati [230], 12311, andN-soliton I t has been shown both experimentally [87], [88], [I791
formulas obtained by Hirota [lo21 are listed in Appendix A. and by numerical.computations [87] that solutionsof (II.B.l)
break into a sequence of isolated coherent optical pulses. The
B. The Self-Induced Transparency Equations amplitude of each of these solitons can be predicted from the
In 1965 McCall and Hahn discovered, through numerical conservationlaws of (II.B.l) [136]. Theycan bederived
computation, that ultrashortpulses of light can travel through through an inverse method for the self-induced transparency
1448 PROCEEDINGS OF THE IEEE, OCTOBER 1973

equations that have recently been developed by Lamb. This 2) Bloch wall motion of magneticcrystals [16], [53], [59];
method is discussed in Section V-G. A doublet solution is 3)propagation of a “splaywave”alonga lipid membrane
[63]; 4) a unitary theory for elementary particles [ 5 8 ] , [185],
2/r1 sech X1+2/72 sech X Z [204], [205]; and 5 ) propagation of magnetic flux on a
&= A (II.B.2)
1- B(tanh X1 t a n h X z - sech X1 sech X,) Josephson line [130],[143], [194],[196],[198].
I t is interesting to note that by a simple change of inde-
where pendentvariables,thesine-Gordonequationcan be trans-
Tq2 - 71’ formed into
A =
71% + 722 4=t + 4tt = sin 4 (II.C.4)
which has beenuseful as a guide to solutions of the self-
induced transparency equations (II.B.l) [6]-[8], [54], [104],
[131]-[135], or into
q5zt = sin 4 (II.C.5)

-1 = 1 + which wasstudiedmanyyearsagoinconnectionwiththe
Ui
Tit
(ri2(Aco)’ + 1). theory of pseudospherical surfaces (surfaces of constant nega-
tive
curvature) [57]. Evidently
(II.C.l),
(II.C.4),
and
Here (l/[~i*(Au)*+l])indicatesanappropriatelyweighted (II.C.5) share many common properties since they are equiva-
average over g(Au). The doublet breaks up into two isolated lent except for an independent variable transformation.
pulses of the form Solitary wave solutions of the sine-Gordonequation

gi = 2/7i sech - (t - z), i = 1,2 (II.B.3)

(II.C.2) which correspond to a rotation in 4 by 2 r (as x goes
+
from - 01 to = ) have the form

* - )]
(JG-2
Ti
4 = 4 tan-’ [exp (II.C.6)
traveling at velocities ul and ut.
Eilbeck, Gibbon, Caudrey, and Bullough [56] have indi-
cated that self-induced transparency equations can be writ- in which the + sign corresponds to a positive sense of rotation
ten for the total (instantaneous) electric field E ( # , t ) , rather and the pulse can be considered a soliton, while the - sign
than for just a slowly varying envelope & ( x , t ) . Nozaki and indicates a negative sense of rotation and the pulse can be
Taniuti [I711 have discussed a nonlinear interaction of three considered an “antisoliton.” Since total rotation mustbe con-
plane waves, which is similar to that described by (II.B.l), served, the difference between the number of solitons and the
and have shown how the formalism can be applied to plasma number of antisolitons must be conservedin any collision.
wave propagation. They are created and destroyedin pairs. In addition, the sine-
Gordonequation is invariant to a Lorentztransformation.
C. The Sine-Gwdon Equation Thus the solitary wave solutionsof (II.C.2) do indeed exhibit
One can obtain the familiar sine-Gordon equation from manyproperties of theelementaryparticles of physics. In
the self-induced transparency equations (II.B.l) in the limit 1953, Seeger, Donth, and Kochendorfer, using this equation
Aw4). Precisely, the transformation to describe the motion of a crystal dislocation, derived ana-
lytic expressionsfor “solitonsoliton” and for“soliton-anti-
Ao+O soliton” collisions [200], which were independently obtained
g ( A 4 +s(Au> by Perring and Skyrme in 1962 [181]. The “solitonsoliton”
collision is given by
8 +4t
4 u sinh ( % / d l - u’)
6 + - sin 4 tan - = (11. C. 7)
4 cash (uf/dl- u’)
t+t
and the “soliton-antisoliton” collision is given by
(t - 2 4 +x (II.C.1)
4 sinh ( u f / d m )
yields tan- = * (II.C.8)
4 u cash dl - u’)
4= - btt = sin 4 (II.C.2)
I t is interesting and important to notice thata soliton and an
which is the sine-Gordon equation [IS], [186], [195], [197]. antisoliton can, accordingto (II.C.8), pass through each other
Sincethisequationcan be derivedfromtheLagrangian withoutmutualdestructioneventhoughsuchdestruction
density would not violate conservation of total rotation.
Recently, Ablowitz, Kaup, Newell, andSegur [l], [2]
1 = $42 - +#8t* - cos 9 (II.C.3)
have solved the initial value problem for (II.C.5) byusing the
it can be considered to conserveenergy (see AppendixC). inverse scattering method. Through this formulism, one can
The sine-Gordon equation has been used to describe 1) propa- obtain the solutionfor a multisoliton collision. Other methods
gation of a crystal dislocation [71], [126], [lW],[200]; of obtaining N-soliton solutions are discussed in Appendix A.
SCOTT et a!. : THE SOLITON 1449

Physical evidence of such solitons has been obtained from Hirota recently presented N-soliton solutions for the non-
studies of magnetic flux propagationonsuperconducting linear electric filter equations [99]
transmission lines shunted by Josephson-typetunneljunc-
tions[178], [196], [73],[74],[76].Eachsolitonrepresents
a single quantum of magnetic flux. Thequantum 'flux
d2
-log
dt2
(1 + Vn(t)) = Vn+l(t) - 2Vn(t) + J'n-I(t) (II*D.S)
shuttle" described byFulton,Dynes,andAnderson[75],
[77] and recently realized by Fulton and Dunkleberger [78] and [98]
uses this effect to obtain a shift register. A mechanical analog
of (II.C.2) is useful to demonstrate these pulse interactions
[195], [197].

D . Nonlinear Lattice Equations

The electrical engineer is familiar with the lattice of mass
points connected by springs as-a mechanical analog for the Equation (11.D.S) is identical to (II.D.l) and the N-soliton
low-pass electric filter. The physicist is interested in such a solutions have the same form as those for the KdV equation
system to model the propagation of sound waves through a (II.A.1). Equations (II.D.6) describea 'self dual" filterfor
crystal lattice. The 'Toda lattice" equations [222]-[227] which the N-soliton solutions have the same form as those
for the modified KdV equation (II.A.8). See Appendix A for
d2yn
m- - e-br*+l], n = 1, 2; a, b const (II.D.l)
= a[eWbrn details.
dt2 Suzuki, Hirota, and Yoshikawa [209] have described how
In = yn - yn-1 a two-soliton interaction can be applied to provide coding for
a secure communic?tion system. In this scheme, the two in-
have been used by Toda [222]-[227] to describe motion on a coming soliton pulse trains are phase (position) modulated,
one-dimensional lattice of mass points interacting through a and then allowed to interact on a nonlinear transmission line.
nonlinear potential This interaction wave is transmitted and can be separated
again at thereceiver into two modulatedwaves if i t is applied
a
#(I,,) = - e+-
b
+ urn - -ba . (II.D.2) to an ia!entical nonlinear line.
Forfurther discussion of nonlinear filters we refer the
readertotheaccompanyingpaperbyHirotaandSuzuki
This potential has wide applications since, by varying a and
b, one can go from the harmonic limit (abfinite, a+ m , b-0) I,
[95 1961.
tothehardspherelimit (ab finite, b - a , a 4 ) . The La- E . The Bowsinesq Equation
grangian of (II.D.l) is
From a suitable distributed limit of (II.D.l), Toda [226]
m has obtained the Boussinesq equation
L =
n
-ynz
2
a
- - e-brn
b
+ -ab e+m+l. (II.D.3)
4rr - 4 t t + 6(4')zr + 4rzrr = 0 (II.E.1)
The function which was first derived to describe shallow-water waves prop-
1 agating in both directions [X?], [228]. I t is also used to de-
4 = - -w / a y n = e - h - 1 scribe a one-dimensional nonlinearlattice [246]. Recently,
a Hirota [lo01 showed by numerical computations that (II.E.l)
which is the force between the mass points, is a solitary wave possesses soliton solutions.He also displaysananalytical
solution in the form of formula for an expression of a doublet solution [1o0]:

l m ~ K I ~ Xl-ki~2
sech2 ~ X2-I-A sech2 X I sech2 X 2
sech2
4 = - - B2 sech2 [ 3 ( ~ -
4 ab
n Bt) + 63, K, 6 const (II.D.4) 4 b , 0= [cosh B+sinh B t a n h X I tanh X2I2
f

where
K; const; i = 1, 2 (II.E.2a)
where
P2 = 4ab/m sinh2 ~ / 2 .
Toda [226] has found a doublet solution for 4. He shows that
xi = $(KiX - Bit)
thisdoubletbreaksupinto two solitonsasymptotically. B i = _+ K i ( 1 Ki2)'" +
Ooyama and Sait8 [I751 have numerically demonstrated that
e4B =
6% - 8 2 ) ' - (KI - ~ 2 -) (~ ~ 1- K ~ ) ~
-
the solitary wave solution for4 is a soliton. They also discuss
numerical studies of stability. (81 82)' - (KI +
~ 2 - +
) (~ ~ 1 + K,)'

Toda [223] hasshownthat(II.D.1)has

trainsolutionssimilartothosein
periodic wave
Fig. 1. Intheharmonic
A = sinh B [ ~ ( K I~ ~ 2 sinh ~ ) B + ~ 2 B].
3 ~ 1 cosh +
limit, there are no solitary wave solutions. In the hard sphere This solution separates into two solitons:
limit, on the other hand, solitarywave solutions exist but not
periodic wave trains. Between these limits, both wave trains &= sech2$ ( K ~- z Bit si-), as t + - w +
and solitary waves can occur. $ i = $ K i 2 sech2$ ( K ~ X- Bit 6i+), as f + + 00 (II.E.2b) +
1450 PROCEEDINGS OF THE IEEE, OCTOBER 1973

where u. and uc are the “envelope” and the “carrier” veloci-

ties, respectively. These must satisfy the inequality u,>2&
and thus cannot be equal.Numericalinvestigations of col-
lision events between these envelope solitary waves indicate
that they are envelope solitons [24].4 An example of such a
collision, computed by Tappert, is shown inFig. 5, where the
amplitude 141 is displayed.
Hasegawa and Tappert [91], [92] have recently discussed
the results of theoretical calculations supported by numerical
simulations which indicate that a typical glass fiber wave-
guide will support envelope solitons of the nonlinear Schrod-
n ingerequation at power levels of about 1 W. Numerical
1
Y simulations indicate that suchpulses are stable under the in-
fluence of smallperturbations,largeperturbations,white
W
0 noise, or absorption over distances of the order of 1 km. This
z development could leadtoanenormous increase indata
s handling capacity of a fiber optic bundle.

G. The Hirota Equation

Very recently Hirota [loll introduced the equation
~t+i3aI~12~z+&13+iu~ZZI+~I~(2~=00,
ap = u8 (II.G.l)
and presented N-soliton solutions which are discussed in Ap-
pendix A. Equation (II.G.1) is very interesting because with
where u=u=O i t reducestothenonlinearSchrodingerequation
(II.F.l), with p = 8 = 0 i t reduces to the modified KdV equa-
81- = Yl tion, and with a = 6 = 0 i t reduces to the linear equation
82- =7 2

B
*t + &tz+ b4132 = 0. (11. G.2)
61- = 71 -
2
+ Hirota’s N-soliton solutions exclude the case p = u =O.
The imposing generality of (II.G.l) leads one to suspect
B somerelationwiththe general form of the inverse method
62- = 7 2 - - recently announced by Ablowitz et al. [2].
2
H. The Born-Infeld Equation
and the velocity of the soliton is f (1 +~ci)l’*.
Finally,theequation
F. The Nonlinear Schrddinger Equation [I91

as a nonlinear
was derived in three spatial dimensions by Born
can be derived from the Lagrangian density modification of the Maxwell equations to permit the electron
to appear in a natural way as a singularity [3O], [SI], [MI,
[62], [173], [182]. Equation (II.H.1) can be derivedfrom
the Lagrangian density
where 4* is the complex conjugate of 4. This equation has L = [l + 4.2 - 4t’]l/2 (II.H.2)
been used to describe 1) stationary two-dimensional self-
focusing of a plane wave [22],[124],[210]; 2) one-dimen- where # J ~represents the magneticfield and r # ~the
~ electricfield.
sional self-modulation of a monochromatic wave [213], 191, Traveling waves of unit velocity
11161, [91], [92]; 3) theself-trappingphenomena of non-
4 = &(z 5 t) (II.H.3)
linear optics [116]; 4) propagation of a heat pulse in a solid
[217]; 5) Langmuir waves in plasmas [72], [105], [202]; and will render the Lagrangian density constant and thus satisfy
6) is related to the Ginzburg-Landau equation of supercon- (II.H.1) for any(suitablycontinuous)function h. Inthis
ductivity [84]. Envelope solitary wave solutions to this equa- case, the velocity of the solitary wave is fixed, but the skpC
tion are derived in Appendix B and take the form isarbitrary.Recentstudiesindicatethat,after a collision
involving two such traveling wave solutions, the pulse shapes

4 = @Po sech [ - 41 will be preserved [lo], [12].

4 Notice that these solutions are not traveling waves, and hence do
not strictly fit our “working debition” o soliton. This points out one
weakness of that ‘working definition.” $course. one could claim that
the “envelope”is the soliton.
SCOTT et al. : THE SOLITON 145 1

111. ELEMENTARY
SOLITON
CALCULATIONS B. Two-Soliton(Doublet)
Solutions
In this section we briefly sketch some of the computational 1) Numerical computations can provide a direct answer to
techniques that have proved useful in ferreting out solitons. the question: “Is this solitary wave a soliton?” Initial condi-
The first task is to determine whether suitable solitary wave tions can be selected which correspond to two solitary waves
solutions exist [197]. The second task is to see if these solitary on a collision course. If they emerge from the collision with
waves are solitons, i.e., whether they preserve their shapes and their initial shapes and speeds, they canbe considered solitons.
speeds after a collision. One way to begin checking for this Earlycalculations of this effect were donebyPerringand
property is tolook for two-solitonor doublet solutions. Eventu- Skyrme [181] and by Zabusky and Kruskal [245]. A recent
ally, of course, i t will be necessary to check any such solutions example of such a calculation for the nonlinear Schrodinger
for stability. Often computer results can indicate stability. equation (II.F.l) by Tappert is shown in Fig. 5 .
2) Dependent variabktransformations provide interesting
A . K d V Solitary Waves and helpful simplifications of many nonlinear wave equations
Starting with the KdV equation (II.A.1) and assuming a which exhibitsolitons.Suchtransformationsseem tobear
traveling wave solution with velocity u as indicated by (1.1)- somerelation to the Cole-Hopf transformation[47],[103],
(1.3), we have the ordinary differential equation 4= +2(log f).,
which reduces the Burgers equation, &+#.
- 4 + 4IIE
+&=O, to the linear diffusion equation f t + f , , 1.0. For ex-
4rb4 =0 (III.A.l) ample, the transformation
where ~ = + ( X - U # ) =$([). This equation can be integrated to
4 = - 200g f>zz (III.B.1)
obtain
a reduces the KdV equation, (II.A.1) with a = -6, to
4II = K1+ 244 - 42 2(III.A.2)
ff.t - f z f t +f-f - 4fzzzjz + 3fn2 = 0. (III.B.2)
where K 1 is a constant of the first integration. The second
Onemight well wonderwhether(III.B.2)isindeed a “re-
integration may be effected after multiplying both sides of
duced” form of (II.B.1). Note, however, that if f is a solution
(III.A.2) by 41. Then
of (III.B.2), then any constant timesf is also a solution, and
a even more, so is a(t)f(x, t ) . Thus, although (III.B.2) is not
$ 4 1=
~ Kz + K14 + 2 U
t$2 - 6 4* (III.A.3) linear, i t shares one of the properties of a linear equation.
Hirota [94] has obtained an N-soliton solution of the KdV
and the general traveling wave solution can be written in the equation from a study of (III.B.2); this solution is listed in
form of an elliptic integral 1381 Appendix A. I t is interesting to note that all of the N-soliton
equations in Appendix A are related to dependent variable
transformations similar to (III.B.1).
(III.A.4)
3) Backlund transformation
techniques [131]-11331,
[126],[199],[200],[13] haveprovedusefulindeveloping
where $0 is the value of 4 a t (x-ut) =0, and N-solitonsolutionsforthesine-Gordonequation.Since the
turn of the century it has been known that if 40is a solution
P(4) 2Kz + 2K14 + 244’ - -a3 +*. (III.A.5) of the sine-Gordon equation (II.C.S), then 41,which satisfies
the first-order pair [57], [69]
Since a solitary wave is localized, its first and second deriva-
tives qvst vanish as [+ m . This condition, together with 3 ( h z - $JO,+) = a sin (0’
- “O) (III.B.3a)
(III.A.‘2) and(III.A.3),requires K1=0 and Kt=O. Then
(III.A.4) is readily integrated to yield the solitary wave
(III.B.3b)

4(z
3u
- ut) = -sech2
a
[$ (x - ut)]. (III.A.6) also satisfies (II.C.5). Equations (III.B.3) define a Backlund
transformation which generates a “new” solution t$l from an
[More general solutions of (III.A.4) include a periodic travel- ‘old” solution 40. Clearly the new solution can be taken as
ing wave with the form indicated in Fig. 1. This may be ob- the old in a subsequent transformation and a hierarchy of
tained by taking nonzero values for the constants K 1 and K t such solutions can be sequentially developed. For the sine-
and suitably adjusting the location of the zeros of P ( 4 ) ;the Gordon equation, each transformation can introduce an addi-
details of such an adjustment are discussed in Appendix B.] tionalsolitonwith a velocitydeterminedbytheparticular
From (III.A.4)-(1II.A.6), however, i t is possible to see some value chosen for a. Thus N-soliton formulas can be explicitly
basic properties of KdV solitary waves. developed for the sine-Gordon equation (see Appendix A and
1) The amplitude of a KdV soliton increases with its ve- [I31 for details). Recently, McLaughlin and Scott [158] have
locity, and its width is inversely proportional to the square discussed techniques to search for such Backlund transforma-
root of its velocity. tions for other equations.
2) The sign of a solitarywavesolution of (II.A.l)de- 4) The inverse method is mentioned here only for complete-
pends upon the sign of a. ness; it is discussed in detail in Section V. I t is extremely im-
3) KdV solitary waves are unidirectional, i.e., u cannot be portant because, when applicable, it allows one to use linear
negative
for
solutions of (II.A.l)
since
must
remain techniques to solve the initial value problem for a nonlinear
real. wave equation, and to discover solitons.
 1452 PROCEEDINGS OF THE IEEE, OCTOBER 1973

ONSIDERATIONS
SPECTRAL
IV. ELEMENTARY d
Habituated as we are to the application of Fourier trans-
form techniques in problems of linear wave dynamics, i t is
natural to consider the frequency spectrum of a soliton. An
understanding of spectralproperties is importantforboth
stability theory and collision theory. One must tread warily
in this direction,however. There are importantdifferences be-
tween the spectra of nonlinear systems and those of linear
systems; for example, Fourier components do not appear to
be particularly useful for the constructionof solutions to non- Fig. 6. Wave systems with periodic boundary conditions.
linear wave equations. They may, however, be helpful for the (a) Linear. (b) Nonlinear.
study of such solutions. The purposeof this section is to indi-
cate some of the difficulties and possibilities of a careful theo-
retical development.

A . Periodic Boundury Conditwns

Consider first the spectrum of a linear wave system with
periodic boundary conditions shown in Fig. 6(a). Any solu-
tion of theformexp [i(Rx+wt)] musthave a propagation
constant R which is an integer multiple of 1/R. Thus we can
write
K = K J = Z/R, Z = 0, f 1, f2. (1V.A.l)
For a linear system, the propagation constantwill be related
to the frequency bya dispersion equation w=w(R) which may
&
be multivalued. If the number of branches is finite (or even Fig. 7. Two-solitoninteraction.
countably infinite), then the frequency spectrumis countably
infinite;
Thesituationisquitedifferent for a nonlinearsystem Since 4 is a traveling wave, only termsfor which 2 = m appear
which can support a periodic traveling wave with adjustable and we can write
velocity and pwwd as indicated in Fig. l(a). Adjusting d=2.rR 4(2 - &) = AIeiZ(*ML)/B (IV.A.4)
gives a periodic traveling wave as a n exact solution. If the I
velocity of this wave is adjusted to the value u, as indicated where
in Fig. 6(b), the corresponding spectrum will be the countably
infinite set At=- 4(z - lCt)e-it(*YC)/Bd(x - ut). (IV.A.5)
2rR S I R

Consider next the possibility of a two-soliton interaction

Note, however, that (IV.A.2) indicates the frequency spec- as shown in Fig. 7, where 4~ is a localized soliton (i.e., 2 r R
trum of only a single traveling wave. Spectra of other travel- >>soliton width) traveling with velocity U A , and is another
ingwavescan be obtainedbyadjustingthecontinuously localized soliton with velocity UB. According to our definition
variable velocity u. Or, conversely,given any frequency w , of theterm“soliton,”and 4~ must emerge fromtheir
chosen from the continuum of real numbers and a fixed value eventual collision withthesameshapesand velocities at
of R, we can find values for m and u which satisfy (IV.A.2). which they entered. The effect of the interaction is to intro-
This observation can be expressed in terms of a specific duce (possibly different) time delays T A and T B . The interac-
example. Consider the KdV equation in the form tion of two solitons of the nonlinear Schrodinger equation,
obtained by Tappert and shown Fig. in 5 , is a typical example
4t+aMS+4,=O (IV.A.3)
of the growing body of numerical evidencethat such solutions
with periodic boundary conditions as indicated in Fig. 6(b). exist.
For a =0, (IV.A.3) islinear; it has a dispersion equation The basic temporal period of 4~ is [(~~R/uA)+TA]. This
w = P and a Fourier spectrum with the cardinality of the in- expression can be considered the definition of T A . The corre-
tegers. For a>O, any real number can belong to the Fourier sponding frequency spectrum is
spectrum of solutions of (IV.A.3). (See [23]for a precise
definition of the concept of cardinality.) A similar statement
can be made for other nonlinear wave equations that have
periodic solutions with adjustable velocity and period as indi- while the spectrum of #B is
cated in Fig. l(a). The requirement that the velocity be ad-
justable, for the Fourier spectrum to have the cardinality of nuB
therealnumbers,eliminatesfromconsiderationequations wBa = 9 t~ = 0, f 1, f 2 . (IV.A.7)
R -k uBTB/2*
that represent propagation ona nerve axonor neuristor [197].
The traveling wave of Fig. 6(b) is periodicin time and #(z, t ) is periodic in x and, due to the nonlinearity, mustcon-
space so i t can be expressed as a double Fourier sum of terms tain interactions between OA., and OB*. Thus it appears rea-
of the form exp [ i ( k ~ x + ~ , t ) ]where
, Rt=Z/R andw,=mu/R. sonable to assume that it can be represented by the almost
SCOTT et al. : THE SOLITON 1453

periodic function [SI, [48 J quency

spectra.
system
Thus
the is excited
only a t the com-
bined frequencies
+(x, t ) = Almnei(k”+wn*t) (IV.A.8)
n
2,m.n

where kt = l / R and G~= w A ~ + w B ~ .We can insure thatnone of

G j = mlw1 + m2w2 + * * + mNwN =
i- 1
miwi (Iv.c.1)

the frequency components of t $ coincide

~ with those of +B by
where the wits on the right-hand side are the fundamental fre-
requiring that the ratio W A ~ / W B will
~ be an irrational number
quencies for the individual solitons, the m’s range over the
N. The temporal period of t$(x, t ) is then infinite, and
integers, andj is an index on all such combinationsof the m’s.

Armn = lim
T+m
-$1
2rRT -
TR

T ~
TI2
J-,,,+ ( x , 0 Assuming that the soliton wave equation can be derived from
a Lagrangian density insures the conservation law for energy
(C.5). Thus a time averaged power flow can be defined as
.e-i(kz*+unrt)dxdt. (IV.A.9)
l T
The ratio of pulse velocities will be (P)= lim -J0 Pdt. (IV.C.2)
T-c T
_
#A
-- N + UA(NTA - TB)
Conservation of energy requires that the total time averaged
* (IV.A.lO)
UB 2rR power flow into any segment of the x axis (say between x1
and xq) must be zero. Thus
Thus, with an infinitesimal adjustment of R, theratio
OA,/OB,, can be maintained irrational while the ratio U A / U B (P(x1)) - (P(x2)) = 0 (IV.C.3)
takes any value from the continuum of real numbers.
which can be written in the form
B . Infinite Systems
Let us now attempt to describe the spectrum of the soli-
tary wave of Fig. 6(b) in the limit as R+ 00. I t is customary
to denote 1/R by dk, and 1/R by k after which, as R+m,
(IV.A.4) and (IV.A.5) formally become the Fourier integral
pair i wj

+(€) = -$
1 “
27r -“
A(K)eWk (IV.B.1)
where (Pi) is the time averaged power flow a t frequency Gj.
Since the frequencies w i can be independently varied, the indi-
vidual sums in (IV.C.4) must be zero if they are independent

A (K) = $ “ +(t)e-*Ui
-m
(IV.B.2)
of the wi’s. That this is the case for wave systems which can
be derived from a Lagrangian density function was demon-
strated by Sturrock [207] and also in a very complete review
where we havesubstitutedthetravelingwavevariable by Penfield [180]. Thus we can write the ManleyRowe egua-
€ = x - u t . Equation (IV.B.1) can be considered eithera spatial tions in the form
or a temporal transform of the solitary wave depending upon ml(Pj(x))
whether we hold t or x fixed in f . c1 =
Consider now the case of two interacting solitons described i ;j
by the almost periodic function (IV.A.8). For any finite value ..... . . . ....
of R, (IV.A.8) is periodic in x but not in t . As R+ 01,the fre-
quency spectrum includes elements from (IV.A.6) representing
t$~,elements from (IV.A.7) representing +B, and the sum or
difference frequencies representing the nonlinear soliton inter-
action. In the limit we might suppose that one rationally re- -
where Cl * * CN are constants of the motion.
lated subset of the frequency continuum represents t $ ~and As Weiss[235] and Brown[36]havepointed out, it is
another represents t$~. From (IV.A.lO) these two spectra will ofteninteresting to considerManley-Rowe equations from
be rationallyunrelated if theratio U A / U B is anirrational the point of view of quantum theory. If we consider that the
number. power flowing a t frequency G j is carried bya stream of photons
In this sense, then,we suggest that the temporal spectrum of energy h G j (where h is Planck’s constant divided by 2r),
of a single soliton is not necessarily the frequency continuum then the first equation of (IV.C.5) becomes
as is formally implied by (IV.B.1) and (IV.B.2), but might
be a rationally related subset of that continuum. If the non- mlrj(z) = const (IV.C.6)
i
linearity can be expressed as a power series, this speculation
seems reasonable for then the rational numbers form a closed where rj(x) is the number of photons at frequency G j which
set of frequency components. pass the point x per unit time. Physically (IV.C.6) can be in-
terpreted as the requirement that theflow rate for all photons
C. The ManleyRowe Equations at w i , plus the flow rates for all photons which are created
With our elementary understandingof the frequency spec- from photons atw i , plus twice the flow rate for photons at hi,
trum it is now interesting to consider briefly the application plus twice the flow rates forall photons which are created from
of the‘(frequency-power”formulasintroducedbyManley photons at h i , plus three times the flow rate at 3
wi * and -
and Rowe [152] to a soliton system with periodic boundary so onthrough all values of iji forwhich ml#O iscon- - -
conditions. We assume N solitons with incommensurate fre- stant.
 1454 PROCEEDINGS OF THE IEEE, OCTOBER 1973

Thus the constants Cl * . CN which appearin (IV.C.5)

seem to be connected with an “accounting” for theenergies of
photons as they mix andmultiplyaccordingtoquantum
1 rzzl
rules. Such constants do not require that the initialN solitary
waves remain intact after collisions.

V. THEINVERSEMETHOD
One of theimportantcontributionsmadebyGardner,
Greene,Kruskal,andMiuratosolitontheorywasthede-
velopment of an “inverse method” whereby the initial value
problem for the KdV equation can be solved through a suc- SCATTERING
a. MRECT AT
cession of linearcomputations [79]. Thismethodwas soon X. Q

expressed in an elegant and general form by Lax [141].We
will begin by summarizing the general formulation of Lax un-
encrusted with analytical details. We trust this brief survey
will make the detailed constructions of this section easier to
follow.
We are interested in a general nonlinear wave equation
represented abstractly by
41 = K(4) (V.1)
where K denotes a nonlinear operator on some suitable space
of functions. Suppose we can find linear operators L and B
which depend upon 4, a solution of PDE (V.l),and satisfy
the operator equation
( V.3)
Fig. 8. Diagram of the inverse method.
In spite of these difficulties, the inverse method solves a
variety of evolution equations. Before considering the inverse
method in some detail, we summarize the equations that it
covers to date. At the time of this writing, its breadth is best
cataloged in thepreprint of Ablowitz et d . [2]. Strongly
motivated by the work of Zakharov and Shabat 12521 on a
nonlinearSchrodingerequation,theseauthors consider the
linear problem

iLf= B L - LB. W.2) Lv = Tv

where
When B is self-adjoint, (V.2)automatically implies that the
eigenvalues E of L , which appear in
L$ = E$ W.3)
are independent of time. This is true even though L depends
upon time through 4. (We will see that there is a correspon-
dencebetweentheseconstanteigenvaluesandthe fixed and the coefficients ( q ( x , t ) , r ( x , t ) ) are arbitrary. Assuming
velocities of the solitonswhich evolve from thedata.) Further- the operator B takes the general form
more, the eigenfunctions $ may be shown to evolve in time
according to
i$t = B$. W.4)
where the coefficients (a, b, c) are also arbitrary, (V.4)takes
I t is sometimes possible to associate a scattering problem the form
with the linear operator L. When this is the case, given the
data + ( x , 0), we can find 4 ( x , t ) through the following pro-
cedure.
1 ) DirectProblem: Calculatescatteringparameters(such
as the reflection and transmission coefficients of L ) for $ a t Take the t derivative of (V.5)and the x derivative of (V.8),
1 x I = m and t = 0 from a knowledge of +(x, 0). while demanding that the eigenvalues 1: be independent of t
2 ) Time Evolution of the Scattering Data: Use (V.4),to- (and x ) . Consistency of the cross derivatives yields three con-
gether with the asymptotic form of B a t x = m , to calculate ditions on the arbitrary coefficients:
the time evolution of the scattering data.
aa
3) Inverse Problem: From a knowledge of thescattering _ -- qc - rb (V.9a)
data of L as a function of time, construct + ( x , t ) . ax
The inverse method can be represented diagrammatically ab a9
as in Fig. 8. The idea is to avoid path d , Le., solving (V.l) -
ax
+ 2icb = i - - 2 q
at
(V.9b)
directly, by traversing instead paths a, b, and c which involve
only linear computations. ac ar
There are, of course, many potential difficulties associated -
ax
- 2irc = i-
at
+ 2ar. (V.9c)
with this approach. We may not be able to find operators L
and B which satisfy (V.2).We may not be able to solve the By various choices of these coefficients, the authorsshow that
inverse problem for the operatorL. The operators L or B may the conditions (V.9)are equivalent to a large class of non-
in some Sense be trivial. (For example, suppose L - - a z / a x z linear evolution equations. For example, by choosing
++ and B =iUa/ax. Then (V.2) becomes +t = a&, +
and
could be any traveling wave with velocity u.) a = 413+ 2qrl+ irq, - iqr, (V.loa)
SCOTT et d.: THE SOLITON 1455

the conditions (V.9) yield A . Related Linear Problem for K d V

qt - 6rqqz + qzzz =0 (V.lOb)
Consider the initial value problem
(II.A.l) with a chosen to be -6:
for the KdV equation

~t - 6rqrZ + Y Z ~ Z= 0. (V.
10c)
4: = 6 4 4 2 - 4zzz
When I = -1, (V.10)reduces totheKdVequation;when
I = &q,(V.10) reduces to the modified KdV equation. On the d x , 0) = 40(4. (V.A.l)
other hand, the choices We seek solutions+(x, t ) with an infinite number of x deriva-
tives, all of which tend to zero as x+* m . I t can be shown
[141],[203],[254] that KdV has a unique solution of this
type provided 40(x) is sufficiently smooth and vanishes rap-
yield the sine (sinh)-Gordon equation idly enough as x+ *
00.Guided by Gardneret al. [79], we now
‘pull from the air” a family of the second-order differential
operators L(t):
(V.llb)
a=
L(t) = - -+ 0. (V.A.2)
The choice ax2

a = 2{2 + rq (V.12a) Here t indexes the family and &(x, t ) is a solution ofKdV.6
[Technically the operators act in the Hilbert spaceof Lebes-
yields guesquareintegrablefunctionsover (- < x < a).]
iqt + q,, - 2q3r =0
(V.12b)
At present it is an unfortunate characteristic of the in-
irt - r,, + 2q2r = 0. verse method that the appropriate linear operator must be
‘pulled out of the air.” Only in a recent example (see Section
When I = q*, (V. 12)reduces tothenonlinearSchrodinger V-G)is the choice of the linear operator motivated by the
equation. physical problem.
Thus, through their approach, Ablowitz eta2. have set up The eigenvalue problem for the operator L is
a general inverse framework encompassing the KdV equation,
the modified KdV equation, a ‘coupled pair of KdV equa-
-922 + $ ( x , t)$ = E$ (V.A.3)
tions,”thesine-Gordonand generalizedsine-Gordon equa- where
tions, and a nonlinear Schrodinger equation. It is interesting
to note that there is a striking similarity between their ap- $ = $(x, E ( 0 , 0 . (V.A.4)
proach to the inverse method and the Backlund formalism Note that for fixed t we havethe well-knownSchrodinger
of classical transformationtheory [69]. Thissimilarityis equation for a “particle” in the potential 4 ( x , t ) . Since the
particularly apparent in Loewner’s study of the infinitesimal solutions + ( x , t ) of’the KdV equation are smooth, bounded,
Backlund transformationduringthe
early 1950’s [147], and tend to zero as x+ m , this Schrodinger equation will
[148]. I t appears conceivable that this similarity will yield have a t most a finite number of negative energy bound states
ageometricalinterpretation of the inversemethod. In this ( E = -K,,*, n = 1, 2, * , N ) and a continuousspectrum for
connection,twoparticularlygoodreferences on Backlund positive E ( E = k2, R real). For fixed t , we define scattering
theory are [MI, [153]. solutions of (V.A.3) as shown in Fig.9bytheboundary
In view of theseresults, we see that theseevolution conditions
equations possess remarkably similar properties. Along these
lines, we remark that Hirota [ l o l l has recently found an N- $(x, +
K, t ) = e--ik0 R(K, t)e*”, as x + + m

soliton formula for “the Hirota equation” which encompasses = T ( k , t)e--iLz, as x + - 00 (V.A.5a)
the nonlinear Schrodinger and the modified KdV equation:
and the bound state solutionsby the boundary conditions
$t + i3a I 4 124z + + i PL c + 6~I 4 124= 0; ha(%,K n ( f ) , 4
a,p , u, 6 2 0; ap = 6u (V.13)
= e-xn(f)z as x + + m
by a dependent variable transformation (see Section11-G).
In this section we analyze the original inverse method for
= C,(K,,(~),
t)e+r*(t)z, as x--+ - a. (V.A.Sb)
the KdV equation in detail. I t is the simplest and the best The direct probkm may be stated as follows. Given 4, find
understood of the inverse methods. Corresponding results for thescatteringparameters [ N ; K,,, C,, (for 1, A=
* , N ) ;
the nonlinear Schrodinger have been published by Zakharov R(K), T(K) (for O < R * < a ) ] . FortheSchrodingeroperator,
and Shabat [252],forthemodifiedKdVbyWadati[230], the following inverse problem has been solved. Given the scat-
[231]andTanaka [211],for thesine-GordonbyAblowitz -
tering data [ N ;K,,, C,,(for n = 1 , * * , N ) ; R(R) ( O < k 2 < m)],
et al. [l], and for the equations of self-induced transparency find 4 for all x .
by Lamb [137]. I t is interesting to note that Lamb’s work These are the basic toolsfor traversal of paths a and c
was strongly influenced byanalogiesbetween the coherent of Fig. 8. For path b we must consider how the scattering data
optical pulses and the ‘Bargmann potentials” which predate evolve with time.
thesolution of the inversescatteringproblembyseveral
years [ 1401, [ 141. Finally, Ablowitz et al. are currently study-
5 It should be noted that this linear operator arose rather naturally
ing the inverse procedure for other members of their class of (in the KdV c a s e ) while studying transformations assodated with con-
evolution equations. servation laws [la].
 1456 PROCEEDINGS OF THE IEEE, OCTOBER 1913

B . Evolution of the Scattering Data

In this section we consider in detail the calculations for
path b of Fig. 8. Thisinvolvesshowingthat (V.2)implies
(V.4) and requires the eigenvalues of L to be independent of
time. We will continue to use the KdV equation as an explicit
- TeJk

example of the method.

Consider the Schrodinger operator L (V.A.2) where 4 is
the solution of the KdV equation (V.A.1). Notice first that if
B is chosen to be the linear self-adjoint operator

thentheoperatorequation (V.2) issatisfied. T o proceed

further, it is convenient to define an evolution operator U(t)
through the equation
Fig. 9. Scattered wave8 of the related linear operator.
iUt = BU (V.B.2)
withtheinitialcondition U(0)=I, theidentityoperator. be representedby
Since B is self-adjoint ( B = B t ) , U is unikrry ( U t U = U U t
=I). This unitarity will yield the fundamental result that $n(% Kn, t ) = u(f)$n(z, Kn, 0).
the bound state energies ( - ~ , , ' ( t ) ) are independent of time. Calculating the time derivativeof $,,((x,K ,, t ) , we obtain
To obtain this result,we represent the operator L in terms
of the evolution operator U ( t ) :
L(t) = U(t)L(O)U t ( t ) . (V.B.3)
T o verify this representation oneneedsonly to show that Notice that as x+ - m , B = -4iaa/ar' since 4 and & vanish.
U(t)L(O)U t ( t ) satisfies (V.2). This follows directlyfrom Thissimplebehavior of B , togetherwiththeasymptotic
(V.B.2) and its adjoint. behavior of $"(z, K ~ t,) [in (V.A.Sb)], shows that as z+- m ,
We now use the representation of L(t) in (V.B.3) to calcu- then (V.B.6) reduces to
late the time evolution of the scattering data. First consider a
any bound state at time f = O , $,,(x, K ~ ( O ) ,0), withbound - Cn(Kn, f) = - 4Kn'Cs(Kn, f).
state energy (-~,,'(0)). By definition, the function $,, solves at
the eigenvalue problem This immediately yields
L(o)$n(z, Kn(O), 0) = - Knvn(z, Kn(o), 0). Cm(Kn, t) = Cn(Kn, o)e-Gn't (V.B.7)
Operatingwith U(t) gives
where C,,(K,,, 0) is specifiedby the initial data
&(n).
U(t)UO)$m(z, Kn(O), 0) Finally, we mustdeterminethetimeevolution of the
reflectioncoefficient R(R, t ) for the scattering (plane wave)
= - Kn*(O) U(t)$'n(Z, Kn(O), 0) (V.B.4)
solution defined by boundary condition (V.A.5a) and shown
which can be written as in Fig. 9. Consider the function

[ U O ) L ( o ) ~ t ( t ) l [ ~ ( t ) ~ kKn(O),
( z , 011 $b, k, 0 = U(O$(z,k, 0)
= L(O[U(Wn(z, Kn(O), 0)l which satisfies
= - Kn2[U(f)$n(X, K s ( O ) , O)]. (V.B.5) L(t)$(z,k, = W ( z ,k, 0 (V.B.8)
Thus if $,,(x, K,,(O), 0) is a bound state with energy (-K,,*(O)) and
at time t =0, then U(t)iG;(x,K,,(O), 0) is a bound state with the
same energy (-~,,*(0)) for t # O . Runningthesame proof a
backwards shows that if +,,(x, K,,, t ) is a bound state with
i - $(z, K, t ) = B$(x, k, t ) . (V.B.9)
at
energy ( -K,,') at time t, then Ut(t>$,,((r,K,,, t ) is a bound state
with the same energy at t = 0. The number N of bound statcs Since $ ( x , K, t ) satisfies (V.B.8), i t has the asymptotic be-
and the bound st& c i g e n o d u w (- K,,') do not change with t as havior
4 ( x , t ) molacs according to the K d V e q u d i e n ; they are deter-
mined by the initial data &(%). These eigenvalues may be $(z, k, t ) = u+(k, t)e* + u-(k, t)c* (V.B.lO)
considered as functionals of the initial data &, As such they
as x-++ 03. This asymptotic behavior, together with that of
are constantsof the motion. We shallsee that they are related
B , implies that (V.B.9) can be written as
to the velocities of the N individual solitons into which the
a a
-u+(k, t)eQz + - a&,
initial data eventually evolve.
From boundary conditions (V.A.5b) the bound states are f)e-**
normalizedaccording to theamplitudes C,,(K., t ) . How do
at at
these amplitudes evolve in time? By(V.B.5), +,,(r, K,,, t ) may
SCOTT et al. : T H E SOLITON 1457

C. TheGel’fand-Levitan (Marchenko) Equation

Having found‘the scattering data at time t , we must now
construct the corresponding “potential” 4(z, t ) . This “inverse
problem” for the Schrodinger equation can be solved through
use of the Gel’fand-Levitan integral equation [83]. This im-
portant equation is derived in Appendix D ; here we merely
state the results that are necessary for calculations. With the
exception of (V.C.5), we omit explicit reference to time de-
pendence for typographical convenience.

gl(x, s
r) + K ( z + r) + “ K ( y + r’)h(z7y’ldy’ O7

y >x (V.C.1)

Fig. 10. “Left-hand” scattered waves of the related linear operator. is an integral equation that is to be solved for g,(z, y). The
potential can then be determined by

and the linear independence of the exponentials then implies

a@+
- - - 4ik%+ and
aa-
- - - 4iRaa-
at at The kernel K , which appears in (V.C.l), is defined as
N
which immediately integrate to yield
K(x + y) = &(x + y) + n-1
%e-‘”(=*) (V.C.3)
a+@, t ) = e 4 * ’ t u + ( ~ , 0)

and where a ( x + y ) is the Fourier transform of R(R):

1 “
a_@, t ) = e-4*’ta-(k, 0). (V.B.
11)
&(x + y) E --~-,R(R)e*(z*)dk. (V.C.4)
Comparing (V.B.lO) with the boundary condition (V.ASa),
we obtain R(R, t)=a+(R,t)/a-(K, t ) ; thus,from(V.B.ll), Thesumin (V.C.3) is specified bythenumber of bound
we find states N and the eigenvalues K ~ *for the Schrodinger eigen-
R ( K ,t ) = e**’tR(k, 0). (V.B.12) value problem (V.A.5). The m, is defined by

T o recapitulate the results of this section, we have found &(t) = e&*’tm,,(O), n = I, 2, * ,N . (v.c.~)
the time evolution of the scattering data for the Schradinger
Here m , ( O ) is a normalizationconstantdeterminedbythe
equation when the potential +(z,t ) evolves in time according
initial data & for the KdV equation [see (D.19b) in Appen-
to the KdV equation.
dix Dl.
1) The number of bound states N does not change with
time. N is determined by the initial potential &(z). D . Evaluation of @(x,t) fw K d V b y the Inverse Method:
2) From the initial scattering data as determined by the Soliton and Doubkt F w m h
potential &(z), the scattering data evolve according to these
Following the prescriptionoutlinedinconnectionwith
formulas: K,,(t)=G(O); C,(a, t)=exp (-4&*t)C,,(~”, 0), for
n-1, - * , N ; and R(R, t)=exp (8iPt)R(R, 0).
Fig. 8, we now insert scattering data for the KdV equation.
From (V.C. 1), (V.C.3), and (V.C.2),
We have traversed path b of Fig. 8 for the KdV equation.
In order to negotiate path t and obtain 4(z, t ) , it is necessary
to consider how one obtains the potential of a Schrodinger
operator from the scattering data.We do this in SectionV-C.
h(z, y, t) + K(x + y, + t)
I
“K(y + y’, t)gl(z, y’, t)df = 0,

Later it will be useful to have analogous formulas for the y >x (V.D.la)
“mirror image” of the scattering problem (V.A.5) as shown
N
in Fig. 10. Here we summarize these formulas. The subscript
1 refers to ”impingement from the left.”
K(Z + y, t ) = n-1
m,,(O)e8~-*te-~~(z*)

#l(z, k, t ) = e*= + Rl(k, t)e-*, as z -+ - 00 + -!- R(k, O)P’te*(+*)dk (V.D.lb)

= TI@,t)e*, as x + + 00 (V.B.13a) 2* --m

h ( z , Kat t ) ctn(Kn, t)rK’@, d

%=I, . . . ,N as x + + 00 (V.B.13b)
4%t ) = - 2-
dx
tdz, %t). (V.D.lc)

&(f) = K n ( o ) , Cl.(f) = e+h”*tCn(Kn, o), The importanceof this method is that the nonlinc~KdV
equation (V.A.l) has been replaced by the linear Gel’fand-
= 1, * * * ,N (v.B.13~)
Levitan equation (V.D.la) which, in many cases, is easier to
Rz(K, t ) = e-***tRZ(k, 0). (V.B.13d) solve. For example, as t - t + Q , it seems clear from (V.D.l)
1458 PROCEEDINGS OF THE IEEE, OCTOBER 1973

that for solve hl and hz as

N
K(x + y, 1) n-1
m,(0)e8gm’te-c*(r+u) (V.D.2)

where we should recall that the individual terms in the sum

are determined by the initial data & ( x ) . In particular, each
bound state at energy ( -K,,*) of theSchrodingerequation
with potential & ( x ) gives rise to a.corresponding term in the
kernel (V.D.2). In order to study this dominant effect in the
limit of large t , we begin with special initial data supporting
one bound state (at E = - K ) ) with no reflection, R(k, 0)=O.
Inthis case, the Gel’fand-Levitan equation(V.D.la)re-
duces to
dl(x, y , t ) + m&te-g(r*)
+ m e 8 c a t ~e-z(Y+ul)&(x,
m y’, f)dy’ = 0, y > x. (V.D.3) where

T o solve this equation, note the explicit dependence upon y.

Differentiating with respect to y yields

Then from (V.D.lc) we have the doublet solution

so
&(x, y, t> = e - W z , 0 . (V.D.4)
Substituting (V.D.4) into (V.D.3),one caneasilysolvefor
& to obtain The twobound states of & ( x ) a t energies (-~1*) and
me8z’te-c (z+u) ( - K Z * ) yield, as t++ 00, two soliton waves with the form of
&(x, y, 0 = - 9 y > x (V.D.5). T o see this, we evaluate (V.D.8) asymptotically
m e8cate-2cr
1+ - and obtain, as t++ ,
2K #(X, f) N -2 { ~ sech2
1 ~ [ -
K ~ ( x 4 ~ 1 ~-
t ) 611
and taking the derivative indicated in (V.D.lc), we have + ~2~ sech2 [KZ(Z - 4K&) - 62}] (V.D.9a)

+(x, t ) = - 2 K 2 sechZ[K(Z - 4K’t) - 61 (V.D.5a) where

6 = 4 log [m/2K]. (V.D.Sb)

Equation (V.D.5a) indicates a soliton with velocity equal to
4~) and position of themaximumamplitude at x = ~ / K for The derivation of these solutions from the inverse method
t = 0. The speed is four timesthe eigenvalue K I . was first carried out by Gardner, Greene, Kruskal, and Miura
Consider now the doublet solutionobtainedfrominitial [79] andlaterbyMiura,Gardner,andKruskal[161].A
conditions that support two bound states at energies ( - K I * ) general derivation for the N-soliton case isgiven by Gardner,
and ( - K z * ) , butagainnoreflection, so R ( k , 0)=O. In this Greene, Kruskal, and Miura [SI], Segur [201], and Wadati
case, the Gel’fand-Levitan equation (V.D.la) reduces to and Toda [229] who also showed that the ‘center of mass,”
defined by
gl(Z, y, t ) + mle8gl’te-g1(z+u) + m2e8zsate-gl(z+v)
+ mle8rlat Jzm e-zl(tt+u’) t d x , Y’, W y ’ $-;*(x, t)dx
x0 = (V.D.lO)

+ m 2 e 8 K * 3 t e-g*(v+U’)~l(x,
~i y’, t)dy’ = 0, y > x. (V.D.6)
p x , t)dx

moves with constant velocity during an N-solution collision.

Again taking advantage of the explicit y dependence, we look
for a solution of the form
gl(z, y , t ) = e-cluhl(z, t ) + e-wk,(z,
Substituting (V.D.7) into (V.D.6) and evaluating the inte-
grals gives. an equation with some of the terms proportional
to e-.lY and the others proportional to e-.”. The terms multi-
plying each of these exponentials must equal zero so we can
The formulas for this general case are listed in Appendix A.
The appropriate solutions of the Gel’fand-Levitan equation
t). (V.D.7)
were first given in 1956 by Kay and Moses in their study of
reflectionless potentialfunctions [122]. I t is interesting to
notice that these ‘reflectionless potentials” were discussed by
Bargmann[14]withouttheinverseformulism,andthat a
subclass of these potentials is discussed in the Landau and
Lifshitz text on quantum mechanics [142].
SCOTT et a!. : THE SOLITON 1459

While it is historically correct that the N-soliton formulas Thus the scattering data at time t = O are given explicitly by
for KdV were first obtained through the inverse method, we
wish to emphasize that the power of themethoddoesnot N = 1; K = X; m(0) = XeZAw;
rest with this accomplishment. In fact, as was indicated in
Section111-B,Hirotahasshown[94] thatthe N-soliton iX
formulas for KdV can be obtained through a simple change R ( k , 0 ) = -ed2*w (V.E.6)
of variables without the inverse machinery. In our opinion, k - ZX
the real power of the inverse method is that it exactly solves
the initial value problem by linear methods. Study of (V.D.l) At time t these scattering data evolve, according to (V.C.5)
will show exactly how arbitrary initial datawill break up into and (V.B.12), into
N solitons plus some additional "background effect" associ-
atedwith R(k,O)#O in(V.D.lb).Referencetothehydro- N = I ; K = X; m(t) = e a " [ ~ e * ] ;
dynamic data of Fig. 3, the nonlinear electric filters discussed
in the companion paper by Hirota and Suzuki [96], and the
many other applications noted in Section I1 should convince
the reader that these investigations are of considerable inter-
est. The quotation from Scott-Russell included at the begin- Withthesescatteringdata at time t , the Gel'fand-
ning of this paper is perhaps the first description of such an Levitan equation takes the form
effect. We now consider an application of these more general
calculations to the special initial condition of an impluse or
"delta"function.
& ( x , y ; t> + K(x + y ; t>
E. + o ( x ) = - 2 X 6 ( ~ - ~ o )
+ JzaK(y + y'; t)&(x, y'; Ody' = 0, Y >z
The special initial data where
+(x, t ) Ig-0 = - 2 X 6 ( ~- SO), X >0 (V.E.l) ~ ( +xy ; t ) = ~ e a ' t e a ~ l e - ~ ( " + ~ )
provide a particularly explicit example of the inverse theory.
[While these data are notP(- a , a), they are a limitof the
P functions; the inverse theory may be extended to include
such data.] d
The physical scattering problem (V.A.3) is quickly solved
+(x, t ) = - 2 -& ( x , x ; t).
dx
at time t = 0 to yield
At t =0, a short calculation confirms that (V.E.8) is consis-
tent; &(x, x ; 0) =2M(x-x0) [where O ( t ) = + 1 for t > O and
vanishes for t < O ] is the solution.
Notice that for large t>>O, i t seems clear that the kernel K
in (V.E.8) may be approximated by K O :
+
KO(% y ; t ) Xe*'te~e-A(z*). (V.E.9)
Such a delta function supports one bound state at energy
E = -X*; the bound state wave function is given by If we replace K by KO,a single-soliton solution results:
t d x , y ; t> = &O(Z, y ; 0 , as t -+ +a
[It isinteresting to notethatthetransmission coefficient
T(k)=(l--th/K)-l, which may be read from
(V.E.2),
is Calculating the solution 4 ( x , t ) from (V.E.10), we obtain
analytic in theupper half k planewith the exception of a
simple pole at R = A ] +(x, t) N - 2X2 sechz [X(% - 4Xzt) - 61,
Similarly, the solution fl(x, k ; 0) [as defined by (D.la) as t + + 00 (V.E.11)
in Appendix D ] is found to be
where
fib, k ; 0)

Thus we see that a single soliton emerges from such delta

Comparing (V.E.4) and (V.E.3) confirms the fact thatfl(x,A ; data. Its speed and amplitude are determined by the strength
0) =&,(x, X; 0). A simple calculation establishes [see (D.19b) X of the data (since this strength determines the bound state
in Appendix D ] energy). The location x0 determines the phase shift (Xxo-3
In 2).
m(0) = [ Jldxj12(x, iX; 0)]
-1
= Xeh@. (V.E.5) We now indicateinthesimplest regions a mannerby
whichmore detailedinformationabout 4 can be obtained
 1460 THE PROCEEDINGS OF IEEE, OCTOBER 1973

from the Gel’fand-Levitan eauation.

In Darticular. we in- TABLE I
vestigate the structure of the solution fort>>O and the manner
Region L (“Left”)Region M (“Middle”)RegionR(“Right”)
in which the soliton evolves from impulse initial data.
First,kernel
wethe
study
must Eo<< - t”’ €0 = O(t’1’) Eo>>tl’*subregions
three

K([;t ) = K&; t) + K c ( [ ;t ) (V.E.12a) I ( E o * X;

oscillatory
integral
is I&, X; t ) isthe Airy I&, X; t ) has a termthat de-
cays exponentially plus a
where “solitonlike”term in sub-
regions ii) and iii)
IC,([;t ) 5 Aes’t-uo Equation
(V.E.13L)
Equation
(V.E.13M)
Equation
(V.E.13R)

this pole divides the region Fo>>tl/’ into three subregions:

and 50
i) - < x2; s) - = A t ;
50
iii)
f0
- > X2.
s. dk 24t 24t 24t
1(t0,X; t ) E -eit(a’+MO/t)
k - iX In these
three
subregions
critical
thepoint K+ lies i) below
the pole, ii) on the pole, iii) above the pole. Using the method
to = [ - 220. of “steepest descent,” we evaluateintegral
the
three
thein
subregions:
For large t>>O, the integrand of I is highly oscillatory; hence
the method of stationary phase shows that the integral will
bedominatedbythevicinities of itstwocriticalpoints K*: i) l ( 5 0 , X i ; f ) ‘v
i( I k+ I - x)

For fixed finite to, these two critical points coalesce at K+ =O.
The
fact that two
critical
points of the
integrand of I pinch t >> 0, t o >> tilr, 5 0 = 24X2t
at 0 indicates a similarity between I and the Airy function.
T o be more precise, we changevariables of integrationand iii) I(5o,x; t ) &(24t k+ I l)-l/z e-tt(~o/t)’/~+ 2*ie8~~t-~0
obtain i<l
k+I - x>
t >> 0, 5 0 >> t l / * , f o > 24X2t. (V.E.13R)

The additional terms in cases ii) and iii) are due to the pole;
k‘ = kt1/*. (V.E.12b) in case ii) we have defined the integral by the Cauchy princi-
pal value. Thus, for large t , the kernel behaves quite differ-
For t>>O but [O fixed and finite, I(&,, X; t ) may be approxi- entlyinthethree regions. Thesituationistabulatedin
mated by the Airy integral Table I.
With this information about the behavior of the kernel,
we turn to consider the long-time behavior of the Gel’fand-
Levitansolution itself. First, fix xlargeenough so that
(x+y-2xo) lies in region R (see Table I) and to the right of the
as t >> 0; tofixed. (V.E.13M) “soliton line” 8X*t-(x+y-2x0)=0. In this region, the entire
kernel K(x+y: t ) is exponentially small. Since the variableof
On the other hand, if 50<<-t11a, the integrand in (V.E.12b)
integration y ’ > r , the kernel K(y+y’: t ) in the integrand is
is highly oscillatory with real critical points. In this case, a
also exponentially small in the region. Writing the Gel’fand-
stationary phase analysis of (V.E.12a) yields
Levitan equation abstractly as g+K = -Kg, we can see that,
inthis region, -K,
i x [2&8X’t-A(~+U-W
+ xe8xat-A(Z+U-2ep) + -
!(x, y; f )
2*
1
1
-
I k+ I + i X
et-2it(-~o/6t)*’z-ir/4]

as t >> 0; [O << - P I a . (V.E.13L)

Notice that inthekernel K the“poleterm” cancels the
When .&,>>tl/*, the integrand is again highly oscillatory, but
“soliton term” and the error is size “(exp)*.” Setting y = x ,
the critical points K* lie on the imaginary axis. In this region,
we obtain the approximation
thebehavior of the kernel is a bitmorecomplicated. The
integrand of (V.E.12a) is analytic, with the exception of an Q(Z, x ; t>
isolated pole at K = 21. The relative locations of this pole and
the critical point play an important role when analyzing the
evolution of the soliton. For the approximation of the kernel,
SCOTT et d.: THE SOLITON 1461

and First, consider the functional H [ P , Q]defined by

+(x, t) =
d
- 2 -g ( x , x ; t )
dx
H[P, Q1 = -
--(D
[Qa(4 + 4QzZ(x>
+ PzS(x) + )P,z2((z)]dz. (V.F.l)
Treating the functional H [ P , Q] as a Hamiltonian, we calcu-
late Hamilton’s equationsof motion:
+ O(#) (V.E.14b)
for t>>l,
and r>4Xzt.
To the left of the soliton line, the kernel is exponentially
large due to the term exp[8Xat-X(x+y-2~)]. However, by
explicitly subtracting out the soliton, we can eliminate this
-dQ
=-
6 8 dQ=
a- - P, + 6PzP,. (V.F.2b)
dt 6P dt
exponentially large term. More precisely, we define

dl = g10 +e This pair of equations possesses the solution

Q = +(x, 0 (V.F.3a)
where g,, is defined by (V.E.10). Then the Gel’fand-Levitan
equation may be written symbolically as

K,€ = - K,(1 + 610) - (1 + K J e (V.E.15)

P= s-:+(d, t)dx’ (V.F.3b)

where + ( x , t ) is a solution of KdV. Thus KdV may be viewed

as a Hamiltonian system with canonical coordinates (Q-9,
where we have used theidentity K,+g~o+K&o = 0. In P - /! ,@x) and Hamiltonian (V.F.1). This result is attrib-
region R to the k f t of the soliton line i t is easy to see from
utedtoGardner [82], [141].
(V.E.15) that 6 is exponentially small.
ZakharovandFaddeev define another set of variables
The analysis in regions M and L is similar but far more
tedious. Segur [201] has shown that in thecase of one soliton
(p, q) in terms of the linear inverse problem associated with
KdV, and theyshow that this setof variables is also canonical,
thereis no asymptotic (in t ) effect onthesoliton from its
i.e., that they are related to(PIQ) by a canonical transforma-
interaction with the “oscillatory tail” (the rest of the solution),
tion. T o be moreprecise, they consider the Schrodinger
and vice versa. In the case of no soliton (K,=O, for example,
equation (V.A.3) subject to the “left boundary conditions”
X<O), Ablowitz and Newel1 [3] have carefully analyzed the (V.B.13). The potential + ( x , t ) is assumed to evolve in time
asymptotic behavior (in t ) of the solution + ( x , t ) . They find
t according to KdV. The new canonicalcoordinates (p, q )
that + ( x , t ) decays exponentially in region R; that in region
are defined in terms of the “scattering data.” Define ( a @ ,t ) ,
L it ishighlyoscillatorywithamplitudes which decayas
b(K, t ) ] through certain “scattering solutions”j1 and f e of the
t l / Z when ( - x / t ) is 0(1) and which decay at least as fast as
+ +
[( -x / t ) W 1 / * ] when ( -x / t ) >> 1; that inregion M, decays
Schrodinger equation [which
themselves
boundary conditions (D.la) and (D.lb)
are
defined
by
of Appendix Dl:
as t-2’r. In region M they find that the asymptotic state is
one of theBerezin-Karpmansimilaritysolutions
connects the asymptotic states
[21]. I t
of regions L and R. In the
f l ( x , k ; f)= b(k, t)fz(x, K ; t ) + a(k, t)f&, --k;0 . (V.F.44
case of no soliton, Ablowitz and Newell give explicit formulas Also define cln by
for all asymptotic (in t ) states. This completesour description #zn(x, t ) N e‘””, asx+-
of t>>O.
Finally, we describe the mechanism by which the solitons
evolve into a solitonbyexamining the kernel K . Here we
(czn)-1 = s-:#lnZdx, n = 1, 2, * ,N . (V.F.4b)
fix x finite and considersmall t . We assume thatthe be-
havior of K c is still dominated by thecriticalpoint k+ in Comparing (V.F.4a) and(D.la) with(V.B.13a)yields the
the upper half k plane and the pole a t k = 21. At time t = 0, the relationship
criticalpoint K+ is at f i m ; and, as t increases, it travels W - k , t> = b ( k , t)/a(-k, 0 . (V.F.5)
rapidly down the imaginary axis at a speed proportional to
Recall that the scattering data aregiven by the triple (Rz,
ta/2. As long as I k+l >X, an analysis as inregion R iii) shows K.,
cln).Interms of thesequantities,ZakharovandFaddeev
that the pole in K c cancels K.. The kernel contains no “soliton
define the new coordinates ((p, q) :
term”; thusno solitonis present in+ ( x , t ) . As soonas I k+l <X,
Kc no longer has a pole contribution that cancels K,. Thus a
solitonisformed. The“interactions” of poles and critical
points cause the formation of solitons.

F. KdV as a Completely Integrable Hamiltonian System

Following Zakharov and Faddeev, we show in this sec-
tion that the KdV equation is a completely integrable Hamil-
tonian system, that the inverse scattering problem may be = 1, 2, * * ,N. (V.F.6b)
viewed as another setof canonical coordinates for this sytem,
and that an infinite number of integrals of the motion arise Zakharov and Faddeev show that the “inverse procedure”
rather naturally from this interpretation [253]. that constructs the solution +(z, t ) from the scattering data
1462 PROCEEDINGSOF TEE IEEE, OCTOBER 1973

may be considered as a canonical transformation connecting On the other hand, it is easy to show [253] that In a(R, t )
the canonical variables (P, Q) and (p, q ) . The transformed can also be expressed as
Hamiltonian takes the formh(q, p ) : m

In a(k, t ) = - d m ( x , k , 1) (V.F.12)
-m

where u satisfies the Ricatti equation:

Since this Hamiltonian is only a function of the "canonical
momentum,"thevariables (p, q) are of the "action-angle"
U. + US -4 + 2iku = 0. (V.F.13)
type. Hamilton's equationsof motion for Hamiltonian(V.F.7) Treating k as a largeexpansionparameter, we obtain the
are given by expansion of u(z, k ; t ) as

_
dP -_ - 6h
- -- 0 u(2, k ; t) =
Un(X,
-
1)
at 69 ,,-I (2ik)"

(V.F.8) Placing (V.F.14) in (V.F.12) andequatingwith (V.F.11)

yields an infinite number of constants'of the motion in terms
These immediately integrate to yield of integrals of polynomials of the solution 4(z, t ) .
ThustheKdVequationis a "completely integrable"
PW = P 11-0 Hamiltoniansysteminthe sense thattheHamiltonian
p.(t) = K , ~ , n = 1,2, - ,N system can be reduced to a n obviously integrable form by a
canonicaltransformationanalyticinthe position and mo-
q(t) = arg ( b ( k , t ) ) = 8k't mentumvariables.Ford,Stoddard,andTurner [68] have
qn(t) = - 8xnat, n = 1,2, * * * , N. (V.F.9) recently presented computer evidence that the Toda lattice
(II.D.l) is also completely integrable in thissense.
Viewed in this manner, in order to solve for # ( x , t ) , one need
only invert the canonical transformation mapping (P,Q) to G . The Inverse Method for Self-Induced Transparency
(P,4). Recently,Lamb,inconnectionwith his study of ultra-
Finally, Zakharov and Faddeev connect this theory with short optical pulses, has shownhow self-induced transparency
a n infinite number of constants of the motion (see Section can be described by an inverse method [138]. His work seems
VI). To do this, they first observe that In (a@, 1 ) ) can be particularly important because the appropriate linear opera-
represented in terms of the reflection coefficients &(k, t ) and tor [ L in (V.3)] arises directly from the physics rather than
the bound state energies K,: being "pulled out of a hat" as in all other applications of the
inversemethod.
Starting
with
"the
quantum equations" (II.B.lH),
Lamb first observes that solutions satisfy the integral
'Xz + P 2 + QZ = 1. (V. G. 1)
Following Eisenhart [57], Lambthenintroducestwo new
variables 4 and - 1/# =+* as

X+i6 1+Q
-=-= 4 G.2a)
(V.
1-Q X-&'
'X--@ 1+Q 1
-=-=--- - 4*. (V.G.2b)
1-Q X+i6 #
Inverting (V.G.2) yields

(V. G.3b)

+ 1 x (i~,,)**l. (V.F. 1
2 N
-- lc)
2j n-1
(V. G.3c)
I n view of (V.F.8), C2j+t are constants of the motion.
SCOTT et al. : THE SOLITON 1463

Inserting (V.G.3) intothe self-induced transparencyequa- the relation between conservation laws and constants of the
tions (II.B.l), we obtain equations for 4 and $ which will motion, and construct an infinite set of conservation laws for
replace (II.B.l). These equations are uncoupled; both $ and the sine-Gordon equation using as a tool the Backlund trans-
$ satisfy the same Ricatti equation: formation. Finally, several applications of conservation laws
arepresented.
i
$t = &$ - - (A@)[$' - 11. (V. G.4) A . Definition of Constants of the Motion
2
Let 63 denote a linearspaceand consider the abstract
The transformations equation in 63:
4: = m 4. (VI.A.1)
Here K is a (nonlinear) operator mapping 63 into 63 and, for

w = u(t) exp {- i J m t E ( t t ) d t t }
linearize the Ricatti equation, reducing i t t o
wtt + +[(Au)' + (E)' + 2iEt]w = 0.
0 < t < m , $ ( t ) denotes an element in 63. Consider two exam-
ples of (VI.A.1).
Example 1: 63 is the six-dimensional phasespace for a
Newtonian particle of unit mass and (VI.A.1) becomes
(V.G.5) 2 UZ

Thus the problem reduces to the coupled set ; X = y ; u = uy . (VI.A.2)

a& z VI
- = (P) (V. G.6a)
ax Here V ( x ) representsthe prescribed potentialenergyfunc-
tion.
azw
-
ar2
+ [(AW)' - V ] W= 0 (V. G.6b) Example 2: 63 is defined by the space of all infinitely dif-
ferentiablefunctions f(x) on - m < x < +
00 which vanish
as I X I --t m together with all their derivatives. Here we let
where r = t - x and (VI.A.1) denote the KdV equation (II.A.l), with a = +1, or
2) = - %(E' + 2&,). (V. G. 7) $t = -M z - 9.Iz. (VI.A.3)
Lamb now uses an inverse method to define 93 in terms of Returning to the abstract equation (VI.A.l), we consider
scatteringdataappropriateto(V.G.6b). 2) provides the r a functional I[.] mapping 63 into the complex numbers. If
dependence of E . The x dependence is obtained from (V.G.6a).
The mathematics of Lamb's procedure is not as systematic
(VI.A.4)
as with the KdV inverse method(for example, Lamb does not
set up and solve an initial value problem). However, his work
seems important since the linear problem arises directly from for all solutions $(t) in 63 of (VI.A.l), the functional I is said
the quantum structure of the physical problem. to be a constant of the motion (also frequently called an integral)
Finally, note that as h4,(II.B.l) reduces to the sine- of (V1.A. 1).
Gordon equation as indicated in (II.C.l) and (II.C.2). This Consider Example 1. Here the energy functional, which
equationhasrecently been analyzedthroughaninverse maps phase space into the real numbers by the rule
method by Ablowitz et al. [l] independently of Lamb's work.
Thisgroupsystematically solves theinitialvalue problem
E(x, u ) = V(X) + *u*u (VI.A.5)
by their inverse method. We have shown (unpublished) that is a constant of the motion. When the potential energy V ( * )
their work is in agreement with Lamb's and that there exists is zero, we can find seven constants of the motion: the three
a correspondencebetween the eigenvalues of theirlinear components of the linear momentum u and the three com-
problem and the uncertainty in the quantum energy levels ponents of the angular momentum X X U in addition to the
(Au). Ablowitz et al. [l], [ 2 ] have also shown that the same energy E ( x , u ) = ~ ( v Z 2 + v u * + v , * ) . Clearlyone of these seven
linear problem gives rise to a large class of nonlinear evolution
constants is redundant since the energy is expressed in terms
equations, a result that suggestssome underlying mathemati- of the linear momenta. The six that remain are often used a s
cal structure. However, their linear problem (and hence their an alternative parameterization of the six-dimensional phase
underlying structure) is 'pulled out of a hat." On the other space. Any additional constant of the motion, therefore, must
hand, in Lamb'swork,thelinearproblem arises directly
be functionallydependentupon these six since theycom-
from the quantum physics. Acomparison of thesetwo a p pletely parameterize the phase space. Through this example
proaches should prove fruitful and exciting. we see how the dimensionality of 63 can place an upper bound
on the number of constants that are functionally independent.
VI. CONSTANTS OF THE MOTIONAND CONSERVATION LAWS With these comments in mind, we consider Example 2 in
The notion of a conservation law is introduced in Appendix which (VI.A.1) isinterpreted as thecharacterization of a
C and the corresponding ideaof a constant of the motion was PDE.Here 63 has infinite dimension; therefore, onemight
mentioned in Sections IV-C and V-F. In this section we dis- expectthe existence of aninfinitenumber of constants of
cuss the,se two concepts in some detail. First, using Newton's the motion, at least constants of the motion which are im-
laws of motion as a simple example,we indicate that the num- plicit and local. I t is surprising, however, that for KdV [161]
ber of constants of the motion for a dynamical system might (and all other wave equations solved by the inverse method),
be expected to range up to its dimension. We then establish an infinite number of explicit, global integers suchas the energy
1464 PROCEEDINGSOF THE IEEE, OCTOBER 1973

integral have been discovered. Each of these takes the form [148]. We seek $ in the form
of a constantcoefficient polynomial in $I and its spatial deriva-
tives, integrated over all space. While the concept
pendence has not been adequately formulated for the PDE
of inde-

case, these must be independent since they consist of poly-

$(x7 4 a) - Lo

j=O
$j(Z, t)ai, as a + 0. (VI.B.3)

+
nomials in of progressively higher degree and order. In fact, Inserting (VI.B.3) into (VI.B.2b) yields
Miura, Gardner, and Kruskal [161] use this idea to define a
concept of independence.
We have already seen several constants of the motion for
the PDE case. If the equation has a Lagrangian density that As a 4 , the foregoing demands $0 and =+ = 2&. Equating
does not depend explicitly upon time, the'energy functional" the coefficients for higher powers ofa yields
isconstant (see AppendixC).FortheKdVequation, the
eigenvalues (of the associated linear problem and hence the $0 =4
speeds of the solitons which emerge as t++ a) may be con- $1 = 241
sidered as functionals of the data. These are constant.
In practice, constants of the motion arise most natural- $2 = 2411

ly through the concept of a conservation law, an example of $3 = 2+ttt+4+ta

whichis introducedinAppendix C. Fora moreprecise
definition we restrictourselves tothe PDE casewhere @ $4 = + 24t"tt
24tttt

consists of a set of functions of the continuous real variable $6 = 24ttttt + +

3+t24ttt 5+t+tt2 + (&)+t6. (VI.B.4)
x E( - a , a ). Consider a pair of (nonlinear) operators map-
ping @ into @, D[(-)] and F[(.)], such that D [ + ( x , t ) ] and . . . . . . . . .etc.. . . . . . . . .
F[+(x, t ) ] depend locally on x and t for any trajectory in@ A little tedious algebra establishes that this series for $ is
labeled by t . Trajectories + ( t ) need not be solutions of
consistent with (VI.B.2a).
(VI.A.l), but if
From any fixed conservation law, this series enables us to
derive an infinite number of conxrvation laws. Since (VI.B.1)
(VI.A.6) can be derived from the Lagrangian density
L=++&It-cos++l (VI.B.5)
for all solutions + ( t ) of (VI.A.1) lying in @, then (VI.A.6) is
said to be a conservation law where D ] is the conserued
[(a) the considerations of Appendix C imply conservation of energy
dcnsity and F[(.)] is the conserved flow or flux. Clearly the
functional t W ) t + (cos $ - 1)z =0 (VI.B.6)
and, since (VI.B.5) is symmetric in x and t , a corresponding
I[+] = J OD
--OD
D M X , OIdx (VI.A.7) expression with x and t interchanged. Substituting (VI.B.4)
into (VI.B.6) and equating like powers of a gives an infinite
is a constant of the motion provided the integral exists and set of conservation laws. Here we list the firstfew densities.
theintegrand satisfies appropriateboundaryconditions at Do = ++=% (VI.B.7a)
x = a. Thus a standard procedure is to determine a set of
conservation laws and thenuse (VI.A.7) to obtain constantsof +
DI = 24tttdz + &bttdtz (VI.B.7b)
+r2+tdz

the motion. D2 24tttttdz + +&bttttAtz + Wttdtddz

&bttdtttz

B. Construction of an Injinite Number of Conservation Laws + + lwttdtddz +

%ttt&t24z 5+tt4+&z

As an example thatillustratestheconstruction of an + +
WtdtzVt + Wt2+tdttz (v1.B.7~) &t'+tdz.
infinite .number of conservation laws, we consider the sine- . . . . . . . . . etc. . . . . . . . . .
Gordon equation in characteristic coordinates
This infinite sequence of conservation laws was first ob-
+zt = sin 4. (VI.B.1) tained by Kruskal and Wiley [168] without specific reference
+
Given a solution of (VI.B.l), it is indicated in Section
111-B tothe Backlundtransformationtheory.Lamb[I361men-
+
that another solution $ may be generated from through the tionstheconnectionbetweenBacklundtheoryandcon-
servationlawsin his recentpaperintroducinganinverse
Backlund transformation [ 1581
methodforsolution of the self-induced transparency equa-
tions. In fact, Schnack and Lamb first found the conserva-
(VI.B.2a) tionlawsforsine-Gordon andthen, usingthese results as
amodel,lookedfor and' found an infinitenumber of con-
servation laws for the equation of self-induced transparency
(VI.B.2b)
a [191]. This connection is developed in detail for the general-
ized sine-Gordon equation by McLaughlin and Scott [158].
In Appendix A (VI.B.2) is used to generate a new solution $ The first example of such an infinite sequence of explicit
+
from which contains an additional soliton, the velocity of conservationlawswasdiscovered byMiura,Gardner,and
which is fixed by choice of the constant a. Here,however, Kruskal [161] in connectionwiththeir study of theKdV
we take a to be a small number andconsider $ to be generated equation. This sequence has been described in Section V in
from + throughan infinitesimal Backlundtransformation connectionwith
the
completely
integrable
Hamiltonian
SCOTT et al. : THE SOLITON 1465

+
system. For future reference we list the first few densities for
(VI.A.3).
+(x, t)
-
- ~ j [ ~ j ] ,

0 otherwise.
as t + m ; =

Dl = 4 (VI.B.8a) Thisinterpretation is valid since sech*[ ] vanishes ex- -

Dz = 44’ (VI.B.8b) ponentially with its argument. This fact guarantees that the
integrals I,,, split into a sum over j( = 1 , 2 , . , N) as t+ CQ .
Da = i4a - 4,’ (VI.B.8c) Thus
Dl = i$4- 3 w z 2 + #aa. (VI.B.8d)
N
(VI.C.3)
..... .etc.. ..... j-1

where
Miura [I621 has investigatedthe Conservation laws

J -
OD
associatedwiththe generalized form of theKdVequation
given in (II.A.5). He shows that the total number of distinct In[Sj] E Dm[Sj]d~. (VI.C.4)
polynomial conservation laws isinfinitefor: a ) p = O (the
linear case), b) r=O, c) p = 1 and r = l (KdV), and d) p = 2 Equations (VI.C.3) and (VI.C.4), togetherwiththe con-
and r = 1 (modified KdV). Otherwise the number of distinct stancy of the I,,, along solutions, yield a set of equations for
polynomial conservation laws is only three. the ~j in terms of the initial data40:
Recently, Benney [ l a g ] has found an infinite number of
conservation laws for a nonlinear wave equation describing
water waves in one time and two spatial dimensions. These
take the form of an integral over one of the spatial variables.
Miura [163] has extended this approach and has been able
to eliminate the spatial integral. Zakharov and Shabat [252]
have found an infinite set of conservation laws for the non-
= s-. OD

Dm[4o(z)]dx. (VI.C.5)

linearSchrodingerequation.Morerecently Ablowitz et al.

By studying such equations, Berezin and Karpman [ 2 1 ] have
obtained necessary conditions on the initial data to permit a
[ 2 ] have extended this approach to a wider class of physically
significant evolution equations. breakup into Nsolitons, and have estimated the speeds of
the emerging solitons. Their work is summarized by Jeffrey
C. Applications of Conservation Laws and Kakutani [112]. Wadati and Toda [229] use a similar
Given the existence of an infinite sequence of conserva- calculation to determine the speed of the center of mass de-
tion laws, one might well ask “so what?” Besides some theoret- fined in (V.D.10). Weemphasize that all suchcalculations
ical implications for the description of solution manifolds, of are based upon the assumption that a breakup into N solitons
what practical use are these conservation laws? The answer is occurs. The inverse method, when i t applies, provides a tool
that they provide simple and efficient methods to study both for establishing this assumption and, in addition, enables one
quantitativeandqualitativeproperties of solutions.These to make similar estimates.
properties include stability, evolution of solitons, and decom-
position into solitons. Indeed there seems to be a close rela-
D. Interacting Solitons
tionship between the existence of a sequence of conservation I n thissection we indicate a meansthrough which the
laws and the existence of solitons, although this relationship exact evolution of N-soliton solution may be studied by the
is presently far from understood and is a topic of current use of conservation laws. We restrict ourselves to the initial
interest. value problem for the KdV equation:
As a n example we indicate how the set (VI.B.8) can be
used to study emerging solitons of the KdV equation. Ap-
plications to the stability problem are discussed inSection
VII. We begin with the initial value problem (VI.A.3) where
$(z, 0) =$o(r)-+O as 1x1 +a. Denote the sequence of con-
served densities by D l [ + ] and the associated constants from
(VI.A.7) by I,,,[$]. We assume that the initial data & de-
compose into N solitons as t++ w . Thus

+(x, t ) - N

j-1
~j[tj], as t + +a (VI.C.1)

where

and

We seek information about K, and Sj in terms of the data &.

Notice that the sum in(VI.C.1) is to be interpreted in the
following special sense:
 1466 IEEE, PROCEEDINGS OF TEE OCTOBER 1973

Zabusky and Kruskal [245]noticed the interesting fact
that the variational problem “aIa[+]= O subject to the con-
straint I2 [+] = constant” has a soliton as its solution. Tosee
this, use Lagrange multipliers and calculate thefirst variation
of I , [+] - CI*[+] :
waveforanypair of positive speeds u1 and u2. Earlier,
Zabusky and Kruskal [245] had observed numerically inter-
actions between twosuch solitons. Theyfoundthat, when
u1 >>uz,the faster-bigger wave ‘swallows” the slower-smaller
one and reemits i t later. On the other hand, they observed
that, when u1 =u~(t,the bigger wave shrinks as it approaches
the smaller, while thesmaller grows. Thiscontinuesuntil

- $-: os+ - 2+&.

[+*(x, - CW]dz
they have interchanged roles. Lax establishes these observa-
tions analytically and gives a precise estimate for the ratio
of the speeds that separate the typesof interactions. I n addi-
= $: [+*+ - 2& C+]G+dx = 0. (VI.D.1)
tion, he found a third type of interaction intermediate be-
tween these two.
We should remark that, for KdV, Lax’s results are to a
TheLagrange-Eulerequation for thisvariational problem largeextentsupersededbythe explicitN-soliton formula
is seen to be discussed inAppendix A. Nevertheless, Lax’s techniques
+2 + 2422 - c+ = 0 emphasize the important relationship between constants of
the motion and solitons. The two-soliton solution is ‘defined”
which is the differential equation satisfied by a soliton travel- by three constantsof the motion; probably theN-soliton solu-
ing at speed u = C/2. Thus a soliton traveling at speed +u tion could b e, specified by higher constants of the motion.
makes the functional Is[+] an extremum, subject to the con- This relationship seems very fundamental.
straint I*[+] fixed. Interestingly enough, Boussinesq (1877) Finally, we close this section with a general remark about
was awareof this fact as Benjamin [I71 points out. conservation laws. Usually constants of the motion reflect the
The fact that a soliton is critical for the variational prob- existence of symmetries in the system. Noether’s theorem [49]
lem (VI.D.1) led KruskalandZabuskytoconjecturethat establishes this fact when the system possesses a Lagrangian
N-soliton solutions were critical for variational problems of density. T o our knowledge noadequatedescription of the
the higher conservation laws. They considered the variational infinite number of constants of the motion in terms of sym-
problem metries has been given, although the work of Zakharov and
Faddeev [253] (discussed in Section V-F) is certainly a step
in this direction.
expecting it to be related to the doublet solution + D ( x , t ; ul1
VII. STABILITY OF TRAVELING WAVES
ut, 61, &), where u1 and u2 are the asymptotic speeds of the
two solitonsand all at arethephaseshiftsthatthesesolitons The definition Of the term which we have in-
undergo. its ~ aequation is given ~ by the fourth-~ dicated in~the Introduction~ of this paper ~is really the require-
~
order
-~ eouation
ment of a ratherremarkableform of stability.Therefore,
~-~~
the stability theory for solitary waves and traveling waves
~ ~~ ~ ~~

should play a major role in a general theory of solitons. But

stability theory has many aspects depending both upon the
particular definition of theterm‘stability” which is under
+ +* + +
A+2 B+. (VI.D.2) consideration and upon the mathematical methods employed.
+
By demanding that describe two well-separated solitons as Furthermore, study of the stability of traveling wave solu-
x+w , theydeducethattheconstants A and B must be tions to nonlinear wave equations is only beginning; thus our
related to the asymptotic speeds ul and up by survey will be eclectic rather than complete. The aim will be
to expose the reader to some ideas and publications which
9 could serve as a basis for productive further study in this
A = - - (241 u2)
5
+ important area.

A . Linear Stability Theory

Oneapproachtoaninvestigation of thestability of a
special solution for a nonlinear equation is to assumea “small
Zabuskyand Deem[246] studied (VI.D.2) numerically perturbation” from thatspecial solution and consider whether
and found its solutions were of doublet shape, two maxima or not this small perturbation grows with time. If the per-
and one minimum. Lax [141] studied the entire problem ana- turbationissmallenough,thenodinearequationthatit
lytically. He began with‘the nonlinear ordinary differential obeysmay be approximatedby a linearequation.More
equation of fourth order-(VI.D.2). Its solutions depend upon powerful linear methods can then be used to decide whether
fourparameters.Thedouble wave j u s t dependsupontwo the approximate linear equation implies growth or decay of
parameters, the phase shifts a1 and t i p . However, Lax deducesa theperturbationwithtime.Onemust be careful,however,
second-order equation from (VI.D.2). Througha ‘phase plane” because the conclusions drawn froma study of thelinear
analysis of this equation, one can deduce that it has solutionsequation may differ from the implications of the exact non-
possessing.the shape of a double wave, two maxima and one linear equation that it approximates.
minimum. By using the KdV equation itself and the fact that As a first example, let us investigate the linear stability
6 ( 1 ~ + A I ~ + B Iis~constant
) in time, Lax considers the evolu- of travelingwavesolutions of thesine-Gordonequation
tion of the relative maxima as a function of time. By these (II.C.2). Using an analysis similar to that given in Section
techniques he is able to establish the existence of a double III-A or in AppendixB, a general traveling wave of the form
SCOTT et al. : THE SOLITON 1467

+(x, t ) = & ( x - u t ) can be written as [I51 &T

f(X, 0) = - (VII.A.9)
dx
x-ut
- (VII.A.l) Since & given in (VII.A.2) is monotone increasing,
no zerocrossings and is theboundstate of lowestenergy
&,.
has

Equation (VII.A.1) is an elliptic integral with three arbitrary -(s2+1) = - 1. Any other bound state must have higher
parameters: u, the traveling wave velocity; &, the value of energy or a negative value for st. Thus we can conclude the
& at ( x - u t ) =O; and F, a constant of integration. Setting following. Withrespecttotheboundarycondition If1 4
F = 1 and & = r gives the soliton (II.C.6). For u=O, this soli- as x+ 00, thelinearproblemindicatesthatthesolution
ton takes the form given in (VII.A.2) is stable. A similar result has recently been
obtained by Jeffery and Kakutanifor a solitary wave solution
&(x) = 4 tan-’ [exp ( x ) ] . (VII.A.2) of the KdV equation [lll].
I t is important to appreciate the general significance of
Now write + ( x , t ) as the sum of & ( x ) plus a perturbation,
(VII.A.9). A n y travelingwave &(E), where [ = % - u t , will
r$p(x, t ) , which wewillbe prepared to assume small in some
haveaperturbationeigenfunction %/dE with s=O. This
sense. Thus
follows directly from translational symmetry since the per-
4b,0 = 4 T ( 4 + 4 P b , 0. (VII.A.3) turbation

Since & ( x ) isaknownfunction, the sine-Gordonequation

&T
&++-----h(i++) (VII.A.10)
can be written as a nonlinear equation for ~ $ ~ ( tx) ,: d5

4p,z.- 4p,tt = sin (& + 4p)- sin 4 ~ .(VII.A.4) is equivalent totranslating & in the x direction by an amount
e. Such a translation of h is again a solution so, of course!
Equation(VII.A.4)isexact.Thelinearassumptionisthat we must have s=O.
l 4 P l <<I, so Consider now solutions of the sine-Gordon equation given
by (VII.A.l) with F#1, but again taking the traveling wave
+
sin (h 4 p ) - sin +T N + p cos +T velocity u = O . There are two cases to consider: 1) F> f l ,
whereupon(VII.A.4)becomes
h i s a monotone increasing functionof x ; and 2) - 1< F< 1, +
Qr is periodic about the value T . We can still write (VII.A.6)
and (VII.A.7), but the “potential” (cos h - 1 ) in (VII.A.7)
4 P . Z . - 4 P , t t = 4 P cos 4T. (VII.A.5)
no longer tends to zero as x+ f m . We can, however, consider
Equation(VII.A.5)is no longer exact, but it is linear and aneigenvalueproblemwith periodic boundaryconditions
therefore easier to solve. I t is separable into product solutions as is indicated in Fig. 6(b). The stabilityof M pulses traveling
of the form at equalvelocitycan be investigatedsimply by setting
2*R= Md where d is the wavelength of a periodic wave as
+ P b , 0 = f(x>e*t. (VII.A.6) indicated in Fig. 1. In this case, the eigenvalues ( -sf) of
(VII.A.7) are a countably infinite set of real numbers, and
The basicproblem of linearstabilityistodetermine
there is a lowesteigenvaluecorresponding tothe unique
whether or not for any such product solution, with reasonable
eigenfunctionwithnozerocrossings[45]. We still have
boundary conditions on f as x+ f m , the real part of s is
(VII.A.9) which says that the eigenfunction for s = O is the x
greater than zero. We will say that with respect to the boundary
derivative &. Thus in case l ) , &,,#O and -sz=O is the low-
conditions on f thelinearproblemindicatesthefollowing:
est eigenvalue. All other eigenfunctions correspond to values
1) instability if a n y product solution has Re[s] >0, 2) asymp-
totic stability if ,all productsolutionshaveRe[s] <0, and of s which are purely imaginary. For case 2), on the other
hand, h,,has 2 M zero crossings which impliesthat -s2 = 0 is
3) stability otherwise.
From (VII.A.5) and (VII.A.6), f must satisfy
not the lowest eigenvalue. Thus there are eigenfunctions cor-
responding to values of s real and >O. We can therefore con-
fzz+ [-(s’ + 1) - (COS 4~ - l)]f = 0 (VII.A.7) clude the following. With respect to periodic boundary condi-
tions [as in Fig. 6(b)], the linear problem indicates that the
where f=f(x, s). This is a Schrodinger eigenvalue problem. solutions of thesine-Gordonequationgivenby(VII.A.l)
Forthestationarysoliton & given by(VII.A.Z),the ‘PO- with u=O are stable for F 2 1 and unstable for I FI < 1.
tential” (cos &- 1) is smooth .and bounded and tends to zero Fortheinvestigation of movingsolutions (u#O) it is
as x+ f m . Thus there are a t most a finite number of bound often helpful to consider the dynamic symmetry of the non-
product solutions for which f 4as x+ f m . The eigenvalues linear wave equation. For example, the sine-Gordon equation
or “energies” of these bound states are equal to - ( s t + 1) and is invariant to the Lorentz transformation defined by
will be ordered according to the number of zero crossings of
the correspondingeigenfunctions. As Lindgren and Buratti -a - U- a
havenoted [146], the eigenfunctionforwhich s = O is the X - ut a ai ar
derivative of Qr. This is because h satisfies +...=sin & x+[ =
which, upon differentiation with respect to x , becomes
d m ;a x’ JF-2
-a - U-
a
(VII.A.8) t - ux a ar at
t+r = * -4
J G - 2 ’ at JF-2
and this is the same as (VII.A.7) with s=O. Therefore, 4b,0 ‘4’k 4 = 4. (VII.A.ll)
1468 PROCEEDINGS OF THE IEEE, OCTOBER 1973

Under(VII.A.ll),(III.C.2) becomes such a nonlinearstabilitytheory.The‘perturbation” of a

collision with another solitary wave is by no means guaranteed
- I&,‘ = sin 4’. (VI1.A.
12) to be ‘suitably small.” In addition, the sine-Gordon‘soliton-
Since(VII.A.l)can be considered a solution of (VII.A.12) antisoliton” doublet is found be to unstable from experimental
which is independent of 7 , the entire stability analysis pre- observationsonthemechanicalanalog of thesine-Gordon
viously carried through with respect to timet and u = 0 holds equation [195]. A small perturbation located a t the point in
I
with respect to time 7 and u#O. For ul < 1 and any fixed space-time at which the two pulses collide may be sufficient
position in x, an increase in7 implies an increase in t ; thus the tocausemutualdestructioneventhoughboththesoliton
I
previous stability conditions remainvalid for u I < 1. and the antisoliton are individually stable. Investigation
thestabilityconditionsforthevarious
of
N-soliton formulas
Detailed stability analysis for a sine-Gordonsystem of
fixed length has recentlybeen discussed by Callegari and Reiss (see Appendix A) should be considered in future investiga-
[391. tions. Since, as was noted in Section VI-D, the x dependence
of a doublet solution$D can be obtained by substituting
B . Nonlinear Sfability Theory
A nonlinearstabilitytheoryforsolitarywaves of the
O&Dl + -4Da[+oI + BD2[+DI
KdVequationhasrecently beenpresented byBenjamin intothetimeindependent Lagrange-Euler equation,the
[17]. Here we briefly sketchthesalientideas of thisde- method of Benjamin may permit extension in this direction.
velopment, but we strongly suggest that the interested reader
study [I71 in detail.I t is richly and carefully written, and the C. Envelope Stability
methodsemployedshould be useful in the study of many An important approach to the study of nonlinear wave
solitarywavestability problems.We begin again with the equations, which has been developedby Whitham[238]- [242],
KdV equation with a = -6, or [266], is to consider wave trains of the sort indicated inFig. 1
forwhich thewavelength,frequency,andamplitudeare
+,-64&+4+,=0 (VII.B.l) slowly varying functions of space and time. This is clearly
the case of interest for magnetic pulse propagation on Joseph-
and consider the traveling waves
son-type superconducting transmission lines [ 1981 since the
&([) = &(x - ut) + 0, I 1
as [ + (L, (VII.B.2) magnetic flux of a single flux quantum (soliton) is about
2x V-sandtypicalexperimental pulses aremuchlarger
which satisfy the ordinary differential equation (i.e., they contain many quanta). In a similar way, typical
Qr,ctd - (Wr + u)Qr.r = 0. (VII.B.3a) light pulses innonlinearopticsare long comparedwith a
period of the optical frequency. The idea is to first consider a
This can be integrated to obtain solution as a function of a n angle variable
&‘,et - 3 h 2 - MT =0 (VII.B.3b) e = px - (VII.C.1)
as the equation that must be satisfied by t#T(f). Using the where
methods of Section 111-A i t is easily integrated to obtain the
solitary wave (III.A.6). As was indicatedinSectionVI-D, B = 2*/d (VII.C.2)
this equation can also be obtained from a study of the con- and
served densities in (VI.B.lO). In fact, if
0 = 2*u/d. (VII.C.3)
~ a [ Q r ( t ) l - C~2[Qr(E)I
For example, for the she-Gordon equation, such a solution
issubstitutedintotheLagrange-Eulerequation (C.2), as- +(e)can be immediately obtained from (VII.A.l) as
suming onlyone independent variable, (VII.B.3b) is obtained
with C= +2u. This implies that if Qr is a solitary wave, at e = 4-J a% * (VII.C.4)
speed C/2, the functional IS(+) is an extremum, subject to J 2 ( F - cos 4)
the constraint IS(&) fixed. Benjamin demonstrates, from the
extrema1 property of I¶[+]for +=+,
that Notice that the constant of integration, F,can be considered
as a measure of the wave amplitude. Recall that we desire
A13(+, dm) E 1 3 [ + ] - ~I[+T]2 0. (VII.B.4) solutions for which the wavelength, frequency, and amplitude
are slowly varying along the wave train (over a distance d ) .
He then defines a measure of the difference between and 4~+ Thus we seek a solution in the general form of (VII.C.4) but
+
which permits to be translated along the[ axis until the best with 8, w ,and F slowly varying functions of x and t instead of
match with t#T is obtained. This is to obviate the difficulty of constants. Starting with the Lagrangian density for the sine-
a perturbation which slightly increases the velocity of a Gordonequation(II.C.2),Whitham defined anotherLa-
soliton causing a growing divergenceof position without affect- grangian density averaged over a period of 0. Thus
ing theform. With sucha measure and (VII.B.4) it is possible
to demonstrate stability but not asymptotic stability. More
precisely, a suitably small but nonzero value of AIS at t - 0
will insure that the foregoing measure of the difference be-
-
L =-so
2*
1 2r
Ld8 (VII.C.5)

+
tween and t#T will remain less than any desired value for
(VII.C.6)
all time.
I t must be emphasized that a solitary wave is not neces-
sarily a soliton just because i t satisfies the requirements of where 5 & signifies integration over a period 4. This aver-
SCOTT et al. : THE SOLITON 1469

aged Lagrangian density is a function of 8, w , and the wave VIII. FUNDAMENTAL

PHYSICAL
THEORY
amplitude F. For example, the solution (VII.C.4) of the sine- The emergence of the soliton concept in applied mathe-
Gordon equation leadsto matics has many clear implications for applied physics and
engineering, some of which were mentioned in Section 11. In
Z = 4- I(F) - F, = e,, w = - 81 (VII.C.7) an equally important way an appreciationof the soliton con-
cept may contribute to the understanding of some fundamen-
where t a l problemsintheoretical physics. Indeed,the original

I(F) E ‘4
-
27
J 2 ( F - COS^) &. (VII.C.8)
studies that led to the discovery of the soliton [181],[245]
were motivatedbyconcernwithfundamentalratherthan
applied problems. Although i t would be presumptuous in this
Substituting ‘i into the Lagrange-Euler equations (C.8) and review to state what the fundamental implications of the soli-
considering F and 0 as the two independent variables leads to ton concept are, i t is perhaps appropriate to suggest what they
might be in the important areas of statistical physics and ele-
mentary particle theory.
(VII.C.9a)
A . The Fermi-Pacta-Ulam Probkm
ai An important assumptionof classical statistical mechanics
-= 0. (VII.C.9b) has been that “small nonlinearities” lead to equipartition of
aF energy. On the basis of a strictly linear theory, all the energy
in a vibrating crystal or an electromagnetic resonator must
Adding conservation of rotation
remain in those normal modes into which it is placed by the
-aw+ - =ago (VII.C.9c)
initial conditions. In practice, however, suchsystemsare
very often observed tobe “thermalized” into a state for which
ax at
approximately equal energy is shared by each normal mode.
we have in (VII.C.9) three quasi-linear equationsfor the three Thus it seems reasonable to suppose athat small but unavoid-
slowly varying parameters of the wave train @?, w , F). The ablenonlinearityleads from arbitraryinitialconditionsto
characteristic velocities for (VII.C.9) are [239] the thermalized (ergodic) state.
This assumption was first tested during the early 1950’s
(VI1.C. 10) in a series of computer experiments suggested by Fermi and
carried out by Pasta and Ulam [64]. They studied the vibra-
tion of 64 mass particles connected by nonlinear springs ar-
where ranged as an approximation to a nonlinear vibrating string.
Theresults were surprising;notendencytowardthermal-
(VII.C.11) ization was.observed. If the energy was originally put in the
lowest frequency mode, it returned almost entirely to that
mode after interaction with a few other low-frequency modes.
and I ( F ) is as defined in (VII.C.8). If the value of h from
Long-time computer results were limited by available com-
(VII.C.ll) is negative, the characteristic velocities given by
puter power. A similar recurrence was observed by Zabusky
(VII.C.10) are complex. Sincesmallperturbationsinthe
andKruskal [245] for theKdVequationwithsinusoidal

-
amplitude must vary as
F exp ibe(x - uof)
where pe is determined by the spatial form of the envelope, a
complex value of u indicatesanexponentialgrowthwith
time and, therefore, with envelope instability.
An investigation of envelope stability for the sine-Gordon
equation with w / B < 1 leads to the sameconclusions that were
obtained in Section VII-A for traveling waves [IS]. One of
the authors (A.C.S.) is indebted to Whitham for pointing out
that some of the statementspreviously made [ 1951 concerning
the case w / B > 1 are incorrect.
The importance of Whitham’s theory in nonlinear optics
has hitherto been largely ignored outside of the USSR [176],
[177], [116]. Wehope this oversight will berectifiedin the
future.
D . InverseMethod
One can use the inverse method, described in Section V,
to investigate stability with respect to perturbations of the
data. I t is only necessary to consider the effects of the per-
turbation on the spectrumof the associated linear problem in
order to understand its effects on the solution of the PDE can share energy. According to the ideas outlined in Section
[252].
data. Over the past 20 years, a fairly extensive literature has
(VII. c . 12) developed to record computerexperimentsandanalytic
attemptstounderstandwhathas become known asthe
“Fermi-Pasta-Ulam (FPU)problem” [ 6 4 ] , [25], [65]-[67],
[109],[110],[174], [175], [187]-[190],[232],[234],[245],
[259],[260].
The FPUproblem is closely related to the solitonproblem.
Since the nonlinear mechanical lattice investigated by Toda
[225] and described inSection 111-D admits periodicsolu-
tions, a single lattice soliton can exist on the system with
periodic boundary conditions as illustrated in Fig. 6(b). This
is a clear example in which the nonlinearity is not causing the
lattice to become thermalized into a state of energy equipar-
tition.
An interesting explanation of the original FPU results was
suggested in 1961 by Ford [65]. For a sufficiently weak non-
linear system, mode frequencies will be well defined, and only
those modes thatsatisfy a self-resonance condition of the
form
miwi = 0, mi areintegers (VIII.A.l)
i
IV, a single lattice soliton ona system with periodic boundary
 1470
conditions is ‘self-resonant” inthis sense. I t is, of course,
important to know what is meant by a ‘sufficiently weak”
nonlinearity.Thisproblemis discussedby Jackson [109].
I t is a difficult question to answerbecause, as therecent
study by Bivins, Metropolis, and Pasta [24] has emphasized,
the ‘seeding” of certain modes withverysmallinitialen-
ergies can lead to exponential growth which becomes an im-
portant perturbation only after the passage of a rather long
period of time. The investigation of Bocchieri, Scotti, Bearzi,
and Loinger[25] of a one-dimensionalchain of particles
interacting through a Lennard-Jones (LJ) potential indicates
that equipartition does obtain for an average mode energy
greater than a few percent of the LJ potential. For average
modeenergy less than 1percent of the LJ potential, FPU
effects are observed.
Along these same lines, Zabusky recently established that
thisself-resonanceexplanationisvalidforextremelyweak
nonlinearities and is incorrect for moderate and strong non-
linearities. In essence, the recurrence seems due to the focus-
ing of the solitons at a point in space-time, as is clear in the
early movies of Zabusky.6
Following the tradition of the originalsoliton computer
film made available by Zabusky, Deem, and Kruskal in 1968
[247], Tappert has produced a remarkable cinematic study
of the KdV equation [218j7
+I + +
M Z 62+zzz = 0 (VIII.A.2)
with + ( x , 0) =cos 2 ~ and
x + ( x , t ) =+(x+l, t ) , which displays
not only + ( x , t ) but also the modeenergies as functions of
time.This film clearlydemonstratestwodistinctnonlinear
effects: weak nonlinearity observed for 6>0.1 where (VIII.A.l)
is satisfied for a small number of low-frequency modes, and
soliton formation observed for 6 <0.1 and shown in Fig. 11.
Observe that for thecase of solitonformation,the mode
energies fall exponentially with increasingmode wavenumber,
and considerPlanck’sformulafortheaverageenergy
mode with quantized energy levels [184]:
ti0 1 but associated
E(w) = (VIII.A.3a)
8rIkBT - 1+ -
2 b
m
= KT, for-<< 1 (VIII.A.3b)
T
tiw
= tiWe-nw/kBT, for ->> 1 (VIII.A.3c)
kg T
where k~ is Boltzmann’s constant, T is absolute temperature,
and h is Planck’s constant divided by 2 ~ The . condition for
theequipartition of energyisdisplayed in (VIII.A.3b).
The exponentialdecrease of average mode energywithin-
creasing mode frequency in (VIII.A.3c), on the other hand,
is qualitatively similar to the effect which forcedPlanck to
assume quantized energy levels. I t is intriguing that Fig. 11
displays such an effect without the quantum assumption.
Bocchieri,Loinger, andCrottihaverecentlysuggested
that the experimental evidence of blackbody radiation might
be reconciled with classical electromagnetic theory through a
’We
a are indebted toDr. Zabusky for this information.
It is perhaps not inappropriate to remark that our first exposure to
this film was a
exating
most experience.
PROCEEDINGS OF THE IEEE, OCTOBER 1973
X &
0 os 1.0 1.5 2.0
Fig. 11.
s2
- $4
A frame from Tappert’s soliton movie
% Ka
I2181.
correct calculation of nonlinear mode interaction [26]-[29],
and Cercignani, Galgani, and Scotti have revived a sugges-
tion of Nernst by showing that the quantum zero-point energy
is of the order of magnitude of the critical energy for the FPU
resonance expressed in (VIII.A.l) [256]-[258].
B. Elementary Particle Theory
One approach to a fundamental theory for the “elemen-
tary” particles is to consider them as localized singularities
in nonlinearwave fields [33]-[35].Although this approach
offers the attractive possibility of calculatingparticlemass
spectra from the assumed nonlinear fields, there remains the
difficulty of including, a t leastasalimitingcase,thevery
successful conventional theory of wave mechanics. This task
has been attempted in recent years by deBroglie through the
development of his ‘theory of thedoublesolution.”The
essence of this theory is that the particle is described by the
solution of a nonlinear wave equation
of a
+(z, y, z, t ) = +(z, y, z, t ) e J ’ ( z * ~ , r (VIII.B.l)
~L)
with corresponding
a it issolution
of a linear
wave equation
# ( x , y , z, t ) = * ( x , y, z, t ) e J ( z , ~ * r ~ (VIII.B.2)
t)
for which
e=# (VIII.B.3)
except possibly inside a small sphere surrounding the particle.
The function # is taken to be the solution of Schrodinger’s
equation, and the‘concordance of phases” between the linear
and the nonlinear waves expressed in (VIII.B.3) allows the
nonlinear singularity to be ‘guided” by #.
Here we wish to suggest the interesting similarity between
these ideas and Lax’s formulation of the inverse method dis-
played in (V.1)-(V.4). For plane waves, (VIII.B.l) might be
considered the solution of some (V.1) which is imbedded in
(V.2), and (VIII.B.2) the solution of the corresponding (V.4).
Since B is an Hermitian operator, (V.4) has the general form
of the Schrodinger equation.8 The form of B for a plane wave
nonrelativistic particle is well known to be
8 We remark that this is the fourth timewehaveusedtheterm
‘Schriidinger equation”inthis paper, but the fist timeinthe eense
intended by Schriidinger.
SCOTT et al.: THE SOLITON 1471

where

Thus an important area for future research should be to in-

vestigate the class of operators, L,which satisfy (V.2), with B
as in (VIII.B.4), and calculate the mass spectra of the cor- (A.A.2)
responding nonlinear wave equations (V.1).
For example, taking
Here E4.1 implies the summation over all possible combi-
a nations of c(1=0, 1, pt=O, 1, * --
, p,v=O, I. It is interesting
L=-+fp (VIII.B.5) to note that f can also be written as
ax
f = det I MI (A.A.3)
V(z)= - J 2 1 fplffpdx' (VIII.B.6) where the N X N matrix M has elements
(V.1) and (V.4) become
* t + + I 41%
fp= = - 2fpz(lo&). (VIII.B.7a)
+ i$t $22 = V$ (VIII.B.7b)
Kj f Kk, if j # k. (A.A.4)
and (VIII.B.7b) reduces to the ,nonlinear Schrijdinger equa-
tion in regions where $ is a plane wave (#@*)with 8. = const. The functional form of (A.A.3) and (A.A.4) is the same as the
reflectionless potential obtained by Kay and Moses [122] in
IX, CONCLUSIONS their development of the inverse scattering problem of the
A significant number of the qualitative effects discussed Schriidinger equation. The same solution,has been obtained
in this paper were first revealed during exploratory computer by Wadati andToda [229] and by Gardner, Greene, Kruskal,
investigations.TheseincludetheFermi-Pasta-Ulamrecur- and Miura [81] from the inverse method. The expression for
rence phenomena, nondestructive interaction of sine-Gordon, a two-soliton solution using that method is derived in Sec-
KdV and nonlinear Schrodinger solitons, self-induced trans- tion V.
parency,andtheexponentialdecay of modeenergieswith Forthe generalized KdVequation, i.e., (II.A.8)with
wavenumber shown in Fig. 11. p = 2 and r = 1, Hirota [ 1021 uses the transformation
Presentlytheproperties of a wave equation which are
necessary and sufficient to insure nondestructive interaction
of its solitary waves are unknown. We suspect that the exis-
tence of a Lagrangian density function is necessary, but this is
and claims that fp is a solution iff and g are in theform
of little help. There are scores of interesting nonlinear wave
equations with Lagrangian densities for which nothing what- N N
soever is known about the nature of solitary wave collisions. f(2, t ) = exp C(')
PO.1 j- 1
The only mofiuated procedure for determining whether a given
solitary wave is indeed a soliton remains, as far as we know,
a direct numerical computation. Given the present state of g(). t ) =
P 0 . 1
exp
N
x(") N

j- 1
our theoretical understanding, it would be most interesting
to investigate the algebraic properties of a selection of equa- where
tions for which it has been established that solitary waves do
not survive collisions.
= K ; X - Bit x;y;, +
~ i y,i const; ~i # ~j if i # j

Zabusky [246], [251] has emphasized the importance of a and

synergeticapplication of thecomputertoguidetheoretical
developments. Our enthusiasm for theprospects of such a and
numerical study is exceededonly by our concernwith the P=o, 1 PO.1

meager support it has so far received. imply summation over all possible combinations of p1= 0, 1,
APPENDIX A pe=O, 1, , p ~ = 0 ,1 undertheconditions
N-SOLITONFORMULAS N
The known N-soliton formulas for the equations discussed C(C)
p; = even integer
i-1
in Section I1 are listed here.
and
A . The KortnuepieVrks Equation
N
Hirota [94] has shown that+ = -2(log f)22 is an N-soliton pi = odd integer
solution of the KdV equation, provided U l

[ +2
N N respectively. For this equation
f = exp BijpGj pix;] (A.A.1)
P O .1 i<i fli = Ki'
1472 PROCEEDINGS OF THE IEEE, OCTOBER 1973

and

(A.A.7)

Using theinversescatteringformulism,Wadati[230],
[231] obtains a second N-soliton formula for this equation
in another functional form. The solution is

where the N X N matrix M has elements

Fig. 12. Lamb diagram illustrating the commutative property

of the BBcUund transformation (A.C.2).
= erit-4ri2t+7i, y j const. (A.A.9)

B . The Self-Induced Transparency Equations with the "vacuum" solution, i.e., +0=0, one can generate a
set of solutions 60, 41, , 4 k through a series of such
From his inverse scattering formulism of the self-induced
"Backlund transformations."
transparency equations, Lamb [137] obtained the N-soliton
I t can be shown[57],[158] thatundersuitableinitial
formula for (II.B.1):
conditions, four solutions of (II.C.5) can be linked in terms of
&(X, t ) = 4[Im [log (det M)]]: (A.B.l) two constants a k and ai such that

where the N X N matrix M has elements 4k,j+l = Bo;$k,j

4k+l.j = Bok+k,j

+ J-. AjlBUdt,
1-2
Mjk = 8jk j , k = 1 , 2, * * ,N 4k+l,j+l = B a j B a k & , j = Ba$a#k,j, k,j = 1, 2 (A.C.3)

Ajl(t) = mjet/2ri, rj const where (using the notationof Seeger, Donth, and Kochendorfer
[199],[200]) B, is theBacklundtransformationoperator
BU(t) = etIzrk associated with the constant ai. [The commutative property
of the Backlund transformation (A.C.2) is indicated in Fig.
mk(%) = e?r(1 / 1 + ( h T k ) z ) + ' Y k , yk const.
(A.B.2)
12 bythediagrammaticrepresentation of (A.C.3)which
C. The Sine-Gordon Equation was introduced by Lamb.]
Barnard[I31hasrecently used a series of theseBack-
Lamb [131]-[133], [I351has used a Backlundtrans- lundtransformations to generatetheN-solitonsolutions of
formationtogeneratetheN-solitonsolution of thesine- the sine-Gordon equation. The diagrammatic representation
Gordon equation (II.C.5). This Backfund transformation was is shown in Fig. 13.
originally used to transform from the solution surface of one The analytical expressions for these solutions are [13]
equationtothesolutionsurface of anotherequation[57],
[ I S ] . It has been used in the areas of gas dynamics, fluids 4j+l,j =0
[147],[148],[181], and nonlinearwavepropagation[131]- . . = 4 tan-'
4381 [e-~+(1/rj)e+~ij], y j j const
[133],[195], McLaughlin.andScott [IS81 haveestablished
the fundamental step in the application of these transforma- (-l)i/Kj <0 (A.C.4)
tions to the study of interacting waves of the equation de-
scribed by if j > O . If j > k , then

4- + +B h =W), a,B const. (A.C.1) 4k.j = 4k+l,j-l

Equation (II.C.5) is a special case for (A.C.l) and has been

extensivelystudiedbyLamb andScott[IS], [131]-[133],
[195]. Forsyth [69] indicated that (II.C.5)may be trans-
formed into itself by means of the relations
+(&z - &-1,z) = aj sin 3(4j + &-1)
1 1
+ +j-l,v) - l / a j sin i ( + j - 4j-11, (-1)k-
Kk
< (-1)j-
Kj
j = 1,2; ai = const (A.C.2)
In order to generate the analytical expression for an N-
where t$j, are
solutions of the
sine-Gordon equation soliton solution, it is necessary to obtain the expressions for
(II.C.5): If one assumes that 4~~ is a known solution, then all soliton solutions of order less than N. However, Caudrey
one can obtain the solution & . _ by
- solving- the coupled
- pair
- of et al. -1401,
- -[255]- have obtained an N-soliton formula for the
first-order partial differential equations. Therefore, starting sine-Gordon equation (II.C.2) such that one can compute the
SCOTT et al.: TBE SOLITON 1473

(A.A.6)with

and

for this equation.

D. Nonlinear Lattice Equations

Using the transformation [99]
ab
- (e+ - 1) = (logfn)t (A.D.l)
m

Fig. 13. Extended Lamb diagram for the generation of N-soliton solu-
tions for (II.C.5). The number in parentheses indicates the number
of solitons.
Bi = ):( 1/2
2 sinh -
Ki

2
m Ki - Kj
solutions directly. They used the transformation - (Bi - @ j ) 2 - 4 sinh2-
ab 2
m
- (pi + /3,)2 - 4 sinh' -
Ki + Kj

ab 2
and claim that t$ is a solution for the sine-Gordon equation if and c4.1 impliessummationover all possiblecombina-
f(2,t ) = det I MI tionsofpI=O, 1, p 2 = 0 , 1, . . , p , , = O , 1.
Hirota used the transformation [98]
where the N X N matrix M has elements
(akaj)1/2 (A.D.3)
= + (-
+ aj
&fkj ~ [eSbZ-&ti% 1)k+ie-rjz+Bjt-'ri
It
ak
and claims that (A.D.3) is an N-soliton solution for (II.D.6)if
y j const f, and g, are in the form
~j = aj + l/aj, aj const r N N 1

Bj = l / a j - aj. (A.C.6)

By using their inverse scattering method, Ablowitz et al. [l]

also developed a second N-soliton formula for the sine-Gordon
equation (II.C.5). I t is
) ( c $ ~=) ~(log det I BB* + I I) (A.C.7)
where

where the N X N matrix B has elements

dCCjCk
Bjk = ~ ei(Kj--st*)z
Kj - Kkf K; - Kj

cj(f) = e-(i/'Ii)t+Yi, yj const. (Bi - Bj)' - 4 sinh' 7

-I- K j
Recently, Hirota [97] has found another form of the N-
soliton solution for the sine-Gordon equation (II.C.2). Using (pi + - sinh'
4 ~
Ki

2
the transformation
and
t$tan-'
= 4 [g/f] (A.C.8)

he claims that q5 is a solution for (II.C.2) iff and g satisfy

1474 PROCEEDINGS OF THE IEEE, OCTOBER 1973

implysummationoverall possible combinations of p=O, 1, where

p¶=O, 1, * , p ~ = 0 1, underthecondition
Al
xi = ~ i-
x Bit + Ti, ~ i y,i const
p i = even integer
ipl

and

e(”
i-1
N
pi = odd integer

respectively. B i j = log [a/2u(Ki + Kj)’],

E. The Boussinesp Equation fori=1,2,.-.,N;j=N+l,N+2,...,2N

By using the transformation ori=N+1,...,2N;j=1,2,...,N
4 = (10gf)rz B 83. . = - log [a/2U(Ki - K j ) ’ ] ,
whichis similar tothe Cole-Hopf transformation,Hirota fori=1,2,...,N;j=1,2,.-.,N
[lo01 obtains an N-soliton formula for the Boussinesq equa- or i = N + 1, N + 2 , . 2N; a ,

tion in the form

r N N 1
j=N+l,N+2,*..,2N .
Here ~ : = o , l indicatesthesummationover all possible
combinations of p1=0, 1, pt=O, 1, * , p z ~ = O ,1 under the -
where condition
N N
cPi=
6 1 i-1
Pi+N

and
e’’
w0,1
and X”’
P-O,1
and implies
the
summation
over all possible
combi-
indicatethesummationover all possible combinations of
nations of p1=0, 1, pz=O, 1, * . , p ~ = 0 ,1.
p1=0, 1, p2=0, 1, * - , pw=O, 1 under the conditions
F. The Nonlinear Schrddinger Equation N N
An N-soliton formula for the nonlinear Schrijdinger equa-
6 1
= 1 + i-1
pi+N
tion has been obtained by Zakharov and Shabat [252] from
their inverse scattering formulism. If and
I 4(x, t) 4/2K(log d e t I BB* + I I)= N N
12 =
where the N X N matrix B has elements
(A.F.l)
1 + b l
Pi =
i-1
Pi+N

respectively.
APPENDIXB
cj(t) = e4icit+~j, ~j const TRAVELING
WAVESOLUTIONS
FOR THE NONLINEAR
SCHRODINGER EQUATION
then (A.F.l) is an N-soliton formula for the nonlinear Schro- In thisAppendix we sketchtheprocedure forfinding
dinger equation (II.F.1). traveling wave solutions of the nonlinear Schrodinger equation

G. The Hirota Equation 4= + i4t + K I 41% = 0, K > 0. (B.1)

The N-envelope soliton solutions of this equation can be Our motives are twofold: to demonstrate
some of the standard
expressed in the form [loll tricks for finding traveling waves, and to indicate someof the
special features displayed by solitons of the nonlinear Schro-
4 = g/f dinger equation.
To begin, we write 4 in the form
4 = @(x, t)ea(z,t), ip a n d 6 real
(B.2)
whereupon the exponential factors cancel in (B.l) and both
real and imaginary components can be equated to obtain
azo- @ez* - wt + K@ = 0 (B.3a)
@ea + 2@.6, + at = 0. (B.3b)
scorn et al. : THE SOLITON 1475

x-u. t

Fig. 15. Periodicenvelope for the nonlinear SchrMingerequation.

Fig. 14. Soliton envelope for the nonlinear Schradinger equation.

in the strict sense of (I.l),

We now seek a traveling wave solution for(B.3) for which the
carrier travels a t velocity uc,or
+ ( x , t ) = @(z - u t ) exp
e = e(% - UJ) (B.4a)
and the envelope travels at velocity u,, or cannot be a traveling wave. Evaluation of (B.7) byinte-
grating fromCP = 0 to +@o yields

equations
@ = @(x - ut).
Under (B.4) we can write (B.3) as the ordinary differential
(B.4b)
@= @O sech (:
[
-
@O(Z - ut)]. (B.ll)

- Hz2+ u,HZ + k@' = 0 (B.5a) For the case C#O, P(@) appears as in Fig.15 for C in
Hz=+ 2@8, - = 0. (B.5b) the range

Upon integration of (BSb) we find - -(-

1
8k 2
U,f
- ucucy< c < 0 (B.12)
@."(2&- u,) = const
(B.6)
andthesimple roots of P(@)a t *@I andrequireturning
which can be solved for Oz and substituted into (BSa). In points in x(@). Integration of (B.7) in terms of elliptic func-
ordernottointroduceexponentialtermsintothis second tions yields
integration, it is convenient tochoose the constant in(B.6) to
be zero. Then 8,=ue/2 and (B.5a) integrates to the elliptic @ = %[l- ((1 -$>
(:
form [38]
d@
*(Z.t)

s,,o.,) Z -i- Gx - -u J 03.7) .sn* [ (z- u t ) ] 1''' (B.13)

where where sn has modulus 7 = (1-@12/@2f).Equation (B.13) re-

k d u c e t o(B.11) as C+O- and @I- and has the spatialperiod
P(@) =
2
@' + t ( ~ e * +
- 2 ~ e ~ c ) @ ' C. (B.8) (wavelength)
4
The qualitative natureof the solution canbe determined from d = -K ( 7 ) (B.14)
@Z
consideration of the polynomial P(@).Consider first the case
for which the constant C=O. The polynomial is as in Fig. where K is thecompleteellipticintegral of the first kind
14 if ue2>2ucue.Then the simple roots at @= +@o require [381.
a turningpoint in thefunction x(@) since f&Lz/dL con-
verges. At @ =0, on the other hand, P(@) has a double root APPENDIX C
and,since f @ / z does not converge, x(@} does notturn. THELAGRANGIAN DENSITY
Evidently thepulse amplitude is I n thedevelopment of a generaltheory for nonlinear
wave equations i t Seems important to have a technique for
distinguishing between thosewaveequations that include
the effects of energy dissipation and those that do not. The
latter are often referred to in the engineering literature as
Note that for uc and uc both positive or both negative, the "conservative" or "lossless" andare considered to be con-
condition structed from lossless elements such as inductors and capaci-
uc(uc - 2%) > 0 (B.lO) tors or their mechanical analogs, masses and springs. How-
ever, when an equation (such as the KdV equation) is de-
must be satisfied or P(@)will be negative in the vicinity of the rived as an approximate description of (say) a hydrodynamic
origin and the left-hand sideof (B.7) will be imaginary. Thus or plasma system, it is not at all clear a @Wri if energy is
1476 PROCEEDINGS OF THE IEEE, OCTOBER 1973

conserved. In such a situation one can proceed by checking tion law is satisfied for
whether the wave equation under consideration can be de-
rived from a Lagrangiandensity viathe LagrangeEuler
equations [891.
T o see how this “works” consider a wave system with one
dependent variable 4 and two independent variables,x and t . and
A Lagrangian density 1 is an explicit function of 4 and its
timeandspacederivatives, +t and I t mayalso be an p= - C Pi4i.t.
i
(C. 10)
explicit function of time and space butwe will, for the present,
exclude this possibility from consideration. Thus we assume Sincethisdevelopmentissymmetricalwithrespectto
x and t , a second conservation law

The corresponding Lagrange-Euler equation is -ao

+ - = o aF (C.11)
at ax
can be obtained where the conserved density is

(C.12)
If (C.2) is the wave equation of interest, then 1 is its corre-
sponding Lagrangian density. As a simple example note that
the Lagrangian density for the linear wave equation (1.4) is and the correspondingflow is
t(&’- l/CVt4. F = - Pi4i.Z. (C.13)
Equations with the structureof (C.l) and (C.2)are inter- i
esting because they allow us to define an energy density and
prove that it is conserved. The procedure is as follows. For the simple system of (1.4), the conservation laws given
1) Define a momentum density as by (C.5) and (C.ll)are identical; a second law, however, is
simply c*pt+rs=O expressing conservation of rotation. Note
that if 1 depends explicitly upon x , an additional term would
appear in (C.ll)and its significance as a conservation law
would be destroyed.
2) Define an energy density (often called a Hamiltonian For purely electrical wave systems consisting only of dis-
density) through the Legendre transformation tributedinductanceandcapacitance, a Lagrangiandensity
is easily constructed. I t may be taken as the difference be-
H 1 - r4t. (C.4) tween electric coenergy and magnetic energy in which case
the Lagrange-Euler equations are the node equations for a
3) Evaluate Ht using (C.2). I t can be expressed by
transmission line equivalent circuit or i t may be taken as the
differencebetween magnetic coenergy andelectricenergy
leading to the loop equations. (Detailed examples are given
in [197].)Thus the Lagrangian density fora physical system
where is not unique. Furthermore, we do not have a general way to
provethat a given equationhasnoLagrangiandensity.
Finally,
there
are
wave
systemswithout
corresponding
and Lagrangian densities which possess conservation laws. An im-
portant example is the superconducting transmission line with
shunt loss (which destroysthe possibility of a conserved
energy density), but the magnetic flux is exactly conserved
[193], 11781.
is a quantity analogous toT which we choose to call the rota- Notwithstanding its faults, the Lagrangian density is a
tion density. The important result is (C.5). I t states that the useful concept. When one can be found ubyhook or by crook,”
energydensity, defined in (C.4), obeys a conservation law the corresponding wave system may be considered conserva-
for which P,given by (C.6), is the corresponding power flow. tive in the conventional sense of the term.
For thesimpleexample of (1.4), H=+(+z*+(l/c*)~t*) and D
APPENDIX
P = -+At. Note that if 1 depends explicitly upon time, an
additionterm would appearin (C.5)andtheconservation THEGEL’FANWLEVITAN (MARCHENKO) EQUATION
law for energy would be destroyed. Having found the scattering data at time t , we must con-
For a Lagrangiandensitywith structthecorresponding“potential”
n dependentvariables 4 ( x , t ) . This“inverse
+i (i= 1, * , n ) , thereare problem” for the Schrijdinger equation can be solved through
n Lagrange-Euler equations of
the form the use of the Gel’fand-Levitan integralequation.(Tech-
nically, this should be called the Marchenko equation since
the Gel’fand-Levitan equation applies to x € [0, EQ).)Here
we derive this important equation and show that it solves
the inverseproblem. Throughoutthis Appendix we omit
If these represent the wave system under study,we can define explicit reference to time dependence for typographical con-
ri=aL/iWi,t, pi=aL/&$i,., and show that the energy conserva- venience.
SCOTT et ol. : THE SOLITON 1477

Webeginbydefining the solution of fl(x, k) of the

Schrodinger
equation
(V.A.3)
which
satisfies
the
boundary fl(x, k) = eikz + Jzmgl(x, y)e”pdy. 03.7)
condition
fl(x, k ) 5: eaZ, asx++w. ( ~ . l ~In )a similar
fashion
one
can
derive
the
representation of
f i b , k) :
The Schrijdingerequation (V.A.3), together with (D.la), is
equivalent to the Volterra integral equation [170] f 2 ( x , k) = e-** + !-:&(x, y)e-+%y (D.8a)
fib, k)
(D.8b)

We restrict
ourselves
potentials
to that
sufficiently
are well & ( x , y) = 0, for y >x (D.8c)
behaved to satisfy g2(x, k) =f2(x, k) - e-“*. (D.8d)

S-: (1 + 1 x 1) I +(x> I d x < (D.3)

In
order
to
understand more
fullythe
functions 11and
&, it is convenient to consider ( x , y) space instead of ( x , k)
For this class of potentials, fi(x, k) exists for all k in the closed space. First notice that!,(x, y) satisfies
upper half k plane (Im [ K ] 20). Inthe open upper half k a2 a2
plane (Im [k] >O), fl(x, k) is ananalytic
function of k. These O(x)] &(x, y ) = @ ( x - y) (D.9a)
statements may be established by iterating the integral equa-
tion(D.2a).
Similarly, we define a solution f i ( x , k) of the Schrodinger
tl(X, = 0, y <x (D.9b)
equation (V.A.3) bythe
boundarycondition & ( x 0 4-y, y ) 4 0, as y + +
~0 ; x. fixed. (D.9c)
f Z ( x , k) 5: e-ikz , asx+-w (D.lb)Theseequations could beused to define & ( x , y). T o seetheir
validity, notice that gl(x, k) satisfies
or equivalently by the integral equation

fi(x, k) alsoexistsintheclosedupperhalf k planeand is TheFouriertransform of thisequation is (D.9a). Toget

analyticintheopenupperhalfplane. We remarkthatthetheboundary condition(D.9c),merelycalculatethelimit
“physical solutions” $ and $l in (V.A.5a) and (V.B.13a) are ( y + + m ; xo fixed) for
related tofi and f i by
$ ( x , t ) = W ) f z ( x , k) (D.4a)
+
gl(xo y , k ) c “ v d k .

$dx, k) = Tdk)flb, k). (D.4b)

Thus in ( x , y) space, dl could be defined as the solution of
The key totheinversemethodistheFouriertransformthehyperbolicequation(D.2a)togetherwiththedataas
showninFig. 10. Theentirederivation of the Gel’fand-

where
bl(z, y ) = -
1
2a
“
s-“
gl(x, k)eda*dk
Levitan equation could be carried out in ( x , y) space. Here,
(D*5) however, we follow the more conventionalapproachand use
( x , y) space only to derive the important formulas

gl(x, k) = f l ( x , k) - e*”. (D.6)

This transform exists for all Im [k] 2 0 and lies in L z ( - a

< y < a).T o establish this existence, use the bound I gl(x, k) I
(D.lOb)
< G exp ( - x Im [k])/(l+ jkj), Im [k] 20, which was estab-
lished by Levin [I451 to prove gl square integrable “over real
k.” Thisbound,theanalyticity of gl in k, andthe Paley- Thus fromaknowledge of or in,$ ( x ) can be calculated.
Wiener theorem are sufficient to establishg,(x, y) = 0 for y <x. Equation(D.lOa) follows directly from the hyperbolic.
Inverting(D.5) yields equation(D.9a). T o see this,changevariablesfrom ( x , y)
to ( { = z + y , q = y - x ) . In these “characteristic coordinates”
gl(x, k) = !-:&(x, y)eqVdy. (D.9a) becomes

From the definition of gl in (D.6) and the fact that gl(x, y)

vanishes for y < x , we obtain the important representation of
fl(Z, k): For fixed {, integrate 7 over [-e, e] and take the limit as
1478 PROCEEDINGS OF THE IEEE, OCTOBER 1973

e+O+ to obtain When x < y , we can use the Cauchy integral theorem to
evaluate the left-hand side,of (D.16) by completing the con-
(D.12) tour in the upperhalf of the k plane: i t can be shown that the
'arc of infinite radius" doesnot contribute. Nowfe(x, k) is ana-
lytic in the open upper half plane (Im [ k ] > O ) and T ( k ) is
or analyticthereexcept forsimplepolesontheimaginary k
axis. These poles lie a t k =iKn and correspond to the bound
state energies E,, = - K , , ~ . Since the correspondingresidues
play a fundamental role in the evaluation of the contour inte-
which is equivalent to (D.lOa). Thus we need a formula for gral, we will discuss the poles of T ( k ) in some detail. First we
!,(x, y) or & ( X , y) in terms of the scattering data in order to establish that the poles do indeed occur at the bound state
traverse path c of Fig. 8. energies.Webegin byobtainingan expressionfor T ( k ) in
A rather direct method for obtaining this equation begins terms of thesolutions (f1, f~).'Equation(D.14),together
with the 'physical" wave function # ( x , k) = T ( k ) f 2 ( x ,k) ex- with its derivative with respect to x , yields two linear equa-
pressed interms of thetwolinearlyindependentsolutions tions for T ( k ) and R ( k ) :
f i ( x , k) andfl(x, -k). Thus

where i t isclearfrom theboundaryconditions(V.ASa), which can be solved for the transmission coefficient as
(D.la), and (D.lb) that T ( k ) and R ( k ) are the appropriate
coefficients.
Consider thescattering problemshown inFig. 9. I t is
obvious from physical considerations that, as the energy (and
thus K) approaches infinity, where W ( a , b ) is the Wronskian of two functions, a and b,
defined as (ab, -a,b). The numerator of (D.17) can be evalu-
T ( k ) + 1, as k m ated as -2ik at x = +
m . Thus (D.17) becomes
R ( k ) +o.
In fact, these limits are approached rapidly enough to insure
existence of the following Fourier transforms:
and the poles of T ( k ) occur at zeros of W [ f i ( x ,k), f2(x, k)].
1 "
p(y) = -J-" [ T ( k ) - l]e-*vdk
2*
(D.15a)
Let KO denote such a zero in the upper half k plane. Then
Wlfl(x, KO), f d x , ko)] =0, which implies f l ( z , ko) =c(ko)fz(x,
ko). Consider the behavior of fl and fs as I x I m . From ++
1 "
~ ( y=
) -J-" R(k)e*dk.
2*
(D.15b)
(D.la) and (D.lb) we have
f(x, ko) =f1(z,KO) ~ i z Pol .e-z b [W , asx++ m
We already know that the Fourier transforms of gl =fl-e* KO)
= Cfs(x, = Ce-k BO] e+z h], as x + - m .
and gz=f~-e-* exist. TakingtheFouriertransform of
(D.14), after adding obvious terms, we obtain As long as Im [ko]>0, these equations showf(x,KO) decays ex-
ponentially as [ x / + + 00 : therefore, f(z, KO) is a bound state
with eigenvalue (-ko*) for the Schriidinger equation (V.A.3).
But this Schrodinger equation is self-adjoint, implying (-ko*)
is positive or KO is purely imaginary. All poles of T ( k ) occur
a t k = i w , ( n = 1 , . . * , A').
The residue for the left-hand integral of (D.16) at k =kn
can be written as
m,
Res [iK.] = -- e-cwfl(x, i~,,) (D.19a)
2*i
whereO

?& [J-.fi'(d,
00

iKn)dZ']'. (D.19b)

Usingtheseresidues, (DSa), and the facts gl(x, y) = O for

x >y and g&, y) = 0 for x <y, to evaluate (D. 16), yields

9 In evaluating this residue, itis useful to know theidentity

Wvd- 00, k ) , f 1 ( - m , i r ; ) ] = ( k ~ + r . 3 / ~ f ( % ' ,k)fl(z', &)&'. I t maybe
obtained by calculating d W / & and using the Schriidinger equation
(V.A.3).
SCOTT et al. : THE SOLITON 1479

h ( x , r>+ K ( x + r> V O ~ .13, pp. 1001-1005, July 1972.

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Theoretical andExperimentalStudies of Lattice Solitonsin

Nonlinear Lumped Networks
RYOGO HIROTA AND KIM10 SUZUKI

Absttuct-We have observed, by using a nonlinear lumped LC a weakly nonlinear lattice, was undertaken by Zabusky and
network, the fundamental propertiesof solitons indicated by Zabtlsky
Kruskal [2]. They discovered, by a computer simulation, the
and Kraslcal, where I) an initial pulselike disturbance breaks into
formation of stable nonlinear dispersive wave entities, which
many solitons, 2) a soliton of high amplitude travels faster than one
they called
of low amplitude, and 3) solitons preserve their identities after in- The
numerical
observations of F P U
teracting with each other nonlinearly. could be explained, according to their computer experiments,
Some of the fundamentalproperties of solitons areexplained by the existence of solitons which have the following unique
physically in terms of properties of the nonlinear LC network, and
properties.
are demonstrated mathematically by establishing analytical expres-
1) A wavepacket at any givenpositiondissolves into
sions for solitons in a particular network.
many solitons each of which travels at its own velocity.
I . INTRODUCTION 2) A soliton of high amplitude travels faster than one of
N T H E C O U R S Eof a numerical study of the ergodicity low amplitude.
IC of a weakly nonlinearlattice,Fermi,Pasta,and Ulam 3) Solitons pass through one another without losing their
(FPU) [l]found a recurrence phenomenon. For a variety identities. During the overlap time interval their joint am-
of sinusoidal initial conditions, they observed that the energy plitude decreases.
was shared only among the lowest modes of the system and Extended analysis of the KdV equation has been under-
after a sufficiently long time almost all the energy returned to taken by various authors [3]-[7].
the initial state.A related numerical study of the Korteweg-de Meanwhile,Toda successfully obtainedanalyticalsolu-
Vries (KdV) equation, which is an asymptotic equation for tions of the equation of motion in an anharmonic one-dimen-

Manuscript received August 14, 1972;revised March 6, 1973. 1 See a review of the “soliton” problem by A. C. Scott, F. Y.F. Chu,
The authors are with RCA Research Laboratories. Inc.. P.O. Box and D. W. McLaughlin, entitled “The soliton-A new concept inapplied
5151, Tokyo International 100-31, Japan. science,” this iclsue, pp. 1443-1483.