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# Asymptotic Dynamics of Nonlinear Schrödinger Equations with Many Bound States

## 1 Introduction

Consider the nonlinear Schrödinger equation

$$i_t\psi =(\mathrm{\Delta }+V)\psi +\lambda |\psi |^2\psi ,\psi (t=0)=\psi _0,$$
(1.1)
where $`V=V(x)`$ is a smooth localized real potential, $`\lambda =\pm 1`$ and $`\psi =\psi (t,x):\times ^3`$ is a wave function. For any solution $`\psi (t)H^1(^3)`$ the $`L^2`$-norm and the Hamiltonian

$$[\psi ]=\frac{1}{2}|\psi |^2+\frac{1}{2}V|\psi |^2+\frac{1}{4}\lambda |\psi |^4dx$$
(1.2)
are constant for all $`t`$. The global well-posedness for small solutions in $`H^1(^3)`$ can be proven using these conserved quantities and a continuity argument, no matter what the sign of $`\lambda `$ is. We assume that the linear Hamiltonian $`H_0:=\mathrm{\Delta }+V`$ has $`N+1`$ simple eigenvalues $`e_0<e_1<\mathrm{}<e_N`$ with normalized eigenvectors $`\varphi _k`$, $`k=0,1,\mathrm{},N`$, where $`N2`$. These eigenvalues are assumed to satisfy some resonance conditions to be specified later on. The nonlinear bound states to the Schrödinger equation (1.1) are solutions to the equation

$$(\mathrm{\Delta }+V)Q+\lambda |Q|^2Q=EQ,$$
(1.3)
for some $`E`$. They are critical points to the Hamiltonian $`[\psi ]`$ defined in (1.2) subject to the constraint of fixed $`L^2`$-norm. For any nonlinear bound state $`Q=Q_E(x)`$, the function $`\psi (t,x)=Q(x)e^{iEt}`$ is an exact solution to the nonlinear Schrödinger equation (1.1). We may obtain $`N+1`$ families of such nonlinear bound states by standard bifurcation theory, corresponding to the $`N+1`$ eigenvalues of the linear Hamiltonian. For any $`E`$ sufficiently close to $`e_0`$ so that $`Ee_0`$ and $`\lambda `$ have the same sign, there is a unique positive solution $`Q=Q_E`$ to (1.3) which decays exponentially as $`x\mathrm{}`$. We call this family the nonlinear ground states and we refer to it as $`\left\{Q_E\right\}_E`$. Similarly, for each $`k>0`$ there is a nonlinear excited state family $`\left\{Q_{k,E_k}\right\}_{E_k}`$ for $`E_k`$ near $`e_k`$. These solutions are small and $`Q_{k,E_k}|E_ke_k|^{1/2}`$. See Lemma 2.1.

Our goal is to understand the long-time dynamics of the solutions at the presence of nonlinear bound states. One first considers the stability of nonlinear ground states. There are two different concepts: orbital stability and asymptotic stability. It is well-known that nonlinear ground states are orbitally stable in the sense that the difference

$$\underset{\mathrm{\Theta },E}{inf}\psi (t)Q_Ee^{i\mathrm{\Theta }}_{L^2(^3)}$$

remains small for all time $`t`$ if it is initially small. On the other hand, one expects that the difference actually approaches zero locally, as the majority of the difference is a dispersive wave which escapes to infinity. Hence one expects that it is asymptotically stable in the sense that

$$\psi (t)Q_{E(t)}e^{i\mathrm{\Theta }(t)}_{L_{\mathrm{loc}}^2}0$$

as $`t\mathrm{}`$, for a suitable choice of $`E(t)`$ and $`\mathrm{\Theta }(t)`$. Here $`_{L_{\mathrm{loc}}^2}`$ denotes a local $`L^2`$ norm, a precise choice will be made later on in (1.8). One also wants to determine the decay rate and whether $`E(t)`$ has a limit. A more difficult problem, which one studies next, is the asymptotic dynamics of the solutions when the initial data are away from nonlinear ground states. As in the previous problem, one wants to identify their local behavior.

If $`\mathrm{\Delta }+V`$ has only one bound state, i.e., with no excited states, the asymptotic stability is proved in . The solution eventually settles down to some ground state $`Q_E_{\mathrm{}}`$ with $`E_{\mathrm{}}`$ close to $`E`$ and the local difference is bounded by $`Ct^{3/2}`$, as the decay rate of the free evolution $`e^{it\mathrm{\Delta }}`$. This result is extended in  to all small initial data, not necessarily near ground states. See also .

Suppose $`\mathrm{\Delta }+V`$ has two bound states. We proved in  that the evolution with initial data $`\psi _0`$ near some $`Q_E`$ will eventually settle down to some ground state $`Q_E_{\mathrm{}}`$ with $`E_{\mathrm{}}`$ close to $`E`$. The local difference is, however, only bounded by $`Ct^{1/2}`$ due to the persistence of the excited state. The key mechanism here is the resonance decay of the excited state due to resonance with the continuous spectrum. See  for an one dimensional equation,  its extension to higher dimensions, and  for real-valued nonlinear Klein-Gordon equations.

The problem becomes more delicate when the initial data are away from ground states. Based on physical intuition, one expects that all solutions near excited states decay to ground states unless initially they are exactly excited states. However, we proved  that there exists a family of “finite co-dimensional manifolds” in the space of initial data so that the dynamics asymptotically converge to some excited states. Outside a small neighborhood of these manifolds, the asymptotic profiles are given by some ground states . We further showed  that there are exactly three asymptotic profiles: vacuum, excited states or ground states. The last problem is also considered in . Earlier works concerning related linear analysis were obtained in .

In this paper, we extend the results in  to the case when $`\mathrm{\Delta }+V`$ has three or more bound states.

Our assumptions on the operator $`\mathrm{\Delta }+V`$ are as follows:

Assumption A0: $`\mathrm{\Delta }+V`$ acting on $`L^2(^3)`$ has $`N+1`$ simple eigenvalues $`e_0<e_1<\mathrm{}<e_N<0`$, $`N2`$, with normalized eigenvectors $`\varphi _0,\mathrm{},\varphi _N`$.

Assumption A1: $`V(x)`$ is a real-valued function. For $`\lambda Q_E^2`$ sufficiently small, the bottom of the continuous spectrum to $`\mathrm{\Delta }+V+\lambda Q_E^2`$, $`0`$, is not a generalized eigenvalue, i.e., not an eigenvalue nor a resonance. Also, we assume that $`V`$ satisfies the assumption in  so that the $`W^{k,p}`$ estimates $`k2`$ for the wave operator $`W_{H_0}=lim_t\mathrm{}e^{itH_0}e^{it\mathrm{\Delta }}`$ hold for $`k2`$, i.e., there is a small $`s_1>0`$ such that,

$$|^\alpha V(x)|Cx^{5s_1},\text{for }|\alpha |2.$$

Also, the functions $`(x)^kV`$, for $`k=0,1,2,3`$, are $`\mathrm{\Delta }`$ bounded with a $`\mathrm{\Delta }`$ bound less than $`1`$:

$$(x)^kV\varphi _2s_2\mathrm{\Delta }\varphi _2+C\varphi _2,s_2<1,k=0,1,2,3.$$

Assumption A2: Resonance condition. Denote $`e_{k0}=e_ke_0`$. We assume that

$$e_0<2e_1.$$
(1.4)
Hence $`2e_{k0}>|e_0|`$ for all $`k>0`$. We further assume that, for some small $`s_0>0`$,

$$\gamma _0\underset{\stackrel{1kN}{|s|<s_0}}{inf}\underset{r0+}{lim}Im(\varphi _0\varphi _k^2,\frac{1}{\mathrm{\Delta }+V+e_02e_ksri}𝐏_\mathrm{c}\varphi _0\varphi _k^2)>0.$$
(1.5)
Assumption A3: No-resonance condition. Let $`j_{\text{max}}=3`$. For all $`j=2,\mathrm{},j_{\text{max}}`$ and for all $`k_1,\mathrm{},k_j,l_1,\mathrm{},l_j\{0,\mathrm{},N\}`$ with $`\{k_1,\mathrm{},k_j\}\{l_1,\mathrm{},l_j\}`$ as sets with multiplicities, (e.g., $`\{0,0,1\}\{0,1,1\}`$),

$$e_{k_1}+\mathrm{}+e_{k_j}e_{l_1}+\mathrm{}+e_{l_j}.$$
(1.6)
Assumption A1 contains some standard conditions to assure that most tools for linear Schrödinger operators apply. These conditions are certainly not optimal. (For example, it is sufficient to assume $`0`$ is not a resonance or eigenvalue of $`H_0`$, which implies the same statement for $`\mathrm{\Delta }+V+\lambda Q^2`$. See .) The main assumption in A2 is the condition $`e_0<2e_1`$. Since the expression for $`\gamma _0`$ is quadratic, it is non-negative and $`\gamma _0>0`$ holds generically. The condition $`e_0<2e_1`$ states that the energies of the excited states are closer to the continuum spectrum than to the ground state energy. It guarantees that, for each $`k>0`$, $`2e_ke_0>0`$ becomes a resonance in the continuum spectrum of $`H_0`$. ($`H_0+e_02e_k`$ is not invertible in $`L^2`$.) This resonance produces the main relaxation/growth mechanism. If this condition fails, the resonance occurs in higher order terms and a proof of relaxation will be much more complicated. Also, the rate of decay will be different. Assumption A3 is a new condition to avoid direct resonance between the eigenvalues. It is trivial if $`N=0,1`$. It holds true generically and is often seen in dynamical systems of ODE’s. See Example 2 at the end of this section for what may happen if this assumption fails. If we relax the assumption $`e_0<2e_1`$, we may need to increase $`j_{\text{max}}`$.

Denote by $`L_r^2`$ the weighted $`L^2`$ spaces ($`r`$ may be positive or negative),

$$L_r^2(^3)=\{\varphi L^2(^3):(1+x^2)^{r/2}\varphi L^2(^3)\}.$$
(1.7)
Fix $`r_1>3`$ large enough, to be determined by estimates (2.5) and (2.30). We denote by $`L_{\mathrm{loc}}^p`$, $`p=1,2`$, the local $`L^p`$ spaces given by the norm

$$\varphi _{L_{\mathrm{loc}}^p(^3)}\left\{_^3(1+|x|)^{2r_1}|\varphi |^pd^3x\right\}^{1/p}.$$
(1.8)
Now we are ready to state our main theorem.

###### Theorem 1.1

Suppose the assumptions A0–A3 on $`H_0=\mathrm{\Delta }+V`$ hold and let $`ϵ>0`$ be any small constant. There is a small constant $`n_0>0`$ such that the following holds. Let $`\psi (t,x)`$ be a solution of (1.1) with initial data $`\psi _0`$ decomposed as

$$\psi _0=x_0^0\varphi _0+x_1^0\varphi _1+\mathrm{}+x_N^0\varphi _N+\xi _0$$

with respect to $`H_0`$, where $`x_k^0`$, $`k=0,1,\mathrm{},N`$, and $`\xi _0𝐇_\mathrm{c}(H_0)`$. Suppose that

$$\psi _0_Y=n,0<nn_0,|x_0^0|n^{3ϵ},\xi _0_Yn/2,$$
(1.9)
where $`Y`$ is the space for initial data,

$$YH^1L^1(^3).$$
(1.10)
Then there exists an $`E_{\mathrm{}}`$ with $`Q_E_{\mathrm{}}_{L^2}n`$ and a real function $`\mathrm{\Theta }(t)=E_{\mathrm{}}t+O(\mathrm{log}t)`$ such that

$$\psi (t)Q_E_{\mathrm{}}e^{i\mathrm{\Theta }(t)}_{L_{\mathrm{loc}}^2}C_2(1+t)^{1/2},$$
(1.11)
for some constant $`C_2>0`$ depending on $`n`$. Suppose, furthermore, $`\mathrm{max}_{k=1}^N|x_k^0|n/100`$, we also have a lower bound

$$\psi (t)Q_E_{\mathrm{}}e^{i\mathrm{\Theta }(t)}_{L_{\mathrm{loc}}^2}C_1(1+t)^{1/2},$$
(1.12)
for some constant $`C_1>0`$ depending on $`n`$.

The condition $`|x_0^0|n^{3ϵ}`$ is certainly not optimal and can be greatly relaxed. It ensures that $`\psi _0`$ is away from nonlinear excited states and that the dispersion component, $`\xi _0`$, is not extremely large compared with $`x_0^0`$. This condition, however, still allows the ground state component to be much smaller than other components and exhibit the main phenomena.

Depending on the relative sizes of the bound states, there are three regimes:

1. when an excited state is dominant;
2. when the ground state and the excited states are comparable;
3. when the ground state is dominant.

Because the dominant terms are different in different regimes, the natural linear operators and the corresponding decompositions of the wave function are different. In regime II we can use $`H_0`$ as the linear operator and decompose a function $`\psi L^2`$ as

$$\psi =x_0\varphi _0+\mathrm{}+x_N\varphi _N+\xi ,$$
(1.13)
with $`x_k`$ and $`\xi 𝐇_\mathrm{c}(H_0)`$. When the function $`\psi `$ is close to a nonlinear ground state $`Q_E`$, i.e., in regime III, it is natural to use $`=_E`$, the linearized operator around $`Q_E`$,

$$h=i\left\{(\mathrm{\Delta }+VE+2\lambda Q^2)h+\lambda Q^2\overline{\text{}h}\right\},$$
(1.14)
and decompose the wave function according to the spectral decomposition with respect to $``$. Notice that $``$ is not self-adjoint. Similarly, we can use linearized operators around excited states in regime I.

The picture of the dynamics is as follows. Suppose the ground state component is initially of order $`n^{3ϵ}`$ and the solution is in regime II. The ground state component will gradually grow while the excited states gradually decay, until the solution enters regime III, i.e., when the ground state component becomes much larger than other components. This time interval is called the transition regime. After entering regime III, the solution will converge locally to some nonlinear ground state as time tends to infinity, with the excited state components vanishing and the dispersion component escaping to infinity. This time interval is called the stabilization regime.

As indicated above, we will use different operators and coordinate systems for these two regimes. Besides technical problems associated with changing coordinate systems, there is an intrinsic difficulty related to the time reversibility of the Schrödinger equations; It is not sufficient to control only the usual Sobolev space norms at the time of coordinates changing. To overcome this difficulty, we will use a concept introduced in , the out-going estimates, to capture the time-direction sensitive information of the dispersive waves.

As it will be seen from examples below, there are energy transfers from higher modes to lower modes. Although all excited states eventually vanish, in an intermediate time an excited state may actually grow because it gains more energy than it loses. This complicates the analysis: one cannot prove the decay of each individual excited state for all time. Instead, we have derived some monotonicity formulas for their sum, see (4.57). Because the energy transfer between excited states is relatively small in the stabilization regime, the phenomenon mentioned above is only apparent in the transition regime.

We now give two examples illustrating some phenomena of many bound states, in particular the relaxation/growth mechanism. We first recall the concept of phase factor. In our analysis it is essential to identify the main oscillation factors of various terms. If we decompose the solution $`\psi (t)`$ according to (1.13), the equation for a component $`x_k(t)`$ is

$$i\dot{x}_k=e_kx_k+(\varphi _k,\lambda \psi ^2\overline{\psi }).$$
(1.15)
From the linear part we find that $`x_k(t)`$ has an oscillation factor $`e^{ie_kt}`$. We write $`x_k(t)=e^{ie_kt}u_k(t)`$ and say that its phase factor is $`e_k`$. We will talk about phase factors of polynomials in $`x_k`$ in a similar way. For example, the phase factor of $`x_lx_m\overline{x}_j`$ is $`e_le_m+e_j`$.

Example 1. Three bound states case in transition regime

Suppose $`H_0`$ has three bound states and denote $`x(t)=x_0(t)`$, $`y(t)=x_1(t)`$ and $`z(t)=x_2(t)`$. The leading terms of $`\xi `$ are generated by bound states and are cubic in $`x_j`$. Those with resonant coefficient functions, i.e., those with negative phase factors, give the relevant part of $`\xi `$,

$$\xi =(y^2+z^2+yz)\overline{x}+z^2\overline{y}+\mathrm{}$$
(1.16)
Here we have ignored their coefficient functions, which are non-local and complex because of the resonance with the continuous spectrum. Denote $`\chi =_{j=0}^Nx_j\varphi _j=x\varphi _0+y\varphi _1+z\varphi _2`$. The main terms of (1.15) for $`x_k`$ are

$$i\dot{x}_k=e_kx_k+(\varphi _k,\lambda \chi ^2\overline{\xi }+2\lambda \chi \overline{\chi }\xi )+\mathrm{},$$
(1.17)
where $`\mathrm{}`$ denotes irrelevant terms. Substituting (1.16) into (1.17), we get

$`\dot{x}`$ $`=\left[\gamma _{22}^0|z|^4+4\gamma _{12}^0|y|^2|z|^2+\gamma _{11}^0|y|^4\right]x+\mathrm{}`$
$`\dot{y}`$ $`=\left[\gamma _{22}^1|z|^44\gamma _{12}^0|x|^2|z|^22\gamma _{11}^0|x|^2|y|^2\right]y+\mathrm{}`$ (1.18)
$`\dot{z}`$ $`=\left[2\gamma _{22}^0|x|^2|z|^24\gamma _{12}^0|x|^2|y|^22\gamma _{22}^1|y|^2|z|^2\right]z+\mathrm{}`$
Here $`\mathrm{}`$ denotes irrelevant and error terms; $`\gamma _{11}^0`$, $`\gamma _{12}^0`$, $`\gamma _{22}^0`$ and $`\gamma _{22}^1`$ are non-negative constants to be defined later in (4.26). These constants (except $`\gamma _{22}^1`$, depending on whether $`e_12e_2<0`$) are generically positive. They are the nonlinear analogue of the Fermi golden rule, extensively studied in, e.g., . The irrelevant terms have two kinds. The first kind consists of terms with different phase factors. They have few effect averaging over time and can be removed using a normal form procedure, see Lemma 4.2. The second kind consists of terms with same phase factors but with purely imaginary coefficients. They only contribute to the phase of $`x_k`$, not to the magnitude. To illustrate further, let us assume $`\gamma _{11}^0=\gamma _{12}^0=\gamma _{22}^0=\gamma _{22}^1=1`$ and denote $`A=|x|^2`$, $`B=|y|^2`$, $`C=|z|^2`$. By (1.18) we have

$$\begin{array}{cc}\hfill \dot{A}/2& =4ABC+AB^2+AC^2+\mathrm{}\hfill \\ \hfill \dot{B}/2& =4ABC2AB^2+BC^2+\mathrm{}\hfill \\ \hfill \dot{C}/2& =4ABC2AC^22BC^2+\mathrm{}\hfill \end{array}$$
(1.19)
where $`\mathrm{}`$ denotes irrelevant terms. Although the above system is accurate only in the transition regime, corresponding equations for other regimes are similar. From (1.19) we can read the energy transfers from higher modes to lower modes. Only half of the energy decrease in a higher mode goes to lower modes, while the other half goes to dispersion (radiation). The lowest mode (ground state) is only receiving energy while the highest mode ($`x_N`$) is only losing energy. The intermediate modes receive energy from higher modes and release energy to lower modes and radiation.

Richer phenomena occur when the constants $`\gamma _{lm}^j`$ have different sizes. For example, suppose $`\gamma _{22}^1`$ is much larger than other constants and initially the energy is concentrated in the third mode $`z`$. Then the second mode $`y`$ will first grow exponentially, acquiring energy from $`z`$, and then gradually decay. Another phenomenon to be noticed is the interaction between three modes, the $`ABC`$ terms in (1.19). They have the same coefficients $`\pm 4\gamma _{12}^0`$ in (1.18). Hence this interaction is more apparent when $`\gamma _{12}^0`$ is much larger than other coefficients. This phenomenon is present only for many bound states case, $`N2`$.

Example 2. No-resonance assumption A3 violated

Still assume $`e_0<2e_1`$ and three bound states. The only possibility for assumption A3 to fail is

$$e_0+2e_2=3e_1.$$
(1.20)
An example is $`e_0=10`$, $`e_1=4`$ and $`e_2=1`$. Note that

$$e_12e_2=e_02e_1<0.$$
(1.21)
Hence $`\gamma _{22}^1`$ is generically positive. Because of (1.20), when we substitute (1.16) into (1.17) we get new resonant terms in (1.18):

$`\dot{x}`$ $`=[\mathrm{}]x+y^2\overline{\text{}(z^2\overline{y})}+\mathrm{}`$
$`\dot{y}`$ $`=[\mathrm{}]y+z^2\overline{\text{}(y^2\overline{x})}+x\overline{y}(\overline{y}z^2)+\mathrm{}`$ (1.22)
$`\dot{z}`$ $`=[\mathrm{}]z+y\overline{z}(\overline{x}y^2)+\mathrm{}`$
The first group of terms on the right side are those in (1.18). The cubic terms in the parentheses $`()`$ are from (1.16). For example, $`y^2\overline{\text{}(z^2\overline{y})}`$ has the phase factor $`2e_1(2e_2+e_1)=e_0`$, the same as $`x`$, due to (1.20). Although these new terms on the right side have the same phase factors as the left side, their phases are not exactly the same. Moreover, their coefficients are not quadratic and it is unclear how to determine their signs. Hence it is difficult to predict the dynamics of this system.

## 2 Preliminaries

We first fix the notation. Let $`H^k`$ denote the Sobolev spaces $`W^{k,2}(^3)`$. The weighted Sobolev space $`L_r^2(^3)`$ is defined in (1.7). Denote by $`𝐜𝐨𝐧𝐣`$ the conjugation operator. The $`L^2`$ inner product $`(,)`$ is

$$(f,g)=_^3\overline{f}gd^3x.$$
(2.1)
For a function $`\varphi L^2`$, denote by $`\varphi ^{}`$ the $`L^2`$-subspace $`\{gL^2:(\varphi ,g)=0\}`$.

In what follows we collect some facts about nonlinear bound states and linear analysis. Their proofs can be found in . Although the proofs there are for two bound states case, the proofs for the many bound states case are the same.

### 2.1 Nonlinear bound states

Recall that nonlinear bound states of the equation (1.1) are solutions of (1.3). They are critical points of the energy functional $`[\psi ]`$ defined in (1.2), subject to the constraint of fixed $`L^2`$-norm. For each such solution $`Q_E`$, the function $`\psi (t,x)=Q_E(x)e^{iEt}`$ is an exact solution of (1.1). Since we have $`N+1`$ simple eigenvalues, we have $`N+1`$ families of corresponding nonlinear bound states. The existence and basic properties of these nonlinear bound states are summarized in the following lemma. They are proven in  using a contraction mapping argument.

###### Lemma 2.1

Suppose $`\mathrm{\Delta }+V`$ satisfies assumptions A0–A1. Let $`n_0`$ be sufficiently small. For each eigenvalue $`e_k`$ with normalized bound state $`\varphi _k`$, $`k=0,1,\mathrm{},N`$, there is a family of nonlinear bound states $`\left\{Q_{k,E_k}\right\}_{E_k}`$ to (1.1) for $`E_k`$ between $`e_k`$ and $`e_k+\lambda n_0^2`$ such that $`Q_{k,E_k}`$ are real, localized, smooth, and $`\lambda ^1(E_ke_k)>0`$,

$$Q_{k,E_k}=n\varphi _k+h,h\varphi _k,h=O(n^3)\text{ in }H^2,$$

where $`n=[(E_ke_k)/(\lambda \varphi _k^4𝑑x)]^{1/2}`$. Moreover, we have $`_{E_k}Q_{k,E_k}=O(n^2)Q_{k,E_k}+O(n)=O(n^1)`$, and $`_E^2Q_{k,E}=O(n^3)`$. For ground states we will drop the subscript and write $`Q_E`$ and $`R_E=_EQ_E`$. We have $`R_E=Cn^2Q_E+O(n)`$. If we define $`c_1(Q_E,R_E)^1`$, we have $`c_1=O(1)`$ and $`\lambda c_1>0`$.

The following lemma summarizes the renormalization results near ground states. They are proven in  using implicit function theorem. The $`L^2`$-subspace $`M=M_E`$ will be defined in Lemma 2.4 (8).

###### Lemma 2.2

Let $`Y_1=Y`$, defined in (1.10), or $`Y_1=L_{\mathrm{loc}}^2`$, defined in (1.8). There are small constants $`n_0>0`$ and $`\epsilon _0>0`$ such that the following hold. Suppose $`\psi Y_1`$ is close to a nonlinear ground state $`Q_Ee^{i\mathrm{\Theta }}`$ with $`\psi _{Y_1}=n`$, $`\psi Q_Ee^{i\mathrm{\Theta }}_{Y_1}\tau n`$, $`0<nn_0`$, $`0<\tau \epsilon _0`$.

(1) There are unique small $`a,\theta `$ and $`hM_E`$ such that

$$\psi =\left[Q_E+aR_E+h\right]e^{i(\mathrm{\Theta }+\theta )}.$$
(2.2)
Moreover, $`Q_E_{Y_1}n`$, $`a=O(\tau n^2)`$, $`h=O(\tau n)`$ and $`\theta =O(\tau )`$.

(2) (best approximation) There is a unique $`E_{}`$ near $`E`$ such that the component along the $`R_E_{}`$ direction as defined by (2.2) vanishes, i.e., there are unique small $`\theta _{}`$ and $`h_{}M_E_{}`$ such that

$$\psi =\left[Q_E_{}+h_{}\right]e^{i(\mathrm{\Theta }_1+\theta _{})}.$$

Moreover, $`EE_{}=O(\tau n^2)`$, $`h_{}=O(\tau n)`$ and $`\theta _{}=O(\tau )`$.

(3) Suppose $`E^{}=E+\gamma `$ with $`|\gamma |\tau ^2n^2`$. By part (1) we can rewrite $`\psi `$ uniquely with respect to $`E^{}`$ as

$$\psi =\left[Q_E^{}+a^{}R_E^{}+h^{}\right]e^{i(\mathrm{\Theta }+\theta ^{})},$$

where $`h^{}M_E^{}`$; $`h^{}`$, $`a^{}`$ and $`\theta ^{}`$ are small. We have the estimates

$$E+aE^{}a^{}=O(\tau \gamma ),hh^{}=O(n^1\tau \gamma ),\theta \theta ^{}=O(n^2\tau \gamma ).$$
(2.3)
Notice that $`n^2\tau \gamma C\epsilon _0^3`$ is small.

### 2.2 Linear analysis

We first recall some local decay estimates for $`e^{itH_0}`$. The decay estimate (2.4) is proved in  using estimates in . The estimate (2.5) is taken from . The estimate (2.5) holds only if we take $`r0+`$, not $`r0`$.

###### Lemma 2.3 (decay estimates for $`e^{itH_0}`$)

Suppose that $`H_0=\mathrm{\Delta }+V`$ satisfies the Assumptions A0–A2. For $`q[2,\mathrm{}]`$ and $`q^{}=q/(q1)`$,

$$e^{itH_0}𝐏_\mathrm{c}\varphi _{L^q}C|t|^{3\left(\frac{1}{2}\frac{1}{q}\right)}\varphi _{L^q^{}}.$$
(2.4)
For sufficiently large $`r_1`$, for all $`k,l,m\{0,\mathrm{},N\}`$, we have

$$\underset{r0+}{lim}x^{r_1}\frac{e^{itH_0}}{(H_0+e_ke_le_mri)}𝐏_\mathrm{c}x^{r_1}\varphi _{L^2}Ct^{3/2}\varphi _{L^2}.$$
(2.5)
We now consider the linearized operators around nonlinear ground states. Let $`Q=Q_E`$ be a nonlinear ground state with $`Q_E_{L^2}`$ small. If we consider solutions $`\psi (t,x)`$ of (1.1) of the form

$$\psi (t,x)=\left[Q_E(x)+h(t,x)\right]e^{iEt},$$

with $`h(t,x)`$ small in a suitable sense, then $`h(t,x)`$ satisfies

$$_th=h+\text{nonlinear terms,}$$

where the linearized operator $`=_E`$ is defined by

$$h=i\left\{(\mathrm{\Delta }+VE+2\lambda Q^2)h+\lambda Q^2\overline{\text{}h}\right\}.$$
(2.6)
The properties of $``$ are best understood in the complexification of $`L^2(^3,)`$.

###### Definition 2.1

Identify $``$ with $`^2`$ and $`L^2=L^2(^3,)`$ with $`L^2(^3,^2)`$. Denote by $`L^2=L^2(^3,^2)`$ the complexification of $`L^2(^3,^2)`$. $`L^2`$ consists of 2-dimensional vectors whose components are in $`L^2`$. We have the natural embedding

$$𝐣:fL^2\left[\begin{array}{c}Ref\\ Imf\end{array}\right]L^2.$$

We equip $`L^2`$ with the natural inner product: For $`f,gL^2`$, $`f=\left[\begin{array}{c}f_1\\ f_2\end{array}\right]`$, $`g=\left[\begin{array}{c}g_1\\ g_2\end{array}\right]`$, we define

$$((f,g))=_^3\overline{f}gd^3x=_^3(\overline{f}_1g_1+\overline{f}_2g_2)d^3x.$$
(2.7)
Denote by $`𝐑𝐄`$ the operator first taking the real part of functions in $`L^2`$ and then pulling back to $`L^2`$:

$$𝐑𝐄:L^2L^2,𝐑𝐄\left[\begin{array}{c}f\\ g\end{array}\right]=(Ref)+i(Reg).$$

We have $`𝐑𝐄𝐣=\mathrm{𝐢𝐝}_{L^2}`$.

The operator $``$ can be naturally extended to an operator acting on $`L^2`$ with the following matrix form:

$$\left[\begin{array}{cc}0& L_{}\\ L_+& 0\end{array}\right],\text{where }\{\begin{array}{cc}\hfill L_{}& =\mathrm{\Delta }+VE+\lambda Q^2\hfill \\ \hfill L_+& =\mathrm{\Delta }+VE+3\lambda Q^2.\hfill \end{array}$$
(2.8)
Recall the Pauli matrices

$$\sigma _1=\left[\begin{array}{cc}0& 1\\ 1& 0\end{array}\right],\sigma _2=\left[\begin{array}{cc}0& i\\ i& 0\end{array}\right],\sigma _3=\left[\begin{array}{cc}1& 0\\ 0& 1\end{array}\right].$$

They are self-adjoint. We have $`𝐑𝐄=𝐑𝐄`$ and

$$\sigma _1=^{}\sigma _1,\sigma _3=\sigma _3,$$
(2.9)
where $`^{}`$ has the matrix form $`\left[\begin{array}{cc}0& L_+\\ L_{}& 0\end{array}\right]`$.

We summarize the properties of $``$ in the following lemma, whose proof is the same as that in  and \[21, Theorem 2.1\]. For convenience of notation, we identify $`L^2`$ as a subspace of $`L^2`$ and make no difference between $`\psi L^2`$ and $`𝐣(\psi )L^2`$.

###### Lemma 2.4 (spectral properties)

Suppose the assumptions A0-A1 hold. Let $`Q=Q_E`$ be a nonlinear ground state, $`Q_E_{L^2}=n`$, $`0<nn_0`$. Let $`=_E`$ be defined as in (2.6).

(1) The eigenvalues of $``$ are $`0`$ and $`\pm i\omega _k`$, $`k=1,\mathrm{},N`$, where $`\omega _k=e_ke_0+O(n^2)`$ are real and positive. All eigenvalues are simple except $`0`$ which has multiplicity two. The continuous spectrum of $``$ is

$$\mathrm{\Sigma }_c=\{si:s,|s||E|\}.$$
(2.10)
There is no embedded eigenvalue. The bottoms of the continuous spectrum, $`\pm iE`$, are not eigenvalue nor resonance.

(2) The $`0`$-eigenspace is spanned by $`\left[\begin{array}{c}0\\ Q\end{array}\right]`$ and $`\left[\begin{array}{c}R\\ 0\end{array}\right]`$. Note $`\left[\begin{array}{c}0\\ Q\end{array}\right]=0`$ and $`\left[\begin{array}{c}R\\ 0\end{array}\right]`$ is a generalized $`0`$-eigenvector with $`\left[\begin{array}{c}R\\ 0\end{array}\right]=\left[\begin{array}{c}0\\ Q\end{array}\right]`$. We denote

$$S=\underset{}{span}\{\left[\begin{array}{c}0\\ Q\end{array}\right],\left[\begin{array}{c}R\\ 0\end{array}\right]\}L^2,(\text{or }S=\underset{}{span}\{iQ,R\}).$$

(3) For each eigenvalue $`i\omega _k`$, $`k=1,\mathrm{},N`$, there is an eigenvector $`𝚽_k`$ of the form $`𝚽_k=\left[\begin{array}{c}u_k\\ iv_k\end{array}\right]`$, where $`u_k`$ and $`v_k`$ are real-valued $`L^2`$-functions satisfying

$$L_+u_k=\omega _kv_k,L_{}v_k=\omega _ku_k,(u_k,v_k)=1.$$

Moreover, they are perturbations of $`\varphi _k`$: $`u_k,v_k=\varphi _k+O(n^2)`$. $`\overline{\text{}𝚽}_k=\left[\begin{array}{c}u_k\\ iv_k\end{array}\right]`$ is an eigenvector of $`i\omega _k`$. We denote the combined eigenspaces of $`\pm \omega _k`$ as

$$𝐄_k=\underset{}{span}\{𝚽_k,\overline{\text{}𝚽}_k\}L^2,𝐄_k=\underset{}{span}\{\left[\begin{array}{c}u_k\\ 0\end{array}\right],\left[\begin{array}{c}0\\ v_k\end{array}\right]\}L^2.$$

(4) The continuous spectrum subspace, $`𝐇_\mathrm{c}()`$, is equal to

$$𝐇_\mathrm{c}()=\{\psi L^2:((\sigma _1\psi ,f))=0,fS𝐄_1\mathrm{}𝐄_N\}.$$

(5) The space $`L^2(^3,)`$, as a real vector space, can be decomposed as the direct sum of $`N+2`$ $``$-invariant subspaces:

$$L^2(^3,)=S𝐄_1\mathrm{}𝐄_N𝐇_\mathrm{c}().$$
(2.11)
For any $`f`$ and $`g`$ belonging to two different invariant subspaces, we have the orthogonality relation

$$((\sigma _1f,g))=0.$$
(2.12)
(6) For any function $`\zeta _k𝐄_k`$, $`k=1,\mathrm{},N`$, there is a unique $`\alpha _k`$ so that

$$\zeta _k=𝐑𝐄\alpha _k𝚽_k.$$

Since $`𝐑𝐄=𝐑𝐄`$, we have

$$\zeta _k=𝐑𝐄i\omega _k\alpha _k𝚽_k,e^t\zeta _k=𝐑𝐄e^{ti\omega _k}\alpha _k𝚽_k.$$

(7) By the orthogonality relation (2.12), any $`\psi L^2`$ can be decomposed with respect to (2.11) as

$$\psi =aR+biQ+\underset{k=1}{\overset{N}{}}𝐑𝐄\alpha _k𝚽_k+\eta ,$$
(2.13)
with $`\eta 𝐇_\mathrm{c}()`$, $`\alpha _k=c_k+id_k`$,

$$\begin{array}{c}a=(Q,R)^1(Q,Re\psi ),\\ b=(Q,R)^1(R,Im\psi ),\end{array}\begin{array}{c}c_k=(u_k,v_k)^1(v_k,Re\psi ),\\ d_k=(u_k,v_k)^1(u_k,Im\psi ).\end{array}$$
(2.14)
Note $`(Q,R)^1=c_1=O(1)`$ and $`(u_k,v_k)^1=1`$.

(8) Let $`M=𝐄_1\mathrm{}𝐄_N𝐇_\mathrm{c}()`$. We have $`L^2(^3,)=SM`$ and $`M=\left[\begin{array}{c}Q^{}\\ R^{}\end{array}\right]`$. For $`m=0,1,2`$, there is a constant $`C>1`$ such that, for all $`\varphi MH^2`$ and all $`t`$, we have

$$C^1\varphi _{H^m}e^t\varphi _{H^m}C\varphi _{H^m}.$$
(2.15)
As in , in order to prove various estimates and make explicit computations, we will introduce an $`L^2`$-subspace $`𝐗`$ and two operators $`A:𝐗𝐗`$ and $`U:M𝐗`$ so that

$$|_M=U^1(i)AU.$$
(2.16)
Explicitly, let $`𝐗`$ be the $`L^2`$-subspace orthogonal to $`Q`$:

$$𝐗=\mathrm{\Pi }(L^2)=\{\varphi L^2(^3):\varphi Q\};𝐗\left[\begin{array}{c}Q^{}\\ Q^{}\end{array}\right],$$
(2.17)
where $`\mathrm{\Pi }`$ is the orthogonal projection which eliminates $`Q`$-direction: $`\mathrm{\Pi }h=h\frac{(Q,h)}{(Q,Q)}Q`$. Let $`P_M`$ be the projection (not orthogonal) from $`L^2`$ onto $`M`$ according to the decomposition $`L^2(^3)=SM`$. $`P_M`$ has the matrix form $`\left[\begin{array}{cc}P_1& 0\\ 0& P_2\end{array}\right]`$, where the projections $`P_1`$ and $`P_2`$ are given by ($`c_1=(Q,R)^1`$)

$$\begin{array}{cc}\hfill P_1& :L^2Q^{},P_1=\mathrm{𝐢𝐝}c_1|RQ|,\hfill \\ \hfill P_2& :L^2R^{},P_2=\mathrm{𝐢𝐝}c_1|QR|.\hfill \end{array}$$
(2.18)
Clearly $`P_1R=0`$ and $`P_2Q=0`$. One can check easily that the maps

$$R_{MX}\left[\begin{array}{cc}I& 0\\ 0& \mathrm{\Pi }\end{array}\right]:M𝐗,R_{XM}\left[\begin{array}{cc}I& 0\\ 0& P_2\end{array}\right]:𝐗M,$$
(2.19)
are inverse to each other. We now define $`H=L_{}`$ and

$$A\left[(H^2+H^{1/2}\mathrm{\Pi }2\lambda Q^2\mathrm{\Pi }H^{1/2})\right]^{1/2}=\left[H^{1/2}L_+H^{1/2}\right]^{1/2}.$$
(2.20)
$`A`$ is a self-adjoint operator acting in $`L^2(^3)`$, with $`Q`$ as a $`0`$-eigenvector. We shall often view $`A`$ as an operator restricted to its invariant subspace $`𝐗`$. Define

$$U_0:𝐗𝐗,U_0\left[\begin{array}{cc}A^{1/2}H^{1/2}& 0\\ 0& A^{1/2}H^{1/2}\end{array}\right],$$
(2.21)
and let

$$UU_0R_{MX}:M𝐗,U^1R_{XM}U_0^1:𝐗M.$$
(2.22)
Notice that $`H^{1/2}`$ is defined only in $`Q^{}`$. We summarize the properties of $`A`$ and $`U`$ in the following lemma.

###### Lemma 2.5 (Similarity relation)

(1) Let $`𝐗`$, $`A`$, $`U`$ and $`U^1`$ be defined as in (2.17), (2.20) and (2.22), respectively. Then (2.16) holds in $`M`$. If we denote by $`P_k^A`$, $`k=1,\mathrm{},N`$, and $`𝐏_\mathrm{c}^A`$ the orthogonal projections onto the eigenspaces and continuous spectrum subspace of $`A`$, we have

$$UP_k^{}=P_k^AUP_M,U𝐏_\mathrm{c}^{}=𝐏_\mathrm{c}^AUP_M.$$
(2.23)
(2) The operators $`U:M𝐗`$ and $`U^1:𝐗M`$ are bounded in $`W^{k,p}`$ and $`L_r^2`$ norms for $`k=0,1,2`$, $`1p<\mathrm{}`$, and $`|r|r_1`$. Here $`r_1>0`$ is determined by (2.30) later. The operator $`U1`$ is local and bounded by $`n^2`$, and hence so is $`[U,i]=[U1,i]`$, in the sense that

$$[U,i]\varphi _{L^1L^{5/4}}Cn^2\varphi _{L^5}.$$
(2.24)
We have

$$U=U_++U_{}𝐜𝐨𝐧𝐣,U^1=U_+^{}U_{}^{}𝐜𝐨𝐧𝐣,$$
(2.25)
where $`𝐜𝐨𝐧𝐣`$ is the conjugation operator with the Pauli matrix $`\sigma _3`$ as its matrix form, and the duals of $`U_+`$ and $`U_{}`$ are respect to the $`L^2`$ inner product (2.1). The operators $`U_+`$ and $`U_{}`$ are given by

$`U_\pm `$ $`={\displaystyle \frac{1}{2}}(\mathrm{\Pi }A^{1/2}H^{1/2}P_1\pm \mathrm{\Pi }A^{1/2}H^{1/2}\mathrm{\Pi }),`$ (2.26)
$`(U_\pm )^{}`$ $`={\displaystyle \frac{1}{2}}(P_2H^{1/2}A^{1/2}\mathrm{\Pi }\pm \mathrm{\Pi }H^{1/2}A^{1/2}\mathrm{\Pi }).`$ (2.27)
In particular, $`U_+=1+O(n^2)`$, $`U_{}=O(n^2)`$. They are not self-adjoint but they commute with $`i`$ and $`𝐜𝐨𝐧𝐣`$.

(3) For $`m=0,1,2`$, there is a constant $`C>1`$ so that

$$C^1\varphi _{H^m}e^{itA}\varphi _{H^m}C\varphi _{H^m},$$
(2.28)
for all $`\varphi 𝐗H^m`$ and all $`t`$. For $`q[2,\mathrm{}]`$ and $`q^{}=q/(q1)`$,

$$e^{itA}𝐏_\mathrm{c}^A\mathrm{\Pi }\varphi _{L^q}C|t|^{3\left(\frac{1}{2}\frac{1}{q}\right)}\varphi _{L^q^{}}.$$
(2.29)
For sufficiently large $`r_1>0`$ and for all $`k,l\{1,\mathrm{},N\}`$, we have

$$x^{r_1}e^{itA}\frac{1}{(A0i\omega _k\omega _l)}𝐏_\mathrm{c}^A\mathrm{\Pi }x^{r_1}\varphi _{L^2}Ct^{3/2}\varphi _{L^2},$$
(2.30)
where $`0i`$ means $`ri`$ with $`lim_{r0+}`$ outside of the norm. Finally,

$$\begin{array}{c}(\varphi _0\varphi _k^2,Im\frac{1}{A0i2\omega _k}𝐏_\mathrm{c}^A\mathrm{\Pi }\varphi _0\varphi _k^2)\hfill \\ \hfill =(\varphi _0\varphi _k^2,Im\frac{1}{H_0E0i2\omega _k}𝐏_\mathrm{c}\varphi _0\varphi _k^2)+O(n^2)>0.\end{array}$$
(2.31)
Estimate (2.29) for $`A=\mathrm{\Delta }+V`$ was proven in  using estimates from . Estimate (2.30) for $`A=(\mathrm{\Delta }+V+m^2)^{1/2}`$ was proven in . Lemma 2.5 is a summary of \[19, Lemmas 2.5–2.9\]. We omit the proof.

## 3 Stabilization regime

In this section we study the dynamics of the solution when it is close to nonlinear ground states. We want to show that the solution $`\psi (t)`$ converges to some nonlinear ground state locally as the time tends to infinity. In this time regime, the natural decomposition of $`\psi (t)`$ is

$$\psi (t)=\left[Q_E+a(t)R_E+\zeta (t)+\eta (t)\right]e^{iEt+i\theta (t)}$$
(3.1)
with respect to a fixed $`E`$. Here $`a(t),\theta (t)`$, $`\zeta (t)=\zeta _1(t)+\mathrm{}+\zeta _N(t)`$, $`\zeta _k𝐄_k(_E)`$, $`k=1,\mathrm{},N`$, and $`\eta (t)𝐇_\mathrm{c}(_E)`$; see Lemma 2.4. Define

$$\gamma _0^+\underset{\stackrel{1k,lN}{|s|<s_0}}{\mathrm{max}}\underset{r0+}{lim}Im(\varphi _0\varphi _k\varphi _l,\frac{1}{\mathrm{\Delta }+V+e_0e_ke_lsri}𝐏_\mathrm{c}\varphi _0\varphi _k\varphi _l),$$
(3.2)
and (recall $`c_1=(Q,R)^1`$ and $`\gamma _0`$ is defined in (1.5))

$$D=6N|c_1|\gamma _0^+/\gamma _0=O(1).$$
(3.3)
We will prove the following theorem.

###### Theorem 3.1

Assume the assumptions A0–A3. There are small constant $`n_0,\epsilon _0>0`$ such that the following holds. Suppose that the initial data $`\psi _0`$ with $`\psi _0_{H^1}1`$ is close to a nonlinear ground state $`Q_{E_0}e^{i\mathrm{\Theta }_0}`$ in $`L_{\mathrm{loc}}^2`$-norm with $`Q_{E_0}_{L^2}=nn_0`$, and that in the decomposition (3.1) of $`\psi _0`$ with $`E=E_0`$ one has

$$\left(_{k=1}^N\zeta _{k,E_0}_{L^2}^2\right)^{1/2}\frac{1}{2}\rho _0,|a_{E_0}|D\rho _0^2,\rho _0\epsilon _0n.$$
(3.4)
Suppose, furthermore, for all $`E`$ close to $`E_0`$ with $`|EE_0|3D\rho _0^2`$, the dispersive part $`\eta _E(0)`$ in the decomposition (3.1) satisfies

$$\begin{array}{cc}\hfill e^s\eta _E(0)_{L^5}& n^{4/5}\rho (s)^{8/5},\hfill \\ \hfill e^s\eta _E(0)_{L_{\mathrm{loc}}^2}& \mathrm{\Lambda }(s)(1+s)^{1/2}\rho ^2(s),\hfill \end{array}$$
(3.5)
for all $`s0`$, where

$$\rho (s)=\left[\rho _0^2+N^1\gamma _0n^2s\right]^{1/2}.$$
(3.6)
Then there is a frequency $`E_{\mathrm{}}`$ with $`|E_{\mathrm{}}E_0|3D\rho _0^2`$ and a function $`\mathrm{\Theta }(t)=E_{\mathrm{}}t+O(\mathrm{log}(t))`$ for $`t[0,\mathrm{})`$ such that, for some constant $`C_3>1`$ independent of $`n`$,

$$\psi (t)Q_E_{\mathrm{}}e^{i\mathrm{\Theta }(t)}_{L_{\mathrm{loc}}^2}C_3\rho (t),(t0).$$
(3.7)
Suppose, furthermore, that $`\left(_{k=1}^N\zeta _{k,E_0}_{L^2}^2\right)^{1/2}\frac{1}{4}\rho _0`$. Then we also have a lower bound

$$C_3^1\rho (t)\psi (t)Q_E_{\mathrm{}}e^{i\mathrm{\Theta }(t)}_{L_{\mathrm{loc}}^2},(t0).$$
(3.8)
We call Eq. (3.5) the out-going estimates of $`\eta (0)`$. The theorem holds true if they are replaced by the following stronger but simpler assumption that

$$\psi _0YH^1L^1(^3),\eta (0)_Y\rho _0^2,$$
(3.9)
since (3.9) implies (3.5) by Lemma 2.3. Eq. (3.9) means that the data $`\psi _0`$ is localized. In contrast, Eq. (3.5) only requires the data to be “out-going” in some sense. This will be useful when we prove Theorem 1.1 using Theorem 3.1 in section 4.

Our strategy of proof is as follows. For each $`T>0`$, we choose $`Q_{E(T)}`$ to be the best approximation of $`\psi (T)`$ given by Lemma 2.2. We will prove estimates for the components of $`\psi (t)`$ in the decomposition (3.1) with respect to $`E=E(T)`$ for $`t[0,T]`$. We will then use a continuity argument to show that $`E(T)`$ can always be chosen and we have uniform estimates as $`T\mathrm{}`$. It then follows that $`E(T)`$ converges to some $`E_{\mathrm{}}`$ close to $`E(0)`$ as $`T\mathrm{}`$.

### 3.1 Equations

Let $`Q=Q_E`$ be a fixed nonlinear ground state with frequency $`E`$ near $`e_0`$, and $`R=R_E=_EQ_E`$. We write the solution $`\psi (t,x)`$ of (1.1) in the form

$$\psi (t,x)=[Q_E(x)+a(t)R_E(x)+h(t,x)]e^{iEt+i\theta (t)},$$
(3.10)
where $`a(t),\theta (t)`$ and $`h(t,.)M_E`$. $`M_E`$ is defined in Lemma 2.4 (8). Substituting the ansatz (3.10) into (1.1) and using $`iQ=0`$ and $`R=iQ`$, we get

$$_th=h+i^1(F+\dot{\theta }(Q+aR+h))aiQ\dot{a}R.$$
(3.11)
Here

$$F=\lambda Q(2|h_a|^2+h_a^2)+\lambda |h_a|^2h_a,h_a=aR+h.$$

We want to choose $`a(t)`$ and $`\theta (t)`$ so that $`h(t)M`$, that is, $`h(0)M`$ and $`i^1(F+\dot{\theta }(Q+aR+h))aiQ\dot{a}RM`$. Since $`M=\left[\begin{array}{c}Q^{}\\ R^{}\end{array}\right]`$, $`a(t)`$ and $`\theta (t)`$ satisfy

$`(Q,Im(F+\dot{\theta }h)\dot{a}R)`$ $`=0,`$
$`(R,Re(F+\dot{\theta }(Q+aR+h))aQ)`$ $`=0.`$
Denote $`c_1=(Q,R)^1`$. We have

$`\dot{a}`$ $`=(c_1Q,Im(F+\dot{\theta }h)),`$
$`\dot{\theta }`$ $`=\left[a+(c_1R,ReF)\right]\left[1+a(c_1R,R)+(c_1R,Reh)\right]^1.`$
Eq. (3.11) for $`h`$ becomes

$$_th=h+P_MF_{all},F_{all}=i^1(F+\dot{\theta }(aR+h)).$$
(3.12)
We decompose $`h(t)`$ with respect to the spectral decomposition (2.11),

$$h(t)=\zeta (t)+\eta (t),\zeta =\zeta _1+\mathrm{}+\zeta _N,$$

where $`\zeta _k𝐄_k()`$, $`k=1,\mathrm{},N`$, and $`\eta 𝐇_\mathrm{c}()`$. For each $`\zeta _k(t)`$ we associate a function $`z_k(t)`$ by writing $`\zeta _k=Re(z_k)u_k+Im(z_k)iv_k`$. In other words, $`\zeta _k(t)=𝐑𝐄z_k(t)𝚽_k`$. If we define $`u_k^\pm =\frac{1}{2}(u_k\pm v_k)`$, we can write

$$\zeta _k=Re(z_k)u_k+Im(z_k)iv_k=z_ku_k^++\overline{z}_ku_k^{}.$$
(3.13)
Projecting (3.12) to $`𝐄_k()`$ we get

$`\dot{z}_k`$ $`=i\omega _kz_k+(v_k,ReF_{all})+i(u_k,ImF_{all})=i\omega _kz_k+(u_k^+,F_{all})(u_k^{},\overline{\text{}F}_{all}).`$
From the linear part, we identify the phase factor of $`z_k`$ as $`\omega _k`$. Hence we define $`p_k(t)=e^{i\omega _kt}z_k(t)`$, which has the same magnitude as $`z_k`$ but with no strong oscillation. $`p_k(t)`$ satisfy

$`e^{i\omega _kt}\dot{p}_k(t)`$ $`=(u_k^+,F_{all})(u_k^{},\overline{\text{}F}_{all})`$
$`=i^1\left\{(u_k^+,F)+(u_k^{},\overline{\text{}F})+\left[(u_k^+,h)+(u_k^{},\overline{\text{}h})+(u_k,R)a\right]\dot{\theta }\right\}.`$
Also, projecting (3.12) to $`𝐇_\mathrm{c}()`$ we get $`_t\eta =\eta +𝐏_\mathrm{c}^{}F_{all}`$.

Summarizing, for

$`\psi (t)`$ $`=(Q+a(t)R+h(t))e^{iEt+i\theta (t)},`$
$`h`$ $`=\zeta +\eta ,\zeta =\zeta _1+\mathrm{}+\zeta _N,\zeta _k=z_ku_k^++\overline{z}_ku_k^{},z_k=e^{i\omega _kt}p_k,`$
we have

$$\begin{array}{cc}& \dot{a}=(c_1Q,Im(F+\dot{\theta }h)),\hfill \\ & ie^{i\omega _kt}\dot{p}_k=(u_k^+,F)+(u_k^{},\overline{\text{}F})+\left[(u_k^+,h)+(u_k^{},\overline{\text{}h})+(u_k,R)a\right]\dot{\theta },\hfill \\ & _t\eta =\eta +𝐏_\mathrm{c}^{}i^1(F+\dot{\theta }(aR+h)),\hfill \end{array}$$
(3.14)
where $`c_1=(Q,R)^1`$,

$`F`$ $`=\lambda Q(2|h_a|^2+h_a^2)+\lambda |h_a|^2h_a,h_a=aR+h,`$ (3.15)
$`\dot{\theta }`$ $`=F_\theta \left[a+(c_1R,ReF)\right]\left[1+a(c_1R,R)+(c_1R,Reh)\right]^1.`$ (3.16)
This is a system of equations involving $`a`$, $`z_k`$ and $`\eta `$ only. Note that $`\theta `$ enters (3.14) only via $`\dot{\theta }=F_\theta `$. It will appear in the form $`e^{i\theta }`$ when we integrate $`\eta `$. Hence we do not need estimates of $`\theta `$ for the proof.

For convenience, we will use the following convention.

###### Convention 3.1

For $`k=1,2,\mathrm{},N`$, denote

$$\omega _k=\omega _k,z_k=\overline{z}_k,p_k=\overline{p}_k.$$
(3.17)
We have $`z_k(t)=e^{i\omega _kt}p_k(t)`$ for both $`k>0`$ and $`k<0`$. We also denote

$$\mathrm{\Omega }=\{\pm 1,\mathrm{},\pm N\}.$$
(3.18)
### 3.2 Decompositions of $`F`$, $`a`$ and $`\eta `$

Most quantities in our system of equations are strongly oscillatory. It is necessary to identify their oscillatory parts before we can estimate. In this subsection we identify the leading oscillatory terms of $`a`$ and $`\eta `$, and decompose $`F`$ according to order. We will treat $`z_k`$ and $`a`$ again in §3.3. Note that

$$Q=O(n),R=O(n^1),c_1=O(1),u_k^+=\varphi _k+O(n^2),u_k^{}=O(n^2).$$
(3.19)
In fact, since $`Q_{E_0}_{L^2}=n`$ and $`|EE_0|3D\epsilon _0^2n^2`$, we have $`Q_E_{L^2}=[1+O(\epsilon _0^2)]n`$ and $`Q=(1+O(\epsilon _0^2))n\varphi _0+O(n^3)`$. We will prove that

$$|z_k(t)|Ct^{1/2},|a(t)|+\eta (t)_{L_{\mathrm{loc}}^2}Ct^1,\text{as }t\mathrm{}.$$
(3.20)
Hence the main term in $`h_a=aR+\zeta +\eta `$ is $`\zeta `$. Therefore, the main part of $`F`$, defined in (3.15), is

$$F_1=\lambda Q(2|\zeta |^2+\zeta ^2).$$
(3.21)
#### 3.2.1 Decomposition of $`a`$

We now identify the main oscillatory terms of $`a(t)`$. Recall from (3.14) that $`\dot{a}=(c_1Q,ImF+\dot{\theta }h)`$, $`c_1=(Q,R)^1`$. We shall impose the boundary condition of $`a`$ at $`t=T`$, which is in fact a condition imposed on the choice of $`E(T)`$. Hence we use the following equivalent integral equation:

$$a(t)=a(T)+_T^t(c_1Q,ImF+\dot{\theta }h)(s)𝑑s.$$

The main term of $`Im(F+\dot{\theta }h)`$ is $`ImF_1=Im\lambda Q\zeta ^2`$. Thus the main oscillatory terms of $`a(t)`$ are from the integral $`_T^tA^{(2)}𝑑s`$ with

$$A^{(2)}(c_1Q,Im\lambda Q\zeta ^2)=(c_1\lambda Q^2,Im\underset{k,l=1}{\overset{N}{}}\zeta _k\zeta _l).$$

Since

$`Im\zeta _k\zeta _l`$ $`=Im(z_ku_k^++\overline{z}_ku_k^{})(z_lu_l^++\overline{z}_lu_l^{})`$
$`=Im(z_kz_l)(u_k^+u_l^+u_k^{}u_l^{})+Im(z_k\overline{z}_l)(u_k^+u_l^{}u_k^{}u_l^+),`$
we have

$$A^{(2)}=\underset{k,l=1}{\overset{N}{}}\left\{a_{kl,1}Im(z_kz_l)+a_{kl,2}Im(z_k\overline{z}_l)\right\},$$

where $`a_{kl,1}=(c_1\lambda Q^2,(u_k^+u_l^+u_k^{}u_l^{}))`$ and $`a_{kl,2}=(c_1\lambda Q^2,u_k^+u_l^{}u_k^{}u_l^+)`$ are real constants bounded by $`n^2`$. We can integrate by parts $`A^{(2)}`$ to get:

$`{\displaystyle _T^t}A^{(2)}𝑑s`$ $`=Im{\displaystyle \underset{k,l=1}{\overset{N}{}}}{\displaystyle _T^t}a_{kl,1}(z_kz_l)+a_{kl,2}(z_k\overline{z}_l)ds`$
$`=Im{\displaystyle \underset{k,l=1}{\overset{N}{}}}{\displaystyle _T^t}e^{i(\omega _k+\omega _l)s}a_{kl,1}(p_kp_l)+e^{i(\omega _k\omega _l)s}a_{kl,2}(p_k\overline{p}_l)ds`$
$`=Im{\displaystyle \underset{k,l=1}{\overset{N}{}}}\left[ia_{kl,3}z_kz_l+ia_{kl,4}z_k\overline{z}_l\right]_T^t{\displaystyle _T^t}A_{2,rmd}(s)𝑑s,`$ (3.22)
where

$`a_{kl,3}`$ $`=(\omega _k+\omega _l)^1a_{kl,1},a_{kl,4}=\delta _k^l(\omega _k\omega _l)^1a_{kl,2},`$ (3.23)
$`A_{2,rmd}`$ $`=Im{\displaystyle \underset{k,l=1}{\overset{N}{}}}\left\{e^{i(\omega _k+\omega _l)s}ia_{kl,3}{\displaystyle \frac{d}{ds}}(p_kp_l)+e^{i(\omega _k\omega _l)s}ia_{kl,4}{\displaystyle \frac{d}{ds}}(p_k\overline{p}_l)\right\}.`$ (3.24)
Here we put $`\delta _k^l`$ in the definition of $`a_{kl,4}`$ to impose $`a_{kk,4}=0`$. We have the factor $`\delta _k^l`$ in $`a_{kl,4}`$ since $`Imz_k\overline{z}_l=0`$ if $`k=l`$. Also note that $`a_{kl,3}`$ and $`a_{kl,4}`$ are real constants bounded by $`n^2`$. The first part in (3.22) can be rewritten as $`a^{(2)}(t)a^{(2)}(T)`$, where

$$a^{(2)}=Im\underset{k,l=1}{\overset{N}{}}ia_{kl,3}z_kz_l+ia_{kl,4}z_k\overline{z}_l=\underset{k,l\mathrm{\Omega }}{}a_{kl}z_kz_l.$$
(3.25)
Here we have used Convention 3.1. The constants $`a_{kl}=\frac{1}{2}a_{kl,3}`$ if $`k`$ and $`l`$ have the same sign; $`a_{kl}=\frac{1}{2}a_{kl,4}`$ otherwise. In particular, $`a_{kl}`$ are real constants bounded by $`n^2`$. $`a^{(2)}(t)`$ contains the main oscillatory part of $`a`$. We denote the rest of $`a(t)`$ by $`b(t)`$,

$$a(t)=a^{(2)}(t)+b(t).$$
(3.26)
Thus $`b(t)=a(T)a^{(2)}(T)+_T^t\dot{b}(s)𝑑s`$ with

$$\dot{b}=(c_1Q,Im[FF_1+\dot{\theta }h])A_{2,rmd}.$$
(3.27)
As we will see later that $`\dot{b}(t)`$ is smaller than $`\dot{a}^{(2)}(t)`$. However, $`b(t)`$ is the main part of $`a(t)`$: We have $`b(t)\rho ^2(t)`$ while $`a^{(2)}(t)n^2\rho ^2(t)`$.

#### 3.2.2 Decompositions of $`F`$

Recall (3.15),

$`F`$ $`=\lambda Q(2|h_a|^2+h_a^2)+\lambda |h_a|^2h_a,h_a=aR+h.`$
In view of (3.20), we decompose $`h_a=\zeta +bR+(\eta +a^{(2)}R)`$ and decompose $`F`$ as

$$F=F_1+F_2+F_3+F_4+F_5,$$
(3.28)
where

$$\begin{array}{cc}\hfill F_1& =\lambda Q(2|\zeta |^2+\zeta ^2),\hfill \\ \hfill F_2& =2\lambda QRb(2\zeta +\overline{\zeta })+3\lambda QR^2b^2+\lambda (\zeta +bR)^2(\overline{\zeta }+bR),\hfill \\ \hfill F_3& =2\lambda QRa^{(2)}(2\zeta +\overline{\zeta }),\hfill \\ \hfill F_4& =2\lambda Q[(\zeta +\overline{\zeta })\eta ^{(2)}+\zeta \overline{\eta }^{(2)}],\hfill \\ \hfill F_5& =2\lambda Q[(\zeta +\overline{\zeta })\eta ^{(3)}+\zeta \overline{\eta }^{(3)}]\hfill \\ & +\lambda Q\left[2|\eta _a|^2+\eta _a^2\right]+2\lambda QRb(2\eta _a+\overline{\eta }_a)(\eta _a=\eta +a^{(2)}R)\hfill \\ & +\lambda (aR+h)^2(aR+\overline{h})\lambda (\zeta +bR)^2(\overline{\zeta }+bR).\hfill \end{array}$$
(3.29)
Here $`F_1`$ consists of terms of order $`nz^2`$; $`F_2`$, $`F_3`$ and $`F_4`$ consist of terms no smaller than $`n^2z^3`$; and $`F_5`$ higher order terms.

#### 3.2.3 Decomposition of $`\eta `$

We now identify the main terms in $`\eta `$. We first recall from (3.14) that

$$_t\eta =\eta +𝐏_\mathrm{c}^{}i^1[F+\dot{\theta }(aR+\zeta +\eta )].$$

Using Lemma 2.5 that $`=U^1(i)AU`$ on $`𝐇_\mathrm{c}()`$ and $`U𝐏_\mathrm{c}^{}=𝐏_\mathrm{c}^AU`$, we have

$`_tU\eta `$ $`=iAU\eta +𝐏_\mathrm{c}^AUi^1[F+\dot{\theta }(aR+\zeta +\eta )]`$
$`=iAU\eta i\dot{\theta }U\eta +𝐏_\mathrm{c}^AUi^1[F+\dot{\theta }(aR+\zeta )]𝐏_\mathrm{c}^A[U,i]\dot{\theta }\eta .`$
Here we have used the commutator $`[U,i]`$ to interchange $`U`$ and $`i`$ so as to produce the term $`i\dot{\theta }U\eta `$. This term is a global linear term in $`U\eta `$ and cannot be treated as error (however $`[U,i]U^1\dot{\theta }\eta `$ is a local error term). We can eliminate it by introducing

$$\stackrel{~}{\eta }(t)e^{i\theta (t)}U\eta (t),\theta (t)=_0^tF_\theta (s)𝑑s.$$
(3.30)
We have $`\stackrel{~}{\eta }(0)=U\eta (0)`$ and

$$_t\stackrel{~}{\eta }=iA\stackrel{~}{\eta }+e^{i\theta }𝐏_\mathrm{c}^AUi^1[F+\dot{\theta }(aR+\zeta )]e^{i\theta }𝐏_\mathrm{c}^A[U,i]\dot{\theta }\eta .$$

Hence $`\stackrel{~}{\eta }(t)`$ satisfies the integral equation (using $`e^{iAt}\stackrel{~}{\eta }(0)=Ue^t\eta (0)`$)

$`\stackrel{~}{\eta }(t)`$ $`=Ue^t\eta (0)+{\displaystyle _0^t}e^{iA(ts)}𝐏_\mathrm{c}^AF_\eta (s)𝑑s,`$ (3.31)
$`F_\eta `$ $`e^{i\theta }Ui^1[F+\dot{\theta }(aR+\zeta )]e^{i\theta }[U,i]\dot{\theta }\eta .`$ (3.32)
Since $`U`$ and $`U^1`$ are bounded in Sobolev spaces by Lemma 2.5, and

$$\eta (t)=U^1e^{i\theta (t)}\stackrel{~}{\eta }(t),$$
(3.33)
for the purpose of estimation we can treat $`\eta `$ and $`\stackrel{~}{\eta }`$ as the same.

To identify the main term of $`\stackrel{~}{\eta }`$, we decompose $`F_\eta `$ as follows,

$`F_\eta `$ $`=F_{\eta ,2}+F_{\eta ,3},`$
$`F_{\eta ,2}`$ $`=e^{i\theta }Ui^1F_1,`$ (3.34)
$`F_{\eta ,3}`$ $`=e^{i\theta }Ui^1[(FF_1)+\dot{\theta }(aR+\zeta )]e^{i\theta }[U,i]\dot{\theta }\eta .`$
The leading part of $`\stackrel{~}{\eta }`$ is from $`F_{\eta ,2}`$. Recall $`F_1=\lambda Q(\zeta ^2+2\zeta \overline{\zeta })`$, and $`U=U_++𝐜𝐨𝐧𝐣U_{}`$ with $`U_+`$ and $`U_{}`$ commuting with $`i`$ and $`𝐜𝐨𝐧𝐣`$, see (2.25). Hence

$`F_{\eta ,2}`$ $`=e^{i\theta }Ui^1\lambda Q(\zeta ^2+2\zeta \overline{\zeta })`$
$`=e^{i\theta }i^1(U_+𝐜𝐨𝐧𝐣U_{})\lambda Q(\zeta ^2+2\zeta \overline{\zeta })`$
$`=e^{i\theta }i^1\left\{U_+\lambda Q(\zeta ^2+2\zeta \overline{\zeta })U_{}\lambda Q(\overline{\zeta }^2+2\zeta \overline{\zeta })\right\}.`$
Substituting $`\zeta =_{l=1}^N\zeta _l`$ and $`\zeta _l=z_lu_l^++\overline{z}_lu_l^{}`$, we have

$`F_{\eta ,2}`$ $`=e^{i\theta }i^1{\displaystyle \underset{k,l=1}{\overset{N}{}}}\left\{U_+\lambda Q(\zeta _k\zeta _l+\zeta _k\overline{\zeta }_l+\overline{\zeta }_k\zeta _l)U_{}\lambda Q(\overline{\zeta }_k\overline{\zeta }_l+\zeta _k\overline{\zeta }_l+\overline{\zeta }_k\zeta _l)\right\}`$
$`=e^{i\theta }i^1{\displaystyle \underset{k,l\mathrm{\Omega }}{}}z_kz_l\mathrm{\Phi }_{kl}.`$
In the last line, Convention 3.1 is used. In particular, $`z_k=\overline{z}_{|k|}`$ if $`k<0`$. The functions $`\mathrm{\Phi }_{kl}`$ are defined as follows. For $`k<0`$, denote $`u_k^+=u_{|k|}^+`$ and $`u_k^{}=u_{|k|}^{}`$. We define

$$\begin{array}{cc}\hfill k,l>0:& \mathrm{\Phi }_{kl}=U_+\lambda Q(u_k^+u_l^++u_k^+u_l^{}+u_k^{}u_l^+)\hfill \\ & U_{}\lambda Q(u_k^{}u_l^{}+u_k^+u_l^{}+u_k^{}u_l^+),\hfill \\ \hfill k>0,l<0:& \mathrm{\Phi }_{kl}=U_+\lambda Q(u_k^+u_l^{}+u_k^+u_l^++u_k^{}u_l^{})\hfill \\ & U_{}\lambda Q(u_k^{}u_l^++u_k^+u_l^++u_k^{}u_l^{}),\hfill \\ \hfill k<0,l>0:& \mathrm{\Phi }_{kl}=\mathrm{\Phi }_{lk},\hfill \\ \hfill k,l<0:& \mathrm{\Phi }_{kl}=U_+\lambda Q(u_k^{}u_l^{}+u_k^+u_l^{}+u_k^{}u_l^+)\hfill \\ & U_{}\lambda Q(u_k^+u_l^++u_k^+u_l^{}+u_k^{}u_l^+).\hfill \end{array}$$
(3.35)
Since $`u_k^{}=O(n^2)`$ and $`U_{}=O(n^2)`$, we have $`\mathrm{\Phi }_{kl}=O(n^3)`$ if $`k,l<0`$, $`\mathrm{\Phi }_{kl}=O(n)`$ otherwise.

We now integrate $`F_{\eta ,2}`$. Using $`z_k(s)=e^{i\omega _ks}p_k(s)`$ (see Convention 3.1) and integrating by parts we get

$`{\displaystyle _0^t}e^{iA(ts)}`$ $`𝐏_\mathrm{c}^AF_{\eta ,2}ds={\displaystyle _0^te^{iA(ts)}e^{i\theta }i^1z_kz_l𝐏_\mathrm{c}^A\mathrm{\Phi }_{kl}𝑑s}`$
$`={\displaystyle i^1_0^te^{iAt}e^{is(A0i\omega _k\omega _l)}(e^{i\theta }p_kp_l)𝐏_\mathrm{c}^A\mathrm{\Phi }_{kl}𝑑s}`$
$`={\displaystyle e^{i\theta }z_kz_l\stackrel{~}{\eta }_{kl}}{\displaystyle e^{iAt}(e^{i\theta }z_kz_l)(0)\stackrel{~}{\eta }_{kl}}`$
$`{\displaystyle _0^te^{iAt}e^{is(A0i\omega _k\omega _l)}\frac{d}{ds}(e^{i\theta }p_kp_l(s))\stackrel{~}{\eta }_{kl}𝑑s},`$
where the summation is over $`k,l\mathrm{\Omega }`$ and

$$\stackrel{~}{\eta }_{kl}=\underset{r0+}{lim}\frac{1}{A\omega _k\omega _lri}𝐏_\mathrm{c}^A\mathrm{\Phi }_{kl},(k,l\mathrm{\Omega }).$$
(3.36)
Here we add $`ri`$ since $`A\omega _k\omega _l`$ may not be invertible. We take $`r0+`$, not $`r0`$, to get the decay of the second and the last terms above, see Lemma 2.5 (3). Recall $`\omega _ke_ke_0>0`$ for $`k>0`$ and $`\omega _k=\omega _{|k|}`$ if $`k<0`$. Since $`A`$ has a spectral gap $`|e_0|`$, $`A\omega _k\omega _l`$ is not invertible only if $`k>0`$ and $`l>0`$, by Assumption A2. Hence $`\stackrel{~}{\eta }_{kl}L^2`$ unless both $`k`$ and $`l`$ are positive.

We denote the main term above by $`\stackrel{~}{\eta }^{(2)}`$,

$$\stackrel{~}{\eta }^{(2)}=\underset{k,l\mathrm{\Omega }}{}e^{i\theta }z_kz_l\stackrel{~}{\eta }_{kl},$$
(3.37)
and denote the rest of $`\stackrel{~}{\eta }`$ by $`\stackrel{~}{\eta }^{(3)}`$. We decompose $`\stackrel{~}{\eta }^{(3)}=\stackrel{~}{\eta }_1^{(3)}+\mathrm{}+\stackrel{~}{\eta }_4^{(3)}`$ where

$`\stackrel{~}{\eta }_1^{(3)}`$ $`=Ue^t\eta (0),`$
$`\stackrel{~}{\eta }_2^{(3)}`$ $`={\displaystyle \underset{k,l\mathrm{\Omega }}{}}e^{iAt}(e^{i\theta }z_kz_l)(0)\stackrel{~}{\eta }_{kl}=e^{iAt}\stackrel{~}{\eta }^{(2)}(0),`$ (3.38)
$`\stackrel{~}{\eta }_3^{(3)}`$ $`={\displaystyle \underset{k,l\mathrm{\Omega }}{}}{\displaystyle _0^t}e^{iAt}e^{is(A0i\omega _k\omega _l)}{\displaystyle \frac{d}{ds}}(e^{i\theta }p_kp_l(s))\stackrel{~}{\eta }_{kl}𝑑s,`$
$`\stackrel{~}{\eta }_4^{(3)}`$ $`={\displaystyle _0^t}e^{iA(ts)}𝐏_\mathrm{c}^AF_{\eta ,3}𝑑s.`$
We have

$$\stackrel{~}{\eta }=\stackrel{~}{\eta }^{(2)}+\stackrel{~}{\eta }^{(3)},\stackrel{~}{\eta }^{(3)}=\stackrel{~}{\eta }_1^{(3)}+\mathrm{}+\stackrel{~}{\eta }_4^{(3)}.$$

Correspondingly, we define

$$\begin{array}{cc}\hfill \eta ^{(2)}& =U^1e^{i\theta }\stackrel{~}{\eta }^{(2)}=U^1\underset{k,l\mathrm{\Omega }}{}z_kz_l\stackrel{~}{\eta }_{kl},\hfill \\ \hfill \eta ^{(3)}& =U^1e^{i\theta }\stackrel{~}{\eta }^{(3)},\eta _j^{(3)}=U^1e^{i\theta }\stackrel{~}{\eta }_j^{(3)},(j=1,\mathrm{},4).\hfill \end{array}$$
(3.39)
###### Lemma 3.2

Suppose, for a fixed time, for some $`\rho nn_0`$,

$$\begin{array}{cc}& Q=n,\eta _{L^2L^5}1,\eta _{L_{\mathrm{loc}}^2}n,\hfill \\ & \underset{k=1,\mathrm{},N}{\mathrm{max}}|z_k|\rho ,|a|C\rho ^2.\hfill \end{array}$$
(3.40)
Denote

$$\begin{array}{cc}\hfill \stackrel{~}{X}& =\rho ^2\eta _{L_{\mathrm{loc}}^2}+n\eta _{L_{\mathrm{loc}}^2}^2+\eta ^3_{L_{\mathrm{loc}}^1},\hfill \\ \hfill X& =n\rho \eta _{L_{\mathrm{loc}}^2}+n\eta _{L_{\mathrm{loc}}^2}^2+\eta ^3_{L_{\mathrm{loc}}^1}.\hfill \end{array}$$
(3.41)
We have

$$\begin{array}{cc}& F_5_{L_{\mathrm{loc}}^1}n\rho ^4+n\rho \eta ^{(3)}_{L_{\mathrm{loc}}^2}+\stackrel{~}{X},\hfill \\ & F_3+F_4+F_5_{L_{\mathrm{loc}}^1}n^2\rho ^3+X,\hfill \\ & FF_1_{L_{\mathrm{loc}}^1}\rho ^3+X,F_{L_{\mathrm{loc}}^1}n\rho ^2+X,\hfill \\ & F_\theta _{L_{\mathrm{loc}}^1}\rho ^2+n^1X,\hfill \\ & \underset{k}{\mathrm{max}}|\dot{p}_k|n\rho ^2+X,|\dot{b}|n\rho ^3+nX,\hfill \\ & F_{\eta ,3}_{L^{5/4}L^1}\rho ^3+n\rho \eta _{L_{\mathrm{loc}}^2}+n\eta _{L_{\mathrm{loc}}^2L^5}^2+\eta ^3_{L^{5/4}L^1}+n^2\rho ^2\eta _{L^5},\hfill \\ & F_\eta _{L^{5/4}}n\rho ^2+n\rho \eta _{L_{\mathrm{loc}}^2}+n\eta _{L_{\mathrm{loc}}^2L^5}^2+\eta ^3_{L^{5/4}}+n^2\rho ^2\eta _{L^5}.\hfill \end{array}$$
(3.42)
Proof: By (3.40) we have $`|a^{(2)}|n^2\rho ^2`$, $`|b|\rho ^2`$ and $`\eta ^{(2)}_{L_{\mathrm{loc}}^2}n\rho ^2`$. Also recall (3.19). Hence for $`F_5`$ defined in (3.29) we have

$`F_5_{L_{\mathrm{loc}}^1}`$ $`n\rho \eta ^{(3)}_{L_{\mathrm{loc}}^2}+n\left(\eta _{L_{\mathrm{loc}}^2}+n\rho ^2\right)^2+\rho ^2\left(\eta _{L_{\mathrm{loc}}^2}+n\rho ^2\right)+\eta ^3_{L_{\mathrm{loc}}^1}`$
$`n\rho ^4+n\rho \eta ^{(3)}_{L_{\mathrm{loc}}^2}+\rho ^2\eta _{L_{\mathrm{loc}}^2}+n\eta _{L_{\mathrm{loc}}^2}^2+\eta ^3_{L_{\mathrm{loc}}^1}`$
$`=n\rho ^4+n\rho \eta ^{(3)}_{L_{\mathrm{loc}}^2}+\stackrel{~}{X},`$
where $`\stackrel{~}{X}`$ is defined in (3.41). Combining $`\eta ^{(2)}+\eta ^{(3)}=\eta `$ in the definition (3.29) of $`F_4`$ and $`F_5`$, we can use the same argument for $`F_5_{L_{\mathrm{loc}}^1}`$ to show

$`F_4+F_5_{L_{\mathrm{loc}}^1}`$ $`n\rho ^4+n\rho \eta _{L_{\mathrm{loc}}^2}+\stackrel{~}{X}n\rho ^4+X.`$
By their explicit form in (3.29), we have $`F_3_{L_{\mathrm{loc}}^1}n^2\rho ^3`$, $`F_2_{L_{\mathrm{loc}}^1}|bz|+b^2/n+(z+b/n)^3\rho ^3`$, and $`F_1_{L_{\mathrm{loc}}^1}n\rho ^2`$. Hence

$$F_3+F_4+F_5_{L_{\mathrm{loc}}^1}n^2\rho ^3+X,FF_1_{L_{\mathrm{loc}}^1}\rho ^3+X,F_{L_{\mathrm{loc}}^1}n\rho ^2+X.$$

From definition (3.16) of $`F_\theta `$ we have

$$|F_\theta ||a|+n^1F_{L_{\mathrm{loc}}^1}\rho ^2+n^1(n\rho ^2+X)\rho ^2+n^1X.$$

By (3.14), we have

$`|\dot{p}_k|`$ $`F_{L_{\mathrm{loc}}^1}+(\rho +\eta _{L_{\mathrm{loc}}^2})|F_\theta |`$
$`n\rho ^2+X+(\rho +\eta _{L_{\mathrm{loc}}^2})(\rho ^2+n^1X)n\rho ^2+X.`$
By (3.27),

$$|\dot{b}|CnFF_1_{L_{\mathrm{loc}}^1}+|(c_1Q,Imh)||F_\theta |+|A_{2,rmd}|.$$

Note that $`|(c_1Q,Imh)|n^3h_{L_{\mathrm{loc}}^1}`$ since $`ImhR`$ and $`Q=Cn^2R+O(n^3)`$ by Lemma 2.1. Also $`|A_{2,rmd}|n^2\rho \mathrm{max}_k|\dot{p}_k|`$ by definition (3.24) of $`A_{2,rmd}`$. Thus

$`|\dot{b}|`$ $`n(\rho ^3+X)+n^3(\rho +\eta _{L_{\mathrm{loc}}^2})(\rho ^2+n^1X)+n^2\rho (n\rho ^2+X)n\rho ^3+nX.`$
Let $`r=1`$ or $`r=5/4`$. The estimate for $`FF_1_{L^r}`$ is the same as that for $`FF_1_{L_{\mathrm{loc}}^1}`$ except for the non-local term $`\lambda \eta ^2\overline{\eta }`$ and $`n\eta ^2_{L^r}n\eta _{L_{\mathrm{loc}}^2L^5}^2`$. Thus

$$FF_1_{L^r}\rho ^3+n\rho \eta _{L_{\mathrm{loc}}^2}+n\eta _{L_{\mathrm{loc}}^2L^5}^2+\eta ^3_{L^r}.$$

From the definition (3.34) of $`F_{\eta ,3}`$, the boundedness of $`U`$, and the estimate (2.24) for $`[U,i]`$, we have

$`F_{\eta ,3}_{L^r}`$ $`FF_1_{L^r}+|F_\theta |(n^1|a|+\mathrm{max}|z_k|)+n^2|F_\theta |\eta _{L^5}`$
$`\rho ^3+n\rho \eta _{L_{\mathrm{loc}}^2}+n\eta _{L_{\mathrm{loc}}^2L^5}^2+\eta ^3_{L^r}`$
$`+(\rho ^2+n^1X)(\rho +n^2\eta _{L^5})`$
$`\rho ^3+n\rho \eta _{L_{\mathrm{loc}}^2}+n\eta _{L_{\mathrm{loc}}^2L^5}^2+\eta ^3_{L^r}+n^2\rho ^2\eta _{L^5}.`$
Here we also used $`\eta ^3_{L_{\mathrm{loc}}^1}\eta ^3_{L^r}`$. Since $`F_\eta _{L^{5/4}}n\rho ^2+F_{\eta ,3}_{L^{5/4}}`$, the estimate for $`F_\eta _{L^{5/4}}`$ in (3.42) follows. Q.E.D.

### 3.3 Normal forms for equations of bound states

Recall that $`z_k(t)=e^{i\omega _kt}p_k(t)`$ and $`a(t)=a^{(2)}(t)+b(t)`$. Since many terms in the equations of $`p_k`$ and $`b`$ are oscillatory and only contribute to the phases, we now derive the normal forms for the equations of $`p_k`$ and $`b`$, where those terms are removed. Throughout this subsection, Convention 3.1 for $`\omega _k`$, $`z_k`$ and $`p_k`$ with $`k<0`$ is understood.

###### Lemma 3.3 (Normal Form)

Suppose, for some $`\rho (t)nn_0`$,

$$\begin{array}{cc}& Q=n,\eta (t)_{L^2L^5}1,\eta (t)_{L_{\mathrm{loc}}^2}n,\hfill \\ & \underset{k=1,\mathrm{},N}{\mathrm{max}}|z_k(t)|\rho (t),|a(t)|C\rho ^2(t).\hfill \end{array}$$
(3.43)
There are perturbations $`q_k(t)`$ of $`p_k(t)`$, $`k=1,\mathrm{},N`$, and $`\beta (t)`$ of $`b(t)`$, to be defined in (3.96) and (3.103), satisfying

$$|q_kp_k|Cn\rho ^2,|b\beta |Cn\rho ^3+n^2\rho \eta _{L_{\mathrm{loc}}^2},$$
(3.44)
such that

$$\dot{q}_k=\underset{l=1,\mathrm{},N}{}D_{kl}|q_l|^2q_k+iJ_kq_k+g_k,$$
(3.45)
$$\dot{\beta }=\underset{1klN}{}B_{kl}|z_k|^2|z_l|^2+g_b,$$
(3.46)
where $`J_k(t)`$ are real functions bounded by $`C\rho ^2`$ to be defined in (3.93). The constants $`D_{kl}`$ are complex and bounded by $`n^2`$, with their real parts given by (3.72) satisfying

$$5\gamma _0^+n^2ReD_{kl}Cn^4,ReD_{kk}\gamma _0n^2.$$
(3.47)
The order one constants $`\gamma _0`$ and $`\gamma _0^+`$ are defined in (1.5) and (3.2). The constants $`B_{kl}`$ are real and $`B_{kl}=\frac{1}{2}c_1ReD_{kl}+O(n^4)`$. Moreover,

$$|g_k|n\rho ^4+n^4\rho ^3+n\rho \eta ^{(3)}_{L_{\mathrm{loc}}^2}+\stackrel{~}{X},$$
(3.48)
$$|g_b|n\rho ^5+n^4\rho ^4+n\rho ^2\eta ^{(3)}_{L_{\mathrm{loc}}^2}+n^3\rho ^2\eta _{L_{\mathrm{loc}}^2}+n^2\eta _{L_{\mathrm{loc}}^2}^2+n\eta ^3_{L_{\mathrm{loc}}^1},$$
(3.49)
where $`\stackrel{~}{X}=\rho ^2\eta _{L_{\mathrm{loc}}^2}+n\eta _{L_{\mathrm{loc}}^2}^2+\eta ^3_{L_{\mathrm{loc}}^1}`$ is defined in (3.41).

Proof: We first observe a consequence of Assumption A3: Suppose $`k_0,k_1,\mathrm{},k_j\{1,\mathrm{},N\}`$ with $`jj_{\text{max}}=3`$ satisfy

$$\omega _{k_0}\pm \omega _{k_1}\pm \mathrm{}\pm \omega _{k_j}=0.$$
(3.50)
Then $`j`$ is odd and, after a relabeling, the two sets (with multiplicities) $`\{k_0,\mathrm{},k_{\frac{j1}{2}}\}`$ and $`\{k_{\frac{j+1}{2}},\mathrm{},k_j\}`$ are the same. The reason is as follows. Recall $`\omega _k=e_ke_0+O(n^2)>0`$, and hence the expression in (3.50) is approximately equal to

$$(e_{k_0}e_0)\pm (e_{k_1}e_0)\pm \mathrm{}\pm (e_{k_j}e_0).$$
(3.51)
For the expression in (3.50) to be zero, one of the $`\omega _{k_m}`$ must be with a negative sign. Hence two $`e_0`$’s in (3.51) cancel and (3.51) is the sum of $`j`$ $`e_k`$’s minus the sum of another $`j`$ $`e_k`$’s. Since $`jj_{\text{max}}`$, Assumption A3 then implies that they can be divided to two equal sets. Since there are $`(j1)`$ $`e_0`$’s and all $`k_m`$’s are positive, $`j`$ must be odd, these $`e_0`$’s cancel each other, and the other $`e_k`$’s form two equal sets.

Part 1. Excited states. Recall from (3.14) the equations for $`p_k`$:

$$\dot{p}_k=i^1e^{i\omega _kt}\left[(u_k^+,F)+(u_k^{},\overline{\text{}F})+\left[(u_k^+,h)+(u_k^{},\overline{\text{}h})+(u_k,R)a\right]F_\theta \right],$$
(3.52)
where $`h=\zeta _1+\mathrm{}+\zeta _N+\eta `$. The nonlinear terms $`F`$ and $`F_\theta `$ are given in (3.15)–(3.16) and $`F=F_1+\mathrm{}+F_5`$ is decomposed in (3.29). We shall derive the normal form of (3.52) using integration by parts for those terms no smaller than $`n^2\rho ^3`$.

Step 1 Integration of terms of order $`nz^2`$.

Recall that the main part of $`F`$ is $`F_1=\lambda Q(2\zeta \overline{\zeta }+\zeta ^2)`$. The main terms on the right side of (3.52) are among the first two groups of terms involving $`F`$,

$$i^1e^{i\omega _kt}\left\{(u_k^+,F_1)+(u_k^{},\overline{\text{}F}_1)\right\}.$$
(3.53)
We denote the rest by $`R_k`$,

$$\begin{array}{cc}\hfill R_k=i^1e^{i\omega _kt}& [(u_k^+,FF_1)+(u_k^{},\overline{\text{}F}\overline{\text{}F}_1)\hfill \\ & +[(u_k^+,h)+(u_k^{},\overline{\text{}h})+(u_k,R)a]F_\theta ],\hfill \end{array}$$
(3.54)
and rewrite (3.52) as

$$\dot{p}_k=i^1e^{i\omega _kt}\left\{(u_k^+,F_1)+(u_k^{},\overline{\text{}F}_1)\right\}+R_k.$$
(3.55)
Substituting $`F_1=_{l,m=1}^N\lambda Q(2\zeta _l\overline{\zeta }_m+\zeta _l\zeta _m)`$ with $`\zeta _l=z_lu_l^++\overline{z}_lu_l^{}`$ and using Convention 3.1, we get

$`i^1e^{i\omega _kt}\left\{(u_k^+,F_1)+(u_k^{},\overline{\text{}F}_1)\right\}`$
$`={\displaystyle \underset{l,m=1}{\overset{N}{}}}i^1e^{i\omega _kt}\{(\lambda Qu_k^+,2\zeta _l\overline{\zeta }_m+\zeta _l\zeta _m))+(\lambda Qu_k^{},2\zeta _l\overline{\zeta }_m+\overline{\zeta }_l\overline{\zeta }_m)\}`$
$`={\displaystyle \underset{l,m\mathrm{\Omega }}{}}c_k^{lm}e^{i\omega _kt}z_lz_m,`$
for some purely imaginary constants $`c_k^{lm}`$ bounded by $`n`$. The phase factor of a typical term $`e^{i\omega _kt}z_lz_m`$ is $`\omega _k\omega _l\omega _m`$, which is nonzero by the observation for (3.50). Hence we can define

$`p_{k,1}`$ $`={\displaystyle \underset{l,m\mathrm{\Omega }}{}}{\displaystyle \frac{ic_k^{lm}}{\omega _k\omega _l\omega _m}}e^{i\omega _kt}z_lz_m,`$ (3.56)
$`p_{k,1e}`$ $`={\displaystyle \underset{l,m\mathrm{\Omega }}{}}{\displaystyle \frac{ic_k^{lm}}{\omega _k\omega _l\omega _m}}e^{i(\omega _k\omega _l\omega _m)t}(\dot{p}_lp_m+p_l\dot{p}_m),`$ (3.57)
and we have

$$\underset{l,m\mathrm{\Omega }}{}c_k^{lm}e^{i\omega _kt}z_lz_m=\dot{p}_{k,1}+p_{k,1e}.$$

Because $`p_{k,1e}`$ are of order $`n^2z^3`$, we need to extract their leading terms. Substitute (3.55) into (3.57) and collect terms. The leading terms in $`p_{k,1e}`$ are cubic polynomials in $`z_k`$ and $`p_{k,1e}`$ can be rewritten as

$$p_{k,1e}=\underset{l,m,n\mathrm{\Omega }}{}i^1e^{i\omega _kt}d_{k,1}^{lmj}z_lz_mz_j+g_{k,1},$$
(3.58)
$$g_{k,1}=\underset{l,m\mathrm{\Omega }}{}\frac{ic_k^{lm}}{\omega _k\omega _l\omega _m}e^{i(\omega _k\omega _l\omega _m)t}(R_lp_m+p_lR_m).$$
(3.59)
Here $`d_{k,1}^{lmj}`$ are real constants bounded by $`n^2`$, and the error terms $`g_{k,1}`$ are bounded by

$$|g_{k,1}|C\underset{k,l,m}{\mathrm{max}}|c_k^{lm}||p_l||R_m|Cn\rho \underset{m}{\mathrm{max}}|R_m|.$$
(3.60)
We conclude

$$\dot{p}_k\dot{p}_{k,1}=R_k+\underset{l,m,n\mathrm{\Omega }}{}i^1e^{i\omega _kt}d_{k,1}^{lmj}z_lz_mz_j+g_{k,1}.$$
(3.61)
Step 2 Integration of terms of the form $`nz\eta ^{(2)}`$.

We now integrate $`i^1e^{i\omega _kt}(u_k^+,F_4)`$, which is part of the first term of $`R_k`$. Recall $`F_4=2\lambda Q[(\zeta +\overline{\zeta })\eta ^{(2)}+\zeta \overline{\eta }^{(2)}]`$ with $`\eta ^{(2)}=U^1_{l,m\mathrm{\Omega }}z_lz_m\stackrel{~}{\eta }_{lm}`$. Denote

$$\eta ^{}=\underset{l,m\mathrm{\Omega }}{}z_lz_m\stackrel{~}{\eta }_{lm},$$
(3.62)
where $`\stackrel{~}{\eta }_{lm}`$ are defined in (3.36) with $`\stackrel{~}{\eta }_{lm}_{L_{\mathrm{loc}}^2}n`$. Recall Lemma 2.5 that $`U^1=(U_+)^{}(U_{})^{}𝐜𝐨𝐧𝐣`$ and both $`U_+`$ and $`U_{}`$ commute with $`i`$ and conjugation. Then $`\eta ^{(2)}=U^1\eta ^{}=(U_+)^{}\eta ^{}(U_{})^{}\overline{\eta }^{}`$ and

$`(u_k^+,F_4)`$ $`=(2\lambda Qu_k^+(\zeta +\overline{\zeta }),\eta ^{(2)})+(2\lambda Qu_k^+\overline{\zeta },\overline{\eta }^{(2)})`$
$`=(2\lambda Qu_k^+(\zeta +\overline{\zeta }),[(U_+)^{}\eta ^{}(U_{})^{}\overline{\eta }^{}])`$
$`+(2\lambda Qu_k^+\overline{\zeta },[((U_+)^{}\overline{\eta }^{}(U_{})^{}\eta ^{}])`$
$`=(U_+[2\lambda Qu_k^+(\zeta +\overline{\zeta })]U_{}[2\lambda Qu_k^+\overline{\zeta }],\eta ^{})`$ (3.63)
$`+(U_+[2\lambda Qu_k^+\overline{\zeta }]U_{}[2\lambda Qu_k^+(\zeta +\overline{\zeta })],\overline{\eta }^{}).`$ (3.64)
Substituting $`\zeta =_jz_ju_j^++\overline{z}_ju_j^{}`$ and $`\eta ^{}=_{l,m\mathrm{\Omega }}z_lz_m\stackrel{~}{\eta }_{lm}`$, we can write

$$i^1e^{i\omega _kt}(u_k^+,F_4)=\underset{l,m,j\mathrm{\Omega }}{}d_k^{lmj}e^{i\omega _kt}z_lz_mz_j,$$
(3.65)
for some coefficients $`d_k^{lmj}`$ bounded by $`n^2`$. The phase factor of a typical term $`e^{i\omega _kt}z_lz_mz_j`$ is $`\omega _k\omega _l\omega _m\omega _j`$. By the observation for (3.50), it is nonzero unless one of $`|l|`$, $`|m|`$, $`|j|`$ is $`k`$ and the other two are the same. In this exceptional case $`e^{i\omega _kt}z_lz_mz_j`$ is of the form $`e^{i\omega _kt}z_kz_l\overline{z}_l=|p_l|^2p_k`$. For fixed $`l>0`$, there are six such terms if $`lk`$, and three terms if $`l=k`$. We denote the sum of their coefficients as $`D_{kl}`$,

$$\begin{array}{cc}\hfill D_{kl}& =d_k^{kl(l)}+d_k^{k(l)l}+d_k^{lk(l)}+d_k^{(l)kl}+d_k^{l(l)k}+d_k^{(l)lk},(lk),\hfill \\ \hfill D_{kk}& =d_k^{kk(k)}+d_k^{k(k)k}+d_k^{(k)kk}.\hfill \end{array}$$
(3.66)
The total of these zero-phase-factor terms is $`_{l=1}^ND_{kl}|p_l|^2p_k`$. The other terms can be integrated. Define

$$p_{k,2}=\underset{\omega _k\omega _l\omega _m\omega _j0}{}\frac{id_k^{lmj}}{\omega _k\omega _l\omega _m\omega _j}e^{i\omega _kt}z_lz_mz_j,$$
(3.67)
$$g_{k,2}=\underset{\omega _k\omega _l\omega _m\omega _j0}{}\frac{id_k^{lmj}}{\omega _k\omega _l\omega _m\omega _j}e^{i(\omega _k\omega _l\omega _m\omega _j)t}\frac{d}{dt}\left(p_lp_mp_j\right).$$
(3.68)
We have

$$\underset{l,m,j\mathrm{\Omega }}{}d_k^{lmj}e^{i\omega _kt}z_lz_mz_j=\underset{l=1}{\overset{N}{}}D_{kl}|z_l|^2p_k+\frac{d}{dt}(p_{k,2})+g_{k,2},$$
(3.69)
and

$$|g_{k,2}|(\mathrm{max}|d_k^{lmj}|)\rho ^2\underset{j}{\mathrm{max}}|\dot{p}_j|n^2\rho ^2\underset{j}{\mathrm{max}}|\dot{p}_j|.$$
(3.70)
We now compute $`ReD_{kl}`$. We want to collect terms of the form $`Ce^{i\omega _kt}z_l\overline{z}_lz_k`$ from (3.63)–(3.64) with $`ImC0`$. Hence we only need to consider those $`\stackrel{~}{\eta }_{lm}`$ with $`Im\stackrel{~}{\eta }_{lm}0`$, i.e., $`l,m>0`$. The only terms from $`\overline{\eta }^{}`$ with resonance coefficients are $`_{m,j>0}\overline{\text{}z_mz_j\stackrel{~}{\eta }_{mj}}`$, which are of the form $`\overline{z}_m\overline{z}_j`$, with two bars. Hence the integral in (3.64) does not contain $`z_l\overline{z}_lz_k`$ and is irrelevant. From the integral in (3.63), we want to choose $`z_lz_k`$ from $`\eta ^{}`$, i.e., $`_{m,j>0}z_mz_j\stackrel{~}{\eta }_{mj}`$, and choose $`z_l`$ from $`\zeta `$ or $`\overline{\zeta }`$ in $`U_+[2\lambda Qu_k^+(\zeta +\overline{\zeta })]U_{}[2\lambda Qu_k^+\overline{\zeta }]`$. (Recall (2.1) that $`(f,g)=\overline{f}g𝑑x`$.) For the second part we get $`z_l\stackrel{~}{\mathrm{\Phi }}_{kl}`$ where

$$\stackrel{~}{\mathrm{\Phi }}_{kl}=U_+2\lambda Qu_k^+(u_l^++u_l^{})U_{}2\lambda Qu_k^+u_l^{}.$$
(3.71)
Since $`\stackrel{~}{\eta }_{mj}=\stackrel{~}{\eta }_{jm}`$ for $`m,j>0`$, the terms with $`z_lz_k`$ in $`_{m,j>0}z_mz_j\stackrel{~}{\eta }_{mj}`$ is $`(2\delta _k^l)z_kz_l\stackrel{~}{\eta }_{kl}`$. Therefore, also using the definition (3.36) of $`\stackrel{~}{\eta }_{kl}`$,

$`ReD_{kl}`$ $`=Rei^1{\displaystyle \stackrel{~}{\mathrm{\Phi }}_{kl}(2\delta _k^l)\stackrel{~}{\eta }_{kl}𝑑x}`$
$`=(2\delta _k^l)Im(\stackrel{~}{\mathrm{\Phi }}_{kl},{\displaystyle \frac{1}{A\omega _k\omega _l0i}}𝐏_\mathrm{c}^A\mathrm{\Phi }_{kl}).`$ (3.72)
Recall

$$\begin{array}{cc}& Q=(1+O(\epsilon _0^2))n\varphi _0+O(n^3),u_k^+=\varphi _k+O(n^2),u_k^{}=O(n^2),\hfill \\ & U_+=1+O(n^2),U_{}=O(n^2).\hfill \end{array}$$
(3.73)
Hence, by (3.35) and (3.71),

$$\mathrm{\Phi }_{kl}=\lambda Q\varphi _k\varphi _l+O(n^3),\stackrel{~}{\mathrm{\Phi }}_{kl}=2\lambda Q\varphi _k\varphi _l+O(n^3),$$
(3.74)
and we have

$$ReD_{kl}=2(2\delta _k^l)(1+o(1))n^2Im(\varphi _0\varphi _k\varphi _l,\frac{1}{A\omega _k\omega _l0i}𝐏_\mathrm{c}^A\varphi _0\varphi _k\varphi _l)+O(n^4).$$
(3.75)
By Assumption A2 and Lemma 2.5 (3), we have $`ReD_{kl}5n^2\gamma _0^+`$ and $`ReD_{kl}Cn^4`$ for all $`k,l>0`$, and $`ReD_{kk}\gamma _0n^2`$. We conclude (3.47).

Step 3 Integration of other terms.

We now integrate other terms in (3.61) no smaller than $`n^2z^3`$. We first consider the first group of terms in $`R_k`$ defined in (3.54). Using $`FF_1=F_2+F_3+F_4+F_5`$ and removing $`i^1e^{i\omega _kt}(u_k^+,F_4)`$, we get

$$i^1e^{i\omega _kt}\left\{(u_k^+,F_2+F_3)+(u_k^{},\overline{\text{}F}_2)\right\}+g_{k,3},$$

where

$$g_{k,3}=i^1e^{i\omega _kt}\left\{(u_k^+,F_5)+(u_k^{},\overline{\text{}F}_3+\overline{\text{}F}_4+\overline{\text{}F}_5)\right\}.$$
(3.76)
We have, using $`u_k^{}=O(n^2)`$ and the explicit form of $`F_3+F_4`$,

$$|g_{k,3}|F_5_{L_{\mathrm{loc}}^1}+n^2F_3+F_4_{L_{\mathrm{loc}}^1}F_5_{L_{\mathrm{loc}}^1}+n^2(n^2\rho ^3).$$
(3.77)
We now consider the second group of terms in $`R_k`$, see (3.54),

$$i^1e^{i\omega _kt}\left[(u_k^+,h)+(u_k^{},\overline{\text{}h})+(u_k,R)a\right]F_\theta .$$
(3.78)
The only relevant terms are $`i^1e^{i\omega _kt}\left[(u_k^+,\zeta )+(u_k^{},\overline{\text{}\zeta })\right]F_\theta `$. We move the other part to error term,

$$g_{k,4}=i^1e^{i\omega _kt}\left[(u_k^+,\eta )+(u_k^{},\overline{\text{}\eta })+(u_k,R)a\right]F_\theta .$$
(3.79)
Note that $`(u_k,R)=O(n)`$ since $`u_kQ`$ and $`R=Cn^2Q+O(n)`$ by Lemma 2.1. Also, $`|(u_k^+,\eta )+(u_k^{},\overline{\text{}\eta })|Cn^2\eta _{L_{\mathrm{loc}}^2}`$ since $`Re\eta v_k`$, $`Im\eta u_k`$, and the differences between $`u_k,v_k,u_k^+,u_k^{}`$ are bounded by $`n^2`$. Hence

$$|g_{k,4}|(n^2\eta _{L_{\mathrm{loc}}^2}+n\rho ^2)|F_\theta |.$$
(3.80)
Using $`\zeta =_lz_lu_l^++\overline{z}_lu_l^{}`$, we get

$$(u_k^+,\zeta )+(u_k^{},\overline{\text{}\zeta })=_{l=1}^N\left(C_k^lz_l+\stackrel{~}{C}_k^l\overline{z}_l\right),$$

where $`C_k^l=(u_k^+,u_l^+)+(u_k^{},u_l^{})`$ and $`\stackrel{~}{C}_k^l=(u_k^{},u_l^+)+(u_k^{},u_l^+)`$. Because $`u_k^+=\varphi _k+O(n^2)`$ and $`u_k^{}=O(n^2)`$, see (3.73), we have

$$C_k^l=\delta _k^l+O(n^2),\stackrel{~}{C}_k^l=O(n^2).$$

Thus, terms no smaller than $`n^2\rho ^3`$ in (3.78) are

$$i^1e^{i\omega _kt}\left\{z_kF_{\theta ,1}+_l\left[(C_k^l\delta _k^l)z_l+\stackrel{~}{C}_k^l\overline{z}_l\right]F_{\theta ,2}\right\},$$
(3.81)
where $`F_{\theta ,1}`$ and $`F_{\theta ,2}`$ are leading parts of $`F_\theta `$ (3.16), (recall $`a=b+a^{(2)}`$)

$`F_{\theta ,1}`$ $`[a+(c_1R,ReF_1+F_2)]\left[1+(c_1R,R)b\right]^1,`$ (3.82)
$`F_{\theta ,2}`$ $`[b+(c_1R,ReF_1)],`$ (3.83)
and (3.78) is equal to $`g_{k,4}+(\text{3.81})+g_{k,5}`$ where

$$g_{k,5}=i^1e^{i\omega _kt}\left\{z_k(F_\theta F_{\theta ,1})+_l\left[(C_k^l\delta _k^l)z_l+\stackrel{~}{C}_k^l\overline{z}_l\right](F_\theta F_{\theta ,2})\right\}.$$
(3.84)
Since $`\left|F_\theta F_{\theta ,2}\right|\left|F_\theta F_{\theta ,1}\right|+\left|F_{\theta ,1}F_{\theta ,2}\right|`$, we have

$$|g_{k,5}|\rho \left|F_\theta F_{\theta ,1}\right|+n^2\rho \left|F_{\theta ,1}F_{\theta ,2}\right|.$$

Recall (3.16) $`F_\theta =\left[a+(c_1R,ReF)\right]\left[1+(c_1R,R)a+(c_1R,Reh)\right]^1`$. Hence

$`F_\theta F_{\theta ,1}`$ $`=(c_1R,ReF_3+F_4+F_5)\left[1+(c_1R,R)b\right]^1`$
$`+{\displaystyle \frac{[a+(c_1R,ReF)][(c_1R,R)a^{(2)}+(c_1R,Reh)]}{[1+(c_1R,R)a+(c_1R,Reh)][1+(c_1R,R)b]}}.`$ (3.85)
Since $`R=Cn^2Q+O(n)`$ and $`RehQ`$, we have $`|(c_1R,Reh)|nh_{L_{\mathrm{loc}}^1}`$. Hence,

$`\left|F_\theta F_{\theta ,1}\right|`$ $`n^1F_3+F_4+F_5_{L_{\mathrm{loc}}^1}+\left[|a|+n^1F_{L_{\mathrm{loc}}^1}\right](\rho ^2+nh_{L_{\mathrm{loc}}^1})`$
$`n^1(n^2\rho ^3+X)+[\rho ^2+n^1(n\rho ^2+X)](n\rho +n\eta _{L_{\mathrm{loc}}^2})`$
$`n\rho ^3+n^1X.`$
Here we have used Lemma 3.2. We also have

$`F_{\theta ,1}F_{\theta ,2}`$ $`=[a^{(2)}+[c_1R,ReF_2)]\left[1+(c_1R,R)b\right]^1`$
$`+[a+(c_1R,ReF_1+F_2)][1+(c_1R,R)b]^1(c_1R,R)b.`$ (3.86)
Hence

$$\left|F_{\theta ,1}F_{\theta ,2}\right|(n^2\rho ^2+n^1F_2_{L_{\mathrm{loc}}^1})+(\rho ^2+n^1F_1+F_2_{L_{\mathrm{loc}}^1})n^2\rho ^2.$$

Since $`F_1_{L_{\mathrm{loc}}^1}n\rho ^2`$ and $`F_2_{L_{\mathrm{loc}}^1}\rho ^3`$, we have $`\left|F_{\theta ,1}F_{\theta ,2}\right|n^2\rho ^2+n^1\rho ^3`$. Hence $`g_{k,5}`$ is bounded by

$`|g_{k,5}|`$ $`\rho \left|F_\theta F_{\theta ,1}\right|+n^2\rho \left|F_{\theta ,1}F_{\theta ,2}\right|`$
$`\rho (n\rho ^3+n^1X)+n^2\rho (n^2\rho ^2+n^1\rho ^3)`$
$`n\rho ^4+n^4\rho ^3+n^1\rho X.`$ (3.87)
Summarizing, we can rewrite eq. (3.61) as

$$\frac{d}{dt}\left(p_kp_{k,1}p_{k,2}\right)=\underset{l=1}{\overset{N}{}}D_{kl}|z_l|^2p_k+\stackrel{~}{R}_k+\underset{j=1}{\overset{5}{}}g_{k,j},$$
(3.88)
where

$$\begin{array}{c}\stackrel{~}{R}_k=i^1e^{i\omega _kt}\{\underset{l,m,j\mathrm{\Omega }}{}d_{k,1}^{lmj}z_lz_mz_j+(u_k^+,F_2+F_3)+(u_k^{},\overline{\text{}F}_2)\hfill \\ \hfill z_k\frac{1}{1+(c_1R,R)b}[a+(c_1R,ReF_1+F_2)]\\ \hfill _l[(C_k^l\delta _k^l)z_l+\stackrel{~}{C}_k^l\overline{z}_l][b+(c_1R,ReF_1)]\}.\end{array}$$
(3.89)
We now integrate $`\stackrel{~}{R}_k`$. Denote

$$B=(c_1R,R)b,|B|Cn^2\rho ^2.$$
(3.90)
Note that $`\stackrel{~}{R}_k`$ is of the form

$$ie^{i\omega _kt}\left[n^1b^2+bz+n^1bz^2+z^3+n^1z_kz^3\right],$$
(3.91)
in the sense that

$$\begin{array}{c}\stackrel{~}{R}_k=\frac{ie^{i\omega _kt}}{1+B}[f(B)n^1b^2+\underset{j\mathrm{\Omega }}{}f(B)bz_j+\underset{j_1,j_2\mathrm{\Omega }}{}f(B)n^1bz_{j_1}z_{j_2}\hfill \\ \hfill +\underset{j_1,j_2,j_3\mathrm{\Omega }}{}f(B)z_{j_1}z_{j_2}z_{j_3}+\underset{j_1,j_2,j_3\mathrm{\Omega }}{}f(B)n^1z_kz_{j_1}z_{j_2}z_{j_3}],\end{array}$$
(3.92)
where $`f(B)`$ are polynomials in $`B`$ with real coefficients bounded by one. We have omitted their dependence on the summation indexes. The phase factors of the above summands are

$$\omega _k,\omega _k\pm \omega _{|j_1|},\omega _k\pm \omega _{|j_1|}\pm \omega _{|j_2|},\omega _k\pm \omega _{|j_1|}\pm \omega _{|j_2|}\pm \omega _{|j_3|},\pm \omega _{|j_1|}\pm \omega _{|j_2|}\pm \omega _{|j_3|},$$

respectively. By the observation for (3.50), zero phase factor only occurs to $`bz`$ and $`z^3`$ terms. Those terms with zero phase factor are

$$\frac{if_{bk}(B)}{1+B}e^{i\omega _kt}bz_k,\frac{if_{kl}(B)}{1+B}e^{i\omega _kt}z_kz_l\overline{z}_l.$$

The sum of these terms is equal to $`iJ_ke^{i\omega _kt}z_k=iJ_kp_k`$, where

$$J_k(t)\frac{f_{bk}(B)}{1+B}b+\underset{l=1}{\overset{N}{}}\frac{f_{kl}(B)}{1+B}|z_l|^2.$$
(3.93)
They are real functions bounded by $`C\rho ^2`$. The other terms can be integrated. For example, if $`j\mathrm{\Omega }`$, $`jk`$, we have

$$\frac{if(B)}{1+B}e^{i\omega _kt}bz_j=\frac{d}{dt}\left(\frac{if(B)}{i(\omega _k\omega _j)(1+B)}e^{i(\omega _k\omega _j)t}bp_j\right)\text{error},$$

where

$$\text{error}=e^{i(\omega _k\omega _j)t}\frac{d}{dt}\left(\frac{if(B)}{i(\omega _k\omega _j)(1+B)}bp_j\right),$$

and it is bounded by

$$|\text{error}||\dot{b}p_j|+|b\dot{p}_j|+|bp_j\dot{B}|.$$

Note $`|\dot{B}|=Cn^2|\dot{b}|`$. We can integrate other terms similarly. Summing up, we get

$$\stackrel{~}{R}_k=iJ_kp_k+\frac{d}{dt}p_{k,3}+g_{k,6},$$
(3.94)
where $`p_{k,3}`$ is of the same form (3.91) as $`\stackrel{~}{R}_k`$ and, adding the estimates for the integration remainders for all five kinds of terms in (3.91), we get

$`|g_{k,6}|`$ $`n^1(|b\dot{b}|+b^2|\dot{B}|)+(|\dot{b}|\rho +\underset{j}{\mathrm{max}}|b\dot{p}_j|+|b\rho \dot{B}|)`$
$`+n^1(|\dot{b}|\rho ^2+\underset{j}{\mathrm{max}}|b\rho \dot{p}_j|+|b\rho ^2\dot{B}|)`$
$`+(\rho ^2\underset{j}{\mathrm{max}}|\dot{p}_j|+\rho ^3|\dot{B}|)+n^1(\rho ^3\underset{j}{\mathrm{max}}|\dot{p}_j|+\rho ^4|\dot{B}|)`$
$`\rho ^2\underset{j}{\mathrm{max}}|\dot{p}_j|+\rho |\dot{b}|.`$ (3.95)
Step 4 Final form. We now define

$$q_kp_kp_{k,1}p_{k,2}p_{k,3}.$$
(3.96)
Since $`p_{k,1}nz^2`$, $`p_{k,2}n^2z^3`$ and $`p_{k,3}n^1b^2+bz+n^1bz^2+z^3+n^1z_kz^3`$, we have

$$|p_kq_k||p_{k,1}|+|p_{k,2}|+|p_{k,3}|Cn\rho ^2.$$
(3.97)
From (3.89) and (3.94) we have

$`\dot{q}_k`$ $`={\displaystyle \underset{l=1,\mathrm{},N}{}}D_{kl}|p_l|^2p_k+iJ_kp_k+_{j=1}^6g_{k,j}`$
$`={\displaystyle \underset{l=1,\mathrm{},N}{}}D_{kl}|q_l|^2q_k+iJ_kq_k+g_k,`$
where

$`g_k`$ $`=g_{k,1}+\mathrm{}+g_{k,6}+g_{k,7},`$ (3.98)
$`g_{k,7}`$ $`{\displaystyle \underset{l=1,\mathrm{},N}{}}D_{kl}\left(|p_l|^2p_k|q_l|^2q_k\right)+iJ_k(p_kq_k).`$ (3.99)
Since $`D_{kl}=O(n^2)`$ and $`J_k=O(\rho ^2)`$, we have

$$|g_{k,7}|n^2\rho ^2(n\rho ^2)+\rho ^2(n\rho ^2)n\rho ^4.$$
(3.100)
Collecting estimates, we have

$`|g_k|{\displaystyle \underset{j=1}{\overset{7}{}}}|g_{k,j}|`$ $`n\rho \underset{m}{\mathrm{max}}|R_m|+n^2\rho ^2\underset{j}{\mathrm{max}}|\dot{p}_j|+[F_5_{L_{\mathrm{loc}}^1}+n^2(n^2\rho ^3)]`$
$`+(n^2\eta _{L_{\mathrm{loc}}^2}+n\rho ^2)|F_\theta |+(n\rho ^4+n^4\rho ^3+n^1\rho X)`$
$`+(\rho ^2\underset{j}{\mathrm{max}}|\dot{p}_j|+\rho |\dot{b}|)+n\rho ^4.`$
Using $`\mathrm{max}_m|R_m|FF_1_{L_{\mathrm{loc}}^1}+(\rho +\eta _{L_{\mathrm{loc}}^2})|F_\theta |`$ and Lemma 3.2, we have

$`|g_k|`$ $`n\rho ^4+n^4\rho ^3+n\rho FF_1_{L_{\mathrm{loc}}^1}+(n^2\eta _{L_{\mathrm{loc}}^2}+n\rho ^2)|F_\theta |`$
$`+F_5_{L_{\mathrm{loc}}^1}+n^1\rho X`$
$`n\rho ^4+n^4\rho ^3+n\rho (\rho ^3+X)+(n^2\eta _{L_{\mathrm{loc}}^2}+n\rho ^2)(\rho ^2+n^1X)`$
$`+(n\rho ^4+n\rho \eta ^{(3)}_{L_{\mathrm{loc}}^2}+\stackrel{~}{X})+n^1\rho X`$
$`n\rho ^4+n^4\rho ^3+n\rho \eta ^{(3)}_{L_{\mathrm{loc}}^2}+\rho ^2\eta _{L_{\mathrm{loc}}^2}+n\eta _{L_{\mathrm{loc}}^2}^2+\eta ^3_{L_{\mathrm{loc}}^1}.`$
Part 2. Ground state.

We have derived the main oscillatory terms of $`a(t)`$ in (3.26)

$$a(t)=a^{(2)}(t)+b(t),a^{(2)}=\underset{k,l\mathrm{\Omega }}{}a_{kl}z_kz_l,$$

with $`b(t)`$ given by (3.27). We have

$$\dot{b}=(c_1Q,Im[FF_1])+(c_1Q,Imh)F_\theta A_{2,rmd},$$
(3.101)
with $`A_{2,rmd}`$ given in (3.24),

$`A_{2,rmd}`$ $`=Im{\displaystyle \underset{k,l=1}{\overset{N}{}}}\left\{e^{i(\omega _k+\omega _l)s}ia_{kl,3}{\displaystyle \frac{d}{ds}}(p_kp_l)+e^{i(\omega _k\omega _l)s}ia_{kl,4}{\displaystyle \frac{d}{ds}}(p_k\overline{p}_l)\right\}.`$
As for the excited states $`p_k`$, we want to find a perturbation $`\beta (t)`$ of $`b(t)`$ so that oscillatory terms no smaller than $`n^2\rho ^4`$ on the right side of (3.101) are removed. We have observed in Lemma 3.2 that $`|\dot{b}|n\rho ^3+nX`$ and $`|(c_1Q,Imh)|n^3h_{L_{\mathrm{loc}}^1}`$ since $`hM`$ is almost orthogonal to $`Q`$. Hence the right side of (3.101) is of the form

$`\dot{b}`$ $`=n\{/z^3+/bz+/n^1bz^2+/n^2b^2z+/nz\eta +/z^2\eta ^{(2)}+z^2\eta ^{(3)}+n\eta ^2+(\eta ^3)_{\mathrm{loc}}\}`$
$`+n^3z\{/z^2+/b+n^1z(/z^2+/b)+O(n^2\rho ^4)\}+n^3\eta F_\theta `$ (3.102)
$`+n^2z\{/nz^2+/z^3+/bz+O(\rho ^4/n)+nz\eta +z^2\eta +n\eta ^2+(\eta ^3)_{\mathrm{loc}}+\mathrm{}\}.`$
Here $`(\eta ^3)_{\mathrm{loc}}`$ means terms with same bound as $`\eta ^3_{L_{\mathrm{loc}}^1}`$. We shall calculate the normal form for $`b`$ by integrating by parts those terms with orders which were crossed out. Notice that there are resonant terms with crossed-out orders, explicitly, terms of the form $`n^2|z_k|^2|z_l|^2`$. These terms cannot be integrated by parts and will remain on the right hand side. The final normal form equation is of the form (3.46). This procedure is the same as that for excited states and we shall not repeat it in details but point out a few key steps.

1. There are no terms of the form $`b^2`$, $`b^3`$ or $`|z_k|^2b`$ in the first line of (3.102). Terms of these forms are eliminated by the $`Im`$ operator.

2. Terms of the form $`Cz_kz_lb^j`$ are oscillatory if $`k+l0`$. These terms can be integrated. Similarly, by the observation for (3.50), terms of the form $`Cz_{m_1}z_{m_2}z_{m_3}`$, $`z_mb`$ and $`Cz_{m_1}z_{m_2}z_{m_3}z_{m_4}z_{m_5}`$ are also oscillatory with nonzero phase factors. These terms can be integrated.

3. Most terms of the form $`Cz_{m_1}z_{m_2}z_{m_3}z_{m_4}`$ are oscillatory. The only terms with zero phase factor, $`\omega _{m_1}+\mathrm{}+\omega _{m_4}=0`$, are of the form $`C|z_k|^2|z_l|^2`$ by the observation for (3.50). These terms cannot be integrated and will remain in the final equation. Moreover, in order to survive the $`Im`$ operator, these terms from $`FF_1`$ must have complex coefficients, i.e., they must involve $`\eta ^{(2)}`$ and are of the order $`nz^2\eta ^{(2)}`$.

4. We need to integrate terms of the form $`n^2z_j\eta `$. They are from $`(c_1Q,Im2\lambda Q[(\zeta +\overline{\zeta })\eta +\zeta \overline{\eta }])`$ in the first line of (3.102). Since there is only one $`z_j`$ involved, the Green’s function is approximately $`[H_0e_0\pm (e_je_0)]^1`$ and is invertible in $`L^2`$. Hence there is no resonance with the continuous spectrum. This integration is carried out in details in \[19, p.193–195\]. In contrast, resonant terms are of the form $`nz_kz_l\eta ^{(2)}`$ and are mentioned in point 3.

In conclusion, we can find a perturbation $`\beta (t)`$ of $`b(t)`$ of the form

$`\beta `$ $`=b+Re\left\{{\displaystyle Cnz_{k_1}z_{k_2}z_{k_3}}+Cnz_kb+n^2(z_k\psi _k,\eta )\right\}`$
$`+Re{\displaystyle \underset{\omega _{k_1}+\mathrm{}+\omega _{k_4}0}{}}Cz_{k_1}z_{k_2}z_{k_3}z_{k_4}+Re{\displaystyle \underset{\omega _k+\omega _l0}{}}Cz_kz_lb`$ (3.103)
$`+Re\left\{Cz_{k_1}\mathrm{}z_{k_5}/n+Cz_{k_1}\mathrm{}z_{k_6}/n^2\right\},`$
so that $`\beta (t)`$ satisfies a normal form equation,

$$\dot{\beta }=\underset{1klN}{}B_{kl}|z_k|^2|z_l|^2+g_b.$$
(3.104)
Here $`C`$ denote complex constants bounded by one, and $`\psi _k`$ denote some explicit local functions. $`B_{kl}`$ are real constants bounded by $`n^2`$, and $`g_b`$ is an error term of the form

$$g_bnz^5+n^4z^4+nz^2\eta ^{(3)}+n^3z^2\eta +n^2\eta ^2+n\eta ^3+\mathrm{},$$

and we have the bounds $`|\beta b|n\rho ^3+n^2\rho \eta _{L_{\mathrm{loc}}^2}`$ and

$$|g_b|n\rho ^5+n^4\rho ^4+n\rho ^2\eta ^{(3)}_{L_{\mathrm{loc}}^2}+n^3\rho ^2\eta _{L_{\mathrm{loc}}^2}+n^2\eta _{L_{\mathrm{loc}}^2}^2+n\eta ^3_{L_{\mathrm{loc}}^1}.$$
(3.105)
We now compute $`B_{kl}`$, the coefficients of $`|z_k|^2|z_l|^2`$. The main contribution comes from

$$(c_1Q,Im\lambda \zeta ^2\overline{\text{}\eta ^{(2)}}),$$
(3.106)
where $`\lambda \zeta ^2\overline{\text{}\eta ^{(2)}}`$ is from $`F_5`$. Although there are terms from $`(c_1Q,Im2\lambda \zeta \overline{\zeta }\eta ^{(2)})`$ and $`(c_1Q,Im2\lambda Q[(\mathrm{}+\overline{\mathrm{}})\eta ^{(2)}+\mathrm{}\overline{\eta }^{(2)}])`$ with $`\mathrm{}=a^{(2)}R+\eta ^{(2)}`$, their coefficients are small of order $`O(n^4)`$. Since $`\eta ^{(2)}=_{k,l\mathrm{\Omega }}U^1z_kz_l\stackrel{~}{\eta }_{kl}`$ , and by (2.25) $`U^1=U_+^{}U_{}^{}𝐜𝐨𝐧𝐣`$, the expression is (3.106) is a sum of terms of the form $`z_{k_1}z_{k_2}z_{k_3}z_{k_4}`$. Moreover, since $`\stackrel{~}{\eta }_{kl}`$ has nontrivial imaginary part only if both $`k,l>0`$, hence

$$\overline{\text{}\eta ^{(2)}}=\underset{k,l>0}{}𝐜𝐨𝐧𝐣U_+^{}z_kz_l\stackrel{~}{\eta }_{kl}\underset{k,l>0}{}U_{}^{}z_kz_l\stackrel{~}{\eta }_{kl}+\text{irrelevant terms.}$$

To get $`|z_k|^2|z_l|^2`$ from $`Im\lambda \zeta ^2\overline{\text{}\eta ^{(2)}}`$, the relevant terms in $`\zeta ^2`$ are $`\nu _{kl}(z_ku_k^+z_lu_l^+)`$ and $`\nu _{kl}(\overline{z}_ku_k^{}\overline{z}_lu_l^{})`$, where $`\nu _{kl}2\delta _k^l`$. Therefore

$`(c_1Q,Im\lambda \zeta ^2\overline{\text{}\eta ^{(2)}})`$ $`={\displaystyle \underset{k,l>0}{}}(c_1Q,Im\lambda \nu _{kl}(z_ku_k^+z_lu_l^+)\overline{z}_k\overline{z}_l𝐜𝐨𝐧𝐣U_+^{}\stackrel{~}{\eta }_{kl})`$
$`+{\displaystyle \underset{k,l>0}{}}(c_1Q,Im\lambda \nu _{kl}(\overline{z}_ku_k^{}\overline{z}_lu_l^{})z_kz_l(1)U_{}^{}\stackrel{~}{\eta }_{kl})+\text{(*)},`$
where (\*) denotes terms of the form $`z_{k_1}z_{k_2}z_{k_3}z_{k_4}`$ with $`\omega _{k_1}+\mathrm{}+\omega _{k_4}0`$. Irrelevant terms with $`\omega _{k_1}+\mathrm{}+\omega _{k_4}=0`$ are eliminated by the $`Im`$ operator. Moreover, we can disregard the second sum since $`U_{}=O(n^2)`$ is smaller than $`U_+`$. By (3.73) and $`\stackrel{~}{\eta }_{kl}=O(n)`$, we have

$`B_{kl}`$ $`=(U_+\left(c_1Q\lambda \nu _{kl}u_k^+u_l^+\right),Im\stackrel{~}{\eta }_{kl})+O(n^4)`$
$`=c_1\nu _{kl}(U_+\left(\lambda Q\varphi _k\varphi _l\right),Im{\displaystyle \frac{1}{A\omega _k\omega _l0i}}𝐏_\mathrm{c}^A\mathrm{\Phi }_{kl})+O(n^4).`$
In view of (3.72)–(3.75), we have

$$B_{kl}=\frac{c_1}{2}ReD_{kl}+O(n^4).$$
(3.107)
The proof of Lemma 3.3 is complete. Q.E.D.

### 3.4 Main estimates

Theorem 3.1 can be proved using the following proposition and a continuity argument. Recall $`\rho (t)[\rho _0^2+N^1\gamma _0n^2t]^{1/2}`$, $`\mathrm{\Lambda }(t)=(1+s)^{1/2}\rho ^2(s)`$, and $`D=6N|c_1|\gamma _0^+/\gamma _0`$.

###### Proposition 3.4

Suppose the assumptions of Theorem 3.1 hold. Suppose for a fixed $`T>0`$ we can find the best approximation $`Q_{E(T)}`$ of $`\psi (T)`$, i.e., $`a_E(T)=0`$ in the decomposition (3.1) of $`\psi (T)`$ with $`E=E(T)`$. Define

$$\begin{array}{cc}\hfill M_T& \underset{0tT}{sup}\mathrm{max}\{\rho (t)^1(_{k=1}^N|z_k(t)|^2)^{1/2},2D^1\rho ^2(t)|a(t)|,\hfill \\ & n^{4/5}\rho (t)^{8/5}\eta (t)_{L^5},[\mathrm{\Lambda }(t)+n^{1/3}\rho ^{8/3}(t)]^1\eta ^{(3)}(t)_{L_{\mathrm{loc}}^2},\hfill \\ & 2(3D)^1\rho _0^2|E(T)E_0|\}.\hfill \end{array}$$
(3.108)
Suppose, furthermore, $`M_T2`$. Then we have $`M_T3/2`$.

Proof: Since $`M_T2`$, we have $`|E(T)E_0|3D\rho _0^2`$ and, for $`t[0,T]`$,

$$\begin{array}{cc}& (_{k=1}^N|z_k(t)|^2)^{1/2}2\rho (t),|a(t)|D\rho (t)^2,\hfill \\ & \eta (t)_{L^5}2n^{4/5}\rho (t)^{8/5},\hfill \\ & \eta ^{(3)}(t)_{L_{\mathrm{loc}}^2}2\mathrm{\Lambda }(t)+2n^{1/3}\rho ^{8/3}(t).\hfill \end{array}$$
(3.109)
Since $`\eta =\eta ^{(2)}+\eta ^{(3)}`$, $`\eta ^{(2)}_{L_{\mathrm{loc}}^2}n\rho ^2`$ and $`\rho \epsilon _0n`$,

$$\eta (t)_{L_{\mathrm{loc}}^2}Cn\rho ^2+\eta ^{(3)}(t)_{L_{\mathrm{loc}}^2}Cn\rho ^2+2\mathrm{\Lambda }(t).$$
(3.110)
Note that $`\mathrm{\Lambda }(t)\rho ^2`$ by its definition. Therefore $`\eta (t)_{L_{\mathrm{loc}}^2}C\rho ^2`$, $`\eta (t)_{L_{\mathrm{loc}}^2L^5}Cn^{2/5}\rho ^{8/5}`$, and the assumptions of Lemmas 3.2 and 3.3 are satisfied with $`\rho =\rho (t)`$.

We have, using Lemma 2.2, (3.4) and (3.109),

$$|E(T)E_0||E(T)E(0)|+|E(0)E_0|\frac{9}{8}[|a_{E(T)}(0)|+|a_{E_0}|]\frac{9}{4}D\rho _0^2.$$
(3.111)
Since $`\psi (t)_{L^2}=\psi _0_{L^2}1`$, we have $`\eta (t)_{L^2}1`$. By Hölder inequality,

$$\begin{array}{cc}& \eta ^3_{L^{5/4}}\eta _{L^2}^{2/3}\eta _{L^5}^{7/3}o(1)(n^{4/5}\rho (t)^{8/5})^{7/3}=o(1)n^{28/15}\rho ^{56/15},\hfill \\ & \eta ^3_{L^1}\eta _{L^2}^{4/3}\eta _{L^5}^{5/3}o(1)(n^{4/5}\rho (t)^{8/5})^{5/3}=o(1)n^{4/3}\rho ^{8/3},\hfill \\ & \eta ^3_{L_{\mathrm{loc}}^1}\eta _{L_{\mathrm{loc}}^2}^{4/3}\eta _{L^5}^{5/3}\eta _{L_{\mathrm{loc}}^2}^{4/3}n^{4/3}\rho ^{8/3}.\hfill \end{array}$$
(3.112)
Recall $`\stackrel{~}{X}=\rho ^2\eta _{L_{\mathrm{loc}}^2}+n\eta _{L_{\mathrm{loc}}^2}^2+\eta ^3_{L_{\mathrm{loc}}^1}`$ and $`Xn\rho \eta _{L_{\mathrm{loc}}^2}+\stackrel{~}{X}`$. We have

$$\rho ^2\eta _{L_{\mathrm{loc}}^2}+n\eta _{L_{\mathrm{loc}}^2}^2\rho ^2(n\rho ^2+\mathrm{\Lambda })+n(n\rho ^2+\mathrm{\Lambda })^2n\rho ^4+\rho ^2\mathrm{\Lambda }+n\mathrm{\Lambda }^2.$$
(3.113)
Since $`\eta ^3_{L_{\mathrm{loc}}^1}\rho ^2\eta _{L_{\mathrm{loc}}^2}`$ by (3.112), we have

$$\stackrel{~}{X}n\rho ^4+\rho ^2\mathrm{\Lambda }+n\mathrm{\Lambda }^2,Xn^2\rho ^3+n\rho \mathrm{\Lambda }+n\mathrm{\Lambda }^2.$$
(3.114)
We now estimate $`\eta (t)`$. Recall from (3.33), (3.31) that $`\eta (t)=U^1e^{i\theta (t)}\stackrel{~}{\eta }(t)`$ and

$$\stackrel{~}{\eta }(t)=Ue^t\eta (0)+_0^te^{iA(ts)}𝐏_\mathrm{c}^AF_\eta (s)𝑑s.$$

By Lemma 3.2, (3.109), (3.112), $`\eta (t)_{L_{\mathrm{loc}}^2}C\rho ^2`$, and $`\eta (t)_{L_{\mathrm{loc}}^2L^5}Cn^{2/5}\rho ^{8/5}`$,

$`F_\eta _{L^{5/4}}`$ $`n\rho ^2+n\rho \eta _{L_{\mathrm{loc}}^2}+n\eta _{L_{\mathrm{loc}}^2L^5}^2+\eta ^3_{L^{5/4}}+n^2\rho ^2\eta _{L^5}`$
$`n\rho ^2+n\rho (\rho ^2)+n(n^{2/5}\rho ^{8/5})^2+n^{28/15}\rho ^{56/15}+n^2\rho ^2(n^{4/5}\rho ^{8/5})n\rho ^2.`$
Using (3.5) for $`\eta (0)`$, the decay estimates of $`e^t`$ and $`e^{itA}`$, and the boundedness in Sobolev spaces of $`U`$ and $`U^1`$ from Lemma 2.5, we have

$`\eta (t)_{L^5}`$ $`e^t\eta (0)_{L^5}+C{\displaystyle _0^t}|ts|^{9/10}F_\eta (s)_{L^{5/4}}𝑑s`$
$`n^{4/5}\rho ^{8/5}+C{\displaystyle _0^t}|ts|^{9/10}n\rho (s)^2𝑑sn^{4/5}\rho (t)^{8/5}+Cn^{4/5}\rho _0^{2r}\rho ^{9/52r},`$
for any $`r>0`$. Here we have used $`\rho (s)=Cn^1(\mathrm{\Delta }t+s)^{1/2}`$ with $`\mathrm{\Delta }t=Cn^2\rho _0^2`$ and

$$_0^t|ts|^{9/10}(\mathrm{\Delta }t+s)^1𝑑s\mathrm{\Delta }t^r(\mathrm{\Delta }t+t)^{9/10+r},$$
(3.115)
for any $`r>0`$. Taking $`2r=1/5`$, we get $`\eta (t)_{L^5}\frac{3}{2}n^{4/5}\rho (t)^{8/5}`$.

We now consider the $`L_{\mathrm{loc}}^2`$ estimates of $`\eta `$. Recall $`\eta ^{(3)}=\eta _1^{(3)}+\mathrm{}+\eta _4^{(3)}`$. The estimate of $`\eta _1^{(3)}`$ is by (3.5) and that $`U^1e^{i\theta }U=e^{i\theta }+O(1)[i,U]=e^{i\theta }+O(n^2)`$,

$$\eta _1^{(3)}(t)_{L_{\mathrm{loc}}^2}(1+o(1))\mathrm{\Lambda }(t).$$

By the singular decay estimate (2.30) in Lemma 2.5 and the definition (3.36) of $`\stackrel{~}{\eta }_{kl}`$ with $`\stackrel{~}{\eta }_{kl}=O(n)`$, we have

$$\eta _2^{(3)}(t)_{L_{\mathrm{loc}}^2}n\rho _0^2(1+t)^{3/2}\mathrm{\Lambda }(t),$$

$$\eta _3^{(3)}(t)_{L_{\mathrm{loc}}^2}_0^tts^{3/2}n(\rho ^2|\dot{\theta }|+\rho \underset{k}{\mathrm{max}}|\dot{p}_k|)𝑑s.$$

By the bounds of $`\dot{\theta }`$ and $`\mathrm{max}_j|\dot{p}_j|`$ in Lemma 3.2, and $`\mathrm{\Lambda }\rho ^2`$, we have

$`n(\rho ^2|\dot{\theta }|+\rho \underset{k}{\mathrm{max}}|\dot{p}_k|)n\rho ^2(\rho ^2+n^1X)+n\rho (n\rho ^2+X)n^2\rho ^3+n\rho X`$
$`n^2\rho ^3+n\rho (n^2\rho ^3+n\rho \mathrm{\Lambda }+n\mathrm{\Lambda }^2)n^2\rho ^3.`$
Hence

$$\eta _3^{(3)}(t)_{L_{\mathrm{loc}}^2}_0^tts^{3/2}n^2\rho ^3(s)𝑑sn^2\rho ^3(t).$$

Finally, by Lemma 3.2, (3.112), $`\eta (t)_{L_{\mathrm{loc}}^2L^5}Cn^{2/5}\rho ^{8/5}`$, and $`\mathrm{\Lambda }\rho ^2`$,

$`F_{\eta ,3}_{L^{5/4}L^1}`$ $`\rho ^3+n\rho \eta _{L_{\mathrm{loc}}^2}+n\eta _{L_{\mathrm{loc}}^2L^5}^2+\eta ^3_{L^{5/4}L^1}+n^2\rho ^2\eta _{L^5}`$
$`\rho ^3+n\rho (n\rho ^2+\mathrm{\Lambda })+n(n^{2/5}\rho ^{8/5})^2+o(1)n^{4/3}\rho ^{8/3}+n^2\rho ^2(n^{4/5}\rho ^{8/5})`$
$`\rho ^3+n^{4/3}\rho ^{8/3}+n\rho \mathrm{\Lambda }.`$
Hence, bounding the integrand of $`\eta _4^{(3)}`$ by either $`L^{\mathrm{}}`$ or $`L^5`$-norm, we have

$`\eta _4^{(3)}(t)_{L_{\mathrm{loc}}^2}`$ $`{\displaystyle _0^t}\mathrm{min}\{|ts|^{3/2},|ts|^{9/10}\}F_{\eta ,3}(s)_{L^{5/4}L^1}𝑑s`$
$`{\displaystyle _0^t}\mathrm{min}\{|ts|^{3/2},|ts|^{9/10}\}[\rho ^3+n^{4/3}\rho ^{8/3}+n\rho \mathrm{\Lambda }](s)𝑑s`$
$`[\rho ^3+n^{4/3}\rho ^{8/3}+n\rho \mathrm{\Lambda }](t).`$
Summing the estimates, we conclude

$$\eta ^{(3)}(t)_{L_{\mathrm{loc}}^2}\underset{j=1}{\overset{4}{}}\eta _j^{(3)}_{L_{\mathrm{loc}}^2}\frac{5}{4}\mathrm{\Lambda }+C\rho ^3+Cn^{4/3}\rho ^{8/3}\frac{5}{4}(\mathrm{\Lambda }(t)+n^{1/3}\rho ^{8/3})(t).$$

We now estimate the error terms $`g_k`$ and $`g_b`$. Using $`\rho \epsilon _0n`$, (3.48), (3.49), (3.109)–(3.114) and $`\mathrm{\Lambda }\rho ^2`$, we have

$`|g_k|`$ $`n\rho ^4+n^4\rho ^3+n\rho \eta ^{(3)}_{L_{\mathrm{loc}}^2}+\stackrel{~}{X}`$
$`n\rho ^4+n^4\rho ^3+n\rho (\mathrm{\Lambda }+n^{1/3}\rho ^{8/3})+(n\rho ^4+\rho ^2\mathrm{\Lambda }+n\mathrm{\Lambda }^2)`$
$`(\epsilon _0^{2/3}+n^2)n^2\rho ^3+n\rho \mathrm{\Lambda }.`$ (3.116)
$`|g_b|`$ $`n\rho ^5+n^4\rho ^4+n\rho ^2\eta ^{(3)}_{L_{\mathrm{loc}}^2}+n^3\rho ^2\eta _{L_{\mathrm{loc}}^2}+n^2\eta _{L_{\mathrm{loc}}^2}^2+n\eta ^3_{L_{\mathrm{loc}}^1}`$
$`n\rho ^5+n^4\rho ^4+n\rho ^2(\mathrm{\Lambda }+n^{4/3}\rho ^{8/3})+n^3\rho ^2(n\rho ^2+\mathrm{\Lambda })+n^2(n\rho ^2+\mathrm{\Lambda })^2`$
$`+n(n\rho ^2+\mathrm{\Lambda })^{4/3}n^{4/3}\rho ^{8/3}`$
$`(\epsilon _0^{2/3}+n^2)n^2\rho ^4+n\rho ^2\mathrm{\Lambda }.`$ (3.117)
We now estimate $`a(t)`$. By (3.44) of Lemma 3.3 we have

$$|\beta a||\beta b|+|ba|(Cn\rho ^3+Cn^2\rho \eta _{L_{\mathrm{loc}}^2})+Cn^2\rho ^2.$$

Since $`\eta _{L_{\mathrm{loc}}^2}\rho ^2`$, we get $`|\beta a|Cn^2\rho ^2`$. Since $`a(T)=0`$, we have $`|\beta (T)|=|\beta (T)a(T)|Cn^2\rho ^2(T)`$. Using (3.46) and (3.117) for $`g_b`$, we have

$`|\beta (t)|`$ $`|\beta (T)|+{\displaystyle _t^T}{\displaystyle |B_{kl}||z_k|^2|z_l|^2}+|g_b(s)|ds`$
$`Cn^2\rho ^2(T)+{\displaystyle _t^T}(\underset{k,l}{\mathrm{max}}|B_{kl}|)\rho ^4+C\left[(\epsilon _0^{2/3}+n^2)n^2\rho ^4+n\rho ^2\mathrm{\Lambda }\right](s)ds`$
$`{\displaystyle \frac{1}{2}}D\rho ^2(t)+o(1)\rho ^2(t){\displaystyle \frac{5}{8}}D\rho ^2(t).`$
Here we have used $`\rho (s)=(\rho _0^2+N^1\gamma _0n^2s)^{1/2}`$ and $`(\mathrm{max}_{k,l}|B_{kl}|)/(N^1\gamma _0n^2)D/2`$. We also have used $`\mathrm{\Lambda }(s)=n^{1/2}(1+s)^{1/2}\rho ^2(s)`$, $`\rho (s)=Cn^1(\mathrm{\Delta }t+s)^{1/2}`$ with $`\mathrm{\Delta }t=C(n\rho _0)^2`$, and the following estimate: for $`t0`$ and $`\mathrm{\Delta }t1`$, $`m,r>0`$, $`m+r>1`$,

$$_t^{\mathrm{}}(\mathrm{\Delta }t+s)^m(1+s)^r𝑑s_t^{\mathrm{}}(\mathrm{\Delta }t+s)^{mr}𝑑sC(\mathrm{\Delta }t+s)^{mr+1}.$$
(3.118)
Hence

$$|a(t)||\beta (t)|+|a(t)\beta (t)|\frac{5}{8}D\rho ^2(t)+Cn^2\rho ^2(t)\frac{3}{4}D\rho ^2(t).$$

We now estimate the excited states $`z_k(t)`$. For their initial value, we have

$$(\zeta _E\zeta _{E_0})(0)Cn^1(\rho _0/n)|EE_0|Cn^2\rho _0^3,$$
(3.119)
by (2.3) of Lemma 2.2 and $`|EE_0|3D\rho _0^2`$. In particular, $`(_{k=1}^Nz_{k,E}(0)^2)^{1/2}\frac{5}{8}\rho _0`$ by (3.4). Let $`f_k=|q_k|^2`$. By (3.44), $`f(0)\frac{1}{2}\rho _0^2`$. By (3.45) and that $`J_k(t)`$ are real, we have

$$\dot{f}_k=\underset{l=1}{\overset{N}{}}2ReD_{kl}f_lf_k+2Re\overline{q}_kg_k,(k=1,\mathrm{},N).$$
(3.120)
Let $`f=f_1+\mathrm{}+f_N`$. Since $`|ReD_{kl}|5\gamma _0^+n^2`$, summing (3.120) over $`k`$ we get

$$|\dot{f}|(10\gamma _0^+n^2)f^2+2N\underset{k}{\mathrm{max}}|q_kg_k|Cn^2\rho ^4+C\rho ((\epsilon _0^{2/3}+n^2)n^2\rho ^3+n\rho \mathrm{\Lambda }),$$

by (3.116). Let $`t_0=n^3n^2\rho _0^2`$. For $`t[0,t_0]`$, $`\mathrm{\Lambda }(t)\rho _0^2(1+t)^{1/2}`$ and

$$|f(0)f(t)|_0^tn^2\rho ^4+n\rho ^2\mathrm{\Lambda }dsn^2\rho _0^4t_0+n\rho _0^4\sqrt{t_0}\rho _0^2,$$

since $`t_0n^2\rho _0^2`$. We conclude $`f(t)f(0)`$ for $`t[0,t_0]`$. For $`tt_0`$, we have

$$|g_k(t)|(\epsilon _0^{2/3}+n^2)n^2\rho ^3+n\rho \mathrm{\Lambda }(\epsilon _0^{2/3}+n^{1/2})n^2\rho ^3.$$
(3.121)
Since the positive part of $`ReD_{kl}`$ is bounded by $`n^4`$ and $`ReD_{kk}\gamma _0n^2`$, we have

$$\dot{f}\underset{k=1}{\overset{N}{}}2\gamma _0n^2f_k^2+Cn^4f^2+2N\underset{k}{\mathrm{max}}|q_kg_k|\frac{3}{2N}\gamma _0n^2f^2+2N\underset{k}{\mathrm{max}}|q_kg_k|.$$

Using $`\rho ^2(t)=(\rho _0^2+N^1\gamma _0n^2t)^1`$ and (3.121), we have

$`{\displaystyle \frac{d}{dt}}(\rho ^2)`$ $`=N^1\gamma _0n^2\rho ^4{\displaystyle \frac{3}{2N}}\gamma _0n^2(\rho ^2)^2+2N\underset{k}{\mathrm{max}}|q_kg_k|.`$
Since we have shown previously that $`\rho ^2(t)f(t)`$ for $`t[0,t_0]`$, in particular $`\rho ^2(t_0)f(t_0)`$, we have $`\rho ^2(t)f(t)`$ for all $`tt_0`$ by comparison principle. Thus we have $`\rho ^2(t)f(t)`$ for all $`t0`$. Q.E.D.

We now prove Theorem 3.1 using Proposition 3.4 and a continuity argument.

Proof of Theorem 3.1: By the assumption of Theorem 3.1, we have $`M_T3/2`$ for $`T=0`$. Denote by $`J`$ the set of all $`T`$ such that we can find a best approximation $`Q_{E(T)}`$ of $`\psi (T)`$ and we have $`M_T3/2`$ with respect to $`E=E(T)`$. Clearly $`J`$ is a closed interval containing $`0`$ by the continuity of the Schrödinger equations.

Suppose $`T^{}J`$. By continuity there is a $`\delta >0`$ which may depend on $`\psi _0`$ and $`T^{}`$ such that, for all $`T[T^{},T^{}+\delta ]`$, there is a best approximation $`Q_{E(T)}`$ of $`\psi (T)`$, and with respect to $`E=E(T)`$ we have $`M_T2`$. By Proposition 3.4, we have $`M_T3/2`$. Hence $`(0,T^{}+\delta )J`$. This shows the right end of $`J`$ is open and hence $`J=[0,\mathrm{})`$.

For $`t<T`$, we have $`|E(t)E(T)|\frac{5}{4}|a_T(t)|D\rho (t)^2`$ by Lemma 2.2 and Proposition 3.4. This uniform bound shows $`E(t)`$ has a unique limit $`E_{\mathrm{}}`$ as $`t\mathrm{}`$ and $`|E(t)E_{\mathrm{}}|D\rho (t)^2`$. By continuity of $`M_T`$ in $`T`$ we have $`M_{\mathrm{}}3/2`$.

Finally we prove the lower bound (3.8). If $`(_{k=1}^N\zeta _k_{L^2}^2)^{1/2}\frac{1}{4}\rho _0`$, we have $`f(0)C\rho _0^2`$. We have shown previously that $`f(t)f(0)`$ for $`tt_0`$. Summing (3.120) over $`k`$ and using the error estimates, we have, for $`tt_0`$,

$$\dot{f}10\gamma _0^+n^2f^2+2N\underset{k}{\mathrm{max}}|q_kg_k|12\gamma _0^+n^2f^2.$$

By a similar comparison argument we have $`f(t)(f(t_0)^1+12\gamma _0^+n^2(tt_0))^1`$. Hence $`f(t)C\rho ^2(t)`$ for all $`t0`$. This completes the proof of Theorem 3.1. Q.E.D.

We remark that, since $`B_{kl}`$ are (almost) positive, $`\beta (t)`$ and hence $`a(t)`$ are increasing as $`t\mathrm{}`$. This shows that the ground state gains energy from excited states even in the stabilization regime.

## 4 Transition Regimes

In this section we study the dynamics in the transition regime. We will prove Theorem 1.1 using Theorem 3.1. In this regime the natural operator is $`H_0=\mathrm{\Delta }+V`$ and the natural decomposition is

$$\psi =x_0\varphi _0+\mathrm{}+x_N\varphi _N+\xi ,\xi 𝐇_\mathrm{c}(H_0).$$

### 4.1 Equations

Recall $`H_0=\mathrm{\Delta }+V`$ has $`N+1`$ simple eigenvalues $`e_k`$, $`k=0,\mathrm{}N`$, with corresponding normalized eigenvectors $`\varphi _k`$: $`H_0\varphi _k=e_k\varphi _k`$, $`\varphi _k_2=1`$. We can decompose the solutions $`\psi (t)=\psi (t,x)`$ respect to $`H_0`$:

$$\psi (t)=\chi (t)+\xi (t),\chi (t)=\underset{k=0}{\overset{N}{}}x_k(t)\varphi _k,$$
(4.1)
where $`x_k(t)`$ and $`\xi (t)𝐇_\mathrm{c}(H_0)`$. Substituting (4.1) into (1.1), we obtain the following system for these components:

$$\{\begin{array}{cc}\hfill i\dot{x}_k& =e_kx_k+(\varphi _k,G),(k=0,\mathrm{},N),\hfill \\ \hfill i_t\xi & =H_0\xi +𝐏_\mathrm{c}G,G=\lambda \psi ^2\overline{\psi },\hfill \end{array}$$
(4.2)
with initial conditions $`x_k(0)=x_k^0`$ and $`\xi (0)=\xi _0`$. From these equations we find that each $`x_k(t)`$ is oscillatory with a main oscillation factor $`e^{ie_kt}`$. We say that the phase factor of $`x_k`$ is $`e_k`$. Define $`u_k(t)`$ by

$$x_k(t)=e^{ie_kt}u_k(t).$$
(4.3)
The function $`u_k(t)`$ has the same magnitude as $`x_k(t)`$ but is not as oscillatory. In particular, $`|\dot{u}_k|`$ is smaller than $`|\dot{x}_k|`$. We shall study the following system for $`u_k`$ and $`\xi `$, which is equivalent to (4.2):

$$\dot{u}_k(t)=e^{ie_kt}(\varphi _k,G(t)),(k=0,\mathrm{},N),$$
(4.4)
$$\xi (t)=e^{iH_0t}\xi _0+_0^te^{iH_0(ts)}𝐏_\mathrm{c}i^1G(s)𝑑s,G=\lambda \psi ^2\overline{\psi }.$$
(4.5)
### 4.2 Decompositions of $`G`$ and $`\xi `$

It is useful to decompose various terms according to their orders in $`n`$, so that we can identify the main terms. We expect that $`x_k=O(n)`$ and $`\xi =O(n^3)`$ locally after an initial layer of time. We first decompose $`G=\psi ^2\overline{\psi }`$. Using (4.1) that $`\psi =\chi +\xi `$ with $`\chi =_{k=0}^Nx_k\varphi _k`$, we decompose $`G`$ as

$$G=\lambda \psi ^2\overline{\psi }=\lambda (\chi +\xi )^2(\overline{\chi }+\overline{\xi })=G_3+G_5+G_7,$$
(4.6)
where

$`G_3`$ $`=\lambda \chi ^2\overline{\chi },`$ (4.7)
$`G_5`$ $`=\lambda \chi ^2\overline{\text{}\xi }+2\lambda |\chi |^2\xi ,`$ (4.8)
$`G_7`$ $`=\lambda \overline{\text{}\chi }\xi ^2+2\lambda \chi |\xi |^2+\lambda \xi ^2\overline{\xi }.`$ (4.9)
Note that $`G_3=O(n^3)`$, $`G_5=O(n^5)`$ and $`G_7=O(n^7)`$.

We now identify the main term of $`\xi `$ using the integral equation (4.5). The main term of the integrand is $`i^1G_3`$. Using (4.3) and factoring out the main phase factors in $`G_3`$ we have

$$G_3(t)=\underset{l,m,j=0}{\overset{N}{}}e^{i(e_le_m+e_j)t}u_lu_m\overline{u}_j(t)\varphi _{lmj},$$
(4.10)
where

$$\varphi _{lmj}=\lambda \varphi _l\varphi _m\varphi _j.$$
(4.11)
We now integrate by parts a typical term in $`i^1G_3`$:

$`{\displaystyle _0^t}e^{iH_0(ts)}𝐏_\mathrm{c}i^1e^{i(e_le_m+e_j)s}u_lu_m\overline{u}_j(s)\varphi _{lmj}𝑑s`$
$`=\underset{r0+}{lim}i^1e^{iH_0t}{\displaystyle _0^t}e^{is(H_0e_le_m+e_jri)}u_lu_m\overline{u}_j(s)𝐏_\mathrm{c}\varphi _{lmj}𝑑s`$
$`=\underset{r0+}{lim}i^1e^{iH_0t}{\displaystyle \frac{1}{i(H_0e_le_m+e_jri)}}`$
$`\{\left[e^{iH_0s}e^{i(e_le_m+e_j)s}u_lu_m\overline{u}_j(s)𝐏_\mathrm{c}\varphi _{lmj}\right]_0^t`$
$`{\displaystyle _0^t}e^{iH_0s}e^{i(e_le_m+e_j)s}{\displaystyle \frac{d}{ds}}\left(u_lu_m\overline{u}_j\right)𝐏_\mathrm{c}\varphi _{lmj}ds\}.`$
We need to take a limit since $`H_0+e_je_le_m`$ may not be invertible. Define

$$K_{lm}^j\underset{r0+}{lim}\frac{1}{H_0e_le_m+e_jri}𝐏_\mathrm{c}.$$
(4.12)
$$\xi _{lm}^jK_{lm}^j𝐏_\mathrm{c}\varphi _{lmj}.$$
(4.13)
$`K_{lm}^j`$ are bounded operators in $`(L_r^2,L_r^{}^2)`$ with $`r,r^{}>1/2`$ and $`r+r^{}>2`$, see . Hence we have $`\xi _{lm}^jL_r^{}^2`$. We may have $`\xi _{lm}^jL^2`$ and $`Im\xi _{lm}^j0`$ only if

$$e_je_le_m<0,$$
(4.14)
in particular $`j<l,m`$. We can now rewrite the above integral as

$`x_lx_m\overline{x}_j(t)\xi _{lm}^jx_lx_m\overline{x}_j(0)e^{iH_0t}\xi _{lm}^j`$
$`{\displaystyle _0^t}e^{iH_0(ts)}e^{i(e_le_m+e_j)s}{\displaystyle \frac{d}{ds}}\left(u_lu_m\overline{u}_j\right)\xi _{lm}^j𝑑s.`$
Note that the choice $`r0+`$, instead of $`r0`$, ensures the local decay of $`e^{iH_0t}\xi _{lm}^j=e^{iH_0t}K_{lm}^j𝐏_\mathrm{c}\varphi _{lmj}`$ and of the last integral, see Lemma 2.3.

Summing these terms over $`l,m,j`$, we can decompose $`\xi (t)`$ as

$$\xi (t)=\xi ^{(2)}(t)+\xi ^{(3)}(t)=\xi ^{(2)}+\left(\xi _1^{(3)}+\mathrm{}+\xi _5^{(3)}\right),$$
(4.15)
where $`\xi ^{(2)}(t)`$ is the main part of $`\xi (t)`$,

$$\xi ^{(2)}(t)=\underset{l,m,j=0}{\overset{N}{}}x_lx_m\overline{x}_j(t)\xi _{lm}^j,$$
(4.16)
and $`\xi ^{(3)}(t)=\xi _1^{(3)}+\mathrm{}+\xi _5^{(3)}`$ is the rest,

$$\begin{array}{cc}\hfill \xi _1^{(3)}(t)& =e^{iH_0t}\xi _0,\hfill \\ \hfill \xi _2^{(3)}(t)& =e^{iH_0t}\xi ^{(2)}(0),\hfill \\ \hfill \xi _3^{(3)}(t)& =_0^te^{iH_0(ts)}𝐏_\mathrm{c}\underset{l,m,j=0}{\overset{N}{}}e^{i(e_le_m+e_j)s}\frac{d}{ds}\left(u_lu_m\overline{u}_j\right)\xi _{lm}^jds,\hfill \\ \hfill \xi _4^{(3)}(t)& =_0^te^{iH_0(ts)}𝐏_\mathrm{c}i^1\left(GG_3\lambda \xi ^2\overline{\xi }\right)𝑑s,\hfill \\ \hfill \xi _5^{(3)}(t)& =_0^te^{iH_0(ts)}𝐏_\mathrm{c}i^1\left(\lambda \xi ^2\overline{\xi }\right)𝑑s.\hfill \end{array}$$
(4.17)
We single out $`\lambda |\xi |^2\xi `$ since it is the only non-local term in $`GG_3`$.

We have the following estimates for nonlinear terms.

###### Lemma 4.1

Suppose, for a fixed time $`t`$, for some $`nn_0`$,

$$|x_k(t)|2n,\xi (t)_{L_{\mathrm{loc}}^2L^5}2n,\xi (t)_{L^2}1.$$
(4.18)
We have

$$\begin{array}{cc}\hfill G_7_{L_{\mathrm{loc}}^1}& n\xi _{L_{\mathrm{loc}}^2}^2+\xi _{L_{\mathrm{loc}}^2}^{4/3}\xi _{L^5}^{5/3},\hfill \\ \hfill G_5+G_7_{L_{\mathrm{loc}}^1}& n^2\xi _{L_{\mathrm{loc}}^2},\hfill \\ \hfill G_{L_{\mathrm{loc}}^1}+\underset{k}{\mathrm{max}}|\dot{u}_k|& n^3,\hfill \\ \hfill G_5+G_7\lambda \xi ^2\overline{\xi }_{L^1L^{5/4}}& n^2\xi _{L_{\mathrm{loc}}^2}.\hfill \end{array}$$
(4.19)
Proof: For the nonlocal term $`\lambda \xi ^2\overline{\xi }`$ we have, using Hölder inequality,

$$\lambda \xi ^2\overline{\xi }_{L^{5/4}}\xi _{L^2}^{2/3}\xi _{L^5}^{7/3},\lambda \xi ^2\overline{\xi }_{L^1}\xi _{L^2}^{4/3}\xi _{L^5}^{5/3}.$$
(4.20)
Similarly, $`\lambda \xi ^2\overline{\xi }_{L_{\mathrm{loc}}^1}\xi _{L_{\mathrm{loc}}^2}^{4/3}\xi _{L^5}^{5/3}`$. Using the definition (4.9) of $`G_7`$, we have

$`G_7_{L_{\mathrm{loc}}^1}`$ $`n\xi _{L_{\mathrm{loc}}^2}^2+\xi _{L_{\mathrm{loc}}^2}^{4/3}\xi _{L^5}^{5/3}.`$
By (4.7) and (4.8), we have $`G_3n^3`$ and $`G_5n^2\xi _{L_{\mathrm{loc}}^2}`$. By (4.18),

$$G_5+G_7_{L_{\mathrm{loc}}^1}n^2\xi _{L_{\mathrm{loc}}^2}+n\xi _{L_{\mathrm{loc}}^2}^2+\xi _{L_{\mathrm{loc}}^2}^{4/3}\xi _{L^5}^{5/3}n^2\xi _{L_{\mathrm{loc}}^2},$$

and $`G_{L_{\mathrm{loc}}^1}G_3_{L_{\mathrm{loc}}^1}+G_5+G_7_{L_{\mathrm{loc}}^1}n^3+n^2\xi _{L_{\mathrm{loc}}^2}n^3`$. Since $`|\dot{u}_k|G_{L_{\mathrm{loc}}^1}`$ by (4.4), the estimate for $`\dot{u}_k`$ follows. Finally, $`G_7\lambda \xi ^2\overline{\xi }`$ is of the form $`n\xi ^2`$ and

$$G_7\lambda \xi ^2\overline{\xi }_{L^1L^{5/4}}n\xi _{L_{\mathrm{loc}}^2L^5}^{2/3}\xi _{L_{\mathrm{loc}}^2}^{4/3}n^2\xi _{L_{\mathrm{loc}}^2}$$

by (4.18). Since $`G_5_{L^1L^{5/4}}n^2\xi _{L_{\mathrm{loc}}^2}`$, the last estimate follows. Q.E.D.

### 4.3 Normal forms for equations of bound states

Recall we write $`x_k(t)=e^{ie_kt}u_k(t)`$. In this subsection we derive the normal form for the equations of $`\dot{u}_k`$, where terms of different phase factors are removed.

###### Lemma 4.2 (Normal form)

Suppose for some $`nn_0`$,

$$|x_k(t)|2n,\xi (t)_{L_{\mathrm{loc}}^2L^5}2n,\xi (t)_{L^2}1.$$
(4.21)
There are perturbations $`\mu _k(t)`$ of $`u_k(t)`$, $`k=0,1,\mathrm{},N`$, to be defined in (4.39), satisfying

$$|u_k(t)\mu _k(t)|Cn^3,$$
(4.22)
such that

$$\dot{\mu }_k=\underset{l=0}{\overset{N}{}}c_l^k|\mu _l|^2\mu _k+\underset{a,b=0}{\overset{N}{}}d_{ab}^k|\mu _a|^2|\mu _b|^2\mu _k+g_k.$$
(4.23)
Here $`g_k`$ are error terms, to be defined in (4.40), satisfying

$$|g_k(t)|n^7+n^2\xi ^{(3)}_{L_{\mathrm{loc}}^2}+n\xi _{L_{\mathrm{loc}}^2}^2+\xi _{L_{\mathrm{loc}}^2}^{4/3}\xi _{L^5}^{5/3}.$$
(4.24)
All coefficients $`c_l^k`$ and $`d_{ab}^k`$ are bounded by one. The coefficients $`c_l^k`$ are purely imaginary. The real parts of $`d_{ab}^k`$ are given by

$$Red_{ab}^k=(2\delta _a^b)\gamma _{ab}^k2(2\delta _k^b)\gamma _{kb}^a,$$
(4.25)
where, with $`\varphi _{abk}=\lambda \varphi _a\varphi _b\varphi _k`$,

$$\gamma _{ab}^kIm(\varphi _{abk},\frac{1}{H_0e_ae_b+e_k0i}𝐏_\mathrm{c}\varphi _{abk})0.$$
(4.26)
Note $`\gamma _{ab}^k`$ may be positive only if $`e_ae_b+e_k<0`$, in particular $`k<a,b`$. By assumption A2 we have $`\gamma _{kk}^0\gamma _0>0`$ for $`k>0`$. The first part of $`Red_{ab}^k`$ is positive and the second part negative. If $`k=0`$, $`\gamma _{kb}^a=0`$ for all $`a,b`$, hence $`Red_{ab}^k0`$. If $`k=N`$, $`\gamma _{ab}^k=0`$ for all $`a,b`$, hence $`Red_{ab}^k0`$. For intermediate $`k`$ the sign of $`Red_{ab}^k`$ depends on the relative size of these coefficients. Let $`f_k=|\mu _k|^2`$, $`k=0,\mathrm{},N`$. Since $`\frac{d}{dt}|\mu |^2=2Re\overline{\mu }\dot{\mu }`$ and $`c_l^k`$ are purely imaginary, we have

$$\dot{f}_k=\underset{a,b=0}{\overset{N}{}}2(Red_{ab}^k)f_af_bf_k+2Re\overline{\mu }_kg_k.$$
(4.27)
The example 1 in §1 follows by letting $`N=2`$, $`x=\mu _0`$, $`y=\mu _1`$ and $`z=\mu _2`$.

Proof: Recall (4.4) that

$$\dot{u}_k=i^1e^{ie_kt}(\varphi _k,G),(k=0,\mathrm{},N).$$
(4.28)
We now proceed to derive the normal form in two steps.

Step 1 Integration of terms of order $`n^3`$.

Substituting $`G=G_3+G_5+G_7`$ and the expression (4.10) for $`G_3`$, we get

$`\dot{u}_k(t)`$ $`={\displaystyle \underset{l,m,j=0}{\overset{N}{}}}i^1e^{ie_kt}x_lx_m\overline{x}_j(t)(\varphi _k,\varphi _{lmj})+R_k`$ (4.29)
$`={\displaystyle \underset{l,m,j=0}{\overset{N}{}}}i^1e^{i(e_ke_le_m+e_j)t}u_lu_m\overline{u}_j(t)(\varphi _k,\varphi _{lmj})+R_k,`$
$`R_k`$ $`=i^1e^{ie_kt}(\varphi _k,G_5+G_7)(t).`$
By assumption A3,

$$e_ke_le_m+e_j0,$$
(4.30)
unless the two sets $`\{k,n\}`$ and $`\{l,m\}`$ are the same. Hence

$$\dot{u}_k(t)=\underset{l=0}{\overset{N}{}}c_l^k|u_l|^2u_k+\underset{(\text{4.30})}{}i^1e^{i(e_ke_le_m+e_j)t}u_lu_m\overline{u}_j(t)(\varphi _k,\varphi _{lmj})+R_k,$$
(4.31)
where $`c_l^k`$ are purely imaginary constants defined by

$$c_l^k=2i^1(\varphi _k,\varphi _{llk}),(kl);c_k^k=i^1(\varphi _k,\varphi _{kkk}).$$

Terms in the second group of (4.31) are oscillatory and can be integrated. Define

$$u_{k,1}=u_ku_{k,1}^{},$$

where

$$u_{k,1}^{}(t)=\underset{(\text{4.30})}{}\frac{i^1e^{i(e_ke_le_m+e_j)t}}{i(e_ke_le_m+e_j)}u_lu_m\overline{u}_j(t)(\varphi _k,\varphi _{lmj}),$$

$$g_{k,1}(t)=\underset{(\text{4.30})}{}\frac{i^1e^{i(e_ke_le_m+e_j)t}}{i(e_ke_le_m+e_j)}\frac{d}{dt}\left(u_lu_m\overline{u}_j\right)(t)(\varphi _k,\varphi _{lmj}).$$

We have

$$\dot{u}_{k,1}=\dot{u}_k\dot{u}_{k,1}^{}=\underset{l=0}{\overset{N}{}}c_l^k|u_l|^2u_k+R_k+g_{k,1}.$$

We further define

$$g_{k,2}=\underset{l=0}{\overset{N}{}}c_l^k\left\{|u_l|^2u_k|u_{l,1}|^2u_{k,1}\right\}.$$

We have

$$\dot{u}_{k,1}=\underset{l=0}{\overset{N}{}}c_l^k|u_{l,1}|^2u_{k,1}+i^1e^{ie_kt}(\varphi _k,G_5+G_7)+g_{k,1}+g_{k,2}.$$
(4.32)
Step 2 Integration of terms of order $`n^5`$.

We next integrate $`O(n^5)`$ terms. We first decompose $`g_{k,1}`$ and $`g_{k,2}`$ since they contain $`O(n^5)`$ terms. Using their explicit form we can decompose them as

$`g_{k,1}`$ $`=e^{ie_kt}g_{k,1,5}+g_{k,1,7},`$ (4.33)
$`g_{k,2}`$ $`=e^{ie_kt}g_{k,2,5}+g_{k,2,7},`$ (4.34)
where $`g_{k,1,7}`$ and $`g_{k,2,7}`$ are higher order terms with

$$|g_{k,1,7}|n^2\underset{j}{\mathrm{max}}|R_j|,|g_{k,2,7}|n^7.$$
(4.35)
$`g_{k,1,5}`$ and $`g_{k,2,5}`$ are explicit homogeneous polynomials of degree $`5`$ of the form

$$Cx_{l_1}x_{l_2}x_{l_3}\overline{x}_{l_4}\overline{x}_{l_5},$$
(4.36)
where $`l_j\{0,\mathrm{},N\}`$ and $`C`$ is a purely imaginary coefficient. The claim on $`g_{k,1,5}`$ can be seen by substituting (4.29) into $`\frac{d}{dt}(u_lu_m\overline{u}_j)`$ in the definition of $`g_{k,1}`$. The claim on $`g_{k,2,5}`$ can be seen from the definitions of $`g_{k,2}`$ and $`u_{k,1}^{}`$.

We next decompose $`i^1e^{ie_kt}(\varphi _k,G_5)`$. Recall $`G_5=\lambda \chi ^2\overline{\text{}\xi }+2\lambda |\chi |^2\xi `$ with $`\chi =_{l=0}^Nx_l\varphi _l`$. Using the decomposition $`\xi =\xi ^{(2)}+\xi ^{(3)}`$ with $`\xi ^{(2)}=_{l,m,j=0}^Nx_lx_m\overline{x}_j\xi _{lm}^j`$, we can decompose

$$G_5=G_{5,1}+G_{5,2}+G_{5,3},$$

where

$`G_{5,1}`$ $`=\lambda \chi ^2{\displaystyle \underset{l,m,j=0}{\overset{N}{}}}\overline{x}_l\overline{x}_mx_j(iIm\xi _{lm}^j)+2\lambda |\chi |^2{\displaystyle \underset{l,m,j=0}{\overset{N}{}}}x_lx_m\overline{x}_j(iIm\xi _{lm}^j),`$
$`G_{5,2}`$ $`=\lambda \chi ^2{\displaystyle \underset{l,m,j=0}{\overset{N}{}}}\overline{x}_l\overline{x}_mx_j(Re\xi _{lm}^j)+2\lambda |\chi |^2{\displaystyle \underset{l,m,j=0}{\overset{N}{}}}x_lx_m\overline{x}_j(Re\xi _{lm}^j),`$
$`G_{5,3}`$ $`=\lambda \chi ^2\overline{\text{}\xi }^{(3)}+2\lambda |\chi |^2\xi ^{(3)}.`$
Recall that $`Im\xi _{lm}^j0`$ only if $`e_je_le_m<0`$. The term $`G_{5,3}`$ will be shown to be smaller than $`G_{5,1}`$ and $`G_{5,2}`$. Both $`G_{5,1}`$ and $`G_{5,2}`$ are homogeneous polynomials of degree 5 of the form (4.36). However, the coefficients $`C`$ of $`G_{5,2}`$ are real-valued $`L_{\mathrm{loc}}^2`$ functions, while those of $`G_{5,1}`$ are purely imaginary.

We can now rewrite (4.32) as

$`\dot{u}_{k,1}`$ $`={\displaystyle \underset{l=0}{\overset{N}{}}}c_l^k|u_{l,1}|^2u_{k,1}+\stackrel{~}{R}_k+\left(i^1e^{ie_kt}(\varphi _k,G_{5,3}+G_7)+g_{k,1,7}+g_{k,2,7}\right),`$
where $`\stackrel{~}{R}_k`$ consist of terms of order $`O(n^5)`$,

$$\stackrel{~}{R}_k=e^{ie_kt}\left\{i^1(\varphi _k,G_{5,1}+G_{5,2})+g_{k,1,5}+g_{k,2,5}\right\}.$$
(4.37)
Inside the bracket are polynomials in $`x_l`$ and $`\overline{x}_l`$, $`l=0,\mathrm{},N`$. The only terms with real coefficients are those from $`G_{5,1}`$. As in Step 1, the above expression can be separated into two groups: those with zero phase factor and those with non-zero phase factors. The phase factor of a typical term in the above expression is of the form

$$e_ke_{l_1}e_{l_2}e_{l_3}+e_{l_4}+e_{l_5},$$

where $`l_j\{0,\mathrm{},N\}`$. To get zero, we must have the form $`e_ke_ke_ae_b+e_a+e_b`$ for some $`a,b`$ by assumption A3. Thus a typical term in the first group is of the form $`Ce^{ie_kt}x_kx_ax_b\overline{x}_a\overline{x}_b=C|u_a|^2|u_b|^2u_k`$.

We can integrate by parts those terms with non-zero phase factors as in Step 1. The other terms remain. Hence we can rewrite $`\stackrel{~}{R}_k`$ as

$$\stackrel{~}{R}_k=\underset{a,b=0}{\overset{N}{}}d_{ab}^k|u_a|^2|u_b|^2u_k+\frac{d}{dt}(u_{k,2}^{})+g_{k,3},$$

for some order one constants $`d_{ab}^k`$, some explicit homogeneous polynomials $`u_{k,2}^{}`$ of degree $`5`$, and remainder terms $`g_{k,3}`$ with

$$|g_{k,3}|n^4\underset{j}{\mathrm{max}}|\dot{u}_j|.$$
(4.38)
We will identify $`Red_{ab}^k`$ in a moment. Define

$$\mu _ku_{k,1}u_{k,2}^{}=u_ku_{k,1}^{}u_{k,2}^{}.$$
(4.39)
We have

$`\dot{\mu }_k`$ $`=\dot{u}_{k,1}\dot{u}_{k,2}^{}`$
$`={\displaystyle \underset{l=0}{\overset{N}{}}}c_l^k|u_{l,1}|^2u_{k,1}+{\displaystyle \underset{a,b=0}{\overset{N}{}}}d_{ab}^k|u_a|^2|u_b|^2u_k+g_{k,3}`$
$`+\left(i^1e^{ie_kt}(\varphi _k,G_{5,3}+G_7)+g_{k,1,7}+g_{k,2,7}\right)`$
$`={\displaystyle \underset{l=0}{\overset{N}{}}}c_l^k|\mu _l|^2\mu _k+{\displaystyle \underset{a,b=0}{\overset{N}{}}}d_{ab}^k|\mu _a|^2|\mu _b|^2\mu _k+g_k,`$
where

$$g_k=i^1e^{ie_kt}(\varphi _k,G_{5,3}+G_7)+g_{k,1,7}+g_{k,2,7}+g_{k,3}+g_{k,4},$$
(4.40)
$$g_{k,4}=\underset{l=0}{\overset{N}{}}c_l^k\left\{|u_{l,1}|^2u_{k,1}|\mu _l|^2\mu _k\right\}+\underset{a,b=0}{\overset{N}{}}d_{ab}^k\left\{|u_a|^2|u_b|^2u_k|\mu _a|^2|\mu _b|^2\mu _k\right\}.$$

We have $`|g_{k,5}|n^7`$. Collecting estimates, using the explicit form of $`G_{5,3}`$, $`|R_k|G_5+G_7_{L_{\mathrm{loc}}^1}`$, and Lemma 4.1, we get

$`|g_k|`$ $`G_{5,3}_{L_{\mathrm{loc}}^1}+G_7_{L_{\mathrm{loc}}^1}+n^2\underset{j}{\mathrm{max}}|R_j|+n^7+n^4\underset{j}{\mathrm{max}}|\dot{u}_j|+n^7`$
$`n^7+n^2\xi ^{(3)}_{L_{\mathrm{loc}}^2}+n^4\xi _{L_{\mathrm{loc}}^2}+n\xi _{L_{\mathrm{loc}}^2}^2+\xi ^3_{L_{\mathrm{loc}}^1}.`$
Using $`\xi _{L_{\mathrm{loc}}^2}n^3+\xi ^{(3)}_{L_{\mathrm{loc}}^2}`$, we can remove $`n^4\xi _{L_{\mathrm{loc}}^2}`$ and get (4.24).

We have noted that $`c_l^k`$ are purely imaginary. We now compute the real parts of $`d_{ab}^k`$. From the previous discussions on $`g_{k,1,5}`$, $`g_{k,2,5}`$, $`G_{5,1}`$ and $`G_{5,2}`$, we know that the only contribution to $`Red_{ab}^k`$ is from $`i^1e^{ie_kt}(\varphi _k,G_{5,1})`$. We have

$`i^1e^{ie_kt}(\varphi _k,G_{5,1})`$ $`={\displaystyle \underset{a,b,l,m,j}{}}e^{ie_kt}x_ax_b\overline{x}_l\overline{x}_mx_j(\varphi _k,\lambda \varphi _a\varphi _bIm\xi _{lm}^j)`$
$`+{\displaystyle \underset{a,b,l,m,j}{}}2e^{ie_kt}x_a\overline{x}_bx_lx_m\overline{x}_j(\varphi _k,\lambda \varphi _a\varphi _bIm\xi _{lm}^j),`$
and we are interested in those terms of the form $`Ce^{ie_kt}|u_a|^2|u_b|^2u_k`$. As mentioned, $`Im\xi _{lm}^j0`$ only if $`e_je_le_m<0`$, in particular $`jl,m`$ (not sufficient though). Therefore, to get products in the first summation we need $`j=k`$ and the two sets $`\{l,m\}`$ and $`\{a,b\}`$ are the same; in the second summation we need $`j=a`$ and the two sets $`\{l,m\}`$ and $`\{k,b\}`$ are the same. Hence $`_{a,b=0}^N(Red_{ab}^k)|u_a|^2|u_b|^2u_k`$ is equal to

$`{\displaystyle \underset{a,b=0}{\overset{N}{}}}(2\delta _a^b)|x_a|^2|x_b|^2u_k(\varphi _k,\lambda \varphi _a\varphi _bIm\xi _{ab}^k)`$
$`+{\displaystyle \underset{a,b=0}{\overset{N}{}}}2(2\delta _k^b)|x_a|^2|x_b|^2u_k(\varphi _k,\lambda \varphi _a\varphi _bIm\xi _{kb}^a).`$
Note we have the factors $`(2\delta _a^b)`$ and $`(2\delta _k^b)`$ since we have two choices for assigning $`l`$ and $`m`$ if $`ab`$ (or $`kb`$). Recall $`\lambda \varphi _a\varphi _b\varphi _k=\varphi _{abk}`$, $`\xi _{lm}^j=K_{lm}^j𝐏_\mathrm{c}\varphi _{lmj}`$, and $`\gamma _{lm}^j=(\varphi _{lmj},ImK_{lm}^j𝐏_\mathrm{c}\varphi _{lmj})`$. We conclude

$`Red_{ab}^k`$ $`=(2\delta _a^b)(\varphi _{abk},Im\xi _{ab}^k)+2(2\delta _k^b)(\varphi _{kba},Im\xi _{kb}^a)`$
$`=(2\delta _a^b)\gamma _{ab}^k2(2\delta _k^b)\gamma _{kb}^a.`$
Q.E.D.

### 4.4 Main estimates

In this subsection we prove estimates in the transition regime for the solution $`\psi (t)`$. The following proposition is the main result of this section. It proves the same result of Theorem 1.1 under weaker assumptions (4.41)–(4.42) below. Note that the assumption $`\xi _0_Yn/2`$ in (1.9) of Theorem 1.1 implies, using Lemma 2.3,

$$e^{itH_0}\xi _0_{L^5}n(1+t)^{9/10},e^{itH_0}\xi _0_{L_{\mathrm{loc}}^2}n(1+t)^{3/2}.$$

Hence it implies (4.42). Eq. (4.42) is motivated by (4.46) and , and may be more convenient for future application when we study the asymptotic profiles of all small solutions. See  for two bound states case. Also note that, by (4.41) below, we have $`\psi (t)_{L^2}=\psi _0_{L^2}1`$ and hence $`\mathrm{max}_k|x_k(t)|,\xi (t)_{L^2}1`$. However, we do not assume any bound of $`\psi _0_{L^2}`$ in terms of $`n`$. This is essential for future application.

Notice that we define $`t_2`$ by (4.45) to be the time when the size of the excited states decays to the order $`n^{1+\sigma }`$. This is more than sufficient since we only need it to be smaller than $`\epsilon _0n`$ in order to apply Theorem 3.1.

###### Proposition 4.3

Assume the assumptions A0–A3 given in §1. There is a small constant $`n_0>0`$ such that the following hold. Suppose $`\psi (t)=\psi (t,x)`$ is a solution of (1.1) with the initial data $`\psi (0)=\psi _0=x_0^0\varphi _0+\mathrm{}+x_N^0\varphi _N+\xi _0`$ satisfying, for some $`nn_0`$, $`0<\sigma <1/10`$,

$$\begin{array}{cc}& \frac{3}{4}n^2|x_0^0|^2+\mathrm{}+|x_N^0|^2n^2,\psi _0_{H^1}1,\hfill \\ & |x_0^0|n^{3ϵ},\left(_{k=1}^N|x_k^0|^2\right)^{1/2}2|x_0^0|^{1+\sigma },\hfill \end{array}$$
(4.41)
and for some $`t_{}[1,n^{42\sigma }]`$, for all $`t0`$,

$$.\begin{array}{cc}\hfill e^{itH_0}\xi _0_{L^5}& \mathrm{\Lambda }_5(t)n(1+t)^{9/10}+Cn^3t_{}(t_{}+t)^{9/10},\hfill \\ \hfill e^{itH_0}\xi _0_{L_{\mathrm{loc}}^2}& \mathrm{\Lambda }(t)n(1+t)^{3/2}+Cn^3\frac{t_{}}{t_{}+t}(1+t)^{1/2}.\hfill \end{array}$$
(4.42)
Let $`t_0=n^2`$. There exist $`t_2t_1t_0`$ such that

$$t_1C_4n^4\mathrm{log}\frac{1}{n},C_4^1n^4t_2C_4n^{42\sigma },$$
(4.43)
for some constant $`C_4>1`$ independent of $`n`$, and we have, for $`0tt_2`$,

$$\begin{array}{cc}\hfill |x_0(t)|& \frac{3}{4}\underset{0st}{sup}|x_0(s)|,\hfill \\ \hfill |x_k(t)|& \frac{5}{4}n,(k=0,\mathrm{},N),\hfill \\ \hfill \xi (t)_{L^5}& C_5n^3t^{1/10}+\frac{5}{4}\mathrm{\Lambda }_5(t),\hfill \\ \hfill \xi (t)_{L_{\mathrm{loc}}^2}& C_5n^3+\frac{5}{4}\mathrm{\Lambda }(t),\hfill \\ \hfill \xi ^{(3)}(t)_{L_{\mathrm{loc}}^2}& C_5n^5,\text{for }tt_0,\hfill \end{array}$$
(4.44)
where $`C_5`$ is an explicit constant. We also have, at $`t=t_1`$ and $`t=t_2`$,

$$|x_0(t_1)|^2,|x_0(t_2)|^2\frac{3}{4}\mathrm{\hspace{0.17em}2}^{2N}n^2,\left(_{k=1}^N|x_k(t_2)|^2\right)^{1/2}|x_0(t_2)|^{1+\sigma }.$$
(4.45)
Moreover, we have the following out-going estimates for $`\xi (t_2)`$: For $`\tau 0`$,

$$\begin{array}{cc}\hfill e^{i\tau H_0}\xi (t_2)_{L^5}& Cn^3(t_{}+t_2)(t_2+\tau )^{9/10},\hfill \\ \hfill e^{i\tau H_0}\xi (t_2)_{L_{\mathrm{loc}}^2}& Cn^3\frac{t_{}+t_2}{t_2+\tau }(1+\tau )^{1/2}.\hfill \end{array}$$
(4.46)
Proof: We will prove estimates (4.43)–(4.45) using a continuity argument. Hence we can assume the following weaker estimates: For $`0tt_2`$:

$$\begin{array}{cc}\hfill |x_0(t)|& \frac{1}{2}\underset{0st}{sup}|x_0(s)|,\hfill \\ \hfill |x_k(t)|& \frac{3}{2}n,(k=0,\mathrm{},N),\hfill \\ \hfill \xi (t)_{L^5}& 2C_5n^3t^{1/10}+2\mathrm{\Lambda }_5(t),\hfill \\ \hfill \xi (t)_{L_{\mathrm{loc}}^2}& \mathrm{\hspace{0.17em}2}C_5n^3+2\mathrm{\Lambda }(t),\hfill \\ \hfill \xi ^{(3)}(t)_{L_{\mathrm{loc}}^2}& 2C_5n^5,\text{for }tt_0.\hfill \end{array}$$
(4.47)
If we can prove (4.43)–(4.45) assuming (4.47), then (4.43)–(4.45) hold true for all $`t[0,t_2]`$ since (4.47) is never violated. By definition we have $`\mathrm{\Lambda }_5(t),\mathrm{\Lambda }(t)n`$. By (4.47) we have $`\xi (t)_{L_{\mathrm{loc}}^2L^5}2n`$. Hence the assumptions of Lemmas 4.1 and Lemma 4.2 are satisfied. Since $`\psi (t)_{L^2}=\psi _0_{L^2}1`$, we have $`\xi (t)_{L^2}1`$. Also, since $`tt_2C_4n^{42\sigma }`$,

$$\xi _{L^5}n^3t_2^{1/10}+n(1+t)^{9/10}+Cn^3t_{}^{1/10}n^{13/5\sigma /5}+n(1+t)^{9/10},$$
(4.48)
$$\xi _{L_{\mathrm{loc}}^2}n^3+n(1+t)^{3/2}+Cn^3(1+t)^{1/2}n^3+n(1+t)^{3/2}.$$
(4.49)
We now estimate $`\xi (t)`$. Recall (4.5),

$$\xi (t)=e^{itH_0}\xi _0+_0^te^{i(ts)H_0}𝐏_\mathrm{c}i^1G(s)𝑑s.$$

Note $`G_{L^{5/4}}G_3_{L^{5/4}}+GG_3\lambda \xi ^2\overline{\xi }_{L^{5/4}}+\lambda \xi ^2\overline{\xi }_{L^{5/4}}`$ and $`G_3_{L^{5/4}}Cn^3`$. Using Lemma 4.1, (4.48) and (4.49),

$$GG_3\lambda \xi ^2\overline{\xi }_{L^1L^{5/4}}n^2\xi _{L_{\mathrm{loc}}^2}n^2(n^3+n(1+s)^{3/2}),$$
(4.50)
$$\lambda \xi ^2\overline{\xi }_{L^{5/4}}\xi _{L^2}^{2/3}\xi _{L^5}^{7/3}o(1)[n^{13/5\sigma /5}+n(1+s)^{9/10}]^{7/3}.$$
(4.51)
Hence $`G(s)_{L^{5/4}}n^3+n^{7/3}s^{21/10}`$ and

$`\xi (t)_{L^5}`$ $`e^{itH_0}\xi _0_{L^5}+C{\displaystyle _0^t}|ts|^{9/10}G(s)_{L^{5/4}}𝑑s`$
$`\mathrm{\Lambda }_5(t)+C{\displaystyle _0^t}|ts|^{9/10}[n^3+n^{7/3}s^{\frac{21}{10}}]𝑑s\frac{5}{4}\mathrm{\Lambda }_5(t)+Cn^3t^{1/10}.`$
Hence $`\xi (t)_{L^5}`$ is estimated. For the $`L_{\mathrm{loc}}^2`$ norm, we use the decomposition (4.15) that $`\xi (t)=\xi ^{(2)}+\xi ^{(3)}`$ with $`\xi ^{(3)}=_{j=1}^5\xi _j^{(3)}`$. We have $`\xi ^{(2)}_{L_{\mathrm{loc}}^2}Cn^3`$ by its explicit form. By (4.42) for $`\xi _0`$ we have

$$\xi _1^{(3)}(t)_{L_{\mathrm{loc}}^2}\mathrm{\Lambda }(t).$$

By the singular decay estimate (2.5) in Lemma 2.3 and the definition (4.13) of $`\xi _{lm}^j`$, we have

$$\xi _2^{(3)}(t)_{L_{\mathrm{loc}}^2}Cn^3(1+t)^{3/2}Cn^2\mathrm{\Lambda }(t).$$

Using (2.5), (4.13) again and the bound of $`\mathrm{max}_j|\dot{u}_j|`$ in Lemma 4.1, we have

$`\xi _3^{(3)}(t)_{L_{\mathrm{loc}}^2}`$ $`C{\displaystyle _0^t}ts^{3/2}n^2\underset{j}{\mathrm{max}}|\dot{u}_j|dsC{\displaystyle _0^t}ts^{3/2}n^5𝑑sCn^5.`$
For $`\xi _4^{(3)}(t)`$, bounding its integrand by either $`L^{\mathrm{}}`$ or $`L^5`$-norm and using (4.50), we have

$`\xi _4^{(3)}(t)_{L_{\mathrm{loc}}^2}`$ $`{\displaystyle _0^t}\mathrm{min}\{|ts|^{3/2},|ts|^{9/10}\}(GG_3\lambda \xi ^2\overline{\xi })(s)_{L^1L^{5/4}}𝑑s`$
$`{\displaystyle _0^t}\mathrm{min}\{|ts|^{3/2},|ts|^{9/10}\}n^2(n^3+n(1+s)^{3/2})𝑑s`$
$`n^5+n^2\mathrm{\Lambda }(t).`$
Finally we give two estimates for $`\xi _5^{(3)}`$. By Hölder inequality and (4.48),

$`\xi ^3_{L^1L^{5/4}}`$ $`\xi _{L^2L^5}^{4/3}\xi _{L^5}^{5/3}o(1)(n^{13/5\sigma /5}+n(1+s)^{9/10})^{5/3}.`$
$`n^{13/3\sigma /3}+n^{5/3}(1+s)^{3/2}.`$ (4.52)
The same estimate for $`\xi _4^{(3)}`$ shows

$$\xi _5^{(3)}(t)_{L_{\mathrm{loc}}^2}n^{13/3\sigma /3}+n^{2/3}\mathrm{\Lambda }(t).$$

Summing the estimates we conclude

$$\xi _{L_{\mathrm{loc}}^2}\xi ^{(2)}_{L_{\mathrm{loc}}^2}+\underset{j=1}{\overset{5}{}}\xi _j^{(3)}_{L_{\mathrm{loc}}^2}C_5n^3+\frac{5}{4}\mathrm{\Lambda }(t).$$

We now estimate $`\xi _5^{(3)}`$ in another way. We have

$`\xi ^2\overline{\xi }_{L^{6/5}L^{5/4}}`$ $`\xi _{L^2L^5}^{7/9}\xi _{L^5}^{20/9}o(1)(n^{13/5\sigma /5}+n(1+s)^{9/10})^{20/9}`$
$`n^{52/94\sigma /9}+n^{20/9}(1+s)^2.`$
Bounding the integrand of $`\xi _5^{(3)}(t)`$ by either $`L^6`$ or $`L^5`$ norm we have

$`\xi _5^{(3)}(t)_{L_{\mathrm{loc}}^2}`$ $`{\displaystyle _0^t}\mathrm{min}\{|ts|^1,|ts|^{9/10}\}\lambda \xi ^2\overline{\xi }(s)_{L^{6/5}L^{5/4}}𝑑s`$
$`{\displaystyle _0^t}\mathrm{min}\{|ts|^1,|ts|^{9/10}\}\left(n^{52/94\sigma /9}+n^{20/9}(1+s)^2\right)𝑑s`$
$`n^{52/94\sigma /9}\mathrm{log}(1+t_2)+n^{20/9}(1+t)^1\mathrm{log}(1+t_2).`$
Summing the estimates and using $`t_2C_4t^{42\sigma }`$, we get

$$\xi ^{(3)}_{L_{\mathrm{loc}}^2}\underset{j=1}{\overset{5}{}}\xi _j^{(3)}_{L_{\mathrm{loc}}^2}Cn^5+\frac{5}{4}\mathrm{\Lambda }(t)+n^{20/9}(1+t)^1\mathrm{log}(1+t_2).$$

Clearly we have $`\xi ^{(3)}(t)_{L_{\mathrm{loc}}^2}Cn^5`$ for $`t>t_0=n^2`$.

We now estimate the error term $`g_k(t)`$ in the equation (4.23) of $`u_k`$. Recall (4.24),

$$|g_k(t)|n^7+n^2\xi ^{(3)}_{L_{\mathrm{loc}}^2}+n\xi _{L_{\mathrm{loc}}^2}^2+\xi _{L_{\mathrm{loc}}^2}^{4/3}\xi _{L^5}^{5/3}.$$

Using (4.47)–(4.49), $`\mathrm{\Lambda }_5(t),\mathrm{\Lambda }(t)n`$, and the computation in (4.52),

$`|g_k(t)|`$ $`n^7+n^2\xi ^{(3)}_{L_{\mathrm{loc}}^2}+n(n^3+\mathrm{\Lambda })^2+(n^3+\mathrm{\Lambda })^{4/3}(n^{13/3\sigma /3}+n^{2/3}\mathrm{\Lambda }(s))`$
$`n^7+n^2\xi ^{(3)}_{L_{\mathrm{loc}}^2}+n^{14/3\sigma /3}\mathrm{\Lambda }+n\mathrm{\Lambda }^2.`$
For $`tt_0=n^2`$ we use the first estimate of $`\xi _5^{(3)}_{L_{\mathrm{loc}}^2}`$ and we have $`\xi ^{(3)}_{L_{\mathrm{loc}}^2}_{j=1}^5\xi _j^{(3)}_{L_{\mathrm{loc}}^2}n^{13/3\sigma /3}+\mathrm{\Lambda }`$. Hence

$$|g_k(t)|n^{6+1/3\sigma /3}+n^2\mathrm{\Lambda },(t[0,t_0]).$$
(4.53)
For $`tt_0`$ we have $`\xi ^{(3)}(t)_{L_{\mathrm{loc}}^2}Cn^5`$ and $`\mathrm{\Lambda }(t)n^2`$. Thus

$$|g_k(t)|n^7,(t[t_0,t_2]).$$
(4.54)
We now estimate bound states. As illustrated in Example 1 of §1, some bound states may grow at intermediate time. We will use the following monotonicity properties. Recall that $`f_k=|\mu _k|^2`$, $`k=0,\mathrm{},N`$, satisfy (4.27). Motivated by (1.19), we consider the following functions:

$$f(t)=f_0(t),g(t)=\underset{k=1}{\overset{N}{}}f_k,g_+(t)=\underset{k=1}{\overset{N}{}}2^kf_k.$$
(4.55)
By (4.41), (4.42) and (4.22) we have

$$f(0)2^1n^{62ϵ},2n^2f(0)+g(0)2^1n^2,f(0)+g_+(0)2^{1N}n^2,$$
(4.56)
if $`n`$ is sufficiently small. Although $`g`$ and $`g_+`$ are comparable, $`(f+g)(t)`$ is almost monotone decreasing while $`(f+g_+)(t)`$ is almost monotone increasing in the following sense:

$$\begin{array}{cc}\hfill \frac{d}{dt}(f+g)(t)& 2(N+1)\underset{k}{\mathrm{max}}|\overline{\mu }_kg_k|,\hfill \\ \hfill \frac{d}{dt}(f+g_+)(t)& 2(N+1)\underset{k}{\mathrm{max}}|\overline{\mu }_kg_k|.\hfill \end{array}$$
(4.57)
We now prove (4.57). By (4.25) and (4.27),

$`{\displaystyle \frac{d}{dt}}(f+g){\displaystyle \underset{k=0}{\overset{N}{}}}2Re\overline{\mu }_kg_k={\displaystyle \underset{a,b,k=0}{\overset{N}{}}}2(Red_{ab}^k)f_af_bf_k`$
$`={\displaystyle \underset{a,b,k=0}{\overset{N}{}}}2\left[(2\delta _a^b)\gamma _{ab}^k2(2\delta _k^b)\gamma _{kb}^a\right]f_af_bf_k.`$ (4.58)
Switching $`a`$ and $`k`$ in the terms with minus sign, we see that the above sum is non-positive. Similarly,

$`{\displaystyle \frac{d}{dt}}(f+g_+){\displaystyle \underset{k=0}{\overset{N}{}}}2^{1k}Re\overline{\mu }_kg_k={\displaystyle \underset{a,b,k=0}{\overset{N}{}}}2^{1k}(Red_{ab}^k)f_af_bf_k`$
$`={\displaystyle \underset{a,b,k=0}{\overset{N}{}}}2^{1k}\left[(2\delta _a^b)\gamma _{ab}^k2(2\delta _k^b)\gamma _{kb}^a\right]f_af_bf_k`$
$`={\displaystyle \underset{a,b,k=0}{\overset{N}{}}}\left[2^{1k}(2\delta _a^b)\gamma _{ab}^k2^{2a}(2\delta _a^b)\gamma _{ab}^k\right]f_af_bf_k.`$
In the last line we have switched $`a`$ and $`k`$ for terms with minus sign. If $`ka`$ then $`\gamma _{ab}^k=0`$. Hence $`2^{1k}2^{2a}`$ for nonzero terms and the above sum is non-negative. We have shown (4.57). We now estimate the bound states in three steps.

Step 1. Initial layer.

In this period the dispersive part disperses away so much that it becomes negligible locally. The time it takes is less than $`t_0=n^2`$, which is not long enough to change the magnitudes of the bound states. Explicitly, by (4.27), (4.47) and (4.53) we have

$$|\dot{f}_k(s)|Cn^4\alpha ^2+\alpha \left(n^{6+1/3\sigma /3}+n^2\mathrm{\Lambda }(s)\right),$$

for $`k=0,1,\mathrm{},N`$, where $`\alpha =\sqrt{f_k(0)}`$. Thus, for $`t[0,t_0]`$,

$`\left|f_k(t)f_k(0)\right|`$ $`{\displaystyle _0^t}n^4\alpha ^2+\alpha \left(n^{6+1/3\sigma /3}+n^2\mathrm{\Lambda }(s)\right)ds`$
$`n^4\alpha ^2t_0+\alpha n^{6+1/3\sigma /3}t_0+\alpha n^2(n+n^3\sqrt{t_0})`$
$`n^2\alpha ^2+n^3\alpha n^ϵ\alpha ^2+n^{6ϵ}.`$
Since $`f_k(0)n^{62ϵ}`$, we get $`\left|f_k(t)f_k(0)\right|f_k(0)`$.

Step 2. Transition regime (i).

After time $`t=t_0`$ most mass of the dispersive wave is far away and has no effect on the local dynamics. Two possible situations can occur: We either have $`f(t_0)2^{2N}n^2`$ or the opposite. In the first case we define $`t_1=t_0`$ and jump to next step. We now focus on the second case. In the second case the ground state begins to grow exponentially until it is of order $`n`$. The time it takes is of order $`n^4\mathrm{log}n^1`$. Define

$$t_1\underset{tt_0}{inf}\{t:f_0(t)2^{2N}n^2\}.$$
(4.59)
By assumption $`t_1>t_0`$. We want to show that

$$t_0t_1t_1^{}t_0+2^{8+2N}N\gamma _{0}^{}{}_{}{}^{1}n^4\mathrm{log}\frac{1}{n}.$$
(4.60)
Suppose (4.60) fails, that is, $`f_0(t)<2^{2N}n^2`$ for all $`tt_1^{}`$. We have by (4.56), (4.54) and (4.57), for all $`t[t_0,t_1^{}]`$,

$`g_+(t)`$ $`(f_0+g_+)(t_0)f_0(t){\displaystyle _{t_0}^t}\underset{k}{\mathrm{max}}|\mu _k||g_k|ds`$
$`2^{1N}n^22^{2N}n^2Cnn^72^{3N}n^2.`$
In particular, the coefficient of the linear term in (4.27) of $`\dot{f}_0`$ has a lower bound,

$`{\displaystyle \underset{a,b=0}{\overset{N}{}}}2(Red_{ab}^0)f_af_b`$ $`={\displaystyle \underset{a,b=0}{\overset{N}{}}}2(2\delta _a^b)\gamma _{ab}^0f_af_b{\displaystyle \underset{a=1}{\overset{N}{}}}2\gamma _0f_a^22\gamma _0N^1g^2`$ (4.61)
$`2\gamma _0N^1g_+^22^{52N}\gamma _0N^1n^4.`$
Since $`\sqrt{f_0(t)}=f_0(t)/|\mu _0(t)|3f_0(t)/|\mu _0(0)|4f_0(t)n^{3+ϵ}`$ by the first line of (4.47), we have for $`tt_0`$,

$`\dot{f}_0(t)`$ $`2^{52N}\gamma _0N^1n^4f_0\sqrt{f_0}Cn^72^{62N}\gamma _0N^1n^4f_0,`$
if $`n`$ is sufficiently small. Hence

$$f_0(t)f_0(t_0)\mathrm{exp}\left\{2^{62N}\gamma _0N^1n^4(tt_0)\right\},$$
(4.62)
for $`t[t_0,t_1^{}]`$. However, using the definition of $`t_1^{}`$ and

$$f_0(t_0)\frac{3}{4}|x_0(t_0)|^2\frac{3}{16}|x_0(0)|^2\frac{3}{16}n^{62ϵ},$$

(4.62) implies $`f_0(t_1^{})>2^{2N}n^2`$, which is a contradiction. This contradiction shows the existence of $`t_1[t_0,t_1^{}]`$ so that $`f_0(t_1)=2^{2N}n^2`$. We also have (4.44) and (4.62) for all $`tt_1`$.

Step 3. Transition regime (ii).

For $`tt_1`$, $`f_0(t)`$ is large enough to cause $`g(t)`$ to decay in a rate we can control. Define

$$t_2\underset{tt_1}{inf}\{t:g(t)n^{2+2\sigma }\}.$$
(4.63)
We want to show that

$$t_1t_2t_2^{}t_1+n^{42\sigma }.$$
(4.64)
Suppose the contrary, then $`g(t)n^{2+2\sigma }`$ for all $`tt_2^{}`$. By (4.47), for $`t>t_1`$ we have $`\sqrt{f_0(t)}f_0(t)(\frac{1}{2}f_0(t_1))^{1/2}2^{(3+N)/2}nf_0(t)`$. Recall from (4.61) that $`_{a,b=0}^N2(Red_{ab}^0)f_af_b2\gamma _0N^1g^2`$. Hence for $`t[t_1,t_2^{}]`$,

$$\dot{f}_0(t)2\gamma _0N^1g^2\sqrt{f_0}Cn^7>0.$$

Thus $`\dot{f}_0>0`$ and $`f_0(t)2^{2N}n^2`$ for $`t[t_1,t_2^{}]`$. In particular (4.44) holds for $`t>t_1`$ and (4.45) holds for $`x_0(t_2)`$ should $`t_2`$ exist. By eq.(4.27) for $`\dot{f}_0`$,

$`\dot{g}(t)`$ $`\dot{f}_0(t)+_{k=0}^N2Re\overline{\mu }_kg_k`$
$`=\left\{_{a,b=0}^N2(Red_{ab}^0)f_af_b\right\}f_0+_{k=1}^N2Re\overline{\mu }_kg_k`$
$`2\gamma _0N^1g^2f_0+_{k=1}^N2Re\overline{\mu }_kg_k`$
$`2^{1N}n^2\gamma _0N^1g^2+Cnn^7`$
$`<2^{2N}\gamma _0N^1n^2g^2,`$
if $`n`$ is sufficiently small. In the second line we have cancelled $`2Re\overline{\mu }_0g_0`$. In the third line we used (4.61). Thus, by comparison principle,

$$g(t)<[g(t_1)^1+2^{2N}\gamma _0N^1n^2(tt_1)]^1,(t_1<tt_2^{}).$$

for $`t(t_1,t_2^{}]`$. However, by the definition of $`t_2^{}`$ this implies $`g(t_2^{})<n^{2+2\sigma }`$, which is a contradiction. This contradiction shows the existence of $`t_2`$ satisfying (4.64). Similarly, since $`\dot{g}(t)>Cn^2g(t)^2`$ for $`t_1tt_2`$, we have a lower bound $`g(t)[g(t_1)^1+Cn^2(tt_2)]^1`$ by comparison principle. This implies $`t_2t_1Cn^4`$. We have proven (4.43)–(4.45) in Proposition 4.3 using assumption (4.47). Since (4.47) holds for $`t=0`$, it holds for all $`tt_2`$ by continuity. Hence (4.43)–(4.45) are proven.

Finally we prove (4.46) for $`e^{i\tau H_0}\xi (t_2)`$. Let $`t=t_2+\tau `$. We have

$$e^{i\tau H_0}\xi (t_2)=e^{itH_0}\xi _0+J(t),J(t)_0^{t_2}e^{i(ts)H_0}𝐏_\mathrm{c}G(s)𝑑s.$$

The estimate of $`e^{itH_0}\xi _0`$ is by (4.42), since $`\mathrm{\Lambda }_5(t)Cn^3(t_{}+t_2)(1+t)^{9/10}`$ and $`\mathrm{\Lambda }(t)Cn^3(t_{}+t_2)(1+t)^1(1+\tau )^{1/2}`$ if $`t_2n^2`$. To estimate $`J(t)`$, we use the following integral inequalities: For $`tT1`$,

$$_0^T|ts|^{9/10}𝑑sCTt^{9/10}.$$
(4.65)
$$_0^T\mathrm{min}\{(ts)^{3/2},(ts)^{9/10}\}𝑑sCTt^1tT^{1/2}.$$
(4.66)
See \[22, Lemma 2.6\]. Since $`G(s)_{L^1L^{5/4}}Cn^3`$ for $`s[0,t_2]`$, we have

$`J(t)_{L^5}`$ $`C{\displaystyle _0^{t_2}}|ts|^{9/10}G_\xi (s)_{L^{5/4}}𝑑sC{\displaystyle _0^{t_2}}|ts|^{9/10}n^3𝑑s`$
$`Cn^3t_2(1+t)^{9/10}.`$
$`J(t)_{L_{\mathrm{loc}}^2}`$ $`C{\displaystyle _0^{t_2}}\mathrm{min}\{|ts|^{3/2},|ts|^{9/10}\}G(s)_{L^1L^{5/4}}𝑑s`$
$`C{\displaystyle _0^{t_2}}\mathrm{min}\{|ts|^{3/2},|ts|^{9/10}\}n^3𝑑s`$
$`Cn^3t_2t^1(1+tt_2)^{1/2}.`$
The proof of Proposition 4.3 is complete. Q.E.D.

Proof of Theorem 1.1 To prove Theorem 1.1 using Theorem 3.1, we want to use $`\psi (t_2)`$ as initial data and decompose $`\psi (t_2)`$ according to (3.1), i.e., with respect to $``$, and check the assumptions (3.4)–(3.5). If the last condition in (4.41) fails, we simply set $`t_2=0`$. Let $`\rho _0=(|x_1(t_2)|^2+\mathrm{}+|x_N(t_2)|^2)^{1/2}`$. We have

$$|x_0(t_2)|n,\rho _0=(1+o(1))n^{1+\sigma },\xi (t_2)_{L_{\mathrm{loc}}^2}Cn^3.$$
(4.67)
We may redefine $`n=|x_0(t_2)|`$. Let $`Q_{E_0}`$ be the unique nonlinear ground state so that $`Q_{E_0}=n\varphi _0+k`$ with $`k\varphi _0`$, $`k=O(n^3)`$. Also choose $`e^{i\theta _0}=n^1x_0(t_2)`$. We have $`\psi (t_2)Q_{E_0}e^{i\theta _0}_{L_{\mathrm{loc}}^2}k_{L_{\mathrm{loc}}^2}+\psi (t_2)x_0(t_2)\varphi _0_{L_{\mathrm{loc}}^2}n^3+\rho _0+n^3\rho _0`$, which is much smaller than $`n`$. By Lemma 2.2, for each $`E`$ close to $`E_0`$, we can decompose $`\psi (t_2)`$ as $`\psi (t_2)=\left[Q_E+aR_E+\zeta +\eta \right]e^{i\theta }`$ using the decomposition (3.1) with respect to $`_E`$. We have

$$e^{i\theta }\psi (t_2)Q_E=aR+\zeta +\eta =k+Z+\xi ,$$
(4.68)
where $`Z=e^{i\theta }[x_1(t_2)\varphi _1+\mathrm{}+x_N(t_2)]`$ and $`\xi =e^{i\theta }\xi (t_2)`$. With $`E=E_0`$ in (4.68), we have $`a_{E_0}=(c_1Q,Rek+Z+\xi )=c_1(n\varphi _0+k,Rek+Z+\xi )`$. Since $`\varphi _0(k+Z+\xi )`$, we have

$$|a_{E_0}|n^3(n^3+\rho _0+n^3)Cn^3\rho _0,$$

which is much smaller than $`\rho _0^2`$. Denote $`P_𝐄=_{k=1}^NP_{𝐄_k}`$. We also have

$$\zeta P_𝐄Z=P_𝐄(k+\xi )n^3+n^2\xi _{L_{\mathrm{loc}}^2}n^3,$$

and hence $`\zeta =\rho _0+O(n^3)`$. We have verified (3.4) with $`E=E_0`$. For all $`E`$ with $`|EE_0|D\rho _0^2`$, write $`\eta _1=𝐏_\mathrm{c}^{}(k+Z)`$ and $`\eta _2=𝐏_\mathrm{c}^{}\xi =𝐏_\mathrm{c}^{}e^{i\theta }\xi (t_2)`$. We have

$$e^s\eta =e^s\eta _1+e^s\eta _2.$$

Since $`\eta _1`$ is a local function bounded by $`k+n^2Zn^3`$, we get

$$\begin{array}{cc}\hfill e^s\eta _1_{L^5}& Cn^3(1+s)^{9/10}n^{4/5}\rho (s)^{8/5},\hfill \\ \hfill e^s\eta _1_{L_{\mathrm{loc}}^2}& Cn^3(1+s)^{3/2}n^{1/2}(1+s)^{1/2}\rho ^2(s).\hfill \end{array}$$

Recall $`\rho (s)=[\rho _0^2+N^1\gamma _0n^2s]^{1/2}`$ with $`\rho _0n^{1+\sigma }`$. Write $``$ as $`=i(H_0E)+W`$, where $`Wh=2\lambda Q^2h+\lambda Q^2\overline{h}`$ is a local operator bounded by $`n^2`$. We have

$$e^t\eta _2=𝐏_\mathrm{c}^{}e^{it(H_0E)}e^{i\theta }\xi (t_2)+_0^te^{(ts)}We^{is(H_0E)}e^{i\theta }\xi (t_2)𝑑s.$$

Hence

$$e^t\eta _2_{L^5}e^{itH_0}\xi (t_2)_{L^5}+_0^t|ts|^{9/10}n^2e^{isH_0}\xi (t_2)_{L_{\mathrm{loc}}^2}𝑑s,$$

$`e^t\eta _2_{L_{\mathrm{loc}}^2}`$ $`e^{itH_0}\xi (t_2)_{L_{\mathrm{loc}}^2}`$
$`+{\displaystyle _0^t}\mathrm{min}\{|ts|^{3/2},|ts|^{9/10}\}n^2e^{isH_0}\xi (t_2)_{L_{\mathrm{loc}}^2}𝑑s.`$
Using the out-going estimates (4.46) for $`e^{isH_0}\xi (t_2)`$, we conclude the estimates (3.5) for $`\eta _E`$ for all $`E`$ close to $`E_0`$ with $`|EE_0|D\rho _0^2`$. Q.E.D.

### Acknowledgments

The author would like to thank H.-T. Yau for his very helpful comments and discussions. The author was partially supported by NSF grant DMS-9729992.