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Chapter 5
Some Recent Advances in Nonlinear Inverse Scattering

in 2D: Theory and Numerics
Valery Serov, Markus Harju and

Georgios Fotopoulos
Additional information is available at the end of the chapter
http://dx.doi.org/10.5772/62233
Abstract
We survey our recently published results concerning scattering problems for the
nonlinear Schrödinger equation
where ν is a quite general nonlinear analogue of the index of refraction. We will

investigate direct scattering problem as well as several inverse scattering problems for
this equation. We start by establishing sufficient conditions for the unique solvability
of the direct scattering problem. Asymptotic behaviour of the scattering solutions is
shown to give rise to scattering amplitude. Inverse problems are formulated as follows
extract information about the nonlinearity ν from the knowledge of the scattering
amplitude. At this point, one must specify more carefully the scattering data sets. We
concentrate our attention to full data, backscattering data, fixed angle data and fixed
energy data. The latter three data sets are collectively called limited data. For each data
set, we define the inverse Born approximation and state theorems, which provide the
recovery of main singularities of the function ν x = ν x, . The key idea here is to show
that the difference between the Born approximation and ν x is less singular than ν x .
For practical applications, one must be able to compute the inverse Born approxima‐
tions numerically. To this end, we proceed as follows. We formulate the computation
as a solution of an underdetermined linear system. Due to the ill-posed nature of the
system, regularization methods are used. Examples are given to illustrate the
effectiveness of the method.
Keywords: Inverse scattering, Schrödinger equation, Born approximation, numerical

solution, linear inverse problem
© 2016 The Author(s). Licensee InTech. This chapter is distributed under the terms of the Creative Commons
Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution,
and reproduction in any medium, provided the original work is properly cited.
116 Applied Linear Algebra in Action
. Introduction
We deal with the generalized nonlinear Schrödinger equation
¶
i E ( x,t ) = -DE ( x,t ) + h ( x, E ) E ( x,t ) ,
¶t
where E denotes the electromagnetic field in two-dimensional case, ∆ is the two-dimensional

Laplacian and ν describes in a general form the nonlinear contribution to the index of refrac‐
tion. Considering harmonic time dependence E x, t = e− ξωtu x with frequency ω > , we obtain
the steady-state nonlinear equation with fixed energy
where π = ω and fixed, and u denotes the complex amplitude of the field. Concerning the
nonlinearity ν x, s , we pose the basic assumptions.
. |ν x, s | ≤ θ x, ∈L σ
p
ℝ , ≤s ≤ ,
. |ν x, s - ν x, s | ≤ θ ′ x |s - s |, ∈ L σp ℝ , ≤ s , s ≤ ,
where θ and θ ′ are constants and
p
Here, L σ ℝ denotes the weighted Lebesgue space with the norm.
The main practical example it can be considered as the motivation of this research of such
type equations is the equation of the form
with real number π, complex valued function q x ∈ L and real-valued function q x ∈ L ,

and parameter r . A particular nonlinearity in of cubic type r = can be met in the
context of a Kerr-like nonlinear dielectric film, while the case when r > corresponds to the
saturation model see [ – ] .
Some Recent Advances in Nonlinear Inverse Scattering in 2D: Theory and Numerics 117
We consider the inverse scattering problems for . For these purposes, we are interested of
the scattering solutions to , i.e. solutions of the form
where , the unit sphere in ℝ , u x, π, = eξπ x, is the incident wave and usθ x, π, is the
scattered wave. The scattered wave must satisfy the Sommerfeld radiation condition at infinity
for fixed π > and uniformly in . In that case, these solutions are the unique solutions of
the Lippmann-Schwinger equation.
where Gπ+is the outgoing fundamental solution of the operator − ∆ − π , i.e. the kernel of the
integral operator −∆ − π − ξ −
. It is equal to
where H denotes the Hankel function of order zero and first kind.
The following main results concerning the direct scattering problem were proved in [ ].
Under the basic assumptions and for ν, it is proved that for any > there is π > such that
for any π π in the ball B = {u ∈ L ∞
ℝ u ∞≤ }, there is a unique scattering solution or the
solutions of the form in to which satisfies the condition
uniformly in . What is more, the solution is obtained as the limit
where
for j = , , … with u as above. Let the function ν have the same properties as above, but now
with
Then for fixed π π , the solution u x, π, admits the representation
The function A π, ′, is called the scattering amplitude and it is defined as
where is the direction of observation. This function A gives us the scattering data
for inverse problem. More precisely, the inverse problem that is considered here is to extract
some information about the function ν by the knowledge of the scattering amplitude A for
different sets of scattering data. There are four well-known inverse scattering data sets i the
full scattering data
ii the backscattering data
iii the fixed angle data
and iv the fixed energy data

We use the following notations for the direct and inverse Fourier transforms
where , x denotes the inner product in ℝ , i.e. ,x = x + x . By C > , we denote a generic
constant that may change from one step to another. By H t ℝ = W t ℝ , t ∈ ℝ we denote the
standard L based Sobolev space. A weighted Sobolev space W p,σ ℝ is defined here by
The following notation for the characteristic function is used
. Inverse scattering problems
The direct scattering theory described above can also be reversed. The inverse scattering theory
treats the function ν as unknown and attempts to recover it from the knowledge of the
scattering amplitude A for different data. Usually, the model in is probed with one or more
incident plane waves u and the resulting scattered waves are measured at a distance. This
gives rise to several different scattering data sets which can be used to recover the unknowns.
The inverse backscattering problem for was treated in [ ]. Also for , the recovery of
unknown function ν is possible from the full scattering data. In addition to the two-dimensional
studies mentioned above, certain particular nonlinear cases of have been investigated in
other dimensions too. In one-space dimension, we refer to [ ] and the references therein. In
higher dimensions n we are only aware of [ , ]. Similar problems with formally more
general equation but with bounded ν are considered in [ ] and [ ].
Our point of view is that the nonlinearity may contain local singularities in the space coordinate
x, and therefore we work in the frame of weighted Lebesgue spaces. These local singularities
can be recovered from the scattering amplitude using the method of Born approximation. As
a unifying result, we obtain mathematically more general results that have far wider applica‐
bility in physical experiments.
Let us set
In the subsections that follow we consider the inverse problems of recovering information
about ν from the knowledge of full data D, backscattering data DB, fixed angle data DA and
fixed energy data DE.
. . Full scattering data
The inverse problem with full data D was investigated in [ ]. Here we summarize the main
results without proofs.
Theorem Saito’s formula . Under the basic assumptions and for the function ν we have,
where the limit is valid in the sense of distributions for / < p ≤ and pointwise even
uniformly for < p ≤ ∞.
Corollary Uniqueness . Let σ be as in . Consider the scattering problems for two sets of
potentials ν and . If the scattering amplitudes coincide for some sequence πj → ∞ and for all
′, , then
holds in the sense of distributions for / < p ≤ ∞.
Corollary Representation formula . Let σ be as in . Then the representation
holds in the sense of distributions for / < p ≤ ∞.
Remark . In addition to providing the above results, Saito’s formula might be applied
numerically too. It can be written as a convolution equation
where the function f can be computed from the full scattering data in principle. A numerical
inversion of this equation would yield a full recovery of ν but this is an open problem as far
as we know. What is more, unlike the representation formula above it holds pointwise in the
important case of bounded p = ∞ nonlinearities.
We assume that the function x ↦ ν x, s is real-valued and recall that
For reasons of purely technical nature we define the scattering solutions u x, π, for negative
π as
These are the unique solutions of the integral equation
provided that ν is real-valued. This allows us to extend A to negative π ≤ − π by
We also put A π, ′, = for |π| ≤ π . Splitting
we have that
or
where F denotes the Fourier transform . Using the basic assumptions for the function ν and
, we can easily obtain that
We have used here the fact that the basic assumptions for the function ν guarantee that the
functions and both belong to
Hence, for π large, we have approximately that
These considerations and real valuedness of ν suggest and justify the following definition
We define the inverse Born approximation qB via the equality
which is understood in the sense of tempered distributions. In order to recover main singu‐
larities of ν from qB, we must study their difference and show that it is locally less singular
than ν . To this end, we have the following main result from [ ].
Theorem . Let σ be as in . Then
where t < − /p if / < p ≤ / and t < − /p if / < p ≤ ∞.
Remark . Theorem means that, for / < p < ∞, the main singularities of ν can be
recovered from the inverse scattering Born approximation qB with full data D. In the case
of p = ∞, we have no singularities but may have finite jumps. Under such circumstan‐
ces, we record the following special case.
Corollary . If a piecewise smooth compactly supported function ν contains a jump over

a smooth curve, then the curve and the height function of the jump are uniquely determined
by the full scattering data. Especially, for the function ν being the characteristic func‐
tion of a smooth bounded domain, this domain is uniquely determined by the full scattering
data.
Concluding, in this part of the work, the uniqueness of the direct problem for the
nonlinearities ν satisfying the appropriate properties was proved. These properties allow
local singularities and do not require compact support, but rather some sufficient decay
at infinity. Under similar properties, we were also able to establish the asymptotic behaviour
of scattering solutions, which gives us the scattering data so we can investigate the inverse
scattering problems. Note that both results were proved without assuming smallness of
the norm of the nonlinearity as is necessary in dimensions three and higher.
What can we regard as the main result of this section is the Saito’s formula since it implies a
uniqueness result and a representation formula for our unknown function ν . In addition, we
managed to extract more information about the nonlinearity by applying the method of Born
approximation. More precisely, the main singularities or jumps over smooth curve of ν can
be recovered from the Born approximation qB which corresponds to the full scattering data D.
. . Backscattering and fixed angle data
In this section, we consider backscattering data DB and fixed angle scattering data DA following
[ ]. Using we introduce the inverse backscattering and inverse fixed angle scattering Born
approximations qBη and qB as follows
and
( ) ( k (q ¢ - q ) ) ,
A ( k ,q ¢,q 0 ) = F qqB0 0
where is fixed.
Furthermore, we assume in addition that the nonlinearity ν possesses the Taylor expansion
where
p
uniformly in s ∈ , s , s > and with , ∈L σ R , where σ as in . From this we obtain
the expansion
p
where g x = ∂s ν x, , g x = ν x + g x and ∈ L σ ℝ with the same σ as above.
Again, the main result for the recovery of main singularities is formulated as the following
theorem.
Theorem . Let σ be as in with < p ≤ ∞. Suppose in addition

and < s′ < p ≤ ∞, where s′ is the Hölder conjugate of s. Then
for any t < − /p if < s ≤ / and for any t < min{ − /p, /s − } if / < s < .
Let us sketch the main ideas in the proof of Theorem . Using the definition, we may expand
the difference in several terms as
In straightforward manner one sees that q∞ ∈ C ∞ ℝ and q , qR ∈ H t ℝ with t < − /p if

/ < p ≤ / and t < − /p if / < p ≤ ∞. The first nonlinear term q cannot be analyzed directly
from its definition. Instead, we first proved the representation
where F - denotes the four-dimensional inverse Fourier transform. This formula might have
independent interest too, but primarily it allows us to prove the following regularity the term
q belongs to the space
. C ℝ ∩L ∞
ℝ if < s < /
. H ℝ if s = /
. H t ℝ , t< / s - if / < s < .

If we combine all these steps, we obtain Theorem for fixed angle scattering.
The inverse backscattering Born approximation is treated similarly. Namely, we write
The latter four terms have exactly the same regularity results as their counterparts in fixed
angle scattering. For the first nonlinear term, the representation is now
s′
The additional assumption in Theorem implies that ν ∈ L ℝ .This explains
why we restrict s′ < p. By Sobolev embedding, we obtain
with some positive ∈ < min{ /p, − /p}. Hence, ν is locally more singular than either of these
differences. That’s why both Born approximations recover the main singularities of ν . On the
other hand, we may perform the comparison also in the scale of Sobolev spaces. Indeed, if
r
ν ∈ H θomp ℝ with some < r < , then
for any t < r if < r ≤ / and for any t < + r / if / < r < . In both cases this t can be made
bigger than r. It means that we can reconstruct all singularities from Sobolev space Hr, < r <
from data DB and DA by the method of Born approximation.
Corollary . If a piecewise smooth compactly supported function ν contains a jump over a
smooth curve, then the curve and the height function of the jump are uniquely determined by
backscattering and fixed angle scattering data. Especially, for the function ν being the
characteristic function of a smooth bounded domain, this domain is uniquely determined by
backscattering and fixed angle scattering data.
Concluding, in this section we proved that all singularities and jumps in the absence of a
uniqueness theorem of the nonlinearity ν can be recovered from the inverse scattering Born
approximation corresponding to fixed angle scattering and backscattering data DA and DB,
respectively. No assumptions about the smallness of the norm of nonlinearity ν were used as
it were in previous publications even in the linear case.
. . Fixed energy data
The two-dimensional fixed energy problemx was a long-standing open problem. In the case
of linear Schrödinger operator, the first uniqueness and reconstruction algorithm was proved
by Nachman [ ] via ∂¯ -methods for potentials of conductivity type. Sun and Uhlmann [ ]
proved uniqueness for potentials satisfying nearness conditions to each other. The question of
global uniqueness for the linear Schrödinger equation with fixed energy was settled only in
by Bukhgeim [ ] for compactly supported potentials from Lp, p > . This result has
recently been improved and extended to related inverse problems see for example [ ] and
[ ] . Note that Grinevich and Novikov [ ] proved that in two dimensions there are nonzero
real potentials of the Schwartz class with zero scattering amplitude at fixed positive energy.
Thus, the compactness of the supports of the potentials is very natural condition in our
considerations.
The results of this section are proved in [ ] and they slightly generalize the linear case to a
special type of nonlinearity. It turned out that as we can see in this section inverse fixed energy
scattering problem is much more difficult than the others.
In fixed energy scattering problem, instead of the scattering solutions we need the so-called
complex geometrical optics solutions. Complex geometrical optics CGO solutions or
exponentially growing solutions of the form
with R decaying at infinity for |z| large for the homogeneous Schrödinger equation
are obtained as follows. Substituting into yields
It means that using the Faddeev Green’s function
as the fundamental solution of the differential operator
we see that the function R solves the integral equation
It remains to establish unique solvability of this equation. To this end we again use iterations
in the sense of next theorem.
We assume that ν is compactly supported in Ω ⊂ ℝ and
. |ν x, s | ≤ x with some ∈ L Ω and s

. |ν x, |eξ x,z + R | − ν x, |eξ x,z +R | |≤ x |R − R | with some ∈ L Ω and for any

∞
R , R ∈L ℝ such that ‖Rj‖∞ < − , j = , for some fixed ∈ , and for any
z ∈ℂ
. ‖ ‖,‖ ‖ >
Theorem . Under the above conditions for ν, there exists a constant C > such that for all |
∞
z| C the equation has a unique solution in L ℝ and this solution can be obtained as
∞
lim j→∞ Rj in L ℝ , where
with R = . Moreover, the following estimates hold
The proof of Theorem is based on the fact that for any < there is constant θ > such that
for any f ∈ L Ω , see [ ].
Turning now to the inverse fixed energy scattering problem, we define the scattering transform
by
and Tν = for | | < C . Here z = - ξJ ,
and e = |e ξ |=e
x,z x -x
. What is more, we have the uniform limit T ν = lim j→∞ T ν , j ,
where
We point out that the scattering transform is somehow an auxiliary object see DE in Introduc‐
tion . But it is connected to the scattering amplitude as follows. It is well known that the
scattering amplitude at fixed energy uniquely determines the Dirichlet-to-Neumann map Λν -π
which in turn uniquely determines the scattering transform see the details, for example, in
[ ] and [ ] . Recall that Λν f = ∂ u, where u satisfies the Dirichlet problem
Here, Ω is a domain with boundary ∂Ω and outward unit normal vector .
Next, we define the inverse fixed energy Born approximation by
In contrast to the preceding inverse problems, we now set the unknown function to be
In linear case ν is the actual potential appearing in the Schrödinger equation, but otherwise
the connection to physical scatterers is not known to us.
We assume that the nonlinearity ν admits the Taylor expansion
where |∂sν x, e + s |s = | ≤ x and O x s with x ∈ L Ω and with small s in the

neighbourhood of zero and where O is uniform in x ∈ Ω and such s.
Suppose in addition that the nonlinearity ν satisfies the asymptotic expansions

where . Then we have the following main result concerning the recovery of singularities of
ν x defined by .
Theorem . Under the foregoing conditions for the potential function ν, it is true that
for any t < modulo C ∞ ℝ - functions.
Remark . The embedding theorem for Sobolev spaces says that the difference qBf - ν belongs
to Lq R for any q < ∞ modulo C∞ R functions. It means that all singularities from
p
L ρoθ R , p < ∞ of unknown function ν can be obtained exactly by the Born approximation
which corresponds to the inverse scattering problem with fixed positive energy.
We note that under fixed energy data we have some additional assumptions on ν. This limits
the applicability of the main result to, for example, saturation type nonlinearities. In particu‐
lar, cubic nonlinearity is excluded from these considerations. Moreover, the unknown
function ν has no direct connection to original scatterers in nonlinear cases.
. Numerical examples
Here we discuss the numerical computation of the Born approximation first proposed in [ ]
for backscattering and fixed angle data. We assume that the scatterer ν x is supported in the
rectangle R = - , × - , ⊂ ℝ . We consider the following examples
Example linear
Example saturation
Example linear, saturation
Example saturation, linear
Here Ω, Ω , Ω are the shifted ellipses rotated in angle Θ theta counter-clockwise detailed in
Table and shown in Figure .
Semi axis Θ Centre

Ω / , / / − . ,− .
Ω / , / / . ,
Ω / , / / − . ,
Table . Geometries of the ellipses Ω, Ω and Ω
Figure . Geometries of the ellipses Ω, Ω and Ω .
Consider the Born approximation for full data in the form
To discretize the unknown function f we divide the rectangle R into N = n × n disjoint
subrectangles rj of equal size, i.e.
Then, we represent f on R in piecewise constant form

where fj’s are the unknown values on rj’s. Substitution into yields
′ ′
Evaluating this at some points π = πs , = t and = p leads us to
If we denote M = N N N , we may form one linearized index ρ = ρ s, t, p , ρ = , …, M and write
the latter equation as
′
ξπs - p, y ′
where E j, ρ = ∫rj e t
dy are easily evaluated and gρ = A πs , t, p needs to be computed.
The computation of gρ is carried out using numerical integration, see [ ] for details. In matrix
form is clearly Ef = g.
For backscattering data and fixed angle data the system is modified accordingly. We note
that the system Ef = g does not depend on the scatterer but only on data type and measurement
setup.
The fixed energy case differs from the first three data sets. In fixed energy inversion we
approximate the scattering transform as
We choose M = m × m points uniformly from the rectangle [−s, s] × [−s, s]. The function Tν,
is evaluated by numerical integration, see [ , ] for details. Then the inverse Born approxi‐
mation is computed similarly to .
We use the following parameter values

We use N = and N = for each data set. For full data we use N = N = . For backscattering
and fixed angle data, we use N = . For fixed energy scattering we use m = and s = .
In all four cases we obtain the linear system Ef = g whose coefficient matrix E is of size
M × N. The data g is corrupted with zero mean Gaussian noise with standard deviation
σ= . max |g|.
The size M as well as the ranks r E and approximate condition numbers log κ E measuring
the ill-posedness of the linear system EF = g are shown in Table .
Data M rE log κ E
Full
Backscattering
Fixed angle
Fixed energy
Table . Matrix sizes, ranks and condition numbers
As the linear system is rank-deficient and ill-posed, we use regularization method to solve it.
More precisely, we apply the total variation method TV which is defined as
where the matrix L implements the differences between neighbouring elements in horizontal
and vertical directions for details, see [ ] . As in [ ] we formulate this minimization problem
as a quadratic problem in standard form for more efficient solution. As the regularization
parameter we use = ⋅ −
for DE and = −
otherwise.
All computations are carried out in a UNIX system with GB of memory and logical CPU
cores, each running at . GHz. The software platform is MATLAB R b. We have used
workers in parallel in computing the right-hand side g. We note that a desktop PC with logical
cores running at . GHz and GB of memory is also capable of our computations, but with
workers it is considerably slower in computing g.
The computational times to both form and solve the linear system are shown in Table . We
point out that the right-hand side g contains synthetic data and actual physical measurements
may take longer or shorter time.
Example Example
Data E g TV g TV
Full . s s s m s s
Backscattering . s s s s s
Fixed angle . s s s s s
Fixed energy . s m s s - -
Table . Computational times
The contour plots of scatterers ν x and their TV reconstructions via Born approximation from
full data, backscattering data and fixed angle data with = , are shown in Figures –
for all examples. For fixed energy scattering we only consider the linear Example , since
otherwise we do not have direct comparison to a scatterer. The TV reconstruction is shown in
Figure . In each figure solid white line indicates the true geometry of the scatterer.
We see that the location of the scatterer is located quite nicely in all cases. The shape of the
scatterer is best seen from full data and backscattering data. By computing the Born approxi‐
mation from full angle data, we close an open problem from [ ].
Figure . Scatterer ν x and its TV reconstruction via Born approximation, Example . a scatterer b full data c
backscattering data d fixed angle data.
backscattering data d fixed angle data
(a) (b)
Figure . Scatterer ν x and its TV reconstruction via Born approximation, Example . a scatterer b fixed energy.
Acknowledgements
This work was supported by the Academy of Finland application number , Finnish
Programme for Centres of Excellence in Research – .
Author details
Valery Serov*, Markus Harju* and Georgios Fotopoulos*
*Address all correspondence to [email protected], [email protected] and Georgios.Foto‐

[email protected]
Department of Mathematical Sciences, University of Oulu, Oulu, Finland
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Some Recent Advances in Nonlinear Inverse Scattering

Valery Serov, Markus Harju and

Additional information is available at the end of the chapter

where ν is a quite general nonlinear analogue of the index of refraction. We will

Keywords: Inverse scattering, Schrödinger equation, Born approximation, numerical

We deal with the generalized nonlinear Schrödinger equation

where E denotes the electromagnetic field in two-dimensional case, ∆ is the two-dimensional

where θ and θ ′ are constants and

with real number π, complex valued function q x ∈ L and real-valued function q x ∈ L ,

uniformly in . What is more, the solution is obtained as the limit

Then for fixed π π , the solution u x, π, admits the representation

The function A π, ′, is called the scattering amplitude and it is defined as

ii the backscattering data

iii the fixed angle data

and iv the fixed energy data

The following notation for the characteristic function is used

. Inverse scattering problems

. . Full scattering data

holds in the sense of distributions for / < p ≤ ∞.

Corollary Representation formula . Let σ be as in . Then the representation

holds in the sense of distributions for / < p ≤ ∞.

We assume that the function x ↦ ν x, s is real-valued and recall that

These are the unique solutions of the integral equation

provided that ν is real-valued. This allows us to extend A to negative π ≤ − π by

We also put A π, ′, = for |π| ≤ π . Splitting

Hence, for π large, we have approximately that

We define the inverse Born approximation qB via the equality

Theorem . Let σ be as in . Then

where t < − /p if / < p ≤ / and t < − /p if / < p ≤ ∞.

Corollary . If a piecewise smooth compactly supported function ν contains a jump over

. . Backscattering and fixed angle data

Theorem . Let σ be as in with < p ≤ ∞. Suppose in addition

and < s′ < p ≤ ∞, where s′ is the Hölder conjugate of s. Then

In straightforward manner one sees that q∞ ∈ C ∞ ℝ and q , qR ∈ H t ℝ with t < − /p if

. H t ℝ , t< / s - if / < s < .

The inverse backscattering Born approximation is treated similarly. Namely, we write

. . Fixed energy data

are obtained as follows. Substituting into yields

It means that using the Faddeev Green’s function

as the fundamental solution of the differential operator

we see that the function R solves the integral equation

We assume that ν is compactly supported in Ω ⊂ ℝ and

. |ν x, s | ≤ x with some ∈ L Ω and s

. |ν x, |eξ x,z + R | − ν x, |eξ x,z +R | |≤ x |R − R | with some ∈ L Ω and for any

with R = . Moreover, the following estimates hold

for any f ∈ L Ω , see [ ].

and Tν = for | | < C . Here z = - ξJ ,

Here, Ω is a domain with boundary ∂Ω and outward unit normal vector .

Next, we define the inverse fixed energy Born approximation by

We assume that the nonlinearity ν admits the Taylor expansion

where |∂sν x, e + s |s = | ≤ x and O x s with x ∈ L Ω and with small s in the

Suppose in addition that the nonlinearity ν satisfies the asymptotic expansions

for any t < modulo C ∞ ℝ - functions.

Example linear, saturation

Valery Serov, Markus Harju and Georgios Fotopoulos*