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WEAK APPROXIMATION BY BOUNDED SOBOLEV MAPS WITH VALUES INTO COMPLETE MANIFOLDS PIERRE BOUSQUET, AUGUSTO C. PONCE, AND JEAN VAN SCHAFTINGEN 7 Abstract. We have recently introduced the trimming property 1 0 for a complete Riemannian manifold Nn as a necessary and suffi- 2 cientconditionforboundedmapstobestronglydenseinW1,p(Bm;Nn) n when p ∈ {1,...,m}. We prove in this note that even under a a J weaker notion of approximation, namely the weak sequential con- 6 vergence,the trimmingpropertyremainsnecessaryforthe approx- 2 imation in terms of bounded maps. The argument involves the construction of a Sobolev map having infinitely many analytical ] A singularities going to infinity. F . h t a m 1. Introduction and statement of the result [ Given a Riemannian manifold Nn embedded in the Euclidean space 1 v Rν, the space W1,p(Bm;Nn) of Sobolev maps from the unit ball Bm ⊂ 7 2 Rm to Nn can be defined by 6 7 0 W1,p(Bm;Nn) = u ∈ W1,p(Bm;Rν) : . 1 n u ∈ Nn almost everywhere in Bm . 0 7 o 1 This space arises in some geometrical settings (harmonic maps) and : v physical models (liquid crystals, gauge theories, elasticity). i X One question concerning these spaces is whether and how Sobolev r a maps can be approximated by smooth maps. Due to the nonconvex character of the target manifold Nn, the usual convolution by a fam- ily of mollifiers fails in general. However, when the target manifold Nn is compact and p ≥ m, the class C∞(Bm;Nn) is strongly dense in W1,p(Bm;Nn): for every map u ∈ W1,p(Bm;Nn), there exists a sequence of smooth maps (uℓ)ℓ∈N in C∞(Bm;Nn) that converges in Date: January 27, 2017. 2010 Mathematics Subject Classification. 46E35, 46T20. Key words and phrases. Weak sequentialdensity; Sobolev maps;bounded maps; trimming property; complete manifolds. 1 2 P. BOUSQUET,A. C. PONCE, AND J. VAN SCHAFTINGEN measure to u on Bm and lim |Du −Du|p = 0; ℓ→∞ˆBm ℓ see[14]. When1 ≤ p < m,thisresultsholdsifandonlyifthehomotopy group of Nn of order ⌊p⌋ (integer part of p) is trivial; see [2, 12]. Inarecentwork[5],wehaveconsideredthequestionofwhathappens whenthetargetmanifoldNn isnotcompact, butmerelycomplete. The starting observation is that the same homotopy assumption on Nn is necessary and sufficient for every map in (W1,p ∩L∞)(Bm;Nn) to be strongly approximated by smooth maps. Choosing a closed embedding of Nn into Rν, the boundedness of a measurable map u : Bm → Nn withrespect totheRiemanniandistancecoincideswithitsboundedness as a map into Rν; by L∞(Bm;Nn) we mean the class of such maps. Therefore the problem of strong approximation by smooth maps is reduced to the approximation of Sobolev maps by bounded Sobolev maps when p ≤ m. In [5], we prove the following Theorem 1. If 1 ≤ p ≤ m is not an integer, then (W1,p∩L∞)(Bm;Nn) is strongly dense in W1,p(Bm;Nn). When p ≤ m is an integer, a new obstruction, this time of analytical nature, arises. Indeed, even in the case p = m, where Sobolev maps cease to becontinuous but still have vanishing meanoscillation (VMO), there exist maps u ∈ W1,p(Bp;Nn) for some complete manifolds Nn that cannot be strongly approximated by bounded maps [10, 5]. A characteristic of those pathological target manifolds Nn is that their geometry degenerates at infinity, and the examples available can be realized as an m-dimensional infinite bottle in Rm+1 with a thin neck. In order to identify the mechanism that is hidden in these examples, we have introduced the trimming property: Definition 1.1. Given p ∈ N \ {0}, the manifold Nn satisfies the trimming property of dimension pwhenever thereexistsaconstantC > 0 such that every map f ∈ C∞(∂Bp;Nn) that has a Sobolev extension u ∈ W1,p(Bp;Nn) also has a smooth extension v ∈ C∞(Bp;Nn) such that |Dv|p ≤ C |Du|p. ˆ ˆ Bp Bp The use of C∞ maps is not essential, and other classes like Lipschitz maps or continuous Sobolev maps (W1,p ∩C0) yield equivalent defini- tions of the trimming property; see e.g. Proposition 6.1 in [5]. The WEAK APPROXIMATION BY BOUNDED SOBOLEV MAPS 3 condition above allows one to characterize the target manifolds Nn for which every map has a strong approximation by bounded Sobolev maps: Theorem 2. For every p ∈ {1,...,m}, the set (W1,p∩L∞)(Bm;Nn) is strongly dense in W1,p(Bm;Nn) if and only if Nn satisfies the trimming property of dimension p. The trimming property can be seen to be always satisfied when p = 1 by taking as v a shortest geodesic joining the points f(−1) and f(1). Wefocusthereforeonthecasep ≥ 2andthetrimmingpropertyfails. In this case, one may hope to approximate every map in W1,p(Bm;Nn) by boundedmapsusingsomeweaker topology. Inthisnote,weaddressthe question of whether this is true for the weak sequential approximation: given u ∈ W1,p(Bm;Nn), to find a sequence of maps (uℓ)ℓ∈N in (W1,p∩ L∞)(Bm;Nn) which converges in measure to u and satisfies sup |Du |p < +∞. ˆ ℓ ℓ∈N Bm This notion of convergence is also known as weak-bounded convergence [15]. An inspection of the explicit examples from [10, 5] of maps u ∈ W1,p(Bp;Nn) that have no strong approximation by bounded maps shows that they have nevertheless a weak sequential approximation by bounded maps; see Remark 2.1 below. Using a more subtle construc- tionthat involves infinitely many analytical singularities, we prove that the trimming property is still necessary for the weak sequential approx- imation. Theorem 3. Let Nn be a connected closedembedded Riemmanianman- ifold in Rν and p ∈ {2,...,m}. Every map u ∈ W1,p(Bm;Nn) has a sequence in (W1,p∩L∞)(Bm;Nn) that converges weakly to u if and only if Nn satisfies the trimming property of dimension p. Thissettlesthequestionofweaksequentialapproximationbybounded Sobolev maps. The counterpart of the weak sequential approximation by smooth maps is still open even for compact manifolds Nn, except when p = 1 and p = 2, or when Nn is (p − 1)–connected, in which cases the weak sequential approximation always has an affirmative an- swer [11, 13, 9]; a recent counterexample by F. Bethuel [3] gives a surprising negative answer in W1,3(B4;S2). His proof involves a map with infinitely many topological singularities, which are modeled after the Hopf map from S3 onto S2. 4 P. BOUSQUET,A. C. PONCE, AND J. VAN SCHAFTINGEN 2. Proof of the main result Our proof of Theorem 3 relies on a counterexample obtained by glu- ing together maps for which the trimming property degenerates. To perform this we first need to ensure that the trimming property fails on maps with a small Sobolev norm. We shall say that a map u : Bp → Nn is semi-homogeneous if u(x) = f(x/|x|) for |x| ≥ 1/2 and some function f : ∂Bp → Nn; by abuse of notation, we write f = u. The following property is a consequence of Lemma 6.4 in [5]: Lemma 2.1. Let p ∈ N \ {0}, β > 0 and C > 0. Assume that for every semi-homogeneous map u ∈ W1,p(Bp;Nn) such that |Du|p ≤ β, ˆ Bp there exists a map v ∈ (W1,p∩L∞)(Bp;Nn) such that v = u on Bp\Bp 1/2 and |Dv|p ≤ C |Du|p. ˆ ˆ Bp Bp Then, the manifold Nn has the trimming property. Proof. WerecallthatLemma6.4in[5]assertsthatthemanifoldNn has thetrimmingpropertywhenever thereexistα > 0andC′ > 0such that for every map u˜ ∈ W1,p(Bp;Nn) (not necessarily semi-homogeneous) which satisfies u˜ ∈ W1,p(∂Bp;Nn) and (2.1) |Du˜|p + |Du˜|p ≤ α, ˆ ˆ Bp ∂Bp there exists a map v˜ ∈ (W1,p ∩L∞)(Bp;Nn) such that v˜ = u˜ on ∂Bp and (2.2) |Dv˜|p ≤ C′ |Du˜|p + |Du˜|p . ˆ ˆ ˆ Bp Bp ∂Bp ! But in this case one can take u : Bp → Nn defined by u˜(2x) if |x| ≤ 1/2, u(x) = u˜(x/|x|) if |x| > 1/2,  which is semi-homogeneous, also belongs to W1,p(Bp;Nn) and satisfies |Du|p ≤ |Du˜|p +C |Du˜|p ≤ max{1,C }α, ˆ ˆ 1ˆ 1 Bp Bp ∂Bp where the constant C > 0 only depends on p. 1 WEAK APPROXIMATION BY BOUNDED SOBOLEV MAPS 5 We thus have that, for every map u˜ satisfying the estimate (2.1) with α = β/max{1,C }, the semi-homogeneous map u defined above 1 satisfies the assumptions of Lemma 2.1, and thus there exists a map v as in the statement. The inequality (2.2) is thus verified with v˜ = v and C′ = Cmax{1,C }, hence by Lemma 6.4 in [5] the manifold Nn 1 (cid:3) satisfies the trimming property. We now quantify the behavior of the p-Dirichlet energy for the weak sequential approximation of a given map u in terms of bounded exten- sions of u| , which are related to the trimming property. ∂Bp Lemma 2.2. Let p ∈ N\{0}. Ifu ∈ W1,p(Bp;Nn)is semi-homogeneous and if (uℓ)ℓ∈N is a sequence of maps in (W1,p ∩L∞)(Bp;Nn) that con- verges in measure to u, then liminf |Du |p ≥ cinf |Dv|p : v ∈ (W1,p ∩L∞)(Bp;Nn) ℓ→∞ ˆBp ℓ (cid:26)ˆBp and u = v in Bp \Bp . 1/2 (cid:27) Proof. We first recall that smooth maps are strongly dense in (W1,p ∩ L∞)(Bp;Nn); see Proposition 3.2 in [5], in the spirit of [14]. By a diagonalization argument, we can thus assume that, for every ℓ ∈ N, u ∈ C∞(Bp;Nn). We may further restrict our attention to the case ℓ where the sequence (Duℓ)ℓ∈N is bounded in Lp(Bp;Rν×p). Since the sequence (uℓ)ℓ∈N converges in measure to u, it then follows that (uℓ)ℓ∈N converges strongly to u in Lp(Bp;Nn). Indeed, the function (|u − u| − 1) vanishes on a set of measure ℓ + greater than |Bp|/2 for every ℓ sufficiently large. Applying to this function the Sobolev–Poincaré inequality kfk ≤ C kDfk Lq(Bp) 1 Lp(Bp) valid for 1 ≤ q < +∞ and f ∈ W1,p(Bp) that vanishes on a set of measure greater than |Bp|/2 (see p. 177 in [16]), we deduce that (uℓ)ℓ∈N is bounded in Lq(Bp;Nn) for q > p. The strong convergence of (uℓ)ℓ∈N inLp(Bm;Nn)nowfollowsfromitsconvergence inmeasure andVitali’s convergence theorem for uniformly integrable sequences of functions. By the integration formula in polar cooordinates and the Chebyshev inequality, there exists a radius r ∈ [1/2,1] such that ℓ (2.3) |Du |p ≤ 5 |Du |p and |u −u|p ≤ 5 |u −u|p. ˆ ℓ ˆ ℓ ˆ ℓ ˆ ℓ ∂Brpℓ Bp\B1p/2 ∂Brpℓ Bp\B1p/2 6 P. BOUSQUET,A. C. PONCE, AND J. VAN SCHAFTINGEN We then define the map v : Bp → Rν for x ∈ Bp by ℓ u (4r x) if |x| ≤ 1/4, ℓ ℓ v (x) = (2−4|x|)u (r x/|x|)+(4|x|−1)u(x/|x|) if 1/4 ≤ |x| ≤ 1/2, ℓ  ℓ ℓ u(x) if |x| ≥ 1/2. By the semi-homogeneity of u, we have v ∈ (W1,p∩L∞)(Bp;Rν), and ℓ then by the estimates of Eq. (2.3), |Dv |p ≤ C |Du |p + |Du|p + |u −u|p . ˆ ℓ 2 ˆ ℓ ˆ ˆ ℓ Bp Bp Bp\Bp Bp\Bp ! 1/2 1/2 Since (uℓ)ℓ∈N is bounded in W1,p(Bp;Nn) and converges in measure to u, by weak lower semincontinuity of the Lp norm we obtain |Du|p ≤ liminf |Du |p. ˆBp ℓ→∞ ˆBp ℓ Hence, by the strong convergence of (uℓ)ℓ∈N to u in Lp(Bp;Nn), we get liminf |Dv |p ≤ 2C liminf |Du |p. ℓ→∞ ˆBp ℓ 2 ℓ→∞ ˆBp ℓ Recalling that the manifold Nn is embedded into Rν, there exists an open set U ⊃ Nn and a retraction π ∈ C1(U;Nn) such that kDπkL∞(U) ≤ 2 and π|Nn = id. By the second inequality in (2.3), the sequence (uℓ(rℓ ·))ℓ∈N converges to u(rℓ·) = u in Lp(∂Bp;Nn). By the Morrey embedding, this convergence is also uniform on ∂Bp, and u(∂Bp) is a compact subset of Nn. Hence, for ℓ large enough we have v (Bp) ⊂ U, and we can thus take v = π ◦v to reach the conclusion; ℓ ℓ (cid:3) see e.g. Lemma 2.2 in [5]. Two maps in W1,p(Bp;Nn) may not be glued to each other because they could have different boundary values. We remedy to this prob- lem by first gluing together two copies of the same map with reversed orientations, and then extending the resulting map to achieve a new map which is constant on Bp \Bp (in particular semi-homogeneous), 1/2 in the spirit of the dipole construction [6, 7, 3]. Lemma 2.3. Let p ∈ N \ {0}. For every u ∈ W1,p(Bp;Nn), there exists a map v ∈ W1,p(Bp;Nn) such that (i) the map v is constant on Bp \Bp , 1/2 (ii) for every x ∈ Bp , v(x) = u(8x), 1/8 (iii) |Dv|p ≤ C |Du|p. ˆ ˆ Bp Bp WEAK APPROXIMATION BY BOUNDED SOBOLEV MAPS 7 Proof. We first apply the opening construction to the map u around 0; see Proposition 2.2 in [4] (the opening technique has been introduced in [8]). This gives a map u˜ ∈ W1,p(Bp;Nn) such that u˜ is constant on Bp ,agreeswithuinaneighborhoodof∂Bp andsatisfieskDu˜k ≤ 1/2 Lp(Bp) C kDuk . We then introduce the map v : Bp → Nn defined by 1 Lp(Bp) u(8x) if |x| < 1/8, v(x) = u˜ 16x/(1+(8|x|)2) if |x| ≥ 1/8.  (cid:16) (cid:17) Since u = u˜ on ∂Bp in the sense of traces, the map v belongs to W1,p(Bp;Nn). Moreover, the fact that u˜ is constant on Bp implies 1/2 that v is constant on Bp \Bp and thus 1/2 |Dv|p = |Dv|p ≤ |Du|p +C |Du˜|p ≤ C |Du|p. ˆ ˆ ˆ 2ˆ 3ˆ Bp Bp Bp Bp Bp 1/2 (cid:3) The proof is complete. Here is a geometric interpretation of the above proof: we consider two copies of u on the two hemispheres of the sphere Sp, which coincide ontheequator. Wethenopen themapuinaneighborhoodofthenorth pole. Using a stereographic projection centered at the north polewhich maps Sp onto Rp, we then get a map defined on the whole Rp, which agrees with u on Bp and which is constant outside a larger ball. Then, by scaling, we obtain the desired map v. We now modify a Sobolev map which is constant near the boundary into a new map with a prescribed constant value near the boundary. Lemma 2.4. Let p ∈ N \ {0,1}, Nn be a connected manifold, and y ∈ Nn. For every ǫ > 0 and every map u ∈ W1,p(Bp;Nn) that is 0 constant on Bp \ Bp , there exist σ ∈ (0,1/2) and a smooth function 1/2 ζ : [σ,1] → Nn such that ζ = y on [1/2,1] and the map w : Bp → Nn 0 defined by u(x/σ) if |x| < σ, w(x) = ζ(|x|) if |x| ≥ σ,  belongs to W1,p(Bp;Nn) andsatisfies |Dw|p ≤ |Du|p +ǫ. ˆ ˆ Bp Bp Proof. Lety ∈ Nn besuchthatu = y onBp\Bp . Sincethemanifold 1 1 1/2 Nn is connected, there exists a smooth curve γ ∈ C∞([0,1];Nn) such 8 P. BOUSQUET,A. C. PONCE, AND J. VAN SCHAFTINGEN that γ(0) = y and γ(1) = y . For σ ∈ (0,1/2) and x ∈ Bp, we then 0 1 define u(x/σ) if |x| < σ, w (x) = σ γ log|x|/logσ if |x| ≥ σ.  We compute that (cid:16) (cid:17)  p γ′ log|x| C kγ′kp |Dw |p = |Du|p+ logσ dx ≤ |Du|p+ 1 L∞. ˆ σ ˆ ˆ (cid:12)|lo(cid:16)gσ|p|x(cid:17)|(cid:12)p ˆ |logσ|p−1 Bp Bp Bp\Bσp (cid:12)(cid:12) (cid:12)(cid:12) Bp Since p > 1, we can take σ < 1/2 small enough so that the last term is smaller than ǫ. (cid:3) Proof of Theorem 3. If Nn satisfies the trimming property, then the sequence canbeconstructedtoconvergestronglytou,andinparticular weakly, by Theorem 2. To prove the direct implication, we assume by contradiction that the manifold Nn does not satisfy the trimming property, and in this case we construct a map u ∈ W1,p(Bm;Nn) that does not have a weak sequential approximation. We first consider the case m = p. In view of Lemma 2.1 with β = 1/2j and C = 2j, where j ∈ N, by contradiction assumption there exists a semi-homogeneous map z ∈ W1,p(Bp;Nn) such that j 1 |Dz |p ≤ , ˆ j 2j Bp and for every v ∈ (W1,p ∩L∞)(Bp;Nn) such that v = z on Bp \Bp , j 1/2 we have (2.4) |Dv|p > 2j |Dz |p. ˆ ˆ j Bp Bp We then take an integer k ≥ 1 such that j 1 1 (2.5) ≤ k |Dz |p ≤ . 2j+1 jˆ j 2j Bp By Lemma 2.3, we next replace z by a map v which is constant on j j Bp \Bp , agrees with z (8x) for x ∈ Bp , and satisfies kDv kp ≤ 1/2 j 1/8 j Lp(Bp) CkDz kp . By Lemma 2.4, we may further replace v by a map w j Lp(Bp) j j which equals some fixed value y ∈ Nn on Bp \Bp , satisfies 0 1/2 w (x) = v (x/σ ) = z (8x/σ ) on Bp j j j j j σj/8 for some σ ∈ (0, 1), and is such that j 2 (2.6) |Dw |p ≤ |Dv |p +ǫ ≤ C |Dz |p +ǫ . ˆ j ˆ j j ˆ j j Bp Bp Bp Here ǫj > 0 is chosen so that the sequence (kjǫj)j∈N is summable. WEAK APPROXIMATION BY BOUNDED SOBOLEV MAPS 9 For j ∈ N and i ∈ {1,...,k } we now choose points a ∈ Rp and j i,j radii r > 0 such that the balls Bp (a ) are contained in Bp and i,j ri,j i,j 1/2 are mutually disjoint with respect to i and j. We then define the map u : Bp → Nn by w x−ai,j if x ∈ Bp (a ), u(x) = j ri,j ri,j i,j  (cid:16) (cid:17) y otherwise.  0 Observe that u ∈ W1,p(Bp;Nn) and, by estimates (2.6) and (2.5), |Du|p = kj Dw x−ai,j pdx ˆBp jX∈NXi=1ˆBrpi,j(ai,j)(cid:12) j(cid:16) ri,j (cid:17)(cid:12) (cid:12) (cid:12) (cid:12) (cid:12) = k |Dw |p jˆ j j∈N Bp X ≤ k C |Dz |p +ǫ ≤ 2C + k ǫ . j ˆ j j j j j∈N Bp ! j∈N X X We now prove that u cannot be weakly approximated by a sequence of bounded Sobolev maps. For this purpose, let (uℓ)ℓ∈N be a sequence in (W1,p ∩ L∞)(Bp;Nn) that converges in measure to u. For every j ∈ N and i ∈ {1,...,k }, it also converges in measure on the ball j Bp (a ), where we have ri,jσj/8 i,j 8 u(x) = z (x−a ) . j i,j r σ (cid:18) i,j j (cid:19) By the scaling invariance of the p-Dirichlet energy in Rp and Eq. (2.4), we deduce from Lemma 2.2 that liminf |Du |p ≥ c2j |Dz |p. ℓ→∞ ˆBrpi,j(ai,j) ℓ ˆBp j Hence, by Fatou’s lemma for sums of series and the first inequality in Eq. (2.5) we get kj liminf |Du |p ≥ liminf |Du |p ℓ→∞ ˆBp ℓ jX∈NXi=1 ℓ→∞ ˆBrpi,j(ai,j) ℓ 1 ≥ c k 2j |Dz |p ≥ c = +∞, j ˆ j 2 j∈N Bp j∈N X X which yields a contradiction and completes the proof when p = m. When p < m, we construct a counterexample u ∈ W1,p(Bm;Nn) to the weak sequential density that satisfies the additional property to be constant on Bm \ Bm . We proceed as follows: we first take a 1/2 10 P. BOUSQUET,A. C. PONCE, AND J. VAN SCHAFTINGEN counterexample u˜ ∈ W1,p(Bp;Nn) which equals y ∈ Nn on Bp \Bp . 0 1/2 We then set, for x = (x′,x′′) ∈ Rp−1 ×R, u˜(2x′,2x′′ −1) if |x′|2 +(x′′ −1/2)2 ≤ 1/16, u¯(x) = y otherwise.  0 This map u¯, which is obtained from u˜ by translation and dilation, is still a legitimate counterexample in Rp. Wenextperformarotationoftheupper-halfsubspaceRp−1×(0,∞)× {0 } ⊂ Rm around the axis Rp−1 × {0 } to define the desired m−p m−p+1 map u : Rm → Nn for x = (x′,x′′) ∈ Rp−1 ×Rm−p+1 by u(x) = u¯(x′,|x′′|). Geometrically, on every slice of the set x ∈ Rm : |x′|2 +(|x′′|−1/2)2 ≤ 1/16 n o by a p-dimensional plane containing Rp−1×{0 }, u is obtained by m−p+1 gluingtwo copiesofu˜ onballsofradii1/2, having oppositeorientations. We conclude by observing that u ∈ W1,p(Bm;Nn) is also a coun- terexample to the weak sequential density. Indeed, if there were some weak sequential approximation of u by bounded Sobolev maps, then, by slicing Rm with p-dimensional planes containing Rp−1 × {0 } m−p+1 and using a Fubini-type argument, we would have a weak sequential approximation of u˜ by bounded Sobolev maps in dimension p. By the choice of u˜, this is not possible. (cid:3) Remark 2.1. The map provided by the counterexample above has infin- itelymanysingularities. Inthepresence ofonlyfinitely many analytical singularities, one shows that the problem of weak approximation by a sequence of bounded Sobolev maps has an affirmative answer. We jus- tify below this observation in the case of one singularity at a = 0 and for a map u ∈ C∞(Bp \{0};Nn) whose restriction u| is homotopic ∂Bp to a constant in C0(∂Bp;Nn); the latter property is always satisfied when the homotopy group π (Nn) is trivial. p−1 We proceed as follows: given a sequence of numbers (rℓ)ℓ∈N in (0,1) that converges to 0, for each ℓ ∈ N take the map u : Bp → Nn defined ℓ by u(x) if |x| ≥ r , ℓ u (x) = u(r2x/|x|2) if r2 ≤ |x| < r , ℓ H(|ℓx|/r2,x/|x|) if |xℓ| < r2, ℓ ℓ ℓ 

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