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The trace estimate fails on an outward cusp above the critical sharpness

Statement refuted

Assume Countable Choice. Let 1≤p<∞, let α>p, and put Ωα:={(x,y)∈R2:0<y<1, ∣x∣<yα}, a bounded open set with an outward cusp at the origin whose boundary consists of the two C1 arcs x=±yα (0<y<1), the cusp point (0,0), and the top segment y=1, ∣x∣≤1, and which carries finite surface measure. Then there is no bounded linear operator S:W1,p(Ωα)→Lp(∂Ωα) that agrees with classical restriction on C1(Ω‾α): for θ∈Cc∞(R) with θ≡1 on [−1,1] and θ≡0 on [2,∞) and uδ(x,y):=θ(y/δ) one has uδ∈W1,p(Ωα) with ∥uδ∥W1,p(Ωα)p≤C δα+1−p and ∥uδ∣∂Ωα∥Lp(∂Ωα)p≥2δ, so the ratio ∥uδ∣∂Ωα∥/∥uδ∥W1,p diverges like δ(p−α)/p→∞ as δ↓0. Consequently the hypothesis that Ω is a bounded C1 domain in the uniform graph sense of The Lp trace operator on a bounded C1 domain cannot be relaxed to arbitrary bounded open sets whose boundary pieces are merely C1 curves; this witness refutes the unweighted estimate and asserts no weighted replacement theorem.

Facts & Assumptions

Given: Countable Choice; 1≤p<∞; α>p; the cusped domain Ωα; a fixed θ∈Cc∞(R) with 0≤θ≤1, θ≡1 on [−1,1] and θ≡0 on [2,∞); and, for 0<δ<12, the function uδ(x,y):=θ(y/δ).

[F1]

Classical derivatives of a smooth function are its weak derivatives; membership in W1,p follows when the function and these derivatives have finite Lp norms, as checked below. (Classical derivatives agree with weak derivatives, Integer-order Sobolev spaces and their norms)

[F2]

Lebesgue measure is transformed by linear changes of variables, and the one-dimensional substitution rule computes ∫02δ2yαdy=2α+2δα+1/(α+1). (A linear map T of Rn sends Lebesgue measurable sets to Lebesgue measurable sets, with λn(T[E])=∣det⁡T∣ λn(E) when T is invertible and T[E] Lebesgue null when it is not)

[F3]

The surface integral on a compact C1 face contained in a regular patch is given by the chart formula; for the regular C1 arcs y↦(±yα,y) the surface measure is arclength, with density 1+α2y2α−2. (Surface integration on compact C1 hypersurfaces)

[F4]

A bounded linear operator S satisfies ∥Su∥≤∥S∥ ∥u∥ for all u in its domain. (A bounded linear operator between normed spaces)

Counterexample

1.1F1F2algebragiven

The inside norm. The function uδ is the restriction to Ωα of the C∞(R2) function (x,y)↦θ(y/δ), whose classical derivatives are its weak derivatives on Ωα by [F1], with ∂xuδ=0 and ∂yuδ=δ−1θ′(y/δ) by [F1]. Its support in Ωα lies in the strip 0<y<2δ, whose area is ∫02δ2yαdy=2α+2δα+1/(α+1) by [F2]. Since ∣uδ∣≤1 and ∣∂yuδ∣≤δ−1∥θ′∥∞, this gives ∥uδ∥Lpp≤Cδα+1 and ∥∂yuδ∥Lpp≤Cδα+1−p, hence uδ∈W1,p(Ωα) and ∥uδ∥W1,p(Ωα)p≤C′δα+1−p for 0<δ<12 and a constant independent of δ.

1.2F3algebragiven

The boundary mass. Fix 0<ε<δ. On each compact regular subarc {(±yα,y):ε≤y≤δ} one has uδ≡1. The chart formula [F3] applies away from the cusp and gives length ∫εδ1+α2y2α−2 dy≥δ−ε. Positivity of the boundary integral therefore gives its p-th power at least 2(δ−ε) for every ε>0; letting ε↓0 yields 2δ, without assigning a regular hypersurface chart at the cusp itself. Hence ∥uδ∣∂Ωα∥Lp(∂Ωα)p≥2δ; the top segment contributes nothing because uδ vanishes there for δ<12.

2.1F1F2F3step 1.1step 1.2algebragiven

Matching bounds. On 0<y<2δ<1, the arclength density is at most 1+α2, and ∣uδ∣≤1; outside these two arc portions the restriction vanishes. Thus ∥uδ∣∂Ωα∥Lpp≤41+α2 δ. Since θ(1)=1 and θ(2)=0, its derivative is nonzero at some point of (1,2); continuity supplies 1<a<b<2 and c0>0 with ∣θ′(s)∣≥c0 on [a,b]. Integrating over the strip aδ≤y≤bδ gives ∥∂yuδ∥Lpp≥2c0pδ−p∫aδbδyα dy=c1δα+1−p, where c1=2c0p(bα+1−aα+1)/(α+1)>0. Together with steps 1.1 and 1.2 these estimates give c δ(p−α)/p≤∥uδ∣∂Ωα∥Lp/∥uδ∥W1,p≤C δ(p−α)/p for positive constants independent of δ.

3.1F4step 1.1step 1.2step 2.1algebragiven∎

The ratio diverges and no bounded extension exists. Combining steps 1.1 and 1.2, the ratio of norms satisfies ∥uδ∣∂Ωα∥Lp/∥uδ∥W1,p≥c δ1/pδ−(α+1−p)/p=c δ(p−α)/p, which diverges as δ↓0 because α>p. If a bounded linear S agreeing with classical restriction on C1(Ω‾α) existed, then Suδ=uδ∣∂Ωα for each δ and [F4] would give the uniform bound ∥uδ∣∂Ωα∥≤∥S∥ ∥uδ∥W1,p for all δ, contradicting the divergence. Therefore no such operator exists, and the uniform-graph hypothesis of The Lp trace operator on a bounded C1 domain cannot be replaced by mere C1 regularity of the boundary arcs.

Source notes

Zuppa's Section 1 (Definition 1, Condition A1, Theorems 2 and 4) supplies external-cusp models, weighted estimates and a sufficient below-threshold condition for compact trace; the failure above the exponent used here is proved by the displayed concentrating family; Gagliardo's Teorema [1.I] (printed pp. 288-290) states the trace equivalence under uniformly Lipschitz local coordinate systems, the hypothesis that degenerates at the cusp; Hajlasz and Martio (printed pp. 224-229) record that traces on non-Lipschitz sets need structure beyond the Euclidean boundary measure. The concentrating family and its exponents are computed above and are the reason the failure is attributed to the geometry rather than to the measure.

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