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Positive ricci curvature without a uniform lower bound implies compactness

Statement

Assume the inherited Axiom of Countable Choice ACω. False claim: if (M,g) is a complete, connected, boundaryless Riemannian manifold whose Ricci curvature is pointwise positive, Ric⁡p(v,v)>0 for every p∈M and every 0≠v∈TpM, then M is compact.

The claim drops the uniformity of the lower bound in Bonnet–Myers: it asks only for a positive value at each point, with no common k>0 satisfying Ric⁡≥(n−1)k g. The paraboloid, the standard surface whose positive curvature decays to zero, refutes it.

Facts & Assumptions

Given: The inherited ACω of [A1], the paraboloid P={(x,y,z)∈R3:z=x2+y2} with the Riemannian metric induced from Euclidean R3, and the false claim displayed in the statement.

[A1]

The countable-choice premise is the inherited ACω (The Axiom of Countable Choice (ACω)), carried by the hypersurface-curvature and submanifold-completeness suppliers cited below; the paraboloid computation itself selects nothing.

[F1]

Hypersurface curvature and the shape operator of a graph (Euclidean hypersurface sectional curvature from principal curvatures, Shape operator, Principal curvatures, Gaussian curvature, and mean curvature of an oriented hypersurface, Induced connection and second fundamental form): for an embedded Euclidean hypersurface of dimension m≥2 with a smooth unit normal and orthonormal principal directions ei,ej of principal curvatures κi,κj, the sectional curvature of span⁡(ei,ej) is κiκj; the principal curvatures are the eigenvalues of the shape operator S, so on a surface the only sectional curvature is K=det⁡S. For a parametrized surface with first and second fundamental forms g and h one has S=g−1h and det⁡S=det⁡h/det⁡g; for the graph of a smooth f over the (x,y)-plane with unit normal N=(−fx,−fy,1)/W, W=1+∣∇f∣2, one has gij=δij+fifj, det⁡g=1+∣∇f∣2 and hij=fij/W.

[F2]

Ricci curvature is Ric⁡(X,Y)=tr⁡(Z↦R(Z,X)Y) (Ricci curvature), computed in an orthonormal basis by Ric⁡(X,Y)=∑iRm⁡(ei,X,Y,ei) (Ricci curvature is symmetric and basis independent), and the sectional curvature of an orthonormal two-plane spanned by u,v is K=Rm⁡(u,v,v,u) (Sectional curvature). The four-tensor satisfies first-pair and last-pair skewness and pair interchange (Algebraic symmetries of the Riemann tensor).

[F3]

Bonnet–Myers: a nonempty, complete, connected, boundaryless Riemannian manifold of dimension n≥2 with Ric⁡≥(n−1)k g for a constant k>0 is compact (Bonnet myers). Its hypothesis is a uniform lower bound, not pointwise positivity.

[F4]

Graphs, closedness, completeness and compactness (The graph of a smooth map is an embedded submanifold, The graph of a continuous map into a Hausdorff space is closed in the product, Closed embedded submanifolds of complete Riemannian manifolds are complete, R and Rn for n≥1 with the Euclidean metric are complete, componentwise from the Cauchy criterion in R, Complete metric space: every Cauchy sequence converges in the space, Open cover, subcover, compact metric space, and compact subset of a metric space, Greatest lower bound (infimum)): the graph of a smooth map is an embedded submanifold and is closed in the product, and a closed embedded submanifold of a complete Riemannian manifold whose connected components are complete is complete in the induced Riemannian metric; Euclidean R3 is complete. A metric space is compact exactly when every sequence in it has a convergent subsequence, and a convergent sequence in R3 is bounded. The infimum of a nonempty set of reals bounded below is its greatest lower bound.

Refutation

Proof technique: direct: the paraboloid is an embedded complete noncompact graph; its first and second fundamental forms give K=4/(1+4r2)2, which is positive everywhere with infimum zero; on a surface the Ricci tensor is K times the metric, so the paraboloid has pointwise positive Ricci curvature while its curvature infimum is zero, and it is complete and noncompact.

1.1F4F5given

The paraboloid is a complete, connected, noncompact surface. [F4, F5, given] The map f:R2→R, f(x,y)=x2+y2, is smooth and continuous, so its graph P={(x,y,f(x,y))} is an embedded submanifold of R2×R≅R3 and is closed in R3 by [F4]. The Euclidean metric of R3 is complete and its Riemannian distance is the Euclidean distance, so [F4] makes P complete in the induced Riemannian metric. The map (x,y)↦(x,y,x2+y2) is continuous with image P, and R2 is path connected by [F5], so P is path connected, hence connected, by [F5]. For noncompactness consider pt:=(t,0,t2)∈P for t=1,2,…: the Euclidean norms ∣pt∣2=t2+t4 are unbounded, so (pt) has no convergent subsequence and [F4] shows that P is not compact.

1.2F1given

The curvature at each point is K=4/(1+4r2)2. [F1, given] Parametrize P by X(x,y)=(x,y,f(x,y)), so that Xx=(1,0,2x), Xy=(0,1,2y) and g=(1+4x24xy4xy1+4y2),det⁡g=1+4(x2+y2)=1+4r2, where r2=x2+y2. The upward unit normal is N=(1+4r2)−1/2(−2x,−2y,1), and the second fundamental form has matrix h=(1+4r2)−1/2Hess⁡f=(1+4r2)−1/2(2002),det⁡h=41+4r2. By [F1] the shape operator satisfies S=g−1h and det⁡S=det⁡hdet⁡g=4/(1+4r2)1+4r2=4(1+4r2)2. By [F1] the sectional curvature of the tangent plane at X(x,y), the only tangent two-plane of the surface, is K=det⁡S=4/(1+4r2)2.

1.3F2

On a surface the Ricci tensor is K times the metric. [F2] Let p∈P and let (e1,e2) be an orthonormal basis of TpP. Since P is two-dimensional, TpP is its only tangent two-plane; every orthonormal basis of this plane computes its basis-independent sectional curvature, so K=Rm⁡(e1,e2,e2,e1) by [F2]. Using the orthonormal-basis formula of [F2] and the skew symmetries, Ric⁡(e1,e1)=Rm⁡(e1,e1,e1,e1)+Rm⁡(e2,e1,e1,e2)=0+Rm⁡(e1,e2,e2,e1)=K, the middle equality by pair interchange, and likewise Ric⁡(e2,e2)=K; and Ric⁡(e1,e2)=Rm⁡(e1,e1,e2,e1)+Rm⁡(e2,e1,e2,e2)=0+0=0, because the two terms have respectively equal first and equal last entries. By bilinearity and symmetry of the Ricci tensor, Ric⁡p=K(p) gp at every point.

2.1F4step 1.2

The curvature is positive with infimum zero. [F4, step 1.2] For every (x,y) the numerator 4 and the denominator (1+4r2)2 are positive, so K=4/(1+4r2)2>0 by step 1.2: the paraboloid has positive sectional curvature everywhere. On the other hand, given any δ>0 choose r>0 with (1+4r2)2>4/δ; then the point (r,0,r2)∈P has 0<K<δ. Hence 0 lies below every value of K but no positive number is a lower bound, so the greatest lower bound of the set of values of K is inf⁡PK=0 by [F4].

3.1step 1.3step 2.1

The paraboloid has pointwise positive Ricci curvature but no uniform positive lower bound. [step 1.3, step 2.1] By steps 1.3 and 2.1, for every p∈P and every 0≠v∈TpP, Ric⁡p(v,v)=K(p) gp(v,v)>0, so the pointwise positivity hypothesis of the false claim holds. If there were a constant k>0 with Ric⁡≥k g (the case n=2 of the Bonnet–Myers bound (n−1)k g), then evaluating at a unit vector v would give K(p)=Ric⁡p(v,v)≥k for every p, contradicting inf⁡PK=0 from step 2.1. Hence no uniform positive lower bound exists.

4.1F3step 1.1step 3.1∎

The false claim fails, and Bonnet–Myers is not contradicted. [F3, step 1.1, step 3.1] The surface P is complete, connected, boundaryless, two-dimensional, and has pointwise positive Ricci curvature by step 3.1, but it is noncompact by step 1.1. Therefore the claim that pointwise positive Ricci curvature forces compactness is false. The theorem of [F3] is unaffected: its hypothesis Ric⁡≥(n−1)k g with a fixed k>0 fails on P by step 3.1, so no contradiction arises; the example isolates the uniformity of the lower bound, not the pointwise sign of the curvature, as the hypothesis that forces compactness. Dimension zero and one are not witnesses, since Bonnet–Myers and the deduction Ric⁡=K g are stated in dimension at least two; the paraboloid realizes the minimal dimension n=2. No choice beyond the inherited [A1] is used.

Source locator

Datar §27.1 and §28.2, pp.199–200 and 210–212, and Eschenburg §12, pp.59–62, state Myers' theorem with the uniform lower bound and note that positivity alone does not suffice. The paraboloid computation (graph fundamental forms, shape operator, Gauss curvature and completeness) is carried out above from the published hypersurface-curvature, graph-submanifold and completeness suppliers.

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