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Compact capacity-zero sets and subharmonic minus-infinity loci
Statement
Assume Dependent Choice, hence Countable Choice (The axiom of dependent choice: a relation in which every element is related to something admits an -indexed chain, The Axiom of Countable Choice (), AC implies DC implies countable choice).
Compact case. Let be compact. Then for the logarithmic capacity of Robin constant and logarithmic capacity of a compact set if and only if there are a complex domain with and a function subharmonic on with
Since subharmonicity already excludes on a component (Subharmonic functions on plane domains), the witness is automatically not identically ; in the forward direction the witness can even be taken subharmonic on all of .
Compact Evans measure. If in addition and , the witness can be taken of the potential form with a finite positive Borel measure carried by ; then , equivalently , at every .
Specified unions. Let be a specified sequence of compact subsets of and . If for every , then there is a function subharmonic on with for every which is not identically . Conversely, if is subharmonic on a complex domain with and for every , then for every . Here need not be bounded, and the sequence is part of the data: no equivalence is asserted for arbitrary sets, for non-Borel sets, or for unions not presented as a specified countable union of compact sets.
Moreover, if and for every , then the witness can likewise be taken of the potential form with a finite positive Borel measure carried by satisfying at every .
Facts & Assumptions
Given: Dependent Choice, compact sets as in the statement, and the conventions of Logarithmic potential and energy of a positive compactly supported measure and Robin constant and logarithmic capacity of a compact set.
The logarithmic kernel is , equal to exactly on the diagonal; for a finite positive Borel measure with compact support, and , and for the energy is with , independent of (Logarithmic potential and energy of a positive compactly supported measure).
For nonempty compact , and when and when ; also . Hence for nonempty compact : for every Borel probability on , while if and only if some has (Robin constant and logarithmic capacity of a compact set, Probability measures and probability spaces).
Dependent Choice implies Countable Choice; Countable Choice selects one element from each member of any at-most-countable family of nonempty sets (The axiom of dependent choice: a relation in which every element is related to something admits an -indexed chain, The Axiom of Countable Choice (), AC implies DC implies countable choice).
For Borel probability measures on a metric space , means for every bounded continuous real on (Weak convergence of borel probability measures).
Every bounded sequence of reals has a convergent subsequence (Bolzano-Weierstrass: every bounded real sequence has a convergent subsequence).
is countable and dense in , and the rational open boxes form a countable basis for the topology ( is a countable dense subset of , and rational open boxes form a countable basis).
A unital subalgebra of separating points of a nonempty compact metric space is dense for the supremum metric (Real Stone--Weierstrass theorem for compact metric spaces).
Assume Dependent Choice; for LCH every bounded positive functional is integration against a unique finite regular Borel measure, with (Positive C_0(X) functionals have finite regular representing measures). On a compact space every continuous real function vanishes at infinity, so .
Monotone convergence: for measurable with pointwise, (Monotone convergence for the integral).
Tonelli's theorem for nonnegative product-measurable integrands on -finite product spaces (Tonelli's theorem for nonnegative measurable functions on a sigma-finite product).
Subharmonic on a complex domain means upper semicontinuous, not identically on any component, and satisfying the circle mean inequality at every closed disc in the domain (Subharmonic functions on plane domains); for every the function is subharmonic on , being the log modulus of the holomorphic function , which is not identically zero (The logarithm of the modulus of a holomorphic function is subharmonic).
Assume Countable Choice: the fundamental solution is locally integrable on , i.e. for every ball (The negative Laplacian of the fundamental solution is the unit Dirac distribution).
Assume Dependent Choice: for subharmonic on a complex domain , every open disc with compact admits a finite positive Borel measure carried by and a harmonic on with for every (Local Riesz decomposition of a plane subharmonic function).
Let be a finite positive Borel measure carried by a compact set and let ; if on , then on (Maximum principle for a compact logarithmic potential).
Finite and countable nonnegative weighted sums of measures are measures (Nonnegative scalar multiples and countable weighted sums of measures are measures); restriction of a measure to a measurable set is a measure (Restriction of a measure to a measurable set).
Assume Countable Choice: for finite positive Borel with compact support, is locally integrable on and subharmonic on the domain (Distributional Laplacian of a compact logarithmic potential).
Continuous real functions on a compact metric space are uniformly continuous (Heine-Cantor: a continuous map from a compact metric space to any metric space is uniformly continuous).
For an integrable parameter integrand with measurable derivatives dominated by a single integrable function, differentiation passes under the integral (Differentiation under the integral sign). Continuity of integrals of continuous parameter functions under a single integrable majorant follows from Dominated convergence.
The function is smooth and harmonic off (Logarithmic modulus is harmonic off its centre). A harmonic function is subharmonic by the characterization, and adding it to a subharmonic function preserves subharmonicity (A C^2 function is subharmonic exactly when its Laplacian is nonnegative, Positive linear combinations and finite maxima preserve subharmonicity).
Proof
Dependent Choice is assumed in the statement, and by [F3] it yields Countable Choice, which is the selection principle used for the countable constructions below; Dependent Choice itself is used for the successive subsequences constructed later in this proof and through the Riesz suppliers [F8] and [F13].
The case : by [F2], and the constant function is subharmonic on the complex domain by [F11] with empty locus, so every empty compact set is the locus condition holds vacuously; conversely the condition holds by convention. So the compact equivalence is true for , and below is assumed nonempty.
Now assume compact with . Choose with , put and , so that and is nonnegative on and exactly on the diagonal. For every one has, by [F1] applied with this , , and by the characterization [F2] of ; hence for every Borel probability on .
Let be nonempty compact and let be a sequence of Borel probability measures on . It will be shown that some subsequence converges weakly to a probability on . By [F6] enumerate the rational boxes as ; applying Countable Choice of [F3] to the at-most-countable family when this is nonempty and for a fixed otherwise gives points , and is countable. It is dense in : if is open and , [F6] gives a rational box with for some , so .
With and as in step 1.3, for put and for . Each is continuous and bounded on , and is weakly continuous: the unital algebra of finite sums separates points of the compact metric space , so it is uniformly dense in by [F7]; for a product integrand the double integral factors into a product of single integrals, which converges along weakly convergent sequences by [F4]; uniform approximation handles the general integrand. Put .
Let be the -algebra generated inside by the constant function and the functions , ; being generated by countably many elements, is countable, so fix an enumeration . is uniformly dense in : its closure is a closed -subalgebra containing the generators, those generators separate points of (for choose with , then ), so contains the unital algebra generated by the generators, which is all of by [F7].
Successive subsequences are chosen by Dependent Choice. A state is a pair with and strictly increasing, and is related to when for a strictly increasing and the real sequence converges. The relation is entire: is bounded by , so [F5] supplies a strictly increasing making it converge. Starting from , Dependent Choice yields states with a subsequence of , and the diagonal is strictly increasing; for every the sequence converges, since for it is a subsequence of the convergent sequence along .
For and step 2.2 gives with , and then shows that the -integrals are Cauchy; define . Limits of integrals against probability measures give that is linear, positive, and .
The compact metric space is LCH and , so [F8], whose hypothesis is Dependent Choice, represents as integration against a unique Borel probability measure on ; by [F4] this says . This proves the claim of step 1.4.
The infimum is attained. By Countable Choice [F3] choose with for all . Fix ; step 5.1 applied to the sequence give a weakly convergent subsequence with limit , and weak continuity of from step 2.1 gives . Hence the set of minimizers of is nonempty for every , and Countable Choice selects one minimizer for each .
The sequence is nondecreasing and . Monotonicity is immediate from . If for all , take minimizers from step 6.1 and apply step 5.1 to to obtain a weakly convergent subsequence . For fixed , whenever one has , so weak continuity of gives ; monotone convergence [F9] for then gives , contradicting step 1.3.
First variation at an exact minimizer. Let , let and let be a minimizer of . For the measure is a probability on , and expanding the double integral gives , where and . Since , dividing the inequality by and letting gives , that is for every .
For let , finite by step 7.1, and by Countable Choice choose minimizers ; the measure is a finite positive Borel measure on with by [F15]. For the potential of against the shifted kernel satisfies .
For , , because holds for and both sides are at . The measure is finite with compact support , so [F16], whose hypothesis Countable Choice is available by step 1.1, makes locally integrable and subharmonic on the complex domain ; in particular is not identically . This proves the forward direction witness for nonempty compact .
Conversely, let be compact, let be a complex domain with , and let be subharmonic on with for every . Suppose . Then by [F2], so there is with . Fix and put and for finite . Then . For put on . This is continuous and bounded, and monotone convergence gives for . Each truncated integral is continuous on , so is lower semicontinuous there. Hence for every real the set is closed in , and for it has positive measure: , since on and on . Fix such a and put , the restriction of to the measurable set (Restriction of a measure to a measurable set), a nonzero finite positive measure with because is closed. For , , since on . Cover by finitely many open discs whose closures lie in and whose radii are less than : such discs cover because is open and , so compactness gives a finite subcover. Then , and since some satisfies . Put , a nonzero finite positive measure with ; for one has because and . Thus on , and the maximum principle [F14] (applied to the nonzero measure ) gives on all of , that is, everywhere. On the disc the Riesz decomposition [F13] gives a finite positive measure carried by and a harmonic on with there. Since on and is finite there, for every , hence on , which has -measure ; therefore , and since also . Tonelli [F10] computes the same product integral in the other order: , because everywhere and is finite. This contradiction gives , the converse implication.
For the extension, let be a specified sequence of compact subsets of with for every , and put . For each with , step 9.1 apply to and yield a finite positive measure carried by with for every ; for put . Countable Choice selects the family .
With and for , and otherwise, set and . Then is a finite positive Borel measure with and ; in particular the logarithmic moment of is finite.
Put . If for some with , then because , while the term contributes : indeed by step 10.2 and since is finite with compact support. Hence and ; that is, on .
Local integrability: there is for every compact a constant with for every . Indeed, if then ranges over a fixed bounded region and the integral is bounded by for a suitable ball by [F12]; if is larger then on , so and the bound follows with . Tonelli [F10] with the nonnegative integrand and the finite measure therefore gives , so ; in particular is finite Lebesgue-a.e. and is not identically on the domain .
Fix and split on , where is its restriction to and its restriction to . The measure is finite with compact support, so is subharmonic by [F16]. For and in the tail one has ; the logarithmic moment from step 11.1 makes integrable against , and its first and second derivatives in are bounded on this disc by constants because the distance is bounded below by . The kernel and all its derivatives are Borel in and smooth in away from . The bounds on derivatives of orders one and two are integrable constants because is finite. Applying [F18] along each coordinate interval inside the disc, first to the kernel and then to its first derivatives, permits differentiation under the integral twice; dominated convergence in [F18] makes those derivatives continuous. By [F19], and . Hence is harmonic on and is subharmonic there by [F19]. Each closed disc is contained in one of these discs, which exhaust , so is upper semicontinuous and satisfies the circle mean inequality locally on ; it is not identically by step 12.2. Thus is subharmonic on by [F11] and is on by step 12.1.
Conversely to the forward direction of steps 10.2–13.1, if is subharmonic on a complex domain with and on , then every is a nonempty or empty compact subset of the domain ; for nonempty , step 10.1 applied to give , and empty pieces have capacity zero by [F2].
Assembling: step 1.2 and step 9.1 give the compact forward direction, with the witness of step 8.1 and on by step 9.1; step 10.1 gives the compact converse; steps 10.2–13.1 give the witness of step 11.1 for a specified union of compact capacity-zero sets, with on by steps 12.1 and 13.1; and step 14.1 gives the converse for such unions. The potential-form clauses of the statement are thus the witnesses actually constructed, so both assertions and their Evans-measure refinements are proved.
Remarks
What the lemma does and does not say. The equivalence is proved for compact sets and for sets presented in advance as a countable union of compact sets. It does not identify arbitrary non-Borel sets with capacity-polar sets, and it does not assert the local "at every point a local witness" form of subharmonic polarity of Capacity-polar sets, quasi-everywhere, and subharmonic polar sets; the witness in the forward direction is global and produced by the Evans construction above.
Where the axiom is spent. Dependent Choice enters through the successive subsequences of step 3.1, the positive-functional Riesz representation [F8], and the local Riesz decomposition [F13]. Countable Choice is used for the rational-box selection in step 1.4, the infimizing sequences and minimizer choices in steps 3.1 and 6.1, the family of compact witnesses in step 10.2, and through the kernel suppliers [F12] and [F16]. No form of the Axiom of Choice stronger than Dependent Choice is used, and the ordinary maximum principle [F14] and Tonelli [F10] are choice-free.
Depends on
- The axiom of dependent choice: a relation in which every element is related to something admits an $\mathbb{N}$-indexed chain
- The Axiom of Countable Choice ($\mathrm{AC}_\omega$)
- AC implies DC implies countable choice
- Robin constant and logarithmic capacity of a compact set
- Logarithmic potential and energy of a positive compactly supported measure
- Capacity-polar sets, quasi-everywhere, and subharmonic polar sets
- Probability measures and probability spaces
- Weak convergence of borel probability measures
- Subharmonic functions on plane domains
- Restriction of a measure to a measurable set
- Local Riesz decomposition of a plane subharmonic function
- Maximum principle for a compact logarithmic potential
- Distributional Laplacian of a compact logarithmic potential
- Positive C_0(X) functionals have finite regular representing measures
- $\mathbb{Q}^n$ is a countable dense subset of $\mathbb{R}^n$, and rational open boxes form a countable basis
- Real Stone--Weierstrass theorem for compact metric spaces
- Bolzano-Weierstrass: every bounded real sequence has a convergent subsequence
- Monotone convergence for the integral
- Tonelli's theorem for nonnegative measurable functions on a sigma-finite product
- The logarithm of the modulus of a holomorphic function is subharmonic
- The negative Laplacian of the fundamental solution is the unit Dirac distribution
- Heine-Cantor: a continuous map from a compact metric space to any metric space is uniformly continuous
- Differentiation under the integral sign
- Dominated convergence
- Logarithmic modulus is harmonic off its centre
- Positive linear combinations and finite maxima preserve subharmonicity
- A C^2 function is subharmonic exactly when its Laplacian is nonnegative
- Nonnegative scalar multiples and countable weighted sums of measures are measures
Used by
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Sources
- E. B. Saff, Logarithmic Potential Theory with Applications to Approximation Theory, §1–3 (standard reference, not scraped)
- W. Hansen and I. Netuka, On Evans' and Choquet's Theorems for Polar Sets (standard reference, not scraped)
- B. Khoruzhenko, LTCC Potential Theory notes, §3 (standard reference, not scraped)