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Hypothesis and convention boundaries for the variational prerequisites

Example

Two exact boundary checks. (i) Stationarity is first order. On R2 the polynomial S(x,y)=x2−y2 has differential DS(0,0):R2→R equal to the zero map at (0,0) in the total-derivative sense of The total (Fréchet) derivative Df(a) as the linear first-order approximation with o(∥h∥2) remainder, while S(ε,0)=ε2>0 and S(0,ε)=−ε2<0 for every ε≠0; a point where the first variation vanishes need not be a minimum. Consequently the equivalence of Compact variations of the quadratic field functional: first variation and the coefficient equation between stationarity and the coefficient equation, and the conversion by The fundamental lemma of the calculus of variations for continuous coefficients of a vanishing first variation into pointwise equations, are first-order conditions: they carry no minimality and no existence content, and the example involves no adopted physical action. (ii) Compact support of the variation is essential. Assume ACω (The Axiom of Countable Choice (ACω)) for this Lebesgue-functional branch, exactly as in the compact-field supplier; the polynomial branch (i) remains choice-free. Take U=(−1,1)4, κ=1, J=0 and the smooth field A with A0(x)=(x1)2 and A1=A2=A3=0, in the conventions of The Minkowski affine four-space: the form η, causal cones, frames and Lorentz maps. Then F01=−2x1, F10=2x1, F01=η00η11F01=2x1 and F10=−2x1, with every remaining component vanishing, so ∂μFμ0=∂1F10=−2≠0 and the coefficient equation ∂μFμν=−κJν fails at ν=0. Nevertheless the variation h with h0≡1 and h1=h2=h3=0 is smooth but not compactly supported in U; along it A0+sh0=(x1)2+s, so F01 and the integrand L=2(x1)2 are independent of s and S[A+sh]=∫U2(x1)2 dλ is constant in s, with first variation 0 although the field equation fails. For the complementary stationarity-boundary check take instead A0=x1, the other covariant components zero, J=0, and h0=x1, hi=0 (so A0=−x1, h0=−x1). Here F01=−1 is constant, so the coefficient equations all hold, but this smooth noncompact direction gives S[A+sh]=8(1+s)2 and derivative 16≠0 at zero. Thus extending the compact stationarity condition to all smooth noncompact directions would invalidate the converse. These two witnesses show that the stated compact-support hypothesis cannot simply be removed: its coefficient conversion has no boundary term precisely in its declared compact class. Other variation classes require their own boundary hypotheses.

Facts & Assumptions

Given: the two computational branches of the Example: part (i) with S(x,y)=x2−y2 on R2; part (ii) with U=(−1,1)4, κ=1, J=0, and the two fields A and variations h displayed there, in the covariant-component conventions of [L1]. The Axiom of Countable Choice ACω is assumed in part (ii), exactly as in Compact variations of the quadratic field functional: first variation and the coefficient equation; part (i) of the Example uses no choice principle.

[L1]

Minkowski conventions: ημν=ημν=diag⁡(−1,1,1,1)μν in the standard basis, so raising a covariant component reverses the sign of the zeroth coordinate: m0=−m0 and mi=mi for i=1,2,3 (The Minkowski affine four-space: the form η, causal cones, frames and Lorentz maps).

[L2]

Functional and derivative conventions: for smooth A on a neighbourhood of U‾, Fμν=∂μAν−∂νAμ, Fμν=ημαηνβFαβ, L=−14κFμνFμν+JνAν and S[A]=∫UL dλ; the partial derivative ∂μ is the directional derivative in the standard direction and agrees with the ordinary derivative of the corresponding coordinate line (Compact variations of the quadratic field functional: first variation and the coefficient equation, Directional derivatives and partial derivatives of a map U⊆Rm→Rn).

[L3]

Derivatives of constants and powers: a constant function has derivative 0 at every point, x↦x2 has derivative 2x, and x↦x has derivative 1; hence ∂1(x1)2=2x1, ∂1x1=1 and ∂0x1=∂0(x1)2=0. Writing ∂x and ∂y for the coordinate derivatives along (1,0) and (0,1), respectively, gives ∂xS(x,y)=2x and ∂yS(x,y)=−2y (For a natural n≥1 the function x↦xn is differentiable everywhere with derivative ι(n) x n−1; for n=0 it is the constant 1, with derivative 0; for a natural n≥1 the function x↦x−n is differentiable at every x≠0 with derivative −ι(n) x−n−1; consequently every polynomial function is differentiable at every real, with the derivative computed term by term, clauses 1 and 2).

[L4]

The open box U=(−1,1)4 has λ(U)=16, the constant c≥0 on U has ∫Uc dλ=cλ(U), and ∫U2(x1)2 dλ≤∫U2 dλ=32; these integrals of the continuous integrands over the bounded open U are finite real numbers, the integrands being continuous hence Borel measurable and every Borel set being Lebesgue measurable under ACω (A box in Rn with parameters ai≤bi is Lebesgue measurable of measure ∏i<n(bi−ai), whichever of its faces are included, The nonnegative integral agrees with the simple integral on simple functions, The integral of a nonnegative simple function, Monotonicity and nonnegative homogeneity of the nonnegative integral, Continuous functions on Euclidean spaces are Borel measurable, The Borel sigma-algebra of a topological space, Assuming countable choice, every Borel subset of Rn is Lebesgue measurable, Integrable real and complex functions, and their integrals, Integral over a measurable subset).

[L5]

Total derivative: DS(p) is a linear map T:R2→R for which ∣S(p+r)−S(p)−T(r)∣/∥r∥2→0 as r→0 through nonzero vectors (The total (Fréchet) derivative Df(a) as the linear first-order approximation with o(∥h∥2) remainder). Here ∥(a,b)∥2=a2+b2, so ∣a2−b2∣≤a2+b2=∥(a,b)∥22.

Verification

technique · direct; exact finite computations in the conventions of [L1] and [L2]
1.1givenL5algebra

Part (i): for r=(a,b)≠0, ∣S(r)−S(0,0)∣/∥r∥2=∣a2−b2∣/a2+b2≤a2+b2→0 as r→0. Thus [L5] gives DS(0,0)=0. For every ε≠0, S(ε,0)−S(0,0)=ε2>0 and S(0,ε)−S(0,0)=−ε2<0; taking ∣ε∣ arbitrarily small shows that the origin is neither a local minimum nor a local maximum. The stationarity equivalence in (c) of Compact variations of the quadratic field functional: first variation and the coefficient equation and the coefficient extraction through The fundamental lemma of the calculus of variations for continuous coefficients impose first-order conditions, with no minimality or existence assertion. This branch is choice-free.

1.2givenL1L2L3L4algebra

Part (ii), first witness: for A0=(x1)2 and A1=A2=A3=0, so that A0=−(x1)2 by [L1], [L2] and [L3] give F01=∂0A1−∂1A0=−2x1 and F10=2x1 with all remaining Fμν zero; raising both indices by the constant matrix ημν=ημν of [L1] gives F01=2x1, F10=−2x1 and all remaining Fμν zero, hence ∂μFμ0=∂1F10=−2, which differs from −κJ0=0, so the coefficient equation fails at ν=0. The variation with h0≡1 and h1=h2=h3=0 has h0≡−1 and is smooth but not compactly supported in U. Along it (A+sh)0=(x1)2+s and (A+sh)i=0, so F01(s)=−2x1 and F(s)μνF(s)μν=−8(x1)2 are independent of s, whence L(s)=2(x1)2 for every s by [L2] with κ=1 and J=0; the integral S[A+sh]=∫U2(x1)2 dλ is therefore independent of s by [L4], so this smooth noncompact direction has first variation 0 although the field equation fails.

2.1givenL1L2L3L4algebra∎

Part (ii), second witness: for A0=x1, A1=A2=A3=0 and J=0, one has F01=∂0A1−∂1A0=−1 constant, so every ∂μFμν=0 and the coefficient equations ∂μFμν=−κJν all hold; the variation with h0=x1 and h1=h2=h3=0 has h0=−x1 by [L1]. Along it (A+sh)0=(1+s)x1, so F01(s)=−(1+s) and F(s)μνF(s)μν=−2(1+s)2, whence L(s)=12(1+s)2 by [L2]; since λ(U)=16 by [L4], S[A+sh]=8(1+s)2, whose derivative at s=0 is 16≠0. Thus the converse direction in (c) of Compact variations of the quadratic field functional: first variation and the coefficient equation would fail if the compactly supported variation class were extended to all smooth directions, so the compact-support hypothesis is essential exactly for the boundary-free coefficient conversion, and part (ii) is the branch that carries ACω.

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