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Strong minimum principle from the annular barrier

Statement

On a connected smooth Riemannian interior, let V≥0 be locally bounded and smooth. A nonnegative C2 function satisfying (Δh−V)u≤0 is either strictly positive everywhere or identically zero.

Facts & Assumptions

[F1]

The interior, denoted by M, has the smooth positive-definite metric of Riemannian metric and riemannian manifold. Work in interior charts; all closed coordinate balls used below are compactly contained in such a chart.

[F2]

Use the positive-divergence sign convention and metric trace of the Hessian from Laplace–Beltrami operator as the trace of the Hessian. For smooth functions the coordinate Hessian is (Hess⁡f)ij=∂ijf−Γkij∂kf by Gradient hessian and divergence connection formulas. For C2 functions use the same pointwise trace; step 1.1 justifies this extension and its coordinate expression. Repeated indices are summed.

[F3]

A connected space has no nonempty proper clopen subset by For a topological space the following agree: no separation exists, the only clopen subsets are ∅ and X, and every continuous map to the two-point discrete space is constant, part 1(b). Continuity of u makes P={u>0} open and Z={u=0} closed; nonnegativity gives M=P∪Z.

[F4]

The general metric-chart interface of A variable-coefficient annular barrier and inward boundary derivative gives a strictly positive inward derivative at a zero on an interior tangent Euclidean ball when u>0 inside, u≥0 on the closure, Lu≤0, and u is C2 inside and C1 at the tangency point, for L=Δh−V with bounded coefficients and uniformly elliptic principal part on that chart and V≥0.

[F5]

For Euclidean dimension m≥1, Heine-Borel in ℝⁿ: with the Euclidean metric a subset of ℝⁿ is compact if and only if it is closed and bounded, and the proof by bisection uses no choice principle; the same holds on the real line, part 2, identifies compact subsets of Rm with closed bounded subsets. We apply it in dimensions n and 2n only after disposing of dimension zero.

[F6]

By A continuous real-valued function on a nonempty compact metric space is bounded and attains a greatest and a least value, a continuous real-valued function on a nonempty compact metric space is bounded and attains its minimum and maximum. In particular, a strictly positive continuous function on such a space has a strictly positive attained minimum.

Proof

Given: The hypotheses in the Statement and the mathematical inputs [F1]–[F6].

Goal: Establish the stated alternative without restricting the Riemannian interior to an exterior.

Proof technique: direct.

1.1F1F2F3F4F5F6givenalgebra

If M is empty the alternative is vacuous. If n=dim⁡M=0, each chart is a singleton open set because R0 is a singleton; hence M is discrete. Every singleton is then clopen, so connectedness and [F3] force a nonempty M to be a singleton. The alternative follows from nonnegativity at its sole point. In the remaining argument n≥1. At any point x0 of an interior chart, replace u by its quadratic Taylor polynomial with the same value, first derivatives and second derivatives at x0. The smooth Hessian formula in [F2] uses only these data and the metric connection coefficients at x0. Under a smooth change of coordinates, the chain rule transforms the derivatives through order two using only these same data, so the Hessian coefficients defined for u transform as those of the polynomial, hence as a bilinear tensor at x0. This proves that their metric trace is well-defined for u∈C2 and gives Δhu=hij∂iju−hijΓkij∂ku. Thus aij=hij and bk=−hijΓkij are smooth on the chart. For any nonempty compact chart subset K, its coordinate image is closed and bounded by [F5]. Thus K×{ξ∈Rn:∣ξ∣=1}, in coordinates, is a nonempty closed bounded subset of R2n and is compact by [F5]. The continuous strictly positive function (x,ξ)↦hij(x)ξiξj has a strictly positive attained minimum there by [F6]. Scaling ξ gives uniform ellipticity on K. Applying [F6] on K to the absolute values of each of the finitely many smooth coefficients and of V gives finite coefficient and potential bounds. For empty K these bounds are vacuous. These are exactly the metric-chart coefficient conditions in [F4].

1.2F3givenchoose

Suppose P and Z are both nonempty. If P‾∩Z were empty, then P‾⊆P, so the open set P would also be closed. It would be a nonempty proper clopen subset of the connected space M, contradicting [F3]. Consequently choose q∈P‾∩Z.

2.1F1F3F5F6step 1.2choose

Center coordinates at q and choose ρ>0 such that the closed Euclidean ball B‾2ρ(0) is contained in the chart image. Choose z∈P with ∣z∣<ρ/4, which is possible since q∈P‾. The set E=Z∩B‾ρ(0) in these coordinates contains 0 and is closed and bounded in Rn: it is the zero set of the continuous coordinate function u restricted to the closed ball, which lies in the chart. Thus E is nonempty and compact by [F5]. The continuous function x↦∣x−z∣ on E attains its minimum R at some p∈E by [F6]. Since p∈Z and z∉Z, R=∣p−z∣>0; since 0∈E, R≤∣z∣<ρ/4. Thus B‾R(z)⊂Bρ/2(0), and its open ball contains no point of Z, so it lies in P. Its closure lies in the interior chart and p is a zero on its sphere.

3.1F4step 1.1step 2.1given∎

On this ball, step 1.1 verifies the operator hypotheses of [F4]. All its function hypotheses hold because u is nonnegative and C2 throughout the interior, positive in the ball by step 2.1, zero at p, and satisfies (Δh−V)u≤0. The barrier therefore gives ∂vu(p)>0 for v=(z−p)/R. But p is an interior minimum of u, so the differentiable function g(t)=u(p+tv) has a minimum at 0 for both signs of small t. For t>0 its difference quotient (g(t)−g(0))/t is nonnegative, and for t<0 it is nonpositive. Both one-sided limits equal g′(0) by differentiability, so g′(0)≥0 and g′(0)≤0, hence ∂vu(p)=g′(0)=0. The contradiction excludes simultaneous nonempty P,Z. If P is empty then u≡0; if Z is empty then u>0 everywhere. These alternatives also cover the empty interior.

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