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After a long hiatus, I have finally resumed my reading of L. C. Evans's PDE book.

I am currently reading chapter 5. With some help (1, 2) from the community, I was able to understand the theorems regarding interior approximation and approximation up to the boundary of functions $u\in W^{k,p}(U)$ with smooth functions, and ultimately, the proof of the Sobolev extension theorem. Now, I am working on the proof of the trace theorem (page 271 in the second edition). I fully understand the motivation of the idea, that is, being able to define boundary values for weak solutions of PDEs. However, I am having difficulty reading the proof. I have included Evans's statement of the theorem and the first few lines of the proof:

THEOREM 1 (Trace Theorem). Assume $U$ is bounded and $\partial U$ is $C^1$. Then there exists a bounded linear operator $$T : W^{1,p}(U) \rightarrow L^p(\partial U)$$ such that $\quad$(i) $$Tu=u|_{\partial U}~~ \text{if}~~u \in W^{1,p}(U) \cap C(\bar{U})$$ and $\quad$(ii) $$\|Tu\|_{L^p(\partial U)} \le C \| U \|_{W^{1,p} (U)},$$ for each $u \in W^{1,p}(U)$, with the constant $C$ depending only on $p$ and $U$.

DEFINITION. We call $Tu$ the trace of $u$ on $\partial U$.

Proof. 1. Assume first $u \in C^1(\bar{U})$. As in the first part of the proof of Theorem 1 in §5.4 let us also intially suppose $x^0 \in \partial U$ and $\partial U$ is flat near $x^0$, lying in the plane $\{x_n=0\}$. Choose an open ball $B$ as in the previous proof and let $\hat{B}$ denote the concentric ball with radius $r/2$. $\quad$Select $\zeta \in C_c^\infty(B)$, with $\zeta \ge 0$ in $B$, $\zeta \equiv 1$ on $\hat{B}$. Denote by $\Gamma$ that portion of $\partial U$ within $\hat{B}$. Set $x'=(x_1,\ldots,x_{n-1}) \in \mathbb{R}^{n-1} = \{x_n=0\}$. Then $$\int_\Gamma |u|^p \, dx'\tag{A}$$ $$\le \int_{\{x_n=0\}} \zeta |u|^p \, dx'\tag{B}$$ $$=-\int_{B^+} (\zeta |u|^p)_{x_n} \, dx\tag{C}$$ $$=-\int_{B^+} |u|^p \zeta_{x_n} + p|u|^{p-1} (\operatorname{sgn} u)u_{x_n} \zeta \, dx\tag{D}$$ $$\le C \int_{B^+} |u|^p + |Du|^p \, dx\tag{E}$$ where we employed Young's inequality, from §B.2.

  1. If $x^0\in\partial U$, but $\partial U$ is not flat near $x^0$, we as usual straighten out the boundary near $x^0$ to obtain the setting above. Applying estimate $(1)$ (this is the inequality obtained in the previous step) and changing variable, we obtain the bound $$\int_{\Gamma}|u|^pdS\leq C\int_U |u|^p+|Du|^pdx\tag{F}$$ Where $\Gamma$ is some open subset of $\partial U$ containing $x^0$.

My questions.

First question: My first problem is with the transformation of the integral on $\Gamma$ in the final section. I am able to understand how he goes from $(\mathrm A)$ to $(\mathrm B)$ - this is because $\zeta\equiv 1$ in $\Gamma\subset \hat B$. I am also able to understand how he goes from $(\mathrm C)$ to $(\mathrm D)$ - this is just the product rule. And, thanks to this question I understand how he goes from $(\mathrm D)$ to $(\mathrm E)$. However, I don't understand how he goes from $(\mathrm B)$ to $(\mathrm C)$. I think it is some kind of integration by parts computation, but I am really not quite seeing the details.

Second question: In the proof of part (ii), I don't understand why the domain of integration on the right hand side of $(\mathrm F)$ is all of $U$. In the previous part, the final inequality obtained only covered a portion of $U$ , namely, $B^+$. So, how are we able to bound the norm on the whole domain $U$?


symbols used: Here, $U\subset \mathbb R^n$ is an open, bounded, simply connected set with $C^1$ boundary. $B=\mathbb B^n(x^0,r)$ is the open ball centered at $x^0$ with radius $r$ in $\mathbb R^n$. And, $B^+:=B\cap U$ and $B^-:=B\cap (\mathbb R^n\setminus U)$.

K.defaoite
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1 Answers1

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Your first question is answered by the fundamental theorem of calculus: First we have $$\int_{\{x_n=0\}} \zeta |u|^p \ dx' = \int_{B \cap \{x_n=0\}}\zeta |u|^p \ dx'$$ by the compact support of $\zeta$ in $B$. Now we artificially add an integral in the $x_n$-direction (FTC): $$\int_{B \cap \{x_n=0\}}\zeta |u|^p \ dx'= -\int_{B \cap \{x_n=0\}} \int_0^{\sqrt{1-|x'|^2}}\left(\zeta |u|^p\right)_{x_n} \ dx_n \ dx'$$ This is a valid equality since the inner integral gives you $$\zeta |u|^p\left(x', \sqrt{1-|x'|^2}\right) - \zeta |u|^p(x',0) = -\zeta |u|^p(x',0)$$ again by the compact support of $\zeta$. Now it only remains to realise how the integration domain looks like to see that $$-\int_{B \cap \{x_n=0\}} \int_0^{\sqrt{1-|x'|^2}}\left(\zeta |u|^p\right)_{x_n} \ dx_n \ dx' = \int_{B^+} \left(\zeta |u|^p\right)_{x_n} \ dx.$$

As to the second question, we have just enlarged the domain of integration from $B^+$ (or the "unstraightened" version of it) to $U$. This is valid because the integrand is non-negative, so we only enlarge the right hand side.

Lukas
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  • Seems like you’re repeating the proof of the divergence theorem in the first part :) One could just say that $\int_{\Omega}\frac{\partial f}{\partial x^i},dx=\int_{\partial \Omega}f\nu_i,dA$ where $\nu_i$ is the $i^{th}$ component of the outward-pointing unit normal to the boundary $\partial\Omega$. This can be proved by applying the usual divergence theorem to the vector field $F= (0,\dots, f, \dots, 0)$ with $f$ in the $i^{th}$ slot. (And the minus sign here is then apparent because the outward normal to $x_n=0$ when viewed as the boundary of the upper half-plane, is $-e_n$). – peek-a-boo Apr 28 '25 at 17:11
  • @peek-a-boo You are absolutely right, one can view it like that. After all, the divergence theorem is just a multi-dimensional version of the fundamental theorem of calculus – Lukas Apr 28 '25 at 17:16
  • Oh my goodness, I am completely stupid - this is just an application of the divergence theorem, noting that $\zeta\equiv 0$ on $\partial B$ !!! Thank you @peek-a-boo – K.defaoite Apr 28 '25 at 17:39
  • Lukas, in regards to my second question - it's not totally clear to me how we can be assured, when we extend the domain of integration on the right hand side, that the arbitrary constant $C$ will not depend on the function $u$. Probably I am missing something really simple? – K.defaoite Apr 28 '25 at 17:43
  • @K.defaoite $B^+$ is contained in $U$ so for every non-negative $f$, we have $\int_{B^+}f\leq\int_Uf$. So yes you’re only missing something obvious :) btw while we’re here discussing the trace theorem, you may want to see this for an alternative approach (an exercise in Evans). – peek-a-boo Apr 28 '25 at 17:50
  • Thanks @peek-a-boo , this seems like a much more straightforward approach. However, I don't see how we can guarantee such an admissible vector field $\alpha$ exists - is there some simple construction we can use? – K.defaoite Apr 28 '25 at 18:16
  • @K.defaoite locally this is obvious. Then you patch it together with a partition of unity. The point is pretty much to “thicken” the domain of the normal vector (or any vector field which is closely aligned with it). – peek-a-boo Apr 28 '25 at 18:20
  • And Lukas please disregard my second question, it's stupid – K.defaoite Apr 29 '25 at 01:43