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7. Quantitative Stratification and Effective Estimates [01YU]

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7. Quantitative Stratification and Effective Estimates

Having shown in Sections 5 and 6 that noncollapsed limits of Einstein manifolds are smooth away from a closed codimension 44 subset, we will now give some applications. In particular, we will use the ideas of quantiative stratification first introduced in [ChNa13] in order to improve the codimension estimates on singular sets of limit spaces to curvature estimates on Einstein manifolds. More precisely, in this section, we will prove Theorem 1.3. We will also improve the Hausdorff dimension estimate of Theorem 1.1 to a Minkowski dimension estimate. One can view this as an easy corollary of Theorem 1.3.

We begin here by reviewing the quantitative stratification and the main results on it from [ChNa13]. These will play a crucial role in our estimates. In subsection 7.1 we combine the main results concerning the quantitative stratification, stated in Theorem 7.3, with the ϵ\epsilon-regularity of Theorem 6.1 in order to prove the main estimates on Einstein manifolds given in Theorem 1.3. In subsection 7.2 we apply the regularity results of Theorem 1.3 in order to conclude stronger results about the behavior of harmonic functions on Einstein manifolds.

The idea of [ChNa13] was to make the notion of stratification more effective. The standard stratification, recalled in Section 2.1, is used to show that that most points have a lot of symmetry infinitesimally. The quantitative stratification is used to show that most balls of a definite size have a lot of approximate symmetry. In particular, the quantitative stratification introduced in [ChNa13] exists and gives nontrivial information even on a smooth manifold, unlike the standard stratification which is always trivial on a smooth space. This point is crucial to the proof of Theorem 1.3. To make this precise we begin by defining a more local version of approximate symmetry.

Definition 7.1.

Given a metric space YY with y∈Yy\in Y, r>0r>0 and ϵ>0\epsilon>0, we say that yy is (k,ϵ,r)(k,\epsilon,r)-symmetric if there exists a kk-symmetric space Y′Y^{\prime} such that dG​H​(Br​(y),Br​(y′))<ϵ​rd_{GH}(B_{r}(y),B_{r}(y^{\prime}))<\epsilon r, where y′∈Y′y^{\prime}\in Y^{\prime} is a vertex.

Recall from Section that Y′Y^{\prime} is kk-symmetric if Y′=ℝk×C⁡(Z′)Y^{\prime}=\mathds{R}^{k}\times C(Z^{\prime}). To state the definition in words, we say that YY is (k,ϵ,r)(k,\epsilon,r)-symmetric if the ball Br​(x)B_{r}(x) looks very close to having kk-symmetries. The quantitative stratification is then defined as follows:

Definition 7.2.

For each ϵ,r>0\epsilon,r>0 and k∈ℕk\in\mathds{N}, define the closed quantitative kk-stratum, Sϵ,rk​(X)S^{k}_{\epsilon,r}(X), by

Sϵ,rk​(X)≡{x∈X: for no r≤s≤1 is x a (k,ϵ,r)-symmetric point}.\displaystyle S^{k}_{\epsilon,r}(X)\equiv\{x\in X:\text{ for no $r\leq s\leq 1$ is $x$ a $(k,\epsilon,r)$-symmetric point}\}\,. (7.1)

Thus, the closed stratum Sϵ,rk​(X)S^{k}_{\epsilon,r}(X) is the collection of points such that no ball of size at least rr is almost (k+1)(k+1)-symmetric. The first main result of [ChNa13] is to show that for manifolds which are noncollapsed and have lower Ricci curvature bounds, the set Sϵ,rk​(X)S^{k}_{\epsilon,r}(X) is small in a very strong sense. To say this a little more carefully, if one pretends that the kk-stratum is a well behaved kk-dimensional submanifold, then one would expect the volume of the rr-tube around the set to behave like C​rn−kCr^{n-k}. Although we don’t know this to be the case, the following slightly weaker statement does hold.

Theorem 7.3 (Quantitative Stratification,[ChNa13]).

Let MnM^{n} satisfy Ric≥−(n−1){\rm Ric}\geq-(n-1) with Vol⁡(B1​(p))>v>0{\rm Vol}(B_{1}(p))>v>0. Then for every ϵ,η>0\epsilon,\eta>0 there exists C=C⁡(n,v,ϵ,η)C=C(n,{\rm v},\epsilon,\eta) such that

Vol⁡(Tr​(𝒮ϵ,rk​(M)∩B1​(p)))≤C​rn−k−η.\displaystyle{\rm Vol}\left(T_{r}\left(\mathcal{S}^{k}_{\epsilon,r}(M)\cap B_{1}(p)\right)\right)\leq Cr^{n-k-\eta}\,. (7.2)

7.1. Proof of Theorem 1.3

In this subsection we combine Theorem 6.1 and Theorem 7.3 in order to prove Theorem 1.3.

Proof.

(of Theorem 1.3) Let (Mn,g,p)(M^{n},g,p) satisfy |RicMn|≤n−1|{\rm Ric}_{M^{n}}|\leq n-1 and Vol⁡(B1​(p))>v>0{\rm Vol}(B_{1}(p))>{\rm v}>0. We will first show that for every q<2q<2 there exists C=C⁡(n,v,q)>0C=C(n,{\rm v},q)>0 such that

⨏B1​(p)rh−2​q≤C.\displaystyle\fint_{B_{1}(p)}r_{h}^{-2q}\leq C\,. (7.3)

Simultaneously, we will show that if MnM^{n} is Einstein, then this can be improved to

⨏B1​(p)rx−2​q≤C,\displaystyle\fint_{B_{1}(p)}r_{x}^{-2q}\leq C\,, (7.4)

where rxr_{x} denotes the regularity scale at xx.

Let q<2q<2 and set η=4−2​q\eta=4-2q. Consider Theorem 7.3 with ϵ=ϵ⁡(n)>0\epsilon=\epsilon(n)>0 chosen from Theorem 6.1 and η\eta as above. Thus, there exists C⁡(n,v,q)C(n,{\rm v},q) such that

Vol(Tr({x∈𝒮ϵ,2​rn−4∩B1(p)}))<Cr4−η.\displaystyle{\rm Vol}(T_{r}(\{x\in\mathcal{S}^{n-4}_{\epsilon,2r}\cap B_{1}(p)\}))<Cr^{4-\eta}\,. (7.5)

Note that by rescaling, we may regard the ϵ\epsilon-regularity theorem (Theorem 6.1) as stating that if xx is (n−3,ϵ,2​r)(n-3,\epsilon,2r)-symmetric then rh>rr_{h}>r, and if MnM^{n} is Einstein then rx>rr_{x}>r. In fact, we have that if xx is (n−3,ϵ,s)(n-3,\epsilon,s)-symmetric for any s≥2​rs\geq 2r, then rh>rr_{h}>r. This is to say that if x∉𝒮ϵ,2​rn−4x\not\in\mathcal{S}^{n-4}_{\epsilon,2r}, then rh>s2>rr_{h}>\frac{s}{2}>r. The contrapositive gives the inclusion

{x∈B1​(p):rh≤r}⊆𝒮ϵ,2​rn−4∩B1​(p).\displaystyle\{x\in B_{1}(p):r_{h}\leq r\}\subseteq\mathcal{S}^{n-4}_{\epsilon,2r}\cap B_{1}(p)\,. (7.6)

which by (7.5) gives us the desired estimate

Vol⁡(Tr​({x∈B1​(p):rh≤r}))<C​r4−η≤C​r2​p.\displaystyle{\rm Vol}(T_{r}(\{x\in B_{1}(p):r_{h}\leq r\}))<Cr^{4-\eta}\leq Cr^{2p}\,. (7.7)

If MnM^{n} is Einstein, then Theorem 6.1 allows us to replace rhr_{h} with rxr_{x}, as claimed.

Now, for q<2q<2, let us prove the LqL^{q} bound on the curvature from Theorem 1.3. For this note that if rh​(x)>rr_{h}(x)>r then by definition there exists harmonic coordinates Φ:Br​(0n)→M\Phi:B_{r}(0^{n})\to M with ϕ⁡(0)=x\phi(0)=x and such that

‖gi​j−ηi​j‖C0​(Br​(0))+r​‖∂kgi​j‖C0​(Br​(0))<10−3,\displaystyle||g_{ij}-\eta_{ij}||_{C^{0}(B_{r}(0))}+r||\partial_{k}g_{ij}||_{C^{0}(B_{r}(0))}<10^{-3}\,, (7.8)

where gi​j=Φ∗​gg_{ij}=\Phi^{*}g is the pullback metric. Since the Ricci curvature satisfies the bound |RicMn|≤n−1|{\rm Ric}_{M^{n}}|\leq n-1, this implies that

|Δx​gi​j|<C⁡(n)​r−2,\displaystyle|\Delta_{x}g_{ij}|<C(n)r^{-2}\,, (7.9)

where Δx\Delta_{x} denotes the Laplacian written in coordinates. In particular, for every α<1\alpha<1 and s<∞s<\infty, we have the scale invariant estimates

r1+α​‖∂kgi​j‖Cα​(B3​r4​(0))≤C⁡(n,α),\displaystyle r^{1+\alpha}||\partial_{k}g_{ij}||_{C^{\alpha}(B_{\frac{3r}{4}}(0))}\leq C(n,\alpha)\,,
r2​‖gi​j‖W2,s​(B3​r4​(0))≤C⁡(n,s).\displaystyle r^{2}||g_{ij}||_{W^{2,s}(B_{\frac{3r}{4}}(0))}\leq C(n,s)\,. (7.10)

In particular, applying this to s=qs=q we get

r2​q​⨏Br/2​(x)|Rm|q≤C⁡(n)​r2​q​⨏B3​r/4​(0)|Φ∗​Rm|q<C⁡(n,q).\displaystyle r^{2q}\fint_{B_{r/2}(x)}|{\rm Rm}|^{q}\leq C(n)r^{2q}\fint_{B_{3r/4}(0)}|\Phi^{*}{\rm Rm}|^{q}<C(n,q)\,. (7.11)

Let η=2−q\eta=2-q be chosen so that q+η2<2q+\frac{\eta}{2}<2. Then we have already shown that

Vol⁡(Tr​({x∈B1​(p):rh≤r}))<C​r2​q+η,\displaystyle{\rm Vol}(T_{r}(\{x\in B_{1}(p):r_{h}\leq r\}))<Cr^{2q+\eta}\,, (7.12)

for C⁡(n,v,q)>0C(n,{\rm v},q)>0. Consider the covering {Brh​(x)​(x)}\{B_{r_{h}(x)}(x)\} of B1​(p)B_{1}(p), and a subcovering {Brj​(xj)}\{B_{r_{j}}(x_{j})\} by mutually disjoint balls, such that

  1. (1)

    B1​(p)⊆⋃Brj​(xj)B_{1}(p)\subseteq\bigcup B_{r_{j}}(x_{j}) with rj=12​rh​(x)r_{j}=\frac{1}{2}r_{h}(x).

  2. (2)

    {Brj/4​(xj)}\{B_{r_{j}/4}(x_{j})\} are disjoint.

By using (7.12), we see for each α∈ℕ\alpha\in\mathds{N} that

∑2−α−1<rj≤2−αVol⁡(Brj​(xj))≤C​rj2​q+η=C​rj2​q​ 2−η​α.\displaystyle\sum_{2^{-\alpha-1}<r_{j}\leq 2^{-\alpha}}{\rm Vol}(B_{r_{j}}(x_{j}))\leq Cr_{j}^{2q+\eta}=C\,r_{j}^{2q}\,2^{-\eta\alpha}\,. (7.13)

Summing over α\alpha this gives

∑rj−2​q​Vol​(Brj​(xj))≤C​∑2−η​α≤C⁡(n,v,q).\displaystyle\sum r_{j}^{-2q}{\rm Vol}(B_{r_{j}}(x_{j}))\leq C\sum 2^{-\eta\alpha}\leq C(n,{\rm v},q)\,. (7.14)

Finally, combining this with (7.11) we get

⨏B1​(p)|Rm|q\displaystyle\fint_{B_{1}(p)}|{\rm Rm}|^{q} ≤C⁡(n,v)​∑∫Brj​(xj)|Rm|q\displaystyle\leq C(n,{\rm v})\sum\int_{B_{r_{j}}(x_{j})}|{\rm Rm}|^{q}
≤C⁡(n,v,q)​∑rj−2​q​Vol​(Brj​(xj))≤C⁡(n,v,q),\displaystyle\leq C(n,{\rm v},q)\sum r_{j}^{-2q}{\rm Vol}(B_{r_{j}}(x_{j}))\leq C(n,{\rm v},q)\,, (7.15)

which finishes the proof of Theorem 1.3. ∎

7.2. LqL^{q}-Estimates for Harmonic Functions on Einstein Manifolds

In this subsection we give some applications of Theorem 1.3. In particular, we study Sobolev bounds of harmonic functions and solutions of more general equations on manifolds with bounded Ricci curvature. As we have used repeatedly, given a lower bound on Ricci curvature , there is a definite L2L^{2} bound on the Hessian of a harmonic function; see (3.5). However, the example of a rounded off 22-dimensional cone shows that one does not have definite LqL^{q} bounds for any q>2q>2; see Example 2.1. In this subsection, we will see that the situation is better for noncollapsed spaces with bounded Ricci curvature. Namely, one can obtain LqL^{q} bounds on the Hessians of such harmonic functions for all q<4q<4. More generally, we show the following:

Theorem 7.4.

For every q<4q<4 there exists C=C⁡(n,v,q)C=C(n,{\rm v},q) such that if MnM^{n} satisfies |RicMn|≤n−1|{\rm Ric}_{M^{n}}|\leq n-1 and Vol⁡(B1​(p))>v>0{\rm Vol}(B_{1}(p))>{\rm v}>0 and u:B2​(p)→ℝu:B_{2}(p)\to\mathds{R} satisfies

|u|≤1,|u|\leq 1\,,
|Δ​u|≤1,|\Delta u|\leq 1\,,

then for every q<4q<4

⨏B1​(p)|∇2u|q≤C.\displaystyle\fint_{B_{1}(p)}|\nabla^{2}u|^{q}\leq C\,. (7.16)
Proof.

Note that by the Cheng-Yau gradient estimate, we have

supB3/2​(p)|∇u|≤C⁡(n).\displaystyle\sup_{B_{3/2}(p)}|\nabla u|\leq C(n)\,. (7.17)

Now using Theorem 1.3 we know for each ϵ>0\epsilon>0 that

Vol⁡(Tr​({x∈B1​(p):rh​(x)≤r}))≤Cϵ​(n,v,ϵ)​r4−ϵ.\displaystyle{\rm Vol}(T_{r}(\{x\in B_{1}(p):r_{h}(x)\leq r\}))\leq C_{\epsilon}(n,{\rm v},\epsilon)r^{4-\epsilon}\,. (7.18)

In particular, let us consider the sets

𝒞α≡{x∈B1​(p):rα≤rh​(x)≤rα−1},\displaystyle\mathcal{C}_{\alpha}\equiv\{x\in B_{1}(p):r_{\alpha}\leq r_{h}(x)\leq r_{\alpha-1}\}\,, (7.19)

where rα≡2−αr_{\alpha}\equiv 2^{-\alpha}. For the set 𝒞α\mathcal{C}_{\alpha}, we have the cover {Brα​(x)}x∈𝒞α\{B_{r_{\alpha}}(x)\}_{x\in\mathcal{C}_{\alpha}}. We can choose a finite subcovering {Brα/2​(xi)}1Nα\{B_{r_{\alpha}/2}(x_{i})\}_{1}^{N_{\alpha}} such that the balls Brα/8​(xi)B_{r_{\alpha}/8}(x_{i}) are mutually disjoint. Using (7.18) we have

Nα≤Cϵ​rα4−n−ϵ.\displaystyle N_{\alpha}\leq C_{\epsilon}r_{\alpha}^{4-n-\epsilon}\,. (7.20)

On each ball Brα/2​(xj)B_{r_{\alpha}/2}(x_{j}) we can use standard elliptic estimates along with the gradient bound |∇u|≤C⁡(n)|\nabla u|\leq C(n) to get the scale-invariant estimate

rαq​⨏Brα/2​(xj)|∇2u|q≤C⁡(n,v,q),\displaystyle r_{\alpha}^{q}\fint_{B_{r_{\alpha}/2}(x_{j})}|\nabla^{2}u|^{q}\leq C(n,{\rm v},q)\,, (7.21)

for any q<∞q<\infty. In particular, if we choose q<4q<4 and pick ϵ=4−q2\epsilon=\frac{4-q}{2}, then we have

∫Brα/2​(xj)|∇2u|q≤C⁡(n,v)​rαn−4+2​ϵ.\displaystyle\int_{B_{r_{\alpha}/2}(x_{j})}|\nabla^{2}u|^{q}\leq C(n,{\rm v})\,r_{\alpha}^{n-4+2\epsilon}\,. (7.22)

Combining this with (7.18) gives us

∫𝒞α|∇2u|q≤C⁡(n,v)​rαn−4+2​ϵ⋅Nα≤C⁡(n,v,q)​rαϵ.\displaystyle\int_{\mathcal{C}_{\alpha}}|\nabla^{2}u|^{q}\leq C(n,{\rm v})\,r_{\alpha}^{n-4+2\epsilon}\cdot N_{\alpha}\leq C(n,{\rm v},q)\,r_{\alpha}^{\epsilon}\,. (7.23)

Finally, by summing over 𝒞α\mathcal{C}_{\alpha} we get the estimate

∫B1​(p)|∇2u|q≤C⁡(n,v,p)​λq​∑αrαϵ=C​∑2−ϵ​α=C⁡(n,v,q),\displaystyle\int_{B_{1}(p)}|\nabla^{2}u|^{q}\leq C(n,{\rm v},p)\lambda^{q}\,\sum_{\alpha}r_{\alpha}^{\epsilon}=C\,\sum 2^{-\epsilon\alpha}=C(n,{\rm v},q)\,, (7.24)

as claimed. ∎

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