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Measuring instruments always have limited resolution. For this reason, in real world applications of mathematics, approximate solutions are often as good as, and frequently indistinguishable from, true solutions. Since mathematical laws governing real world situations are often in variational form, it is natural to develop a theory of “almost critical points”, and the paper under review can be regarded as an interesting and successful step in that direction.
From a Review of [I. Ekeland, On the variational principle. J. Math. Anal. Appl., 47, 324–353 (1974)] by R.S. Palais.
In a substantial part of modern analysis characterized by the tendency to avoid differentiability assumptions, this principle will likely play at least the same role as, say, the contraction mapping principle plays in “smooth” analysis. The elegance of the proofs and the natural way the principle appears in them lend much support to this belief.
From a Review of [I. Ekeland, Nonconvex minimization problems. Bull. Am. Math. Soc., 1, 443–474 (1979)] by A.D. Ioffe.
This principle discovered in 1972 has found a multitude of applications in different fields of Analysis. It has also served to provide simple and elegant proofs of known results. And as we see, it is a tool that unifies many results where the underlying idea is some sort of approximation.
D.G. de Figueiredo, Lectures on the Ekeland variational principle with applications and detours, Springer-Verlag, 1981.
The methods we will take up here are all variations on a basic result known to everyone who has done any walk in the hills: the mountain pass lemma.
L. Nirenberg, Variational and topological methods in nonlinear problems, Bull. Am. Math. Soc., 4, 1981
Why a Book on the Mountain Pass Theorem?
The mountain pass theorem (henceforth abbreviated as MPT) is a “phenomenal result” that marks the beginning of a new approach to critical point theory. It constitutes a particularly interesting model for the abstract minimax principle known since the pioneering work of Ljusternik and Schnirelman in the 1940s. It is also the grandfather and the prototype of all the “postmodern” critical point results from the linking family. As early as it appeared, it attracted attention by raising up a lot of theoretical development and serving to solve a very large number of problems in many areas of nonlinear analysis.
The MPT has been intensively investigated. Indeed, there is actually a huge amount of references specifically devoted to its study or presenting one of its variants, generalizations, or applications. Its influence can be measured by the fact that you will rarely find a recent paper or book dealing with variational methods that do not cite it.
In this chapter, we are interested in some methods used to find multiplicity results, as in the symmetric MPT, when the symmetry is broken by a “little” perturbation added to the functional. We focus on two methods closely related to the MPT.
As we saw in Chapter 11, when the functional under study is equivariant, corresponding MPTs yield multiplicity results. These have important applications in partial differential equations and Hamiltonian systems that are invariant under a group action.
A natural question that stems then is whether it is really the symmetry that is responsible for these spectacular multiplicity results. Would the results persist if some perturbation is injected? This stability problem is quite old, and mathematicians were interested in the study of the effects of breaking the symmetry by introducing a small perturbation since the appearance of the Ljusternik-Schnirelman theory.
… we shall develop methods, employing ideas contained in some of L.A. Ljusternik's work, which allow us to establish the existence of a denumerable number of stable critical values of an even functional – they do not disappear under small perturbations by odd functionals.
It is with the help of the methods of topology, that we shall seek answers to the fundamental question connected with the study of nonlinear equations. However, this last assertion does not imply a negative role for other methods of investigations. In fact, topological methods become powerful only by virtue of their combination with other approaches.
M.A Krasnosel'skii, Topological methods in the theory of nonlinear integral equations, Pergamon Press, 1964.
This chapter is devoted to a pure topological version of the MPT due to Katriel [516]. It constitutes a natural “upgrade” of the finite dimensional MPT presented in the former chapter to locally compact topological spaces. It will also help us to clarify more our vision of the situation and will make us see the MPT under another angle. In fact, the topological considerations constitute an inherent part of the different faces of the MPT as will be clarified later. This is the case for all variational analysis results.
The MPT we will see is topological, in the sense that no differential structure on X is needed or used. So, we do not get critical points since this notion does not (yet) make any sense in such spaces. But we get some particular points from a pure topological point of view that should be critical in the presence of a differential structure.
Mathematical discoveries, small or great are never born of spontaneous generation. They always presuppose a soil seeded with preliminary knowledge and well prepared by labour, both conscious and subconscious.
Bertrand Russel
Going further in nonsmoothness, we present now a variant of the MPT for continuous functionals on metric spaces. Appropriate notions of critical point and Palais-Smale condition are defined to handle this more general situation that still contains as particular cases the previous results stated when more smoothness and regularity on the functional were supposed.
The metric MPT was discovered independently by Degiovanni and Marzocchi [310] and Katriel [516]. They both use Ekeland's variational principle but in two different ways. The method of Degiovanni and Marzocchi has become widely known these days. Nevertheless, Katriel's approach will be more familiar to those who have read the previous chapter devoted to the nonsmooth MPT.
Preliminaries
In both papers [310, 516], the notions of critical point and Palais-Smale condition are defined in a very similar way although they use different terminology.
Critical Points of Continuous Functions in Metric Spaces
The definition of a critical point for a continuous function defined on a metric space reduces to the usual one known in the smooth case when the functional is smooth.
Using the concept of linking of two subsets A and B, seen in Chapter 19, Schechter proved an intrinsic version of the MPT where an estimate for ||Φ′(u)|| appears, as a function of the difference between the supremum of Φ on A and its infimum on B, and of the distance between B and the proper subset of A where Φ assumes greater values than on B.
We will present Schechter's result and some of its immediate consequences, but we will focus on its metric extension due to Corvellec, which presents nicely and clearly its principles and basic ideas.
The main references for the subject of this chapter are the papers [257, 770, 771, 808]. You may also consult the chapter of notes and remarks at the end of Schechter's book [816].
The aim of Schechter, in [808], was a new statement of the MPT without the aid of “auxiliary sets” (the local minimum and the lower point e in the statement of the original MPT or the compact set K and its closed subset K* that appear in the statements of [153, 623, 628, 835], for example).
Locating critical values for a smooth functional / on a manifold X essentially reduces to capturing the changes in the topology of the sublevel sets Ia = {x ∊ X; I(x) < a} as a varies in ℝ.
I. Ekeland and N. Ghoussoub, New aspects of the calculus of variations in the large. Bull. Am. Math. Soc., 39, no. 2, 207–265 (2001)
This chapter is a continuation of the previous one. The “deformation lemma” we will study is very important because, as we will see later, an important part of the inherent topological aspects of critical point theorems is always expressed in terms of deformations.
Another important tool, older than Ekeland's principle and widely used (in his quantitative form) to get “almost critical points,” is the deformation lemma. Its form used nowadays seems to be due to Clark [242] following some ideas of Rabinowitz [734]. But the idea of deforming level sets near regular values to cross these values following the steepest descent direction of the function was already known before and is a basic tool in Morse theory. We will see it in action even in the original proof of the finite dimensional mountain pass theorem (MPT) of Courant that goes back to 1950. (See the notes of the next chapter.)
Geometry may sometimes appear to take the lead over analysis, but in fact precedes it only as a servant goes before his master to clear the path and light him on the way.
J.J. Sylvester
The notion of linking is very important in critical point theory. It expresses in an elegant way the geometric conditions that appear in all the abstract results seen until now. Various definitions in many contexts (homotopical, homological, local, isotopic, etc.) were given. Some linking notions are presented and their respective forms of linking theorems, containing the MPT, are stated.
After the MPT in 1973, in the late 1970s two new parents came to consolidate the family of minimax theorems in critical point theory. The multidimensional MPT by Rabinowitz [737] in 1978 (Chapter 8 is entirely devoted to this result) and the saddle point theorem (see the additional notes to follow), also by Rabinowitz [738] in 1978. The three results have something in common (we will see soon) and are proved similarly using a stereotyped method. Indeed, as we could see in the chapters devoted to the MPT and the multidimensional MPT, the proof is always done in two steps. This is also true for the case of the saddle point theorem.
… it was Riemann who aroused great interest in them [problems of the calculus of variations] by proving many interesting results in function theory by assuming Dirichlet's principle …
C.B. Morrey Jr., Multiple integrals in the calculus of variations, Springer-Verlag, 1966.
Variational and topological methods have proved to be powerful tools in the resolution of concrete nonlinear boundary value problems appearing in many disciplines where classical methods may fail. This is the case in particular for critical point theory, which became very successful these past years. Its success is due, in addition to its theoretical interest, to the large number of problems it handles.
To understand how the interest arose in this discipline, let us recall some of the main evolutions of its underlying principles in a series of historical events.
An Algorithm for Finding Extrema by Fermat
In a pure chronological order, the first variational treatments may be traced to the Greeks, who were interested in isoperimetric problems. Hero of Alexandria discovered in 125 b.c. that the light reflected by a mirror follows the shortest possible path. Fermat proved in 1650 that the light follows the path that takes the least time to go from one point to an other.
The mountain pass lemma of Ambrosetti and Rabinowitz is a result of great intuitive appeal as well as practical importance in the determination of critical points of functionals, particularly those which occur in the theory of ordinary and differential equations.
P. Pucci and J. Serrin, Extensions of the mountain pass theorem, J. Funct. Anal., 59, 185–210 (1984)
One would expect that it is virtually impossible to find critical points which are not extrema. The first to show that this is not the case are Ambrosetti and Rabinowitz.
M. Schechter, Linking methods in critical point theory, Birkhäuser, 1999
This chapter is devoted to the MPT, the source of inspiration for all the results that constitute the material of this monograph. We will also see two of its direct applications to boundary value problems: a superlinear Dirichlet problem and a problem of Ambrosetti-Prodi type.
A very interesting situation that occurs when treating nonlinear problems by variational methods is the following. The “energy” associated with the problem, whose critical points are the weak solutions, is indefinite, in the sense that it is bounded neither from above nor from below. In such cases, there are of course no absolute extrema, and the direct method of the calculus of variations that looks for absolute minimizers fails to apply.
Alphonse Kaar, reported in Dictionnaire des citations de langue française by P. Ripert, Bookking International, Paris, 1995
When nonlinear problems have a variational structure but do not present enough compactness to use the MPT in its classical form, we have to study carefully the behavior of the Palais-Smale sequence for the inf max level in the statement of the MPT. In this chapter, we will review some of the results that refined the MPT to treat this situation. We will discuss some variants of the MPT where “weighted” Palais-Smale conditions, weaker than the classical one, appear. Then, we will see a very interesting procedure, attributable to Corvellec [257], for deducing new critical point theorems with weighted Palais-Smale conditions from older ones with the standard Palais-Smale condition just by performing a change of the metric of the underlying space X.
In many nonlinear problems with a variational structure, the standard methods of calculus of variations, including the MPT, do not apply in a direct way because of lack of compactness.
Technically, the lack of compactness (failure of (PS)) arises when dealing, for example, with semilinear elliptic problems on the whole space Ω = ℝN, or even on a bounded domain Ω but with p = 2* = 2N/(N - 2) for N ≥ 3, the embedding of H1 (Ω) in Lp(Ω) being no more compact.