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Calculus of Variations
Massimo Gobbino
Last update: December 27, 2017
This booklet is provided for personal educational use only. Any other use,
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improper
Change log
• Versione 28 settembre 2014. Iniziato il progetto. Aggiunti primi esercizi su logica ele-
mentare.
• Versione 5 ottobre 2014. Aggiunto il test del precorso. Aggiunto quasi tutto il materiale
relativo ai preliminari. Iniziati i capitoli saper dire e saper fare.
• Versione 12 ottobre 2014. Aggiunto due esercizi in Induzione 1 e 2. Iniziati esercizi sui
limiti.
• Versione 17 maggio 2015. Aggiornati saper dire e saper fare fino a fine corso.
• Versione dicembre 2017. Aggiunti scritti d’esame 2017. Nel frattempo erano state ag-
giunge due schede su Modica–Mortola. Restyling generale.
To do
• finire gli esercizi sui limiti
• scheda di esercizi diversi sullo studio di funzione (dato il grafico, trovare la funzione)
• completare e sistemare le equazioni differenziali (forse spostare altrove il finale delle lineari
omogenee)
II Exercises 11
Approximation results 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Variations on the Fundamental Lemma . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Boundary conditions 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Boundary conditions 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Minimum problems 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
Minimum problems 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Minimum problems 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Boundary value problems 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
Relaxation 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
Gamma convergence 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
Gamma convergence 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
Gamma convergence 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
Gamma convergence 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
Gamma convergence 5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Gamma convergence n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
Quadratic functionals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
Local Minima 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
Local Minima 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
Minimum problems 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
Gamma convergence n – Linearization effects . . . . . . . . . . . . . . . . . . . . . . 33
Modica-Mortola 1 – Minimization problems . . . . . . . . . . . . . . . . . . . . . . . 34
Modica-Mortola 2 – Asymptotic profile . . . . . . . . . . . . . . . . . . . . . . . . . . 35
Modica-Mortola 3 – Gamma convergence . . . . . . . . . . . . . . . . . . . . . . . . . 36
Minimum problems 10 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
Minimum problems 11 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
Minimum problems 12 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
Minimum problems 13 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
Minimum problems +∞ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
3
III Exam preparation 47
1 Saper dire 49
1.1 Indirect method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
1.1.1 First variation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
1.1.2 Quadratic functionals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
1.1.3 Second variation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
1.1.4 Calibrations and Weierstrass fields . . . . . . . . . . . . . . . . . . . . . 51
1.2 Direct method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
1.2.1 General framework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
1.2.2 Weak convergence in Hilbert spaces . . . . . . . . . . . . . . . . . . . . . 51
1.2.3 Sobolev spaces in dimension one . . . . . . . . . . . . . . . . . . . . . . . 52
1.3 Relaxation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
1.4 Gamma convergence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
1.5 Classical examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
2 Know how 55
2.1 Indirect method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
2.1.1 First variation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
2.1.2 Quadratic functionals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
2.1.3 Second variation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
2.1.4 Calibrations and Weierstrass fields . . . . . . . . . . . . . . . . . . . . . 57
2.2 Direct method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
2.3 Relaxation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58
2.4 Gamma convergence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58
2.5 Classical examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
3 Exam papers 61
Exam paper 2016 0 (25 Dicembre 2015) . . . . . . . . . . . . . . . . . . . . . . . . . 62
Exam paper 2016 1 (12 Gennaio 2016) . . . . . . . . . . . . . . . . . . . . . . . . . . 63
Exam paper 2016 2 (02 Febbraio 2016) . . . . . . . . . . . . . . . . . . . . . . . . . . 64
Exam paper 2016 3 (23 Febbraio 2016) . . . . . . . . . . . . . . . . . . . . . . . . . . 65
Exam paper 2016 4 (28 Giugno 2016) . . . . . . . . . . . . . . . . . . . . . . . . . . . 66
Exam paper 2016 5 (22 Luglio 2016) . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
Exam paper 2016 6 (06 Settembre 2016) . . . . . . . . . . . . . . . . . . . . . . . . . 68
Exam paper 2017 1 (10 January 2017) . . . . . . . . . . . . . . . . . . . . . . . . . . 69
Exam paper 2017 2 (24 February 2017) . . . . . . . . . . . . . . . . . . . . . . . . . . 70
Exam paper 2017 3 (05 June 2017) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
Exam paper 2017 4 (26 June 2017) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72
Exam paper 2017 5 (27 July 2017) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73
Exam paper 2017 6 (23 September 2017) . . . . . . . . . . . . . . . . . . . . . . . . . 74
4
Prefazione
Buon lavoro!
5
Part I
7
Chapter 0: 9
Depending on the context, one can assume that u is of class C 1 , C ∞ , or H 1 , with or without
boundary conditions.
2. An auxiliary function. Let us consider the function G : R → R defined as
Z x
G(x) := |1 − s2 | ds.
0
(a) (Existence of the minimum) For every ε > 0 the minimum exists, and any minimizer
uε (x) is an increasing function that satisfies
lim mε = G(1).
ε→0+
then
uε (x) → 1 uniformly on compact subsets of (a, b].
(d) (Blow-up of quasi-minimizers) If {uε (x)} is any family of quasi-minimizers, then
4. The key estimate. The main point is that the L1 norm of the derivative of G(u(x)) can be
estimated in terms of the Modica-Mortola functional. This results from the arithmetic-mean
geometric-mean inequality as follows:
Z b Z b
2
0
M Mε (u) ≥ u̇ · (1 − u ) dx = G (u) · u̇ dx ≥ G(u(b)) − G(u(a)) .
a a
c 2016 Massimo Gobbino Personal educational use only
10 Introduction to Calculus of Variations – Version: December 27, 2017
M M0 (u) = 2G(1) · n,
(b) there exist a boolean integer k ∈ {0, 1}, and a partition a = x0 < x1 < ... < xn = b of
the interval such that
u(x) = (−1)i+k
for every i = 1, ..., n and almost every x ∈ (xi−1 , xi ).
and let n, k, and the partition of (a, b) be as in the characterization of the Gamma limit.
Then
• (blow up) for every i ∈ {1, ..., n} there exists xi,ε → xi such that
3. Transition intervals and key estimates. An interval (c, d) ⊆ (a, b) is called a transition
interval if
(a) the number of transition intervals of u is bounded from above in terms of M Mε (u),
(b) the length of every transition interval is bounded from above by ε times a constant
depending on M Mε (u).
c 2016 Massimo Gobbino Personal educational use only
Part II
Exercises
11
Chapter 0: Exercises 13
Approximation results 1
Subject: smooth approximation of given functions Difficulty: ? ?
Prerequisites: sequences of functions, uniform convergence
1. Let [c, d] ⊆ (a, b) be two intervals. Prove that there exists a function v : R → R of class
C ∞ such that
2. Let [c, d] ⊆ (a, b) be two intervals. Prove that there exists a sequence of functions vn (x)
in Cc∞ ((a, b)) such that
• there exists a constant M ∈ R such that |vn (x)| ≤ M for every n ∈ N and every
x ∈ [a, b],
• vn (x) → v(x) uniformly on compact subsets of (a, b).
4. Let f : [a, b] → R be a continuous function, and let v : [a, b] → R be any function (not
necessarily continuous). Let M be a real number, let S ⊆ [a, b] be a finite set, and let
vn : [a, b] → R be a sequence of continuous functions such that
c 2016 Massimo Gobbino Exercise sheet 1 Personal educational use only
14 Introduction to Calculus of Variations – Version: December 27, 2017
Determine which of the following classes V of test functions allow to conclude that f (x) =
0 for every x ∈ [a, b].
(a) V = {v ∈ C 1 ([a, b]) : v(a) = 7}
(b) V = {v ∈ C 3 ([a, b]) : v((a + b)/2) = 7}
(c) V = {v ∈ C ∞ ([a, b]) : v 0 ((a + b)/2) = 7}
Z b
∞
(d) V = v ∈ C ([a, b]) : v(x) dx = 7
a
c 2016 Massimo Gobbino Exercise sheet 2 Personal educational use only
Chapter 0: Exercises 15
Boundary conditions 1
Subject: minimization of functionals – indirect methods Difficulty: ? ?
Prerequisites: Euler equation, genesis of boundary conditions
u(2) = 5u(0)
u(2) = 5 + u(0)
u(2) = u0 (0)
u0 (0) = u0 (2)
u0 (0) = 3
u(0) = 3 and u0 (1) = 3
u00 (0) exists and u00 (0) = 3
Z 1 Z 2
u(x) dx = 1 and u(x) dx = 2
0 1
c 2016 Massimo Gobbino Exercise sheet 3 Personal educational use only
16 Introduction to Calculus of Variations – Version: December 27, 2017
Boundary conditions 2
Subject: minimization of functionals – indirect methods Difficulty: ? ? ?
Prerequisites: Euler equation, genesis of boundary conditions
For each of them, in the following table it is required to discuss the minimum problem
subject to the extra constraints presented in each row. When the minimum exists, the number
of minimizers is required. When the minimum does not exist, a characterization of the infimum
is required.
no further condition
u(0) = 1
u0 (0) = 1
u00 (0) = 1
u(0) = 1 and u(π) = 2
u0 (0) = 1 and u0 (π) = 2
u0 (0) = 1 and u(π) = 2
u(0) = u(π)
u0 (0) = u0 (π)
u(0) = u0 (π)
u(0) = u(π) and u0 (0) = 2
u(0) = u(π) and u0 (0) = u0 (π)
u(0) = u(π) and u00 (0) = u00 (π)
Z π
u(x) dx = 3
0
u(π) = u(0) − 44
As in the previous exercise sheet, it is strongly recommended to work again on these prob-
lems in a second step by means of direct methods.
c 2016 Massimo Gobbino Exercise sheet 4 Personal educational use only
Chapter 0: Exercises 17
Minimum problems 1
Subject: minimization of functionals – indirect methods Difficulty: ? ?
Prerequisites: Euler equation, optimality through convexity
3. For every continuous function f : [a, b] → R, let us consider the minimum problem
Z b
2 2
1
min u̇ + (u − f (x)) dx : u ∈ C ([a, b]) .
a
c 2016 Massimo Gobbino Exercise sheet 5 Personal educational use only
18 Introduction to Calculus of Variations – Version: December 27, 2017
Minimum problems 2
Subject: minimization of functionals – indirect methods Difficulty: ? ? ?
Prerequisites: Euler equation, optimality through convexity
(a) [This point seems to require the direct method] Prove that for every α ∈ R the
problem admits at least a solution.
(b) Prove that every minimizer is monotone.
(c) Prove that for every α ∈ R the solution is unique.
(d) Discuss convexity/concavity of the solution.
3. Let us consider the minimum problem
Z 1
4
min u̇ + u dx : u(0) = 0, u(1) = α ,
0
c 2016 Massimo Gobbino Exercise sheet 6 Personal educational use only
Chapter 0: Exercises 19
Minimum problems 3
Subject: minimization of functionals – direct methods Difficulty: ? ? ? ?
Prerequisites: direct methods in H 1 , optimality through convexity
1. Determine which of the following functionals attains the minimum in the class of all
functions u ∈ C 1 ([0, 1]) such that u(0) = 1:
Z 1 Z 1
2 2
u2 + arctan(u̇2 ) dx,
F1 (u) = u̇ + arctan(u ) dx, F2 (u) =
0 0
Z 1 Z 1
arctan u̇2 + u2 dx, u̇2 − arctan(u2 ) dx.
F3 (u) = F4 (u) =
0 0
5. Determine which of the following functionals attains the minimum in the class of all
function u ∈ C 1 ([0, 7]) such that u(0) = u(7) = 0:
Z 7 √ √ Z 7 √ √
F (u) = 4 2
1 + u̇ − 1 + u dx, G(u) = 1 + u̇2 − 1 + u4 dx.
0 0
c 2016 Massimo Gobbino Exercise sheet 7 Personal educational use only
20 Introduction to Calculus of Variations – Version: December 27, 2017
In each row of the following table a boundary value problem is presented. It is required to
determine a variational problem for which the given BVP is the Euler equation, and then to
discuss existence/uniqueness/regularity of the solution.
u(0) = 2015
u00 = eu
u0 (0) = 0
arctan(u + x) u0 (0) = 0
u00 =
x2 + 1 u0 (2015) = 0
u(0) = 0
u00 = | sin x| · | cos u|
u(2015) = 7
u(−1) = u(1)
u00 = x2 u5 − sin x
u0 (−1) = u0 (1)
00 3
u0 (1) = 1
u = u · arctan x
u(2015) = 1
u0 (1) = 2
u00 = arctan(x2 u)
u0 (2015) = 3
u(0) = u(2015) = 7
uIV = e−u
u0 (0) = u00 (0) = 0
u(0) = u0 (2105) = 3
uIV = x3 − log u
u0 (0) = u00 (2015) = 0
u(0) = u0 (0) = 3
uIV = (u0 )2 u00 − u5
u(4) = u00 (4) = 0
c 2016 Massimo Gobbino Exercise sheet 8 Personal educational use only
Chapter 0: Exercises 21
Relaxation 1
Subject: relaxation of functions Difficulty: ? ? ?
Prerequisites: definition of relaxation and lower semicontinuous envelope
c 2016 Massimo Gobbino Exercise sheet 9 Personal educational use only
22 Introduction to Calculus of Variations – Version: December 27, 2017
Gamma convergence 1
Subject: Gamma convergence – One dimensional examples Difficulty: ? ? ?
Prerequisites: definitions of Gamma-limit, Gamma-liminf and Gamma-limsup
1. In each row of the following table a sequence of real functions is given. Determine whether
the sequence is equicoercive or not, and then compute the pointwise limit and the Gamma-
limit.
e−nx
2
e−nx
2
n3 e−nx
n!e−nx
2
enx
arctan(nx)
|3x|n
|x|−n
x2 + n cos2 x
arctan2 (nx − 1)
(n2 x − n2 + 3n)2
(n2 x − n2 + 3n)3
2 x2
nx · e−n
2
(x/n) · e−(x/n)
2
x · e−(x/n)
2 x2
n sin x · e−n
c 2016 Massimo Gobbino Exercise sheet 10 Personal educational use only
Chapter 0: Exercises 23
xn
(−1)n x
sin(nx)
arctan(x2 + (−1)n nx)
cos(n sin(nx))
c 2016 Massimo Gobbino Exercise sheet 10 Personal educational use only
24 Introduction to Calculus of Variations – Version: December 27, 2017
Gamma convergence 2
Subject: Gamma convergence – Simple properties Difficulty: ? ? ?
Prerequisites: definitions of Gamma-limit, Gamma-liminf and Gamma-limsup
(b) Prove that the previous statements are not necessarily true if g(x) is just lower
semicontinuous.
(c) Prove that the first equality holds true for every lower semicontinuous function g(x)
provided that the Gamma-liminf of fn (x) coincides with the pointwise liminf of fn (x).
(d) Prove that the second equality holds true for every lower semicontinuous function
g(x) provided that the Gamma-limsup of fn (x) coincides with the pointwise limsup
of fn (x).
(e) Deduce that the equality
Γ– lim [g(x) + fn (x)] = g(x) + Γ– lim fn (x) ∀x ∈ X
n→+∞ n→+∞
holds true when either g(x) is continuous, or g(x) is lower semicontinuous and the
Gamma-limit of fn (x) coincides with the pointwise limit.
c 2016 Massimo Gobbino Exercise sheet 11 Personal educational use only
Chapter 0: Exercises 25
Gamma convergence 3
Subject: Gamma convergence and relaxation Difficulty: ? ? ? ?
Prerequisites: relaxation, Gamma-liminf and Gamma-limsup
(b) Prove that strict inequalities can occur, even if the sequences fn (x) and gn (x) admit
a Gamma-limit.
(c) Prove that equalities hold true whenever the sequences gn (x) converges uniformly
on compact subsets of X to a continuous function.
(d) Prove that there is no relation between the Gamma-limsup of fn (x) + gn (x) and the
Gamma-limsup of fn (x) and gn (x).
4. (Gamma-limit of monotone sequences) Let X be a metric space, and let fn : X → R be a
sequence of functions.
(a) Let us assume that
fn+1 (x) ≤ fn (x) ∀x ∈ X, ∀n ∈ N.
Prove that the Gamma-limit is the relaxation of the pointwise limit, namely
Γ– lim fn (x) = lim fn (x).
n→+∞ n→+∞
c 2016 Massimo Gobbino Exercise sheet 12 Personal educational use only
26 Introduction to Calculus of Variations – Version: December 27, 2017
Gamma convergence 4
Subject: minimum problems with parameters Difficulty: ? ? ? ?
Prerequisites: Gamma convergence, convergence of minima and minimizers
1. Discuss the equicoerciveness and compute the Gamma-limit of the following sequences of
functions defined in R2 :
x2 + y 4 + n(x2 − y 2 ), x + arctan(nxy), x2 + n(y − sin(nx))2 ,
xn ∈ argmin x2 + ex + n sin x : x ∈ R .
(a) Prove that In is well defined for every positive integer n, namely the minimun exists.
(b) Prove that In → +∞, and determine its principal part as n → +∞.
c 2016 Massimo Gobbino Exercise sheet 13 Personal educational use only
Chapter 0: Exercises 27
Gamma convergence 5
Subject: convergence of minima and minimizers Difficulty: ? ? ? ?
Prerequisites: Gamma convergence, convergence of minima and minimizers
1. (Convergence of minima – Truths and urban legends) Let X be a metric space, and let
fn : X → R be a sequence of functions. Let us set
− +
F∞ (x) := Γ– lim inf fn (x), F∞ (x) := Γ– lim sup fn (x).
n→+∞ n→+∞
(b) Prove that strict inequalities can occurr, even if the following three conditions are
satisfied:
• |fn (x)| ≤ 1 for every n ∈ N and every x ∈ X,
• all inf’s are actually min’s,
• the Gamma-limit of fn (x) exists.
(c) Let us assume that the sequence fn (x) is equicoercive, and let K ⊆ X be the compact
set such that
inf fn (x) = inf fn (x) ∀n ∈ N.
x∈X x∈K
− +
2. (Convergence of minimizers – Truths and urban legends) Let X, fn (x), F∞ (x) and F∞ (x)
be as in the previous exercise.
Prove or disprove the following statements, both as stated, and with “quasi-minimizers”
instead of “minimizers”.
(a) If a sequence of minimizers converges to some x∞ , then x∞ is a minimum point for
− +
F∞ (x) and/or F∞ (x).
(b) If a sequence of minimizers has a subsequence converging to some x∞ , then x∞ is a
− +
minimum point for F∞ (x) and/or F∞ (x).
(c) If the Gamma-limit of fn (x) exists, and a sequence of minimizers has a subsequence
converging to some x∞ , then x∞ is a minimum point for the Gamma-limit.
(d) Let us assume that the Gamma-limit of fn (x) exists and its minimum exists. Then
every minimum point of the Gamma-limit is the limit of a sequence of minimizers.
(e) Let us assume that the sequence fn (x) is equicoercive. Then every sequence of
minimizers admits a converging subsequence.
c 2016 Massimo Gobbino Exercise sheet 14 Personal educational use only
28 Introduction to Calculus of Variations – Version: December 27, 2017
Gamma convergence n
Subject: Gamma convergence Difficulty: ? ? ? ? ?
Prerequisites: everything concerning Gamma convergence
(a) Decrypt and prove the following statement. For every x ∈ X it turns out that
Γ− – lim inf fn (x) = lim+ lim inf inf fn (y) = sup sup inf inf{fn (y) : y ∈ Br (x)}.
n→+∞ r→0 n→+∞ y∈Br (x) r>0 k≥0 n≥k
(a) Prove that the epigraph of the Gamma-liminf is the ω-limit of the ephigraphs, namely
\ !
[
epi Γ– lim inf fn (x) = Clos epi(fk (x)) .
n→+∞
n≥0 k≥n
Γ− – lim inf fn (x), Γ− – lim sup fn (x), Γ+ – lim inf fn (x), Γ+ – lim sup fn (x)
n→+∞ n→+∞ n→+∞ n→+∞
5. Gamma-compactness?
6. Metrization of Gamma-convergence?
c 2016 Massimo Gobbino Exercise sheet 15 Personal educational use only
Chapter 0: Exercises 29
Quadratic functionals
Subject: sign of quadratic functionals Difficulty: ? ?
Prerequisites: Legendre and Jacobi conditions, conjugate points
1. Determine for which values of the parameter ` > 0 it turns out that
Z `
(cos x · u̇2 + u2 ) dx ≥ 0
0
Determine the values of the parameter a for which F (u) ≥ 0 and G(u) ≥ 0 for every
u ∈ C 1 ([0, 10]) such that u(0) = u(10) = 0.
c 2016 Massimo Gobbino Exercise sheet 16 Personal educational use only
30 Introduction to Calculus of Variations – Version: December 27, 2017
Local Minima 1
Subject: sign of quadratic functionals Difficulty: ? ? ?
Prerequisites: Legendre and Jacobi conditions, conjugate points
(a) Prove that u0 (x) is the unique minimum point if we restrict ourselves to competitors
with u0 (x) ≥ 0 for every x ∈ [0, 1].
(b) Prove that u0 (x) is the unique minimum point if we restrict ourselves to competitors
with u0 (x) ≥ −2 for every x ∈ [0, 1].
(c) Prove that, for every ε > 0, it turns out that u0 (x) is not a minimum point if we
restrict ourselves to competitors with u0 (x) ≥ −2 − ε for every x ∈ [0, 1].
(d) Find the infimum if we restrict ourselves to competitors with u0 (x) ≥ −4 for every
x ∈ [0, 1].
2. (a) Prove that there exists a ∈ (0, π) such that the minimum problem
Z 1
0 1 0
min cos(u (x)) dx : u ∈ C ([0, 1]), u(0) = 0, u(1) = a, u (x) ≥ 0 ∀x ∈ [0, 1]
0
admits a solution.
(b) Find all values a ∈ R for which the minimum problem
Z 1
0 1 0
min cos(u (x)) dx : u ∈ C ([0, 1]), u(0) = 0, u(1) = a, u (x) ≥ −4 ∀x ∈ [0, 1]
0
admits a solution.
(a) Prove that for every ε > 0 the problem does not admit strong local minima.
(b) Prove that when ε > 0 is small enough there exists at least a weak local minimum.
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Chapter 0: Exercises 31
Local Minima 2
Subject: weak/strong local minima Difficulty: ? ? ?
Prerequisites: Legendre and Jacobi conditions, conjugate points, Weierstrass condition
In each row of the following table a function ψ(x, u, u̇) is presented. It is required to consider
the minimum problem for the functional
Z `
F (u) = ψ(x, u, u̇) dx
0
1
in the class of all u ∈ C ([0, `]) such that u(0) = u(`) = 0, and to determine the values of the
parameter ` > 0 for which the infimum is a real number, the minimum exists, and the function
u0 (x) ≡ 0 is a weak local minimum, a strong local minimum, and a global minimum.
u̇2 − u2
u̇2 − u4
u̇2 + u4
u̇2 − u2 + u4
u̇2 − u2 − u4
u̇2 + u2 − u4
u̇4 − u2
u̇4 − u̇2 + u2
−u̇4 + u̇2 + u2
u̇4 − u̇2 − u2
−u̇4 + u̇2 − u2
u̇2 − sin(u2 )
u̇2 − arctan2 u
u̇2 + cos u
u̇2 − sinh(u2 )
sinh(u̇2 ) − sin(u2 )
sin(u̇2 ) − sinh(u2 )
cos(u̇2 ) + u2
u̇2 − u2 + xu4
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32 Introduction to Calculus of Variations – Version: December 27, 2017
Minimum problems 4
Subject: Difficulty: ? ? ? ?
Prerequisites:
(a) Prove that the problem admits a solution for every ` < π/2, and every minimum
point is of class C ∞ .
(b) Prove that the problem does not admit a solution for every ` > π/2.
(c) Discuss the case ` = π/2.
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Chapter 0: Exercises 33
(a) Prove that mε,k is well defined for every ε > 0 and every positive integer k.
(b) Discuss, as k varies in the set of positive integers, the asymptotic behavior of minima
and minimizers as ε → 0+ .
4. Discuss existence/uniqueness/regularity and asymptotic behavior as ε → 0+ for the fol-
lowing minimum problems
Z 1
4 2 1
min cosh(u̇ ) + εu dx : u ∈ C ([0, 1]), u(0) = u(1) = 1 ,
0
Z 1 2
2 1
min u̇ + sin(u̇) + sinh(u ) dx : u ∈ C ([0, 1]), u(0) = 0, u(1) = ε .
0
Determine two positive constants α < β for which there exists a 6= 0 and b 6= 0 such that
Iε = aεα + bεβ + o(εβ ) as ε → 0+ .
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34 Introduction to Calculus of Variations – Version: December 27, 2017
(b) Consider the functional where the potential (1 − u2 )2 in the Modica-Mortola func-
tional is replaced by W (u), where W : R → R is a double-well potential, namely a
continuous nonnegative function such that W (s) = 0 if and only if |s| = 1.
6. (Different exponent)
(a) Discuss the asymptotic behavior of minima and minimizers to the functionals
Z b
4 1 2 2
εu̇ + (1 − u ) dx.
a ε
(b) More generally, consider the functional where the quadratic term u̇2 in the Modica-
Mortola functional is replaced by any power |u̇|p with exponent p > 1.
(c) What happens when p = 1?
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Chapter 0: Exercises 35
(a) Prove that in the minimization process we can limit ourselves to functions v with
sup |v(x)| ≥ 1.
x≥0
2. (Minimum problem with different boundary conditions) State and prove analogous results
for the minimum problem
(a) in the half-line x ≥ 0 with boundary condition v(0) = A, where A is a given real
number,
(b) in the the whole real line R, with limit conditions
|u̇|p + W (u),
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36 Introduction to Calculus of Variations – Version: December 27, 2017
2. (More general exponents and potentials) State and prove analogous results (characteriza-
tion of the Gamma limit and asymptotic behavior of recovery sequences) for the family
of functionals Z b
p 1
ε|u̇| + W (u) dx,
a ε
where p > 1 and W is a double-well potential.
3. (More zeroes of the potential) State and prove analogous results (characterization of the
Gamma limit and asymptotic behavior of recovery sequences) for the family of functionals
Z b
2 1
εu̇ + (1 − cos u) dx.
a ε
5. (Modica-Mortola with restrictions) Let us consider the family of functionals that coincide
with the Modica-Mortola functionals if u is in some class V , and is equal to +∞ if u 6∈ V .
Compute the Gamma limit of the family in the case where
(a) (Boundary data) V is the set of functions satisfying the boundary conditions u(a) =
A and u(b) = B (A and B are given real numbers),
(b) (Integral condition) V is the set of functions whose integral in [a, b] vanishes.
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Chapter 0: Exercises 37
Minimum problems 10
Subject: asymptotic behavior of minimum problems Difficulty: ? ? ? ?
Prerequisites: direct method, Gamma convergence, Modica-Mortola
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38 Introduction to Calculus of Variations – Version: December 27, 2017
Minimum problems 11
Subject: asymptotic behavior of minimum problems Difficulty: ? ? ? ?
Prerequisites: direct method, Gamma convergence, Modica-Mortola
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Chapter 0: Exercises 39
Minimum problems 12
Subject: asymptotic behavior of minimum problems Difficulty: ? ? ? ?
Prerequisites: direct method, Gamma convergence, Modica-Mortola
(a) Prove that Mn is well-defined for every n, and the minimizer un is always unique
and monotone.
(b) Determine the principal part of Mn as n → +∞.
(c) Prove that un converges to 0 uniformly on compact subsets of (0, 3].
(d) Determine the order of vanishing of the sequence xn such that un (xn ) = 2.
4. Prove that the following sequences are well-defined and compute their leading terms:
Z 1
8 5
Kn := min u̇ + nu dx : u(0) = 0, u(1) = 0 ,
0
Z 1
8 5
Ln := min u̇ + nu dx : u(0) = 1, u(1) = 2 ,
0
Z 1
8 12
Mn := min u̇ + nu dx : u(0) = 1, u(1) = 2 .
0
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40 Introduction to Calculus of Variations – Version: December 27, 2017
Minimum problems 13
Subject: asymptotic behavior of minimum problems Difficulty: ? ? ? ?
Prerequisites: direct method, Gamma convergence, Modica-Mortola
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Chapter 0: Exercises 41
Minimum problems +∞
Subject: Difficulty: ???
Prerequisites:
(a) Prove that the minimum problem admits a solution for every choice of the parame-
ters.
(b) Prove that every minimizer is of class C ∞ .
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42 Introduction to Calculus of Variations – Version: December 27, 2017
6. Let us set
Z 2015
2
Mε = min u̇ + arctan u dx : u(0) = 0, u(2015) = ε .
0
7. Let us set
Z 10π
2
Mn = min u̇ + n cosh u dx : u(0) = u(10π) = 2015, u(x) ≥ sin x ∀x ∈ [0, 10π] .
0
8. Let us set
Z 1
2 2015 −nu
Mn = min u̇ + nu +e dx : u(0) = u(1) = 2015 .
0
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Chapter 0: Exercises 43
9. (Lack of coerciveness)
(a) Prove that the minimum problem admits a unique solution for every λ > 0.
(b) Prove that the solution lies in C 0 ([0, 1]) ∩ C ∞ ((0, 1]).
(c) Determine for which values λ > 0 the solution lies in C 1 ([0, 1]).
(a) Prove that the minimum problem admits a solution for just one real value of λ.
(b) Prove that the infimum is a real numer and does not depend on λ.
13. Let α and β be two positive constants, and let a : R → R be the 1-periodic function such
that
α if x ∈ [0, 1/2),
a(x) =
β if x ∈ [1/2, 1).
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44 Introduction to Calculus of Variations – Version: December 27, 2017
(b) Compute the Gamma-limit of the following functionals (well, do not compute ex-
plicitly the last one, but just think about it)
Z 2 Z 2 Z 2
2 4
a(nx) u̇2 + u̇4 dx.
a(nx)u̇ dx, a(nx)u̇ dx,
0 0 0
(a) Prove that the minimum problem has a solution of class C 1 for every λ > 0.
(b) Prove that there exists λ0 > 0 such that minimizers do not touch the obstacle for
every λ < λ0 .
(c) Find the principal part of the minimum as λ → +∞.
(d) Describe the asymptotic behavior of minimizers as λ → +∞.
(e) Prove that there exists λ1 > λ0 such that the “contact region” of minimizers is
connected for every λ > λ1 (the contact region is defined as the set of all x ∈ [0, 10π]
where the minimizer coincides with the obstacle).
(a) Prove that the minimum problem has a solution of class C 1 for every λ > 0, and
that the minimizer is always unique.
(b) Find the principal part of the minimum as λ → +∞.
(c) Describe the asymptotic behavior of minimizers as λ → +∞.
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Chapter 0: Exercises 45
(a) Prove that the class of competitors is nonempty, namely there exists at least one
function that satisfies the constraints.
(b) Prove that the minimum problem admits a solution.
(c) Prove that all minimizers are of class C ∞ .
(d) Prove that minimizers are neither affine functions nor polynomials of degree 2.
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46 Introduction to Calculus of Variations – Version: December 27, 2017
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Part III
Exam preparation
47
Chapter 1
Saper dire
49
50 Introduction to Calculus of Variations – Version: December 27, 2017
I-2 Du Bois Reymond lemma: statement, possible proofs, extension to different classes of
test functions.
I-4 Different forms of the Euler-Lagrange equation, under suitable assumptions on the
Lagrangian.
I-7 First variation for integral functionals involving multiple integrals: Euler-Lagrange
equation in divergence form, Laplacian, Neumann conditions in more space dimen-
sions.
I-8 Lagrange multipliers for constrained minimization problems: statement and proof.
I-9 Sufficient condition which guarantees that an extremal to a variational problem with
constraint is actually a minimizer.
I-12 Necessary conditions for a quadratic functional to be nonnegative (Lagrange and Ja-
cobi conditions): statement and proof.
I-15 Different notions of minimum point (DLM, WLM, SLM, GM): definitions, implica-
tions, counterexamples.
I-16 Complete picture of necessary and/or sufficient conditions for an extremal to be WLM
or SLM: definitions and statements.
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Chapter 1: Saper dire 51
I-22 Interpretation in terms of calibrations of the last part of the proof of the sufficient
condition for quadratic functionals to be nonnegative.
I-23 Definition of Weierstrass excess function and connection with convexity properties of
the Lagrangian.
I-25 Definition of Weierstrass field of extremals and its slope function. Rewriting of the
Euler-Lagrange equation in terms of the slope function.
I-27 Weierstrass representation formula: statement and proof à la Hilbert (via calibrations).
I-28 Weierstrass representation formula: statement and proof à la Weierstrass (in the case
of a field of extremals originating from a single point).
D-3 Hilbert bases in Hilbert spaces and corresponding components of vectors: definitions
and main properties.
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D-4 Weak convergence is separable Hilbert spaces: definition and basic properties (behav-
ior with respect to the operations and the scalar product).
D-5 Can we test the weak convergence just on a dense subset? Statement, proof, coun-
terexamples.
D-6 Semicontinuity of the norm with respect to weak convergence: statement, proof, coun-
terexamples to continuity.
D-7 Compactness of balls in separable Hilbert spaces with respect to weak convergence:
statement and proof.
D-9 Weak derivative and Sobolev spaces: definition (W) vs definition (H).
D-11 Sobolev functions are the antiderivatives of their weak derivatives. Regularity of
functions with continuous weak derivative.
D-13 Equivalence of the two definitions of Sobolev spaces (H = W ): statement and proof.
D-15 Continuity and lower semicontinuity theorems for integral functionals in Sobolev
spaces: statements and proofs.
D-17 Compactness and semicontinuity results for integral functionals with p-growth as-
sumptions: statements and proofs in special cases (p ≥ 2).
1.3 Relaxation
R-1 Relaxation vs lower semicontinuous envelope: definitions, statement, proof.
R-3 Stability of the relaxation under continuous perturbations: statement, proof, coun-
terexamples in case of semicontinuous perturbations.
R-4 Subsets which are dense in energy and their role in the computation of the relaxed
functional.
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Chapter 1: Saper dire 53
R-5 Characterization of Sobolev spaces as the set where suitable relaxed functionals are
finite: statements and proofs.
R-6 Relaxation of integral functionals with Lagrangian depending only on the derivative:
statements, proofs, counterexamples showing the importance of growth conditions.
G-2 Stability of Gamma convergence with respect to continuous and/or lower semicontin-
uous perturbations: statements, proofs, counterexamples.
G-6 The Gamma liminf/limsup of a sequence of functionals coincides with the Gamma
liminf/limsup of the sequence of relaxed functionals.
G-7 Proof of the method of Lagrange multipliers in finite dimension through penalization
of the constraint, and interpretation in terms of Gamma convergence.
C-2 Geodesics in the cylinder and in the sphere: description, uniqueness, calibrations.
C-4 Transversality condition and regularity result for the minimizer of an obstacle problem
in a contact point: definition, statements, proof.
C-5 Discrete-to-continuum problems: piecewise constant and piecewise affine setting, basic
examples, Euler-Lagrange equation in discrete setting, convergence results.
C-6 Characterization of Sobolev spaces as the set where the Gamma limit of suitable
functionals defined in a discrete setting is finite.
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54 Introduction to Calculus of Variations – Version: December 27, 2017
C-8 Graph of minimal length which spans a given area: model, existence/uniqueness of so-
lutions to the Euler-Lagrange equation with Lagrange multiplier, minimality through
convexity.
C-10 Heavy chain problem: parametric vs non parametric approach, Euler-Lagrange equa-
tion with Lagrange multipliers, discussion of a special symmetric case, approximation
through Gamma convergence.
C-11 Homogenization of periodic coefficients, both in front of the function and in front of
the derivative.
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Chapter 2
Know how
[Know how]
55
56 Introduction to Calculus of Variations – Version: December 27, 2017
• Being aware of the different classes of test functions that can be involved in the funda-
mental lemma in the calculus of variations and in the DBR lemma.
• Computing the Euler-Lagrange equation for an integral functional, even in the case of
functionals depending on more unknowns and/or involving higher order derivatives.
• Being aware of the different forms of the Euler-Lagrange equation (integral forms, differ-
ential form, DBR form, Erdmann form) and of the assumptions on the Lagrangian and
on the extremal that are required for each of them.
• Computing the Euler-Lagrange equation and the associated boundary conditions for in-
tegral functionals involving multiple integrals.
• Being aware that there is a the simple sufficient condition which guarantees that a solution
in the Lagrange multipliers setting is actually a minimum.
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Chapter 2: Know how 57
• Being aware that the length of the interval of integration might be relevant when deciding
the signature of a quadratic functional.
• Being aware that a calibration through the value function is actually also a calibration for
a curve-to-curve problem (the curves are the two levels of the value function corresponding
to the initial and final condition).
• Exploiting the Weierstrass condition and the theory of Weierstrass fields in order to decide
whether a given extremal is a SLM for a given functional or not.
• Exploiting the imbedding theorem in order to decide whether a given extremal lies in a
Weierstrass field or not.
• Deducing pointwise estimates on a function from integral estimates on its (weak) deriva-
tive and boundary conditions or integral estimates on the function.
• Knowing when it is possible (and when it is not possible) to deduce the compactness of
a sublevel of a functional with respect to a suitable notion of convergence.
• Deciding which pointwise or integral constraints are stable by a given notion of conver-
gence.
• Road map of the direct method: weak formulation, compactness, semicontinuity, regular-
ity.
• Deriving the Euler-Lagrange equation for a weak solution to a variational problem, fo-
cussing in particular on the assumptions needed and on the interpretation of all derivatives
which appear in the equation.
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58 Introduction to Calculus of Variations – Version: December 27, 2017
• Being familiar with the properties of the Lagrangian (in particular convexity and growth
conditions) which yield compactness of sublevels and/or lower semicontinuity of the func-
tional (specifying always carefully the notion of convergence in use).
2.3 Relaxation
• Knowing the characterization of lower semicontinuity in terms of sequences, sublevels,
epigraphs.
• Road map for proving that G(x) is the relaxation of F (x): lower semicontinuity of G(x),
inequality G(x) ≤ F (x), existence of a recovery sequence for every x in a subset which is
dense in energy.
• Exploiting the stability of the relaxation under continuous perturbations in order to reduce
the computation of a relaxation to the relevant terms.
• Exploiting the relaxed functional in order to determine the infimum when a variational
problem does not admit the minimum.
• Being aware that relaxation is the fundamental tool in order to extend a functional to a
wider setting.
• Computing the relaxation of an integral functional, always keeping into account the
pathologies which can originate from a lack of suitable growth conditions.
• Exploiting a subset which is dense in energy in order to simplify the verification of the
limsup inequality when computing a Gamma limit.
• Computing the Gamma limit of sequences of integral functionals in terms of the limit of
the Lagrangians.
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Chapter 2: Know how 59
• Applying the direct method to obstacle problems, taking care of the stability of the
constraints when passing to the limit.
• Finding the asymptotic behavior of minima and minimizers for variational problems with
small parameters that produce linearization effects.
• Computing the Gamma limit of functionals with homogenized coefficients, having clear
the role of the cell problem in the case of a periodic coefficient in front of the derivative.
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Chapter 3
Exam papers
61
62 Introduction to Calculus of Variations – Version: December 27, 2017
1. Consideriamo il problema
Z 1
2 2 2
min (ü + u − x u) dx : u(0) = 0 .
0
xu3
ü = , u(0) = 0, u(1) = 2016.
1 + u̇2
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Chapter 3: Exam papers 63
u5
ü = + x5 , u(0) = 2016, u0 (2016) = 0.
1 + x3
ammette soluzione.
(b) Determinare per quali valori reali di λ la funzione u0 (x) = λx è un punto di minimo
locale (WLM) per il problema precedente.
(c) Calcolare Z 3
−x 2
4 2
1
inf u̇ − 2u̇ + (u + e ) dx : u ∈ C ([0, 3]) .
0
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64 Introduction to Calculus of Variations – Version: December 27, 2017
1. Consideriamo il funzionale
Z 2 2
u̇ + (u − x2 )2 dx.
F (u) =
0
(a) Studiare il problema di minimo per F (u) con le condizioni al bordo u(0) = u(2).
(b) Studiare il problema di minimo per F (u) con le condizioni al bordo u0 (0) = u0 (2).
(a) La funzione u0 (x) ≡ 0 è un minimo locale forte (SLM), ovviamente tra quelle che hanno
lo stesso dato al bordo.
(b) Esiste il minimo di F (u) con le condizioni al bordo u(0) = u(`) = 0.
(c) Esiste il minimo di F (u) con le condizioni al bordo u(0) = u(`) = 2016.
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Chapter 3: Exam papers 65
u3
ü = , u(0) = u(1) = 2016.
cos x
Mn
lim .
n→+∞ na
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66 Introduction to Calculus of Variations – Version: December 27, 2017
1. Consideriamo il funzionale
Z 1
F (u) = (ü2 − 7xu̇ − 10u) dx.
0
Studiare il problema di minimo per F (u) con ciascuna delle seguenti condizioni al bordo:
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Chapter 3: Exam papers 67
1. Consideriamo il funzionale Z 1
F (u) = (u̇ − u)2 dx.
0
Studiare il problema di minimo per F (u) con ciascuna delle seguenti condizioni al bordo:
(a) u(1) = 3,
(b) u(0) = u(1) = 3.
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68 Introduction to Calculus of Variations – Version: December 27, 2017
1. Consideriamo il funzionale
Z 1
(u̇ − x)2 + (u − x)2 dx.
F (u) =
0
Studiare il problema di minimo per F (u) con ciascuna delle seguenti condizioni al bordo:
u(u2 + 1)
ü = , u0 (0) = u0 (1) = 1.
u̇2 + 1
(a) Determinare per quali ` > 0 la funzione u0 (x) ≡ 0 è un punto di minimo locale debole
(WLM).
(b) Determinare per quali ` > 0 la funzione u0 (x) ≡ 0 è un punto di minimo locale forte
(SLM).
(c) Determinare per quali ` > 0 il problema di minimo ha soluzione.
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Chapter 3: Exam papers 69
(a) Discuss the minimum problem for F (u) with boundary condition u(π) = u(0).
(b) Discuss the minimum problem for F (u) with boundary condition u(π) = 2u(0).
4. Let us set
Z 1
2 2 0
mε = min εü + cos u̇ + cos u dx : u ∈ C ([0, 1]), u(0) = u (0) = 1 .
0
(a) Prove that mε is well-defined (namely the minimum exists) for every positive ε.
(b) Compute the limit of mε as ε → 0+ .
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70 Introduction to Calculus of Variations – Version: December 27, 2017
2. Discuss existence, uniqueness, regularity of the solution to the boundary value problem
u−3
ü = , u(0) = 2017, u0 (2017) = 0.
3 + cos u̇
(a) Determine for which values of ` the function u0 (x) ≡ 0 is a weak local minimum.
(b) Determine for which values of ` the function u0 (x) ≡ 0 is a strong local minimum.
(c) Compute the infimum as a function of `.
4. Let us set Z 1
4 2 2
mε = inf εu̇ − u̇ + u dx : u(0) = u(1) = 2017 ,
0
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Chapter 3: Exam papers 71
2. Discuss existence, uniqueness, regularity of the solution to the boundary value problem
u3
ü = 2 · | cos x|, u0 (0) = 1, u(1) = 0.
u +1
4. Let us set
Z 1
2
mε = inf εu̇ + arctan u̇ + arctan u dx : u(0) = 3, u(1) = 2017 ,
0
(a) Determine if there exist values of ε for which the infimum is actually a minimum.
(b) Determine if there exist values of ε for which the infimum is not a minimum.
(c) Compute the limit of mε as ε → 0+ .
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72 Introduction to Calculus of Variations – Version: December 27, 2017
Discuss the minimum problem for F (u) subject to each of the following boundary conditions:
(a) u(0) = π,
(b) u0 (0) = 2017.
(a) Determine for which values of ` the function u0 (x) ≡ 0 is a weak local minimum.
(b) Determine for which values of ` the function u0 (x) ≡ 0 is a strong local minimum.
(c) Determine the infimum as a function of `.
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Chapter 3: Exam papers 73
2. Discuss existence, uniqueness, and regularity of the solution to the boundary value problem
u 3 − x3
ü = , u(0) = 1, u̇(1) = 3.
1 + u̇2
(a) Determine for which values of ` the function u0 (x) ≡ 0 is a weak local minimum.
(b) Determine for which values of ` the function u0 (x) ≡ 0 is a strong local minimum.
(c) Determine the infimum as a function of `.
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74 Introduction to Calculus of Variations – Version: December 27, 2017
Discuss the minimum problem for F (u) subject to each of the following boundary conditions:
u + u3
ü = , u(0) = 1, u(1) = λ.
1 + u̇4
(a) Discuss existence, uniqueness, and regularity of the solution.
(b) Determine the values of λ for which the solution is convex.
(a) Determine for which values ε > 0 the infimum is a real number.
(b) Determine for which values ε > 0 the infimum is actually a minimum.
(c) Compute the leading term of mε as ε → 0+ .
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