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			<titleStmt><title level='a'>Quantitative Rigidity of Differential Inclusions in Two Dimensions</title></titleStmt>
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				<date>05/27/2023</date>
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				<bibl> 
					<idno type="par_id">10426600</idno>
					<idno type="doi">10.1093/imrn/rnad108</idno>
					<title level='j'>International Mathematics Research Notices</title>
<idno>1073-7928</idno>
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					<author>Xavier Lamy</author><author>Andrew Lorent</author><author>Guanying Peng</author>
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			<abstract><ab><![CDATA[Abstract            For any compact connected one-dimensional submanifold $K\subset \mathbb R^{2\times 2}$ without boundary that has no rank-one connection and is elliptic, we prove the quantitative rigidity estimate $$\begin{align*} \inf_{M\in K}\int_{B_{1/2}}| Du -M |^2\, \textrm{d}x \leq C \int_{B_1} \operatorname{dist}^2(Du, K)\, \textrm{d}x, \qquad\forall u\in H^1(B_1;\mathbb R^2). \end{align*}$$This is an optimal generalization, for compact connected submanifolds of $\mathbb R^{2\times 2}$ without boundary, of the celebrated quantitative rigidity estimate of Friesecke, James, and Müller for the approximate differential inclusion into $SO(n)$. The proof relies on the special properties of elliptic subsets $K\subset{{\mathbb{R}}}^{2\times 2}$ with respect to conformal–anticonformal decomposition, which provide a quasilinear elliptic partial differential equation satisfied by solutions of the exact differential inclusion $Du\in K$. We also give an example showing that no analogous result can hold true in $\mathbb R^{n\times n}$ for $n\geq 3$.]]></ab></abstract>
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<div xmlns="http://www.tei-c.org/ns/1.0"><head n="1">Introduction</head><p>In 1850, Liouville <ref type="bibr">[22]</ref> proved that, given a domain &#8486; &#8834; R 3 , any smooth map u : &#8486; &#8594; R 3 satisfying the differential inclusion Du(x) &#8712; R + O(n) for all x &#8712; &#8486; must be either affine or a M&#246;bius transform. A corollary to Liouville's Theorem is that a C 3 function whose gradient belongs everywhere to SO(n) is an affine mapping. This phenomenon of being able to globally control a map satisfying a certain differential inclusion Du &#8712; K is known as "rigidity". Questions about the stability of differential inclusions under weak convergence and approximate rigidity statements, raised by Tartar in <ref type="bibr">[30,</ref><ref type="bibr">31]</ref>, are intimately linked with phenomena of compensated compactness and have been extremely influential in the development of weak convergence methods in PDE.</p><p>Here we are interested in quantitative versions of approximate rigidity. In <ref type="bibr">[14]</ref> Friesecke, James and M&#252;ller solved a long standing open problem by proving an optimal quantitative rigidity estimate for K = SO(n). Specifically, they showed that for every bounded Lipschitz domain &#8486; &#8834; R n , n &#8805; 2, there exists a constant C(&#8486;) such that, for K = SO(n),</p><p>Here and below, dist(M, K) denotes the distance from a matrix M &#8712; R n&#215;n to a subset K &#8834; R n&#215;n measured in the Euclidean norm. This result strengthened earlier work of a series of authors, including John <ref type="bibr">[17]</ref>, Re&#353;etnjak <ref type="bibr">[26]</ref>, and Kohn <ref type="bibr">[19]</ref>, and it has had a number of important applications, in particular to thin film limits of elastic structures <ref type="bibr">[14,</ref><ref type="bibr">15]</ref>. A number of works have extended the above result <ref type="bibr">(1)</ref> to cover various larger classes of matrices than K = SO(n). Chaudhuri and M&#252;ller <ref type="bibr">[8]</ref> and later De Lellis and Sz&#233;kelyhidi <ref type="bibr">[9]</ref> considered a set of the form K = SO(n)A&#8746;SO(n)B where A and B are strongly incompatible in the sense of Matos <ref type="bibr">[24]</ref>. Faraco and Zhong <ref type="bibr">[13]</ref> proved an analogous quantitative rigidity result with K = m&#8226;SO(n) where m &#8834; (0, +&#8734;) is compact. There the infimum in the left-hand side of (1) also needs to include the gradients of M&#246;bius transforms, and the integral is over a smaller subset &#8486; &#8834;&#8834; &#8486;. Similar results for maps defined on the sphere have been obtained recently by Luckhaus and Zemas <ref type="bibr">[23]</ref>. Best constants for <ref type="bibr">(1)</ref> are investigated by <ref type="bibr">Lewicka and</ref> M&#252;ller in <ref type="bibr">[21]</ref>.</p><p>Our main result is an optimal generalization of the quantitative rigidity estimate of <ref type="bibr">[14]</ref> in the context of compact connected submanifolds K &#8834; R 2&#215;2 without boundary.</p><p>Theorem 1.1. Let K &#8834; R 2&#215;2 be a smooth, compact and connected 1-manifold without boundary. Assume that K has no rank-one connections, and satisfies the stronger property of being elliptic in the sense that there exists C * &gt; 0 such that</p><p>Then for any u &#8712; H 1 (B 1 ; R 2 ) we have</p><p>for some constant C = C(K) &gt; 0.</p><p>Remark 1.2. A covering argument as in <ref type="bibr">[13]</ref> shows that the estimate (3) in the balls B 1/2 &#8834; B 1 automatically improves to inf</p><p>This result is optimal among compact connected submanifolds K &#8834; R 2&#215;2 without boundary for the following reasons:</p><p>&#8226; First, it is classical that the no-rank-one-connections assumption is necessary for the rigidity of the exact differential inclusion (see e.g. <ref type="bibr">[25,</ref><ref type="bibr">18]</ref>).</p><p>&#8226; Second, ellipticity is necessary for the validity of the linearized version of (3) because non-ellipticity would imply that the tangent space T M K has a rank-one connection for some M &#8712; K, and by Remark 2.3 the linearized version of (3) is implied by (3).</p><p>&#8226; Third, the two previous conditions (no rank-one connections and ellipticity) imply that the connected submanifold without boundary K &#8834; R 2&#215;2 must be of dimension 1 <ref type="bibr">[33,</ref><ref type="bibr">Corollary 3.5 &amp; 3.6]</ref>.</p><p>Moreover, we provide in Section 5 an example showing that the two-dimensional setting is also optimal: there exists an elliptic 1-submanifold K &#8834; R 3&#215;3 without rank-one connection but which contains a so-called T 4 configuration, a well-known obstruction to compactness of sequences {u k } &#8834; H 1 satisfying dist(Du k , K) &#8594; 0 in L 2 <ref type="bibr">[7]</ref>, and therefore to any type of quantitative rigidity estimate. One of our motivations for studying differential inclusion into general submanifolds K &#8834; R 2&#215;2 is our previous work <ref type="bibr">[20]</ref> where we obtained a rigidity result for a non-elliptic differential inclusion related to the so-called Aviles-Giga functional, and pointed out the nice consequences that a corresponding quantitative rigidity estimate would have. Theorem 1.1 is not valid for non-elliptic differential inclusions, but the ideas in the present work should be relevant to attain that goal.</p><p>While the statements of the quantitative rigidity results of <ref type="bibr">[14,</ref><ref type="bibr">8,</ref><ref type="bibr">13]</ref> are elementary, their proofs are not. Their starting point, in addition to rigidity of the exact differential inclusion, is a linearized version of (1) for the differential inclusion Du &#8712; T M 0 K into a tangent space T M 0 K. For K = SO(n) and M 0 = I, this is Korn's inequality. A natural linearization procedure then provides a quantitative rigidity estimate, but in terms of the L &#8734; norm of dist(Du, K), rather than L 2 . Strengthening the L 2 bound on dist(Du, K) into an L &#8734; bound constitutes therefore the main difficulty. A key idea, introduced in <ref type="bibr">[14]</ref>, is to use the regularity of an elliptic PDE satisfied by solutions of the exact differential inclusion: for K = SO(n) the exact differential inclusion Du &#8712; SO (n) implies that the coordinate functions u k are harmonic. For K &#8834; R + SO (n) the coordinate functions satisfy the (n -2)-Laplace equation div(|&#8711;u k | n-2 &#8711;u k ) = 0. Such PDE follows from the universal identity div cof(Du) = 0 (where cof denotes the cofactor matrix), together with identities satisfied by matrices in the specific set K. It is satisfied by solutions of the exact differential inclusion, and for a general map u the error from solving that PDE can be controlled in terms of the right-hand side of (1). This allows to reduce the proof of (1) to maps solving that PDE. Elliptic regularity then provides, via a compactness argument, a uniform bound on dist(Du, K) and the linearization can be performed.</p><p>Following this scheme, the main ingredient to prove Theorem 1.1 is to embed K into the graph of a uniformly monotone vector field: this will be enough to turn the identity div cof(Du) = 0 into a quasilinear elliptic equation for the exact differential inclusion Du &#8712; K. Proposition 1.3. Let K be as in Theorem 1.1. There exist G 1 , G 2 : R 2 &#8594; R 2 smooth, globally Lipschitz vector fields such that</p><p>and G 1 , G 2 are uniformly monotone, that is</p><p>for some constant &#955; &gt; 0 depending only on K.</p><p>Proposition 1.3 relies on remarkable properties of elliptic subsets of R 2&#215;2 with respect to the decomposition into conformal and anticonformal parts, discovered in <ref type="bibr">[33]</ref> and exploited in a striking manner in <ref type="bibr">[5,</ref><ref type="bibr">11,</ref><ref type="bibr">12]</ref> (see also <ref type="bibr">[18]</ref>). It is also related to the classical link between two-dimensional elliptic PDEs of second order and complex Beltrami equations, see e.g. the introduction of <ref type="bibr">[6]</ref>, and <ref type="bibr">[4,</ref><ref type="bibr">2,</ref><ref type="bibr">1,</ref><ref type="bibr">3]</ref> for recent developments on nonlinear Beltrami equations. The proof of Proposition 1.3 is in fact extremely close to <ref type="bibr">[3,</ref><ref type="bibr">Theorem 5]</ref>, and the main point of Proposition 1.3 is to emphasize that the second order elliptic equations satisfied by the real and imaginary part of solutions to a nonlinear Beltrami equation (as in <ref type="bibr">[3,</ref><ref type="bibr">Theorem 5]</ref>) are, in our setting, associated to embeddings of K into graphs: this fact is crucially used in Step 2 of Theorem 1.1's proof, and we find it convenient to state it independently (although it could also be retrieved from the proof of <ref type="bibr">[3,</ref><ref type="bibr">Theorem 5]</ref> applied to the nonlinear Beltrami equation associated to K). Then the proof of Theorem 1.1 follows the scheme outlined above.</p><p>The article is organized as follows. In Section 2 we establish the two basic prerequisites to Theorem 1, rigidity for the exact differential inclusion and the linearized estimate. In Section 3 we give the proof of Proposition 1.3. In Section 4 we gather these ingredients to prove Theorem 1.1. In Section 5 we describe the counterexample in R 3&#215;3 .</p></div>
<div xmlns="http://www.tei-c.org/ns/1.0"><head n="2">Basic ingredients: rigidity of the exact inclusion and linearized estimate</head><p>In this section, let K &#8834; R 2&#215;2 be as in Theorem 1.1. We prove the following two Lemmas.</p><p>) is such that Du &#8712; K a.e., then Du &#8801; M for some M &#8712; K.</p><p>Under the additional assumption that u coincides with an affine map at the boundary, Lemma 2.1 would follow directly from <ref type="bibr">[32,</ref><ref type="bibr">Theorems 2 &amp; 3]</ref>. Without restrictions on boundary values, it is a simple consequence of the smoothness result in <ref type="bibr">[32, &#167; 5]</ref> and the fact that our set K is a closed one-dimensional curve, as will be clear from the short proof below. Lemma 2.2. For all M &#8712; K and u &#8712; H 1 (B 1 ; R 2 ) we have</p><p>for some constant C = C(K) &gt; 0, where T M K denotes the linear tangent space to K at M .</p><p>Remark 2.3. The linearized estimate (4), or rather its weaker interior version</p><p>is a necessary condition for (3) to be valid. Assume indeed that (3) is verified, fix u &#8712; C 1 (B 1 ; R 2 ), and apply (3</p><p>In particular X is bounded, and extracting a converging subsequence we obtain X &#8712; T M K showing the validity of ( <ref type="formula">5</ref>) for u &#8712; C 1 (B 1 ; R 2 ), and then by density for u &#8712; H 1 (B 1 ; R 2 ).</p><p>Proof of Lemma 2.1. Let = |K| and &#947; : R/ Z &#8594; K be an arc-length parametrization of K.</p><p>The ellipticity assumption <ref type="bibr">(2)</ref> </p><p>, then u is smooth by <ref type="bibr">[32]</ref>, and since B 1 is simply connected there exists a smooth lifting &#952; :</p><p>Using that div cof(Du) = 0, where cof denotes the cofactor matrix, we find cof(&#947; (&#952;))&#8711;&#952; = 0, hence &#8711;&#952; = 0 since cof(&#947; (&#952;)) is invertible. Therefore Du is constant.</p><p>Proof of Lemma 2.2. For M &#8712; K we denote by</p><p>We denote by P &#945;&#946;jk M &#8712; R the coefficients of P M , that is,</p><p>so the differential operator u &#8594; P M Du has symbol P M (i&#958;), i.e.,</p><p>We claim that P M (&#958;) has trivial kernel for all non-zero &#958;</p><p>are real-valued. In other words, the real and imaginary parts of v &#8855; i&#958; both belong to ker P M = T M K. Since T M K is a one-dimensional subspace of R 2&#215;2 which doesn't contain any rank-one matrix, we have T M K = RX 0 for some invertible matrix X 0 . Hence we deduce that v &#8855; i&#958; = &#955;X 0 for some &#955; &#8712; C and an invertible matrix X 0 &#8712; T M K. But v &#8855; i&#958; has zero determinant, so &#955; = 0 and we must have v = 0. This proves that P M (&#958;) has trivial kernel. Therefore we have the representation formula [28, Theorem 4.1] and the coercive inequality <ref type="bibr">[28,</ref><ref type="bibr">Theorem 8.15</ref>] that follows from it,</p><p>for all u &#8712; H 1 (B 1 ; R 2 ). (In the notation of <ref type="bibr">[28]</ref>, N = 4, M = 2, and the index set {1, 2, 3, 4} for j is in our case given by {1, 2} 2 , and we can take m j = 1 for j &#8712; {1, 2} 2 and l i = 0 for i &#8712; {1, 2}.) The constant C &gt; 0 in (6) depends a priori on the fixed matrix M &#8712; K. Denote by C(M ) the best possible constant in <ref type="bibr">(6)</ref>. Then for any M, M &#8712; K we have</p><p>For all M &#8712; K, there exists &#948;(M ) &gt; 0 sufficiently small such that for all</p><p>By compactness, we can cover K with a finite collection of balls B &#948;(M j ) (M j ) : M j &#8712; K , hence C(M ) &#8804; 4 max{C(M j )} for all M &#8712; K, and we can take the constant C in (6) to depend only on K.</p><p>Moreover, if u &#8712; H 1 (B 1 ; R 2 ) satisfies P M Du = 0 a.e., then Du = &#955;X 0 for some &#955; &#8712; L 2 (B 1 ; R), and the distributional identity 0 = div cof(Du) = cof(X 0 )&#8711;&#955; implies that &#955; is constant, hence Du &#8801; X for some X &#8712; T M K.</p><p>Therefore (4) follows from ( <ref type="formula">6</ref>) via a compactness argument: assume by contradiction the existence of sequences M k &#8712; K, and</p><p>For any given k, the function X &#8594; &#180;B1 |Du k -X| 2 dx is a strictly convex quadratic polynomial on the finite-dimensional space T M k K, so the infimum in the left-hand side is attained at a unique X k &#8712; T M k K. Subtracting from u k its average and X k x, we may in fact assume</p><p>Thus we may extract subsequences (not relabeled)</p><p>), and thus by lower semicontinuity of the L 2 norm under weak convergence, we have P M Du = 0 a.e., which implies Du &#8801; X for some</p><p>, and thus Du &#8801; X = 0. Further u satisfies &#180;B1 u dx = 0, which implies u &#8801; 0. Plugging u k into (6) gives</p><p>Passing to the limit as k &#8594; &#8734; and using the strong L 2 convergence, we have 1 &#8804; C &#180;B1 |u| 2 dx = 0, which gives a contradiction.</p><p>Remark 2.4. The fact that (4) follows from ( <ref type="formula">6</ref>) is general and already mentioned in <ref type="bibr">[28, p.74</ref>], here we provided details for the reader's convenience. More precisely, if P M D is replaced by a more general differential operator, the validity of ( <ref type="formula">4</ref>) is equivalent to the null space of that differential operator being finite-dimensional [28, Theorem 8.15 &amp; Remark 4], and a compactness argument similar to the one given here shows that the last term in the right-hand side of ( <ref type="formula">6</ref>) can be dropped if u is orthogonal to that finite-dimensional null space.</p><p>3 Proof of Proposition 1.3</p><p>We only prove the existence of G 1 , the existence of G 2 is obtained by the same arguments. The proof relies on the properties of the conformal and anticonformal projections of K uncovered in <ref type="bibr">[33,</ref><ref type="bibr">12]</ref>. For any z + , z -&#8712; C, we denote by</p><p>the 2 &#215; 2 matrix whose conformal, respectively anticonformal, part is represented by z + , respectively z -. For any A &#8712; R 2&#215;2 , the decomposition A = [z + , z -] is unique, and we have the identities</p><p>where |A| and A denote the Hilbert-Schmidt and the operator norms of A, respectively. We denote by p + : [z + , z -] &#8594; z + the projection onto the conformal part. Using these notations, the ellipticity assumption ( <ref type="formula">2</ref>) is equivalent to</p><p>for all [z + , z -], [z + , z -] &#8712; K, and corresponds exactly to the statement that the curve K is C * -elliptic in the sense of <ref type="bibr">[12,</ref><ref type="bibr">Def. 1]</ref>. This condition, as observed in [33, Theorem 3.2], see also <ref type="bibr">[12,</ref> Lemma 1], implies that </p><p>Proof of Lemma 3.1. We first fix, thanks to Kirszbraun's theorem, a k-Lipschitz extension H : C &#8594; C. In the rest of the proof we modify H to make it smooth while still agreeing with H on p + (K), at the cost of slightly increasing its Lipschitz constant.</p><p>Therefore we may reparametrize and consider</p><p>with z(s) an arc-length parametrization of p + (K) and + its length, and the map s &#8594; H(z(s)) is smooth by smoothness of K.</p><p>For small enough &#948; &gt; 0, the map</p><p>is a smooth diffeomorphism. We first modify H by setting</p><p>where &#955; is the odd (1 -&#948;) -1 -Lipschitz function given for r &gt; 0 by</p><p>for r &gt; &#948;.</p><p>In particular we have</p><p>so H is smooth in U &#948; 2 (by smoothness of s &#8594; H(z(s)) and &#981; -1 ) and agrees with H on p + (K). Note that by definition of &#981; and &#955; we have &#934;(Z) = Z in C \ U &#948; and therefore &#934; is Lipschitz in C. Since D&#981;(s, 0) &#8712; SO(2) for all s &#8712; R/ + Z, we have D&#981; &#8804; 1 + C&#948; on R/ + Z &#215; (-2&#948;, 2&#948;). Further, we have D(&#981; -1 ) = 1 on p + (K), and D(&#981; -1 ) &#8804; 1 + C&#948; on U 2&#948; . Denoting by &#968; the (1 -&#948;) -1 -Lipschitz map (s, r) &#8594; (s, &#955;(r)), we write &#934;(Z) = &#981;(&#968;(&#981; -1 (Z))) and deduce that D&#934; &#8804; 1 + C&#948; a.e. in U 2&#948; . This inequality is also true in the rest of C by definition of &#934;, so we conclude that H is k-Lipschitz in C, with k = (1 + C&#948;)k &lt; 1 for small enough &#948; &gt; 0. Now &#948; is fixed and we define, for &#8712; (0, &#948; 2 /4),</p><p>for a smooth kernel &#961; &#8805; 0 with support in B 1 and &#180;&#961;(y) dy = 1, and some smooth cut-off function &#967; with</p><p>, and thus agrees with H on p + (K). Finally, denoting by L the Lipschitz constant of &#967;, we have</p><p>Proof of Lemma 3.2. For any w &#8712; C the equation</p><p>admits a unique solution z &#8712; C thanks to the fixed point theorem, since z &#8594; w -H(z) is k-Lipschitz and 0 &#8804; k &lt; 1. This shows that F is bijective. The inequalities</p><p>follow directly from the fact that H is k-Lipschitz and imply the announced Lipschitz constants of F and F -1 . The inverse F -1 is smooth thanks to the Inverse Function Theorem, since</p><p>Proof of Proposition 1.3 completed. Then, identifying C with R 2 , we define</p><p>The map G 1 is smooth and globally Lipschitz with Lipschitz constant &#923; = (1 + k)/(1 -k).</p><p>Moreover, for all A = F (z), A = F (z ), we have</p><p>This concludes the proof of Proposition 1.3.</p></div>
<div xmlns="http://www.tei-c.org/ns/1.0"><head n="4">Proof of Theorem 1.1</head><p>Step 1. We may assume that u is Lipschitz, thanks to the truncation result [14, Proposition A.1]. Part of the statement of [14, Proposition A.1] is that for any Lipschitz domain &#8486; &#8834; R n and any function &#361; &#8712; W 1,p (&#8486;; R m ) (for p &#8805; 1), there exists some constant C(&#8486;, m, p) &gt; 0 such that for any &#955; &gt; 0 there exists &#7805; : &#8486; &#8594; R m satisfying D&#7805; L &#8734; (&#8486;) &#8804; C(&#8486;, m, p)&#955; and D&#361; -D&#7805;</p><p>Then for all X &#8712; R 2&#215;2 with |X| &gt; 2R, we have |X| &#8804; 2 dist(X, K). Applying [14, Proposition A.1] with &#955; = 2R gives v :</p><p>for some constant C 0 (depending only on B 1 ). If there exists</p><p>then repeated applications of the triangle inequality give</p><p>Thus if Theorem 1.1 holds for all Lipschitz mappings v for some constant C(K), then it is also valid for all H 1 mappings with</p><p>Step 2. We may assume in addition that u</p><p>Consider indeed w &#8712; C 2 (B 1 ) such that w = u on &#8706;B 1 and</p><p>The existence of such w is guaranteed by the ellipticity of the equation 0 = div G j (Dw j ) = tr(DG j (Dw j )D 2 w j ) = 0, invoking e.g. <ref type="bibr">[16,</ref><ref type="bibr">Theorem 12.5</ref>]: the inequality &#955;|&#958;| 2 &#8804; DG j (A)&#958; &#8226; &#958; &#8804; &#923;|&#958;| 2 , valid for all A, &#958; &#8712; R 2 thanks to Proposition 1.3, ensures that the eigenvalues of the symmetric part [DG j (A)] s = (DG j (A) + DG j (A) T )/2 of DG j (A) are bounded above and below (since</p><p>) and in particular condition (ii) in <ref type="bibr">[16,</ref><ref type="bibr">Theorem 12.5</ref>] is satisfied. Letting v = u -w and using the uniform monotonicity of G 1 we find</p><p>Since div G 1 (Dw 1 ) = 0 and div(iDu 2 ) = 0 we rewrite this as</p><p>and infer</p><p>According to Proposition 1.3 the function M &#8594; G 1 (A) + iB, where A, B denote the first and second row of the matrix M , vanishes on K. Since that function is Lipschitz we deduce that |G 1 (Du 1 ) + iDu 2 | &#8804; C dist(Du, K), and therefore</p><p>Applying a similar argument to v 2 we obtain</p><p>Recalling that v = u -w and using the triangle inequality we deduce</p><p>As a consequence, if Theorem 1.1 is valid for w then we obtain it for u. This proves Step 2.</p><p>Step 3. As u j &#8712; C 2 (B 1 ) satisfies ( <ref type="formula">8</ref>), it is a weak solution of</p><p>Invoking e.g. Theorem 1 in [10, &#167; 6.3], we have that</p><p>for any i, j &#8712; {1, 2}. This combined with the Sobolev embedding theorem implies that</p><p>for any &#945; &gt; 0 and some constant C = C(K). Thanks to this estimate and the exact rigidity obtained in Lemma 2.1, we may argue exactly as in <ref type="bibr">[13,</ref><ref type="bibr">Lemma 4.5]</ref> to deduce that inf</p><p>for some function &#961; depending only on K and satisfying &#961;( ) &#8594; 0 as &#8594; 0.</p><p>Step 4. We finally combine Step 3 with the linearized estimate of Lemma 2.2, to obtain our main estimate (3). The basic idea, as in <ref type="bibr">[14,</ref><ref type="bibr">13]</ref>, is to linearize dist 2 (&#8226;, K) around M 0 &#8712; K such that |Du -M 0 | is uniformly small. When doing so, (3) formally turns into the linearized estimate (4) of Lemma 2.2, and it remains to control the error terms. Due to the modification of u arising from the translation X &#8712; T M K in the left-hand side of the linearized estimate (4), it is not directly obvious that the error terms are negligible. In <ref type="bibr">[14]</ref> this problem is absent because their equivalent of (9) comes with an explicit &#961;( ) = C 1 4 . In <ref type="bibr">[13]</ref> it is taken care of via a topological degree argument [13, Proposition 4.7] (see also <ref type="bibr">[27]</ref>) which allows to avoid the translation. While a similar degree argument could be used to iteratively improve the estimate here, we present a simpler alternative method relying on elementary estimates.</p><p>We assume without loss of generality that</p><p>where 0 = 0 (K) is to be chosen in the course of the proof. If <ref type="bibr">(10)</ref> is not valid then (3) is automatically satisfied for a large enough constant C because the left-hand side of( <ref type="formula">3</ref>) is bounded thanks to Step 1. We fix &#948; 0 &gt; 0 depending only on K, such that the nearest-point projection &#928; K onto K is uniquely defined and smooth in the neighborhood N 2&#948; 0 (K). We first choose 0 small enough that &#961;( 0 ) &#8804; &#948; 0 , so thanks to (9) the projection &#928; K (Du) is well-defined.</p><p>We claim that, for every M &#8712; K, there exists</p><p>Here and in the rest of this proof we denote by C &gt; 0 a generic constant depending only on K.</p><p>To prove <ref type="bibr">(11)</ref>, we first invoke Lemma 2.2, according to which we have</p><p>Choosing X = X M &#8712; T M K attaining the infimum in the left-hand side, we obtain</p><p>Moreover the minimizing property of X M implies that the function t &#8594; &#180;B1/2 |Du -M -tX M | 2 dx has zero derivative at t = 1 and hence &#180;B1/2 (Du -M -X M ) dx is orthogonal to X M . We deduce</p><p>and therefore</p><p>Recalling from the proof of Lemma 2.2 that P M denotes the orthogonal projection onto (T M K) &#8869; , we estimate the integrand in the right-hand side of (12) using</p><p>The last inequality follows from the fact that</p><p>Now we may choose Y M &#8712; K such that</p><p>Indeed, if |X M | &#8804; &#948; 0 then one can simply take Y M = &#928; K (M + X M ) and use the fact that D&#928; K (M )X M = (I -P M )X M = X M , and if |X M | &#8805; &#948; 0 one may take Y M = M . From ( <ref type="formula">14</ref>) and ( <ref type="formula">15</ref>) we infer</p><p>Using <ref type="bibr">(13)</ref> and Cauchy-Schwarz to estimate the last term, we deduce <ref type="bibr">(11)</ref>.</p><p>Next we want to discard the last term in the right-hand side of <ref type="bibr">(11)</ref>. To that end we first fix, thanks to ( <ref type="formula">9</ref>)-( <ref type="formula">10</ref>), an</p><p>and Y = M 0 provides therefore a better choice to optimize the infimum in the left-hand side of <ref type="bibr">(16)</ref>. Moreover, applying <ref type="bibr">(11)</ref> to any</p><p>, and we updated the value of the generic constant C. Since this is valid for all</p><p>Recalling <ref type="bibr">(16)</ref>, this implies</p><p>Since &#961;( ) &#8594; 0 as &#8594; 0, we may choose 0 such that C&#961;( 0 ) 2 &#8804; 1/2, and absorb the last term in the left-hand side, thus proving (3).</p></div>
<div xmlns="http://www.tei-c.org/ns/1.0"><head n="5">A 3 &#215; 3 counter-example</head><p>In this section we prove that the two-dimensional setting of Theorem 1.1 is optimal in the following sense: a connected 1-submanifold of R 3&#215;3 which has no rank-one connection and is elliptic may not satisfy &#352;ver&#225;k's compactness result <ref type="bibr">[32]</ref>, and even less a quantitative rigidity estimate.</p><p>We recall (see e.g. <ref type="bibr">[29, &#167; 2]</ref>) that an ordered set of N &#8805; 4 matrices {T i } N i=1 &#8834; R m&#215;n without rank-one connections is said to form a T N configuration if there exist matrices P i , C i &#8712; R m&#215;n and numbers &#954; i &gt; 1 such that</p><p>. . .</p><p>where C i is rank-one for all i and N i=1 C i = 0.</p><p>Proposition 5.1. There exists a smooth, compact and connected 1-submanifold K &#8834; R 3&#215;3 without boundary which is elliptic and has no rank-one connection, but contains a T 4 configuration.</p><p>By a known construction, see e.g. [7, Theorem 3.1], Proposition 5.1 implies the existence of a sequence of maps u k : R 3 &#8594; R 3 such that &#710;B1 dist 2 (Du k , K) dx &#8594; 0 as k &#8594; 0, but (Du k ) is not precompact in L 2 (B 1/2 ). In particular, one certainly cannot hope for a quantitative estimate</p><p>for any function &#961;( ) &#8594; 0 as &#8594; 0.</p><p>Proposition 5.1 is a consequence of the construction below. Let a &gt; 0 and define matrices T 1 , T 2 , T 3 , T 4 by</p><p>We have that T k -C k is rank-one for k = 1, 2, 3, 4, and (with the convention that C 5 = C 1 ) Let &#961; : R &#8594; R be a smooth monotonically increasing function to be determined later that satisfies</p><p>Then we have</p><p>so K a contains the T 4 configuration {T 1 , T 2 , T 3 , T 4 }. Next we adjust the parameter a &gt; 0 and the function &#961; in order to ensure that K a has no rank-one connection and is elliptic.</p><p>Notation. With the M i 1 i 2 ,j 1 j 2 minor we mean the determinant of the 2 &#215; 2 submatrix corresponding to the rows i 1 , i 2 and columns j 1 , j 2 .</p><p>Lemma 5.2. If a &gt; 0 is such that &#952; a / &#8712; &#960; 48 Z, the curve K a is elliptic, i.e. Rank &#915; a (&#952;) &gt; 1 for all &#952; &#8712; R. We assume that there exist &#952;</p><p>and we obtain a contradiction. We do this in several steps.</p><p>Step 1. We have</p><p>Proof of Step 1. From ( <ref type="formula">17</ref>) calculating the M 12,12 minor we have</p><p>And calculating the M 23,12 minor we have</p><p>Adding and subtracting <ref type="bibr">(20)</ref> and ( <ref type="formula">21</ref>) we obtain the equations 0 = sin 3 &#952; -&#952; sin 4 &#952; -&#952; cos 3 &#952; + &#952; -6&#952; a cos 4 &#952; + &#952; -8&#952; a <ref type="bibr">(22)</ref> and</p><p>Since &#952; = &#952; in R/2&#960;Z, the last factor of ( <ref type="formula">23</ref>) is nonzero, so either the first or the second must be zero. This implies &#952; + &#952; &#8712; &#960;Z. As a consequence, the last two factors in <ref type="bibr">(22)</ref> are equal to &#177; cos(6&#952; a ) and cos(8&#952; a ) and are nonzero by our choice of a. So one of the first two factors of ( <ref type="formula">22</ref>) must vanish, that is, &#952; -&#952; &#8712; &#960; 3 Z &#8746; &#960; 4 Z. From Step 1 we have &#952; + &#952; &#8712; &#960;Z so the second factor is cos(8&#952; a ) = 0. The last factor is arbitrarily close to &#177; cos(6&#952; a ) = 0 since |&#961;-id| &#8804; . The third factor is nonzero by construction of &#961; (recall Lemma 5.3) because &#952;, &#952; &#8712; &#960; 24 Z by <ref type="bibr">(19)</ref>. So we must have sin(4(&#952; -&#952; )) = 0 hence &#952; -&#952; &#8712; &#960; 4 Z. </p><p>Since &#952; -&#952; &#8712; &#960; 4 Z and |&#961; -id| &#8804; , the third factor in the left-hand side of (24) has absolute value &#8804; 4 . Since &#952; + &#952; &#8712; &#960;Z, the second factor in the right-hand side of ( <ref type="formula">24</ref>) has absolute value equal to | cos(6&#952; a )| &gt; 0, and for small enough the absolute value of the last factor is &#8805; | cos(6&#952; a )|/2 &gt; 0. Taking also into account that the first and third factors in the right-hand side of (24) differ from each other by an error &#8804; 3 , we must have sin 2 3 &#952; -&#952; &#8804; c a , for some c a &gt; 0 depending only on a. Because &#952; -&#952; &#8712; &#960; 4 Z by Step 2, provided is chosen small enough, this implies &#952; -&#952; &#8712; &#960; 3 Z &#8745; &#960; 4 Z = &#960;Z.</p><p>Step 4: Conclusion. From Step 1 and Step 3 we have &#952; + &#952; , &#952; -&#952; &#8712; &#960;Z, so &#952;, &#952; &#8712; &#960; 2 Z. Since me may without loss of generality exchange the roles of &#952; and &#952; and choose arbitrary representants in R/2&#960;Z, this amounts to &#952; = 0 and &#952; = &#960;, or &#952; = &#960;/2 and &#952; = 3&#960;/2. In the former case, considering the M 12,13 minor of &#915; a (0) -&#915; a (&#960;) as in <ref type="bibr">(24)</ref> we deduce sin(4(&#961;(&#960;) -&#961;(0))) cos(4(&#961;(&#960;) + &#961;(0)) -8&#952; a ) = 0.</p><p>Using again that |&#961; -id| &#8804; , the second factor has absolute value &#8805; | cos(8&#952; a )|/2 provided is small enough, and the first factor is nonzero by construction of &#961;, so we conclude that (18) is not possible for &#952; = &#952; &#8712; R/2&#960;Z. In the latter case, considering the M 12,23 minor of &#915; a (&#960;/2) -&#915; a (3&#960;/2) and following similar calculations as in (24) leads to sin(3(&#961;(&#960;/2) -&#961;(3&#960;/2))) cos(3(&#961;(&#960;/2) + &#961;(3&#960;/2)) -6&#952; a ) = 0.</p><p>Finally, we follow exactly the same lines as above to get a contradiction.</p></div></body>
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