A NNALES DE LA FACULTÉ DES SCIENCES DE T OULOUSE
G RÉGOIRE A LLAIRE
Dispersive limits in the homogenization of the wave equation
Annales de la faculté des sciences de Toulouse 6
esérie, tome 12, n
o4 (2003), p. 415-431
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p. 41
Dispersive limits in the homogenization
of the
waveequation
GRÉGOIRE
ALLAIRE (1)ABSTRACT. - We address the homogenization of a scalar wave equation with a large potential in a periodic medium
(sometime
called the Klein- Gordonéquation).
Denoting by E the period, the potential is scaled as ~-2.The homogenized limit depends on the sign of the first cell eigenvalue Ai.
If Àl = 0, then the homogenized problem is a standard wave equation.
If 03BB1 ~ 0, then, upon changing the time scale to focus on large times
of order
~-1,
we obtain dispersive homogenized problems, i.e. equationswhich are not of the second order in time. If 03BB1 0, the homogenized equation is parabolic, while for Ai > 0, the homogenized equation is of Schrôdinger type.
RÉSUMÉ. - Nous étudions l’homogénéisation d’une équation scalaire
des ondes avec un fort potentiel dans un milieu périodique
(ou
équationde
Klein-Gordon).
Si l’on désigne par E la période, le potentiel est de l’ordre de E-2. Le comportement homogénéisé limite dépend du signe dela première valeur propre 03BB1 du problème de cellule. Si Ai = 0, alors le problème homogénéisé est une équation des ondes usuelle. Si 03BB1 ~ 0, alors,
sous réserve de changer l’échelle de temps afin d’observer les grands temps d’ordre
E-1,
on obtient des limites dispersives, c’est-à-dire des équations homogénéisées qui ne sont pas du deuxième ordre en temps. Si 03BB1 0, l’équation homogénéisée est parabolique, tandis que si 03BB1 > 0, l’équation homogénéisée est du type de Schrôdinger.Annales de la Faculté des Sciences de Toulouse Vol. Xll, n- 4,:zuu3 Pl
(*) Reçu le 26 août 2003, accepté le 28 novembre 2003
(1) Centre de Mathématiques Appliquées, Ecole Polytechnique, 91128 Palaiseau, France.
E-mail: gregoire.allaire@polytechnique.fr
1. Introduction
We
study
thehomogenization
of a scalar waveequation
with alarge potential (the
so-called Klein-Gordonequation)
andperiodically oscillating
coefficients
where Ç2 C R is an open set and T > 0 a final time. The
potential
term in(1.1),
i.e. the zero-orderterm,
is used to model somerepelling
orattracting
effects like
springs attaching
an elastic membrane to a fixedsupport.
The coefficientsA(y), c(y)
andd(x, y)
are real and bounded functions definedfor x e Q and y E
TN (the
unittorus).
Moreprecisely,
the entries ofA(y)
andc(y) belongs
to £00(TN),
whiled(x, y)
is aCarathéodory
functionin
L~(03A9; C(yN)). Furthermore,
the matrixA(y)
issymmetric, uniformly positive definite, d(x, y)
0 isnon-negative
whilec(y)
does notsatisfy
anypositivity assumption. Throughout
this paper we assume that the initial data areuo
EH10(03A9) and u’
EL2(03A9),
so there exists aunique
solutionu~ E C
([0, T]; Hô (03A9))
nCl ([0, T]; L2(03A9)).
Of course, if there is no
large potential term, namely
if c -0,
the ho-mogenization
of(1.1)
is classical(see
e.g.[5], [6], [7], [14]).
Whenc ~
0 it isa more difficult
problem
ofhomogenization
mixed withsingular perturba-
tions.
Nevertheless,
theparabolic
orelliptic
version of(1.1),
as well as thecorresponding eigenvalue problem,
are well understood(see
e.g.[2], [3], [4], [10], [16]). However,
the methods of these articles do notapply
to the waveequation (1.1).
In order to show thedifferences,
we first describe the mainresults and ideas of these
previous
works in thefollowing parabolic
caseIntroduce the first
eigencouple
of thespectral
cellproblem
which, by
the Krein-Rutmantheorem,
issimple
and satisfies03C81(y)
> 0 inTN (recall
it is a scalarproblem). By
standardregularity results,
thecoefficients of
(1.3) belonging
toL~(TN),
theeigenfunction 03C81
is at leastcontinuous,
so it isuniformly
bounded away from 0 on thecompact
setTN.
As usual we normalize the
eigenfunction by assuming J1fN 03C81(y)2dy =
1.The first
eigenvalue 03BB1
isinterpreted
as a measure of the balance between diffusion and reaction causedby
thepotential
term.Then,
one canchange
the unknown
by writing
a so-called factorizationprinciple
and check
easily
after somealgebra (see
theproof
of Lemma2.1)
that thenew unknown ve is a solution of a
simpler equation
The new
parabolic equation (1.5)
issimple
tohomogenize
since it does notcontain any
singularly perturbed term,
and we thus obtain thefollowing
result.
THEOREM 1.1. - Consider the scalar
parabolic problem (1 .2).
The newunknown v~,
defined by (1.4),
convergesweakly
in£2 ((0, T); Hô (03A9))
to thesolution v
of
thefollowing homogenized problem
where
d*(x)
=TNd(x,y)|03C81|2(y)dy,
A* is the classicalhomogenized
ma-trix
of (|03C81|2 A) (see formula (4.13»,
andv0 is
the weak limit in£2(n) of
u0~(x)03C81(x ~).
It is clear from the above brief summary of the
parabolic
case that themain
idea, namely
the factorizationprinciple (1.4),
is notgoing
to work inthe
hyperbolic
case without someimprovement.
Let ustry
a naiveadap-
tation of this idea to convince the reader. Since
(1.1)
is of second order intime,
theanalogous
time renormalization of the unknown iswhere i is the square root of -1
and 03BB1
ispossibly imaginary
ifAi
0.After some
algebra
we obtain that v, is a solution ofThere is an additional
difficulty
in(1.8), compared
to(1.5),
which is thevery
large
first-order time derivative.Actually
it is notpossible
to pass to the limit in(1.8) (or
to obtain uniform apriori estimates)
because of this term which scales as~-1, except if 03BB1 = 0,
of course.Therefore,
theonly
obvious case in thehomogenization
of the wave equa- tion(1.1)
occurs whenÀI =
0(it
is treated in section2).
The main newidea to treat the
remaining
cases03BB1 ~
0 is to scale the timevariable,
i.e.to look at
large
times of orderE-1.
In otherwords,
wereplace
theoriginal
wave
equation (1.1) by
thefollowing
rescaled versionThe
homogenization
of(1.9)
whenAi
0yields
aparabolic
limitequatioi
(the imaginary
root i cancels out in the factorizationprinciple (1.7)):
thi;case is
analyzed
in section 3. On the otherhand,
ifAi
>0,
the new unknowiv~, defined
by (1.7),
iscomplex-valued
and thehomogenized
limit of(1.9)
i;a
Schrôdinger equation.
These two limitregimes
are calleddispersive
sinc«they
differ from the usual waveequation.
Let us mention that aparabolic
limit was
already
obtained in thehomogenization
of a differentdampec
wave
equation [13].
Coming
back to thescaling
of theoriginal
waveequation (1.1)
our resultscan be summarized as follows. The
asymptotic
behavior of the solutionu~(t, x)
of(1.1)
is:1. if
À1 = 0, u~(t, x) ~ 03C81 x v(t, x),
where v is the solution of anhomogenized
waveequation,
2. if
03BB1 0, u~(t, X) e
E03C81(x ~) v(,Et, x),
where v is the solution ofan
homogenized parabolic equation,
3 .
if Ai
>0, u~(t, x)
~ ei 03BB1 t ~t x ~) v (et, x
where v is the solution ofan
homogenized Schrôdinger equation.
Of course, the two last
asymptotic
behaviors make sense forlarge times,
i.e. when t is of order
~-1. Finally,
we conclude this introductionby empha- sizing
that our resultsapply only
forpurely periodic
coefficientsA(y)
andc(y).
Ifthey
alsodepends
on the slow variable x, concentration and local- ization effects areexpected
asalready
obtained for theparabolic problem
in
[4].
Notation. - For any function
0(x, y)
defined onIaeN
xTN,
we denoteby 0’
the function~(x, x ~).
2.
Hyperbolic homogenized
limitWe first consider the case when the first cell
eigenvalue,
defined in(1.3),
is 03BB1
= 0. In such a case wehomogenize
theoriginal
waveequation (1.1).
Since the
homogenization
process isclassical,
wemerely
sketch the mainarguments.
WhenAi
=0,
there is no time renormalization and the factor- izationprinciple (1.7)
reduces toLEMMA 2.1. - Assume
ÀI =
0.If
u, is a solutionof (1.1),
then vdefined by (2. 1),
is a solutionof
.Proof.
- Webriefly
sketch theproof
since it isby
now classical[2], [3], [4], [16].
To pass from(1.1)
to(2.2)
it is sufficient toreplace u~(t, x) by v~(t,x)03C81(x/~)
and tomultiply (1.1) by 03C81(x/~). Then, using equation (1.3), defining 03C81,
and the fact thatyields
theequivalence
between the twoequations.
Note also that the samecomputation
shows that theapplication u(x) ~ u(x)/03C81(x/~)
is linear con-tinuous in
H10(03A9).
THEOREM 2.2. - Assume
ÀI
= 0 and that the initial datasatisfy
Then,
v~, solution-of (2.2),
convergesweakly
in£2 ((0, T); Hô (Ç2»
to thesolution v
of
thefollowing homogenized problem
with
d* (x)
=TN d(x, y)|03C81|2(y) dy
and A* is the classicalhomogenized
ma-trix
of (|03C81|2A) (see formula (4.13)).
The
proof
of Theorem 2.2 is classical[5], [6],
so we omit it. Remark thatone can
improve
the convergence in Theorem 2.2by introducing
so-calledcorrector results if the initial data are
well-prepared. However,
in thegeneral
case, convergence of the energy
density
can be obtainedonly by
means ofgeometric optics,
WKBasymptotic expansions
or H-measures[5], [8], [9],
[15].
We shall not discuss these issues here.Remark 2.3. - Theorem 2.2 still holds true if we add to
equation (1.1)
a source term
f(t, x)
EL2 ((0, T)
xQ).
Ityields
a source term(TN 03C81(y)dy) f (t, x)
in thehomogenized equation (2.4).
3. Parabolic
homogenized
limitWe now consider the case when the first cell
eigenvalue,
defined in(1.3),
is
negative 03BB1
0. In this case wehomogenize
the rescaled waveequation
(1.9).
To do so, weperform
a time renormalization of the unknownanalogous
to
(1.7), namely
we definewhich is still a real-valued function since
À1
0. The next lemmagives
thEequation
satisfiedby
the new unknown v,.LEMMA 3.1. - Assume
ÀI
0.If
u, is a solutionof (1.9),
then v,,defined by (3.1),
is a solutionof
The
proof
of Lemma 3.1 isjust
asimple computation
similar to thatin Lemma
2.1,
so wesafely
leave it to the reader. Remark that the timescaling
of(1.9)
isprecisely
chosen such that the first-order time derivative in(3.2)
is of order 1 withrespect
to E(compare
withequation (1.8)
inthe
introduction).
The mainadvantage
of the newproblem (3.2)
is that its solution satisfies uniform apriori
estimates.LEMMA 3.2. - Assume that the initial data
satisfy
thefollowing uniform
bounds
Then the solution
of (3.2) satisfies
where C > 0 is a constant that
does
notdepend
on E.THEOREM 3.3. - Assume that
ÀI
0 and that the initial datasatisfy
the a
priori
estimates(3.3)
as well asThen v~, solution
of (3.2),
convergesweakly
in£2 ((0, T); Hô (03A9))
to thesolution v
of
thefollowing parabolic equation
with
d* (x)
=J1fN d(x, y)|03C81|2(y) dy
and A* is the classicalhomogenized
ma-trix
of (|03C81|2A).
Remark
3.4.
- Aspecial
case of initial datasatisfving (3.3)
and(3.5)
isthat of
well-prepared
initialdata,
i.e.u0~(x) = 03C81 x ) v0(x)
andu1~(x) =
03C81 (x ~) v1(x).
In such a case, the initialvelocity v1 disappear
at the limitand the factor
1/2
in front of the initial condition for thehomogenized prob-
lem is
quite surprising.
Onepossible explanation
is the existence of an initiallayer
in timecorresponding
to a very fastdecay
of half of the initial data.This
initial layer
wouldcorrespond
to the alternative time renormalizationwhich has the
opposite sign
in theexponential compared
to(3.1). Formally,
we would admit as an
homogenized
limit a backward heatequation
whichis
ill-posed (so
all thisreasoning
ispurely formal).
Remark also that
assumption (3.5)
is much weaker than the usual as-sumption (2.3)
for thehomogenization
of the waveequation
withoutlarge potential.
Inparticular,
it allows for verylarge
initialvelocity u1~ (x),
of theorder of
E-2.
Remark 3.5.
- Theorem
3.3 still holds true if we add toequation (1.9)
a source term of the
type
It
yields
a source termf*(t, x) = J1fN f (t,
x,y)03C81 (y) dy
in thehomogenized
equation (3.6).
Proof of
Lemma 3.2. - Wemultiply equation (3.2) by ~v~ ~t and we
integrate by parts
to obtain the usual energy estimatewith
By assumption
we haveE~(0) CE-2
sothat,
uponintegrating
intime,
we deduce from(3.8)
and the factthat d~
0and
Now,
wemultiply equation (3.2) by ve
toget
From the
previous estimates,
theassumption
on the initial data and thenon-negativeness
of d" we deducewhich
gives
the desired result sinceby
the Krein-Rutman theorem and standardregularity
there exists twopositive
constantsm, M
such that0 m 03C81(y) M in TN.
~Proof of
Theorem 3.3. - In view of the apriori
estimates of Lemma 3.2 there exist asubsequence
and limitsv(t, x)
andv1(t,x,y)
suchthat ve
converges
weakly
to v inL2 ((0, T); H10(03A9))
andi7ve
two-scale converges to~xv(t,x)
+V’yVI(t,X,y)
withV1(t,x,y)
E£2 (O,T)
x03A9; H1(TN)) (see [1],
[12]
for the notion of two-scaleconvergence).
We define anoscillating
testfunction
where 0
and~1
are smooth test functions defined on[0, T]
x 03A9 xyN
withcompact support
in[0, T[ xn.
Wemultiply (3.2) by ~~
and weintegrate by parts
to obtainThe two last terms in
(3.9), corresponding
to the initialconditions,
can berewritten in terms of the initial data for
(1.9)
asWe pass to the limit in
(3.9):
the first term goes to zero because of esti mate(3.4),
we use two-scale convergence for the third one, and usual wealconvergence
for the other ones.Recalling
thatJ1fN |03C81|2 dy
= 1 we obtainEliminating
VI and~1
in(3.10) gives
the usual formula for A* as thehomog-
enized matrix of
(|03C81|2 A) (see
e.g.[1])
and delivers a variational formulation for thehomogenized problem (3.6). By uniqueness
of the solution of the ho-mogenized problem (3.6),
we deduce that the entire sequence v, converges to v. Il4.
Schrôdinger homogenized
limitWe
finally
consider the case when the first celleigenvalue,
defined in(1.3),
ispositive Ai
> 0. In this case wehomogenize
the rescaled wave equa- tion(1.9).
Onceagain
weperform
a time renormalization of theunknown, namely
we definewhich is now a
complex-valued
function. The next lemmagives
theequatio]
satisfied
by
the new unknown v~.LEMMA 4.1. - Assume
Ai
> 0.If
u~ is a solutionof (1.9), then vE defined by (4.1), is
a solutionof
The
proof
of Lemma 4.1 isagain
asimple computation
similar to thos(in Lemmas 2.1 and
3.1,
so we omit it. Remark that the timescaling
o:(1.9)
isprecisely
chosen such that the first-order time derivative in(4.2’
is of order 1 with
respect
to E. Notice also thatchanging
thesign
of th(exponential
in the time renormalization(4.1) simply
amounts to take th(complex conjugate
of the new unknown v~.The main
advantage
of the newproblem (4.2)
is that its solution satisfies uniform apriori
estimates. Note however thatthey
are weaker than the onesobtained in the
previous parabolic
case(ÀI 0,
see Lemma3.2).
LEMMA 4.2. Assume that the initial data
satisfy
thefollowing uniforrr
bounds
Then the solution
of (4.2) satisfies
where C > 0 is a constant that does not
depend
on E.THEOREM 4.3. - Assume that
À1
> 0 and that the initial datasatisfy
the a
priori
estimates(4.3)
as well asThen,
v~, solutionof (4.2),
convergesweakly
inL2((0, T)
xÇ2)
to the sol7Jtion v
of
thefollowing Schrödinger equation
with
d* (x)
=J1fN d(x, y)|03C81|2(y) dy
and A* is the classicalhomogenized
ma-trix of (|03C81|2A).
Remark
4.4.
- The convergence of v, in Theorem 4.3 is weaker than in theprevious
sections. Inparticular,
it does not allow us to recover theDirichlet
boundary
condition in thehomogenized Schrôdinger equation.
Weshall need another
argument (based
on the existencetheory
for the waveequation
with non-smooth initialdata)
to obtain theboundary
condition.Remark
4.5.
- Theorem 4.3 still holds true if we add toequation (1.9)
a source term of the
type
It
yields
a source termf*(t, x)
=fr, f (t,
x,y)03C81 (y) dy
in thehomogenized equation (4.6).
Proof of Lemma 4.2.
- Wemultiply equation (4.2) by ~v~ ~t, we integrate by parts
and take the realpart
to obtain the usual energy estimatewith
By assumption
we haveE~(0) CE-2 so
that we deduce from(4.7)
and thenon-negative
character of d’Now,
wemultiply equation (4.2) by ce
toget
Taking
theimaginary part yields
From the
previous
estimâtes and theassumption
on the initial data wededuce
which
gives
the desired result. ~Proof of
Theorem4.3.
- From the apriori
estimates of Lemma4.2,
there exist a
subsequence
and a limitv(t,x,y)
EL2 ((0,T)
x03A9 ; H1(TN))
such
that v~
two-scale converges tov(t,x,y)
and~~v~
two-scale convergesto
B7 yv(t, x, y) [1], [12].
Since the convergence of v~ is weaker than in theprevious parabolic
case(see
section3),
theproof
is different from that of Theorem 3.3.In a first
step,
wemultiply (4.2) by
a test function6 2oe ~2 ~ t, x, x
where
0(t,
x,y)
is a smooth function defined on[0, T]
x 03A9 xTN
withcompact
support in ]0, T[ 03A9.
Afterintegrating by parts
and because of Lemma 4.2we obtain
Passing
to the two-scale limit in(4.8) yield
which,
for a.e.(t, x)
E(0, T)
x0,
is the variational formulation forBy uniqueness
of the solution inH1(TN)/R,
we deduce thatIn a second
step,
wemultiply (4.2) by
another test functionwhere 0
is a smooth test function withcompact support
in[0, T[ 03A9,
anddenoting by (ej)1jN
the canonical basisof RN, Xj (y)
is theunique
solutio]in
H1(TN)/R
of the cellproblem
After
integrating by parts (twice
inspace),
we obtainLet us
explain
how to pass to the limit in(4.11).
For the firstterm,
we noticethat
E2 |03C8~1|2 ~v~ ~t, being
bounded in L°°0 T); L2 S2 it
convergesweakl
in this space to a limit which is
necessarily
0since |03C8~1| 2
v~ is boundecin the same space. On the other hand
~~~ ~t
convergesstrongly
toat
irL2 ((0, T)
xS2),
so the first term of(4.11)
goes to zero. We can use two-scaleconvergence in the second term of
(4.11) since, by using equation (4.10),
wEhave
We also use two-scale convergence to pass to the limit in all other terms and the last one converges thanks to
(4.5). Recalling
thatTN |03C81|2 dy
= 1we obtain
We
recognize
in the first term of(4.12)
thehomogenized
matrix A* definedby
Thus, (4.12)
isnothing
but an ultra-weak variational formulation of thehomogenized problem (4.6)
which does not allow to recovervariationally
the Dirichlet
boundary
condition for v..To obtain the
boundary
condition we introduce aregularized
version of(4.2) (following
a classical trick that can befound,
e.g., in[11]
and that Ilearned from E.
Zuazua).
Definewhere ,
is theunique
solution inH10(03A9)
ofThen,
upon timeintegration (4.2)
isformally equivalent
toThe initial data of
(4.16)
are lessoscillating
than those of(4.2). Indeed,
it is
easily
seen that xe isuniformly
bounded inH10(03A9)
andthat,
up to asubsequence,
it convergesweakly
inH10(03A9)
to~*
which is a solution ofWith such smoother initial
data,
the energy estimates of Lemma 4.2imply
that we is
uniformly
bounded inL2 ((0, T) ; Hô (03A9))
and in L°°((0, T); L2 (ç2».
Thus it is classical to show
that,
up to asubsequence,
w, convergesweakly
in these spaces to w which is the
unique
solution ofBy
standardregularity
results the solution w is smoothenough
to differ-entiate
(4.17)
withrespect
to the time variable tand, using
theequation
satisfiedby x* (which belongs
to the domainH10(03A9)
nH2(03A9)
of the gen- erator of thesemi-group
associated to(4.17)),
we deduce that~w ~t
is thesolution of the
homogenized system (4.6).
Since~w~ ~t =
v~,passing
to thelimit we obtain that
~w ~t = v
in the sense of distributions. Inparticular,
thisimplies
that v satisfies the Dirichletboundary
condition.By uniqueness
ofthe solution of
(4.17)
we also deduce that there was no need to extractsubsequences
and that allprevious
sequences wereconverging
to the samelimits. D
Acknowledgments
It is a
pleasure
to thank mycolleagues
Y.Capdeboscq,
A. Piatnitski and E. Zuazua for fruitful discussions at variousstages
of this work.Bibliography
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