112 Proc. Japan Acad., 84, Ser. A (2008) [Vol.

84(A),

New proofs of the trace theorem of Sobolev spaces

By Yoichi M IYAZAKI
School of Dentistry, Nihon University, 1-8-13 Kanda-Surugadai,
Chiyoda-ku, Tokyo 101-8310, Japan

(Communicated by Heisuke HIRONAKA, M.J.A., June 10, 2008)

Abstract: We present three new proofs of the trace theorem of Lp Sobolev spaces, which
do not rely on the theory of interpolation spaces. The first method originates in Morrey’s proof
for the Sobolev embedding theorem concerning the Hölder-Zygmund space. The second method
is based on Muramatu’s integral formula and the third method is based on an integral operator
with Gauss kernel. These methods give unified viewpoints for the proofs of the trace theorem and
the Sobolev embedding theorem.
Key words: Sobolev space; Besov space; trace theorem; Sobolev embedding theorem.

Introduction. The trace theorem of Lp not exceeding . Then the Besov space B
pp ðRn Þ is
Sobolev spaces Hp
ðRn Þ has an important role in defined by
the boundary value problems of partial differential B
pp ðRn Þ ¼ fu 2 Hpj ðRn Þ : jujB
pp ðRn Þ < 1g;
equations. It is usually proved by the theory of
interpolation spaces (see [1,2,8]). There are also and the norm is given by
elementary proofs which do not rely on the theory X
of interpolation spaces (see [3,4,7]). kukB
pp ðRn Þ ¼ kuðÞ kLp ðRn Þ þ jujB
pp ðRn Þ :
jj
j
In this paper, we present three new proofs
of the trace theorem. The first method, for
¼ 1, is Usual modification for p ¼ 1 defines B
11 ðRn Þ,
direct and originates in Morrey’s proof for the which is written as C
ðRn Þ.
Sobolev embedding theorem concerning the Hölder- The trace theorem is stated as follows:
Zygmund space. The second method, for
¼ m Theorem 1. Let n, k be integers with n  2,
with a positive integer m, is based on Muramatu’s 1
k < n, and let 1 < p < 1 and
> k=p. Let x 2
integral formula [6]. The third method, for general Rn be written as x ¼ ðx0 ; x00 Þ with x0 2 Rnk and

, is based on an integral operator with Gauss x00 2 Rk .
kernel. Then the trace operator Tr : SðRn Þ ! SðRnk Þ
In any method, we adopt the characterization defined by
by the difference operator as the definition of the ðTr uÞðx0 Þ ¼ uðx0 ; 0Þ; u 2 SðRn Þ
Besove space B
pp ðRn Þ with
> 0 and 1 < p < 1,
which is given below. Let
be written as can be extended to a bounded linear operator
Hp
ðRn Þ ! B
k=p
pp ðRnk Þ. Namely, there exists a

¼ j þ ; j 2 N0 ; 0 < 
1;
constant C depending only on n, k, p and
such that
and set ð1Þ kTr ukB
k=p ðRnk Þ
CkukHp
ðRn Þ :
Z Z 1þ½
!1=p pp
j
h uðxÞjp
jujBpp ðRn Þ ¼ dx dh ; In particular, if
¼ m with an integer m > 0 then
Rn Rn jhjpþn X
X
jujB
pp ðRn Þ ¼ juðÞ jBpp ðRn Þ ; ð2Þ jTr ujBmk=p ðRn Þ
C kuðÞ kLp ðRn Þ :
pp
jj¼j jj¼m

where N0 is the set of non-negative integers,
h
is the difference operator given by
h uðxÞ ¼
uðx þ hÞ  uðxÞ and ½ denotes the largest integer
2000 Mathematics Subject Classification.
Any of our methods to prove Theorem 1 also
works for the proof of Theorem 2 below, which
corresponds to the case k ¼ n in Theorem 1.
Theorem 2. Let n be an integer with n  1,
Primary 46E35. and let 1 < p < 1 and
> n=p.

#2008 The Japan Academy

No. 7] New proofs of the trace theorem of Sobolev spaces 113

Then Hp
ðRn Þ is continuously embedded in ‘‘In order to estimate the restriction of a

n=p
C ðRn Þ. Namely, there exists a constant C function to an ðn  kÞ-dimensional hyperplane,
depending only on n, p and
such that consider the mean value of the function on a k-
dimensional ball.’’
ð3Þ kukC
n=p ðRn Þ
CkukHp
ðRn Þ :
Proof of Theorem 1 for
¼ 1. It is suffi-
In any method, the estimate of the Besov cient to show (1) and (2) for u 2 SðRn Þ, since SðRn Þ
seminorm is reduced to the following lemma, which is dense in Hp1 ðRn Þ. We write a point x 2 Rn as x ¼
is a special case of boundedness theorem on integral ðx0 ; x00 Þ 2 Rnk  Rk . For h 2 Rnk set Bh ¼ fz00 2
operators. Rk : jz00 j
jhjg and denote by jBh j the k-dimen-
Lemma 0.1. Let k, l be positive integers, let sional volume of Bh .
1 < p < 1, and let KðsÞ be a measurable function To evaluate uðx0 þ 2h; 0Þ  uðx0 ; 0Þ we set
of s 2 Rþ ¼ ð0; 1Þ. Then the linear operator Z
1
Z
 ð6Þ 0
mh ðx Þ ¼ uðx0 þ h; z00 Þ dz00
jyj dy j Bh j B h
ð4Þ f 7! K fðyÞ k
Rk jhj jyj
and
is bounded from Lp ðRk ; jyjk dyÞ to Lp ðRl ; jhjl dhÞ if Fh ðx0 Þ ¼ mh ðx0 Þ  uðx0 ; 0Þ
K is in L1 ðRþ ; ds=sÞ, and it is bounded from Z Z 1
1
Lp ðRk ; jyjk dyÞ to L1 ðRl Þ if K is in Lq ðRþ ; ds=sÞ ¼ dz00
ruðx0 þ sh; sz00 Þ  ðh; z00 Þ ds:
with p1 þ q1 ¼ 1. jBh j Bh 0

In the following sections we denote by C Using Minkowski’s inequality, changing the

various constants depending only on n, k, p and
variables with y00 ¼ sz00 , and writing vðx00 Þ ¼
which may differ from line to line. kruð  ; x00 ÞkLp ðRnk Þ , we have
1. Application of Morrey’s method. Let kF h kLp ðRnk Þ

¼ 1. In order to provide insight into the first ð7Þ
jhj1k=p
method, we review Morrey’s proof [5, pp.79–80] of Z 1 Z
Theorem 2 briefly.
Cjhjkþk=p ds kruð  ; sz00 ÞkLp ðRnk Þ dz00
In the proof of Theorem 2 we have to obtain the Z
0 Bh
Z
1
estimate
¼ Cjhjkþk=p sk ds vðy00 Þ dy00
1n=p n 0 jy00 j
sjhj
ð5Þ juðx þ 2hÞ  uðxÞj
Cjhj ; h2R Z Z 
1
for u 2 Hp1 ðRn Þ.
To do so we consider the mean ¼ Cjhjkþk=p s ds vðy00 Þ dy00
k
jy00 j
jhj jy00 j=jhj
value of uðxÞ on the ball of radius jhj centered at Z
00 
jy j dy00
x þ h: ¼C k fjy00 jk=p vðy00 Þg ;
Z Rk jhj jy00 jk
1
mh ðxÞ ¼ uðx þ h þ zÞ dz; where k ðsÞ ¼ skk=p ðs1k  1Þ=ðk  1Þ for 0 < s
1,
jBh j Bh
k > 1, 1 ðsÞ ¼ s11=p ð log sÞ for 0 < s
1, and
where Bh is the ball of radius jhj centered at the k ðsÞ ¼ 0 for s > 1, k  1. Hence, Lemma 0.1
origin and jBh j denotes the volume of Bh . Then we implies
get (5) by evaluating  
 kF h k 
 Lp ðRnk Þ 
mh ðxÞ  uðxÞ  
CkrukLp ðRn Þ ;
 jhj1k=p 
Z Z 1 nk
Lp ðR kn
;jhj dhÞ
1
¼ dz ruðx þ sh þ szÞ  ðh þ zÞ ds kF h kLp ðRnk Þ
jBh j Bh 0 sup
CkrukLp ðRn Þ ;
and mh ðxÞ  uðx þ 2hÞ. h2Rnk jhj1k=p
If we note that the Sobolev embedding theorem for k 2 L1 ðRþ ; ds=sÞ \ L1 ðRþ Þ.
is concerned with the restriction of a function to a We get a similar estimate for
point, 0-dimensional hyperplane, and that Bh is
Gh ðx0 Þ :¼ mh ðx0 Þ  uðx0 þ 2h; 0Þ:
an n-dimensional ball, we can translate the idea
of Morrey’s method for the proof of Theorem 1 as So (2) follows from uðx0 þ 2h; 0Þ  uðx0 ; 0Þ ¼
follows: Fh ðx0 Þ  Gh ðx0 Þ.
114 Y. MIYAZAKI [Vol. 84(A),

We now evaluate the Lp norm of uðx0 ; 0Þ. For t > 0 we set !t ðxÞ ¼ tn !ðx=tÞ and Mt ðxÞ ¼
We have already seen that kF h kLp ðRnk Þ
tn Mðx=tÞ. Using the relations @t f!t ðxÞg ¼
Cjhj1k=p krukLp ðRn Þ . On the other hand, we have t1 Mt ðxÞ and limt!þ0 !t  fðxÞ ¼ fðxÞ, we have
by (6) and Hölder’s inequality Z R
Z dt
ð8Þ fðxÞ ¼ Mt  fðxÞ þ !R  fðxÞ; R > 0
kmh kLp ðRnk Þ
Cjhjk kuð  ; y00 ÞkLp ðRnk Þ dy00 0 t
Bh
k=p for f 2 SðRn Þ. Taking the limit as R ! 1, we also

Cjhj kukLp ðRn Þ :
have
Thus uðx0 ; 0Þ ¼ mh ðx0 Þ  Fh ðx0 Þ with jhj ¼ 1 gives Z 1
dt
ð9Þ fðxÞ ¼ Mt  fðxÞ :
kTr ukLp ðRnk Þ
CkukHp1 ðRn Þ : 0 t
This combined with (2) yields (1).  We note that the relation
Remark 1.1. In the proof we can replace Bh
ðMðÞ Þt  fðxÞ ¼ tjj ðMðÞ Þt  f ðÞ ðxÞ
by Bh \ ðRþ Þk . Then we obtain
holds for 0 < 
 by integration by parts.
kTr ukB1k=p ðRnk Þ
CkukH 1 ðRnk ðRþ Þk Þ :
pp p In the argument below, it is convenient to
Remark 1.2. Our first method is very sim- assume that ðxÞ is written in the form
ilar to that of DiBenedetto [4] who proved
ð10Þ ðxÞ ¼ 0 ðx0 Þ1 ðx00 Þ
Theorem 1 for
¼ 1 and k ¼ 1. He derived (2) by
setting mh ðx0 Þ ¼ uðx0 þ h; jhjÞ instead of (6) and with 0 2 C01 ðRnk Þ and 1 2 C01 ðRk Þ.
using the inequality Proof of Theorem 1 for
¼ m. Let u 2
kuð  þ h; jhjÞ  uð  ; 0ÞkLp ðRn1 Þ SðRn Þ and let
pffiffiffi Z 1 ð11Þ m  k=p ¼ j þ ; j 2 N0 ; 0 < 
1:

2jhj kruð  ; sjhjÞkLp ðRn1 Þ ds
0 First we shall evaluate kuðÞ ðx0 ; 0ÞkLp ðRnk Þ for
and the identity  ¼ ð0 ; 0Þ 2 Nnk
0  Nk0 with jj
j. Applying (8)
  with N ¼ m, R ¼ 1 and f ¼ uðÞ (jj
j) and using
 1=p 
jhj kruð  ; sjhjÞkLp ðRn1 Þ 
Lp ðRn1 ;jhj1n dhÞ integration by parts, we have
¼ ð!n1 s1 Þ1=p krukLp ðRn1 Rþ Þ ; X Z 1 dt
uðÞ ðxÞ ¼ tmjj ðK Þt  uðÞ ðxÞ
which is obtained by integration in polar coordi- jj¼m 0
t
nates. Here !n1 denotes the surface area of the ðÞ
þ !1  uðxÞ
unit sphere in Rn1 . Whereas his method requires
another consideration to obtain uðx0 ; 0Þ 2 Lp ðRn1 Þ, with some functions K 2 C01 ðRn Þ. It is easily seen
in our method this is an immediate consequence that
of mh ; Fh 2 Lp ðRn1 Þ. kK t  fðx0 ; 0ÞkLp ðRnk Þ
kK t kL1 ðLq Þ kfkLp ðRn Þ
2. Method of Muramatu’s formula. In
this section we assume that m is a positive integer.
tk=p kKkL1 ðLq Þ kfkLp ðRn Þ
Before giving the proof of Theorem 1 for
¼ m we for K 2 CR01 ðRn Þ, where p1 þ q1 ¼ 1 and
briefly review Muramatu’s formula, which expresses kKkL1 ðLq Þ ¼ Rnk kKðx0 ; x00 ÞkLq ðRk Þ dx0 . Hence
x00
a function by its regularizations. ðÞ
Choose a function  2 C01 ðRn Þ satisfying ð12Þ ku ð  ; 0ÞkLp ðRnk Þ
R
and supp   fx 2 Rn : jxj < 1g. X Z 1
Rn ðxÞ dx ¼ 1 dt

C tmjjk=p kuðÞ kLp ðRn Þ
Let N be a positive integer and set t
jj¼m 0
X 1
!ðxÞ ¼ @  fx ðxÞg; ðÞ
þ k!1 kL1 ðLq Þ kukLp ðRn Þ
jj<N
! x
X
CkukHpm ðRn Þ ;
N
MðxÞ ¼ MðÞ ðxÞ; M ðxÞ ¼ x ðxÞ:
jj¼N
! where we used m  jj  k=p ¼ ðj  jjÞ þ  > 0.
Next we shall evaluate the Besov seminorm of
No. 7] New proofs of the trace theorem of Sobolev spaces 115

uðÞ ðx0 ; 0Þ, assuming  ¼ ð0 ; 0Þ with jj ¼ j. Apply- Z

ing (9) with f ¼ uðÞ and using integration by parts, ð13Þ uðxÞ ¼ ð2 Þn eix h i
F fð Þ d
Rn
we have
X Z 1 dt with f 2 SðRn Þ, where F f stands for the Fourier
uðÞ ðxÞ ¼ tmj ðK Þt  uðÞ ðxÞ R
t transform of f, i.e., F fð Þ ¼ Rn eix fðxÞ dx.
jj¼m 0
For an integer l  1 we set
with some functions K 2 C01 ðRn Þ. In view of (10) 2
Gl ðwÞ ¼ ð4 Þl=2 ejwj =4
; Gl;t ðwÞ ¼ tl Gl ðw=tÞ
we have
1þ½
for t > 0, w ¼ ðw1 ; . . . ; wl Þ 2 Rl . Then the third
k
h ðK Þt ð  ; x00 ÞkL1 ðRnk Þ method starts with formula (14) below.

1þ½ 
 Lemma 3.1. Let u 2 SðRn Þ and f 2 SðRn Þ
jhj jx00 j

C tk  satisfy u ¼ hDi
f with
> 0. Then
t t
Z 1 Z

1 t2
for h 2 Rnk , where ðsÞ is a characteristic function ð14Þ uðxÞ ¼ c
t e dt Gn;t ðx  yÞfðyÞ dy
0 Rn
of the interval ½0; 1 and ðsÞ ¼ minfs; 1g for s > 0.
Hence, writing v ðx00 Þ ¼ kuðÞ ð  ; x00 ÞkLp ðRnk Þ , we with c
¼ 2ð
=2Þ1 .
have Proof. The lemma follows from substitution of
1þ½ ðÞ
Z 1
k
h u ð  ; 0ÞkLp ðRnk Þ h i
¼ c

2 2
t
1 et h i dt
jhj 0

X Z 1 t
1þ½
jhj dt in (13), Fubini’s theorem and the formula of the

C   2
Fourier transform of ejxj . 
jj¼m 0
jhj t t
Z
00  Proof of Theorem 1 for general
. Let u 2
jy j SðRn Þ and let
  v ðy00 Þ dy00
Rk t

00 
 k=p ¼ j þ ; j 2 N0 ; 0 < 
1:
X Z jy j dy00
¼C K fjy00 jk=p v ðy00 Þg ;
k jhj jy00 jk First we shall evaluate kuðÞ ðx0 ; 0ÞkLp ðRnk Þ for
jj¼m R
R1  ¼ ð0 ; 0Þ 2 Nnk
0  Nk0 with jj
j. Replacing u
where KðsÞ ¼ s 1 t ðs1 t1 Þ1þ½ t1 dt and ¼ and f by u ðÞ
and f ðÞ , respectively, in (14) and
  k þ k=p. Thus, inequality (2) follows from integrating by parts, we have
Lemma 0.1, for Z 1
2
ðÞ 0
Z 1
1þ½ ð15Þ u ðx ; 0Þ ¼ c
t
1 et dt
1 ds 1 þ ½ 0
 s ¼ t : Z
st s ð1 þ ½  Þ ð0 Þ
0  Gnk;t ðx0  y0 ÞGk;t ðy00 Þfðy0 ; y00 Þ dy0 dy00 :
Rn
Since SðRn Þ is dense in Hpm ðRn Þ, (12) with (2)
ð0 Þ
yields Theorem 1 for
¼ m.  Since kGnk;t kL1 ðRnk Þ
Ctjj and kGk;t kLq ðRk Þ ¼
k=p 1 1
Remark 2.1. In [6] Muramatu proved Ct with p þq ¼ 1, we have
Theorem 1 for k ¼ 1 and general
, using the ð16Þ kuðÞ ð  ; 0ÞkLp ðRnk Þ
second integral formula, which is derived by iterat- Z 1
2
ing (8), and the characterization of Hp
ðRn Þ by
CkfkLp ðRn Þ t
jjðk=pÞ1 et dt
Lp ðRn ; L2 ð½0; 1; t1 dtÞÞ. If
is a positive integer, 0

the proof is simplified as above.
CkfkLp ðRn Þ ;

3. Method of Gauss kernel. Let hDi
with where we used
 jj  k=p ¼ ðj  jjÞ þ  > 0.



> 0 be the q ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi multiplier with symbol h i ,
Fourier Next we shall evaluate the Besov seminorm of
where h i ¼ 1 þ j j . As is well known, hDi

2
uðÞ ðx0 ; 0Þ, assuming  ¼ ð0 ; 0Þ with jj ¼ j. Since
defines isomorphisms Hp
ðRn Þ ! Lp ðRn Þ and
1þ½
1þ½ ð0 Þ jhj
SðRn Þ ! SðRn Þ. So if we set f ¼ hDi
u for u 2 k
h Gnk;t kL1 ðRnk Þ
Ct j

Hp
ðRn Þ then u ¼ hDi
f and f 2 Lp ðRn Þ with t

kfkLp ðRn Þ
CkukHp
ðRn Þ . In particular, if u 2 SðRn Þ for h 2 Rnk , (15) gives, with vðx00 Þ ¼
then kfð  ; x00 ÞkLp ðRnk Þ , that
116 Y. MIYAZAKI [Vol. 84(A),

1þ½ ðÞ give

k
h u ð  ; 0ÞkLp ðRnk Þ
 1þ½ ðÞ
jhj j
h u ðxÞj
Z
1þ½ ð19Þ
1
t jhj dt jhj

C   Z 1

1þ½
0 jhj t t t jhj dt
Z
00 2 

CkfkLp ðRn Þ 
jy j 0 jhj t t
 exp  2 vðy00 Þ dy00
R k 4t
CkfkLp ðRn Þ :
Z
00 
jy j dy00
¼C K fjy00 jk=p vðy00 Þg ; Thus (3) follows from (18) and (19). 
Rk jhj jy00 jk Acknowledgements. The author wishes to
where
R1 ¼   k þ k=p and KðsÞ ¼ thank the referee for the valuable comments which
s 0 t e1=ð4t Þ ðs1 t1 Þ1þ½ t1 dt. Therefore, apply-
2
particularly simplified the proofs of Theorem 1 by
ing Lemma 0.1, we have regarding an integral operator
Z 1
 Z
00 
ð17Þ jTr ujB
k=p ðRnk Þ
CkfkLp ðRn Þ : t dt jy j dy00
pp H0 H1 V ðy00 Þ
0 jhj t Rk t jy00 jk
Since SðR Þ is dense in Hp
ðRn Þ, (16) and (17)
n

yield Theorem 1.  with H0 , H1 2 L1 ðRþ ; ds=sÞ not as a composition of

Remark 3.2. The method of Gauss kernel two bounded linear operators
00
is in the same line as Stein’s proof in [7], where he Lp ðRk ; jxdx00 jk Þ ! Lp ðRþ ; dttÞ ! Lp ðRnk ; jhjdhnk Þ
used the formula
Z but as a bounded linear operator
uðxÞ ¼ Kðx  yÞfðyÞ dy Z
00 
jy j dy00
Rn V 7! K V ðy00 Þ
n R
ix 
Rk jhj jy00 jk
with KðxÞ ¼ ð2 Þ Rn e h i d , which is associ- R1
ated with Bessel functions. In our method we can with KðsÞ ¼ 0 H0 ðstÞH1 ðt1 Þt1 dt.
avoid the difficulty of handling the singularity of
the kernel KðxÞ. References
As stated in the Introduction, our methods [ 1 ] R. A. Adams and J. F. Fournier, Sobolev spaces,
also work for the proof of Theorem 2. Here we 2nd edition, Pure and Applied Mathematics,
give it by the method of Gauss kernel. 140, Academic Press, Amsterdam, 2003.
Proof of Theorem 2. We have only to show [ 2 ] J. Bergh and J. Löfström, Interpolation spaces. An
introduction, Grundlehren der Mathematischen
(3) for u 2 SðRn Þ. Let
be written as Wissenschaften, 223, Springer, Berlin-New

 n=p ¼ j þ ; j 2 N0 ; 0 < 
1: York, 1976.
[ 3 ] V. I. Burenkov, Sobolev spaces on domains,
First let jj
j. Then a formula similar to (15) Teubner, Stuttgart, 1998.
ðÞ [ 4 ] E. DiBenedetto, Real analysis, Birkhäuser Boston,
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Ctjjn=p with p1 þ q1 ¼ 1 Boston, MA, 2002.
give [ 5 ] C. B. Morrey, Jr., Multiple integrals in the calculus
ð18Þ juðÞ ðxÞj of variations, Springer-Verlag New York, Inc.,
Z 1
New York, 1966.

CkfkLp ðRn Þ
2
t
jjðn=pÞ1 et dt [ 6 ] T. Muramatu, On Besov spaces and Sobolev
0 spaces of generalized functions definded on a
general region, Publ. Res. Inst. Math. Sci. 9

CkfkLp ðRn Þ ; (1973/74), 325–396.
since
 jj  n=p ¼ ðj  jjÞ þ  > 0. [ 7 ] E. M. Stein, The characterization of functions
arising as potentials II, Bull. Amer. Math. Soc.
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(15) and [ 8 ] H. Triebel, Interpolation theory, function spaces,

1þ½ differential operators, North-Holland Mathe-
1þ½ ðÞ jn=p jhj matical Library, 18, North-Holland, Amster-
k
h Gn;t kLq ðRn Þ
Ct 
t dam-New York, 1978.