1 INTRODUCTION
The celebrated Bochner theorem states that if a closed Riemannian manifold
has non-negative Ricci curvature, then its first Betti number satisfies
with equality if and only if
is isometric to a flat torus. This inequality was improved by Gromov [
25] and Gallot [
18] who found
such that if
then
. Gromov also made a conjecture about the equality case, which was proven true by Colding [
14] and Cheeger–Colding [
5]: there exists
such that if
is a closed Riemannian manifold of diameter
satisfying
then
is diffeomorphic to a torus. The proof of this latter result consists in two steps. First, one shows that for any
there exists
such that if
with diameter
satisfies
then there exists a flat torus
and an
-almost isometry
† . Second, the intrinsic Reifenberg theorem of Cheeger–Colding allows to prove a topological stability result: if
is sufficiently small, then
is diffeomorphic to
(see [
6, Theorem A.1.1. and Theorem A.1.13]). For more details, we refer to the very instructive texts [
9, 20] presenting the work of Cheeger and Colding.
The Bochner estimate has been generalized in several directions. For a Riemannian manifold
, let
be the lowest non-negative function such that for any
,
Then Gallot obtained in [
19] that for every
, there exists
such that if
with diameter
satisfies
then
; here and throughout,
is the Riemannian volume measure induced by
on
, and
for any Borel set
and any measurable function
defined on
. To our knowledge, no topological rigidity result has been obtained so far from this integral condition. It seems to us that the segment inequality proven in [
10] and the results from [
30, 31] may imply such a rigidity result. Another direction is the one of metric measure spaces satisfying a suitable synthetic Ricci curvature lower bound. In this context, a rigidity result à la Bochner and geometric stability results hold, see [
24, 28, 29].
In this paper, we obtain geometric and topological results under a Kato bound. More precisely, let us introduce the following definition.
Definition 1.1.Let be a complete Riemannian manifold with heat kernel and diameter . For any , we set
We say that the number
is the Kato constant of
.
The first occurrence of in the study of Riemannian manifolds seems to be [23]. The geometric and analytic consequences of a bound on have been extensively studied since then, see, for example, [1, 4, 12, 13, 15, 32, 34, 36]. It is useful to note that if , then ; hence, a smallness assumption on should be understood as a control on the part of the manifold where .
The Bochner estimate extends to the case of Riemannian manifolds with small Kato constant, as proven in [32] and improved in [4]: there exists such that if is a closed Riemannian manifold of diameter such that , then . Our first main result provides an answer to a question raised in [4] about the equality case.
Theorem A.For any there exists such that if is a closed Riemannian manifold of diameter satisfying
then
is
-almost isometric to a flat torus.
Remark 1.2.From [15, Theorem 4.3] we can replace the smallness assumption with an integral condition involving the Ricci curvature only, namely,
Our second main result provides a topological stability theorem under a so-called strong Kato bound. This assumption appeared naturally in our previous work [12, 13] where we obtained, among other results, Reifenberg regularity.
Theorem B.Let be a non-decreasing function satisfying
(SK) Then there exists
such that if a closed Riemannian manifold
of diameter
satisfies
and
then
is diffeomorphic to a torus.
Remark 1.3.Our proof actually shows a stronger result: for any there exists such that if is a closed Riemannian manifold of diameter satisfying , , and for any , with satisfying (SK), then there exist a flat torus and a diffeomorphism such that for any ,
Here and throughout,
is the Riemannian distance induced by
.
According to [33], an smallness condition on yields the strong Kato bound, so that Theorem B has the following corollary.
Corollary 1.4.For any , there exists such that if is a closed Riemannian manifold of diameter satisfying
then
is diffeomorphic to a torus.
Similarly, using [15, Theorem 4.3], we get the following corollary involving a suitable Morrey norm.
Corollary 1.5.For any , there exists such that if is a closed Riemannian manifold of diameter satisfying
then
is diffeomorphic to a torus.
Colding's original argument relied upon harmonic approximations of Busemann-like functions. Here we follow an alternative approach, closer to the one proposed by Gallot in [
20]. We consider the Albanese map
. We lift
to a harmonic map
defined on a suitable abelian cover
which is equivariant under an action of
. Estimates from [
4] imply that if
, then
is surjective,
-Lipschitz and for any
,
(
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One original point in our proof of Theorem A is the use of an almost rigidity result (Theorem 3.1) which implies that under such an estimate, the restriction of to a ball of radius realizes an -almost isometry with a Euclidean ball of the same radius. We prove this almost rigidity result by means of the analysis developed in [12]. Then we can follow the lines of Gallot's argument to get Theorem A.
We prove Theorem
B by showing that
is a diffeomorphism, answering a question raised by Gallot [
20, Section 6]. This differs from Colding's proof which used the intrinsic Reifenberg theorem to conclude. It is enough to show that the restriction of
to the ball
is a diffeomorphism onto its image. In the context of almost non-negative Ricci curvature, according to the recent Reifenberg theorem established in [
11, Theorem 7.10], this is the case if (
) holds and if the volume ratio
is almost one. In our context, we have at our disposal an analogous Reifenberg type result: see Proposition
3.4. To apply this result, we must control a heat kernel ratio which plays the role, in our setting, of the volume ratio for Ricci curvature lower bounds. One main difference is that, unlike the volume, the heat kernel is a non-local quantity. Our key tools to get the desired control are a heat kernel comparison theorem á la Cheeger–Yau [
17], and an almost Euclidean volume bound (Theorem
A.1, after [
7, Theorem 1.2]).
5 PROOF OF THEOREM A
In this section, we prove Theorem
A. All the way through we consider
and
Let
be a closed Riemannian manifold of diameter
such that
for some
. We consider the covering
built in the previous section, and associated Albanese maps
and
. Then the following holds.
Claim 5.1.There exists such that if , then satisfies the following.
- (a) is -Lipschitz.
- (b) is an -almost isometry.
- (c) .
This is a consequence of Proposition 4.3, Theorem 3.1 and (i) in Remark 3.2. The last assertion may be proven with degree theory, see [9], [20, Proof of 3.2 and 3.3], and [12, Proof of theorem 7.2].
From now on, we assume that
Step 1. Proceeding like in [
14, 20], we construct a normal subgroup
of
with finite index, such that
induces a map
Let
be the canonical basis of
. Since
, it follows from
that for any
, there exists
such that
Moreover, for any
, there exists
such that
Then we set
and
Let us show that
(11) We know by
that the map
is
-Lipschitz. Then for any
, since the equivariance (
5) of
yields
, we have
(12) Then for any
,
so that
(13) Hence we get (
11). This implies that the quotient
is a torus
which we equip with the natural flat quotient Riemannian metric
. We also equip
with the quotient Riemannian metric
induced by
.
Step 2. We establish the following diameter bound on
:
(14)
To this aim, let us prove an intermediary result: if
is such that
(15) then
(16) Write
as
for some
. Consider
. From
, we know that
. Since
and
, this implies
Then
Since
, it follows from (
13) that
Then we get
, so that (
15) implies
(17) and the conclusion (
16) follows from
.
We are now in a position to prove the diameter bound (
14). Introduce the Dirichlet domain
We are going to show that
(18) then the connectedness of
will imply
and (
14) will be established.
The set
is a fundamental domain for the action of
on
; it is included in the Euclidean ball centered at the origin with radius
By (
12), for any
,
so that
For any
there exists
such that
. By the equivariance (
5) of
and the previous inequality, we get that
(19)
Now assume that
. We are going to show that
. Since
, from
we get
Consequently,
By our choices of
and
we have
Then we are in a position to apply (
16). We get
and then
Since
we can use
and (
19) to deduce that
Thus
and (
18) is proven.
Step 3. We prove that
is a
-almost isometry. From Proposition
4.3, we know that
is surjective; hence,
is surjective too. Thus we are left with proving the distance estimate. Let us introduce the following intermediate projection maps
and
:
Let
. Since
, we can choose
such that
. Let
be a minimizing geodesic joining
and
. Let
be such that
and
. By the diameter bound (
14), we know that
belongs to
. Moreover,
. Thus
(20) thanks to
.
It remains to prove that
We start by showing that if
, then
. Since
, the curve
is a lift of the curve
joining
to
. Moreover, the length of
is less than
; hence,
implies that the length of
is less than
. Since
, there exists
such that