J. Math. Anal. Appl.

289 (2004) 608628

www.elsevier.com/locate/jmaa
Homogenization in perforated domains beyond
the periodic setting
Gabriel Nguetseng
Department of Mathematics, University of Yaounde I, P.O. Box 812, Yaounde, Cameroon
Received 17 April 2003
Submitted by William F. Ames
Abstract
We study the homogenization of a second order linear elliptic differential operator in an open set
in R
N
with isolated holes of size >0. The classical periodicity hypothesis on the coefcients of the
operator is here substituted by an abstract assumption covering a variety of concrete behaviours such
as the periodicity, the almost periodicity, and many more besides. Furthermore, instead of the usual
periodic perforation we have here an abstract hypothesis characterizing the manner in which the
holes are distributed. This is illustrated by practical examples ranging from the classical equidistrib-
ution of the holes to the more complex case in which the holes are concentrated in a neighbourhood
of the hyperplane {x
N
=0}. Our main tool is the recent theory of homogenization structures and our
basic approach follows the direct line of two-scale convergence.
2003 Elsevier Inc. All rights reserved.
Keywords: Homogenization; Perforated domains; Homogenization structures; Homogenization algebras
1. Introduction
Throughout this study, denotes a smooth bounded open set in R
N
x
(the N-dimensional
numerical space of variables x = (x
1
, . . . , x
N
)), S denotes an innite subset of Z
N
(Z stands for the integers), and T denotes a compact set in R
N
y
with smooth boundary
and nonempty interior. Furthermore, it is assumed that
T Y =
_

1
2
,
1
2
_
N
. (1.1)
E-mail address: gnguets@uycdc.uninet.cm.
0022-247X/$ see front matter 2003 Elsevier Inc. All rights reserved.
doi:10.1016/j.jmaa.2003.08.045
G. Nguetseng / J. Math. Anal. Appl. 289 (2004) 608628 609
Now, let >0. We dene
t

=
_
k S: (k +T )
_
,
T

=
_
kt

(k +T )
and

= \ T

(points in lying off T

).
It is to be noted that S and can be chosen in such a way as to make t

an empty set.
Anyhow t

is nite, since is bounded. Hence T

is closed in R
N
x
and so

is open.
Specically, when and S are such that t

is nonempty, the open set

is what remains of
after the latter is deprived of its compact subset T

. For which reason

is commonly
qualied as a perforated domain. T is called the reference hole, each (k +T ) is referred to
as a hole of size , and the family {(k +T )}
kt
as the holes of the perforated domain

.
This being so, for xed >0, let
a

0
u

i,j=1

x
i
_
a

ij
u

x
j
_
=f in

,
N

i,j=1
a

ij
u

x
j

i
=0 on T

(boundary of T

),
u

=0 on (boundary of ), (1.2)
where f L
2
(), = (
i
)
1iN
the outer unit normal to T

with respect to

,
a

0
(x) = a
0
(x/) (x ) with a
0
L

(R
N
y
) and Re a
0
(y)
0
> 0 a.e. (almost every-
where) in R
N
y
, a

ij
(x) =a
ij
(x/) (x ) with a
ij
L

(R
N
y
) and the ellipticity condition:
there exists a constant >0 such that
Re
N

i,j=1
a
ij
(y)
j

i
||
2
( C
N
) a.e. in y R
N
. (1.3)
For convenience we will also assume the symmetry condition a
ji
=a
ij
(complex conjugate
of a
ij
); but this is not essential.
It is a classical fact that under the preceding hypotheses (see in particular (1.3)), there
exists one and only one function u

H
1
(

) satisfying (1.2). Our main purpose is to in-

vestigate the behaviour of u

when 0. No doubt, this requires the set S and the family

{a
0
, a
ij
}
1i,jN
to be suitably structured. The classical model consists in assuming the
coefcients {a
0
, a
ij
} to be Y-periodic and the open set

to be periodically perforated
in the sense that S is chosen equal to Z
N
. The corresponding homogenization problemwas
rst studied by Cioranescu and Saint Jean Paulin [9]. Since then, homogenization in per-
forated domains has been attracting the attention of an increasing number of researchers.
For a detailed bibliography we refer, for example, to [68,13].
However, much yet remains to be done in this eld. For example, homogenization in
perforated domains needs to be released from the classical periodicity hypothesis to which
610 G. Nguetseng / J. Math. Anal. Appl. 289 (2004) 608628
reference is systematically made throughout the literature, especially with regard to the
coefcients of the differential operators under consideration. The periodicity hypothesis,
which is only one of many structure hypotheses (see, e.g., [19,20]), is far from being ap-
propriate to any physical problem considered in its true perspective.
This paper deals with the homogenization of (1.2) in a very general deterministic set-
ting:
(i) The classical periodicity hypothesis on the coefcients {a
0
, a
ij
}
1i,jN
is here sub-
stituted by an abstract assumption covering a wide range of concrete behaviours such as
the periodicity, the almost periodicity, the convergence at innity, and many more besides.
(ii) Instead of the usual periodic perforation it is assumed here that the characteristic
function of the set G=R
N
y
\

kS
(k +T ) veries an abstract hypothesis relevant to the
manner in which the holes (k +T ) (k S) are distributed. This is illustrated by practical
examples ranging from the classical equidistribution of holes to the more complex case in
which the holes are concentrated in a neighbourhood of the hyperplane {x
N
=0}.
Our main tool is the recent theory of homogenization structures and our basic approach
follows the direct line of two-scale convergence. Thus, the present study falls within the
scope of the new deterministic homogenization theory introduced earlier in [19,20] to
bridge the gap between periodic and stochastic homogenization.
The conguration of the domain

clearly reveals that the latter is perforated in such

a way that the holes do not intersect it outer boundary, . It should be stressed that this
entails no loss of generality, as will be seen later. Indeed, we will see that the holes that
intersect the outer boundary are of no effect as regards the homogenization process.
The rest of the paper is organized as follows. In Section 2 we state and study the so-
called abstract model problem for the deterministic homogenization of (1.2) beyond the
periodic setting. Finally, in Section 3 a few signicant concrete examples are worked out
in order to illustrate our approach and point out its wide scope.
Except where otherwise stated, all vector spaces are considered over C and scalar func-
tions are assumed to take complex values. Given a locally compact space X and a Banach
space F, we will denote by C(X; F) the space of continuous mappings of X into F, by
K(X; F) the space of functions in C(X; F) that have compact supports, and by B(X; F)
the space of bounded continuous mappings of X into F. We will assume B(X; F) to be
equipped with the supremum norm u

=sup
xX
u(x) (u B(X; F)) where de-
notes the norm in F. For shortness we will write C(X) =C(X; C), K(X) =K(X; C) and
B(X) = B(X; C). For basic concepts and notations concerning integration theory we re-
fer to [2,3,10]. Finally, the space R
N
and its open sets are assumed to be provided with
Lebesgue measure denoted by or, as usual, dx =dx
1
. . . dx
N
.
2. The abstract homogenization problem for (1.2)
2.1. Fundamentals of homogenization structures
For the benet of the reader we summarize below a few basic notions and results about
the homogenization structures. We refer to [19,24] for further details.
G. Nguetseng / J. Math. Anal. Appl. 289 (2004) 608628 611
We start with one underlying concept. We say that a set B(R
N
y
) is a structural
representation on R
N
if
(1) is a group under multiplication in B(R
N
y
);
(2) is countable;
(3) implies ( the complex conjugate of );
(4)

.
Here,

denotes the space of functions u B(R

N
y
) such that u

M(u) in L

(R
N
x
)-
weak

as 0 ( >0), where M(u) C and

u

(x) =u
_
x

_
(x R
N
). (2.1)
We recall in passing that the mapping u M(u) of

into C is a positive contin-

uous linear form with M(1) = 1 and M(
h
u) = M(u) (for u

and h R
N
) where

h
u(y) =u(y h) (y R
N
). Thus, M is a mean value (see [21] for further details).
Now, in the collection of all structural representations on R
N
we consider the equiv-
alence relation dened as

if and only if CLS( ) = CLS(

), where CLS( )
denotes the closed vector subspace of B(R
N
y
) spanned by . By an H-structure on R
N
y
(H stands for homogenization) is understood any equivalence class modulo .
An H-structure is fully determined by its image. Specically, let be an H-structure
on R
N
. Put A=CLS( ) where is any equivalence class representative of (such a
is termed a representation of ). The space A is a so-called H-algebra on R
N
y
, that is, a
closed subalgebra of B(R
N
y
) with the properties:
(5) A with the supremum norm is separable;
(6) A contains the constants;
(7) If u A then u A;
(8) A

.
Furthermore, A depends only on and not on the chosen representation of . Thus,
we may set A =J() (the image of ). This yields a mapping J() that carries
the collection of all H-structures bijectively over the collection of all H-algebras on R
N
y
(see [19, Theorem 3.1]).
Let A be an H-algebra on R
N
y
. Clearly A (with the supremum norm) is a commuta-
tive C

-algebra with identity (the involution is here the usual one of complex conjugation).
We denote by (A) the spectrum of A and by G the Gelfand transformation on A. We
recall that (A) is the set of all nonzero multiplicative linear forms on A, and G is the
mapping of A into C((A)) such that G(u)(s) =s, u (s (A)), where , denotes the
duality between A

(the topological dual of A) and A. The topology on (A) is the rel-

ative weak

topology on A

. So topologized, (A) is a metrizable compact space, and

the Gelfand transformation is an isometric isomorphism of the C

-algebra A onto the

C

-algebra C((A)). For further details concerning the Banach algebras theory we refer
to [16]. The basic measure on (A) is the so-called M-measure for A, namely the positive
612 G. Nguetseng / J. Math. Anal. Appl. 289 (2004) 608628
Radon measure (of total mass 1) on (A) such that M(u) =
_
(A)
G(u) d for u A
(see [19, Proposition 2.1]).
The partial derivative of index i (1 i N) on (A) is dened to be the mapping

i
= G D
y
i
G
1
(usual composition) of D
1
((A)) = { C((A)): G
1
() A
1
}
into C((A)), where A
1
={ C
1
(R
N
): , D
y
i
A (1 i N)}. Higher order deriv-
atives are dened analogously (see [19]). At the present time, let A

be the space of
C

(R
N
y
) such that
D

y
=

||

1
1
. . . y

N
N
A
for every multi-index =(
1
, . . . ,
N
) N
N
, and let D((A)) ={ C((A)): G
1
()
A

}. Endowed with a suitable locally convex topology (see [19]), A

(respectively
D((A))) is a Frchet space and further, G viewed as dened on A

is a topological
isomorphism of A

onto D((A)).
Any continuous linear form on D((A)) is referred to as a distribution on (A). The
space of all distributions on (A) is then the dual, D

((A)), of D((A)). We endow

D

((A)) with the strong dual topology. If we assume that A

is dense in A (this condi-

tion is always fullled in practice), which amounts to assuming that D((A)) is dense in
C((A)), then L
p
((A)) D

((A)) (1 p ) with continuous embedding (see [19]

for more details). Hence we may dene
H
1
_
(A)
_
=W
1,2
_
(A)
_
=
_
u L
2
_
(A)
_
:
i
u L
2
_
(A)
_
(1 i N)
_
,
where the derivative
i
u is taken in the distribution sense on (A) (exactly as the Schwartz
derivative is taken in the classical case). This is a Hilbert space with the norm
u
H
1
((A))
=
_
u
2
L
2
((A))
+
N

i=1

i
u
2
L
2
((A))
_
1/2
_
u H
1
_
(A)
__
.
However, in practice the appropriate space is not H
1
((A)) but its closed subspace
H
1
_
(A)
_
/C =
_
u H
1
_
(A)
_
:
_
(A)
u(s) d(s) =0
_
equipped with the seminorm
u
H
1
((A))/C
=
_
N

i=1

i
u
2
L
2
((A))
_
1/2
_
u H
1
_
(A)
__
C
_
.
Unfortunately, the pre-Hilbert space H
1
((A))/Cis in general nonseparated and noncom-
plete. This leads us to introduce the separated completion, H
1
#
((A)), of H
1
((A))/C,
and the canonical mapping J of H
1
((A))/C into its separated completion. For more
details we refer the reader to [19] (see in particular Remark 2.4 and Proposition 2.6).
To a given H-structure on R
N
there are attached different other fundamental notions
such as weak and strong -convergence in L
p
() (1 p < ) for which we refer the
G. Nguetseng / J. Math. Anal. Appl. 289 (2004) 608628 613
reader to [19]. Also, one of the major concepts underlying the homogenization approach
followed in the present study is that of proper homogenization structures. We say that an
H-structure (of class C

) on R
N
is proper (for p =2) if the following conditions are
fullled:
(PR)
1
is total (for p =2), i.e., D((A)) is dense in H
1
((A)), where A=J().
(PR)
2
For any bounded open set in R
N
x
, H
1
() =W
1,2
() is -reexive in the fol-
lowing sense: Given a fundamental sequence E, that is, an ordinary sequence of
reals 0 <
n
1 such that
n
0 as n , from any bounded sequence (u

)
E
in H
1
() one can extract a subsequence (u

)
E
(i.e., E

is a subsequence fromE)
such that as E

0, we have u

u
0
in H
1
()-weak and u

/x
j

u
0
/x
j
+
j
u
1
in L
2
()-weak (1 j N), where u
1
L
2
(; H
1
#
((A)))
(for more details see [16,24]).
2.2. Preliminaries
Before we can precisely state the abstract homogenization problem for (1.2) we need
a few notions and notation. Throughout the rest of this section, denotes a proper
H-structure on R
N
with A=J(), and the M-measure for A is denoted by .
Let 1 p < . Let
p
be the space of all u L
p
loc
(R
N
y
) for which the sequence
(u

)
0<1
(u

dened in (2.1)) is bounded in L

p
loc
(R
N
x
). Provided with the norm
u

p = sup
0<1
_
_
B
N

u
_
x

p
dx
_
1/p
(u
p
),
where B
N
denotes the open unit ball in R
N
x
,
p
is a Banach space. We dene X
p

to be
the closure of A in
p
. We equip X
p

with the
p
-norm, which makes it a Banach space.
Let G=R
N
y
\ with
=
_
kS
(k +T ).
It is a classical exercise to check (using the compactness of T ) that is closed in R
N
y
and
therefore G is an open set in R
N
y
. We denote by
G
the characteristic function of G in R
N
y
.
We are now in a position to state the abstract homogenization problemfor (1.2). Specif-
ically, our main purpose in the present section is to investigate the asymptotic behaviour,
as 0, of u

(the solution of (1.2)) under the hypotheses

G
X
p

, (2.2)
M(
G
) >0, (2.3)
a
0
, a
ij
X
q

(1 i, j N), (2.4)
where the given positive real numbers p and q are such that
1
p
+
1
q

1
2
. (2.5)
614 G. Nguetseng / J. Math. Anal. Appl. 289 (2004) 608628
This is what is understood by the abstract homogenization problem for (1.2) in a deter-
ministic setting (as opposed to a stochastic setting). As will be seen later, this problem is
quite solvable. Before we can do this, however, we need a few preliminary results.
Lemma 2.1. Under hypothesis (2.2), there exists a -measurable set

G(A) such that

G
=

G
a.e. in (A), where
G
=G(
G
), and

G
denotes the characteristic function of

G in (A).
Proof. First, we note that
G
X
2

, since X
p

X
2

(observe that p 2, according to

(2.5)). By [19, Corollary 2.1] it follows that
G

G
X
1

and G(
G

G
) = G(
G
)G(
G
).
But
G

G
=
G
. Hence
G
(s) {0, 1} a.e. in s (A). So, let N be a negligible set
in (A) such that
G
(s) {0, 1} for every s (A) \ N. Put

G = {s (A) \ N:

G
(s) =1}. Clearly
G
=

G
a.e. in (A). Therefore the lemma follows by the fact that
the function
G
is measurable (indeed,
G
L

((A)) [19, Section 2.3]).

Remark 2.1. According to Lemma 2.1, we have

G
in L
p
()-weak as
0 (see [19, Example 4.1]) where

G
(x) =
G
(x/) (x ). Furthermore, (

G) =
_
(A)

G
(s) d(s) =M(
G
) (see [19, Section 2.3]).
Now, let Q

= \ . This is an open set in R

N
. The next result will prove essential
to our homogenization approach. The proof is a simple exercise left to the reader.
Lemma 2.2. Let K be a compact set (K independent of ). There is some
0
>0 such
that (

\ Q

) ( \ K) for any 0 <

0
.
Now, let >0 be freely xed. We dene
V

=
_
v H
1
(

): v =0 on
_
equipped with the H
1
(

)-norm. This makes V

a Hilbert space. The proof of the forth-

coming extension result follows the same line of argument as in the classical case (see,
e.g., [9]). The details are left to the reader.
Lemma 2.3. For each real > 0, there exists an operator P

of V

into H
1
0
() with the
following properties:
(i) P

sends continuously and linearly V

into H
1
0
().
(ii) (P

v)|

=v for all v V

.
(iii) D(P

v)
L
2
()
N cDv
L
2
(

)
N for all v V

where the constant c > 0 depends

solely on Y and T , and D denotes the usual gradient operator, i.e., D ={D
x
i
}
1iN
with D
x
i
=/x
i
.
Before we proceed any further let us recall that by a fundamental sequence is meant
here any ordinary sequence E =(
n
)
nN
with 0 <
n
1 and
n
0 as n .
G. Nguetseng / J. Math. Anal. Appl. 289 (2004) 608628 615
Lemma 2.4. Let E be a fundamental sequence. Let (u

)
E
L
2
() and (v

)
E

L

() be two sequences such that:

(i) u

u
0
in L
2
()-weak ;
(ii) v

v
0
in L
2
()-strong ;
(iii) (v

)
E
is bounded in L

().
Then u

u
0
v
0
in L
2
()-weak .
Proof. This follows immediately by [19, Proposition 4.7 and Theorem 4.1].
At the present time, let
F
1
0
=H
1
0
() L
2
_
; H
1
#
_
(A)
__
.
This is a Hilbert space with norm
v
F
1
0
=
_
N

i=1
D
i
v
2
L
2
((A))
_
1/2
_
v F
1
0
_
,
where
D
i
v =
v
0
x
i
+
i
v
1
for v =(v
0
, v
1
) F
1
0
.
Furthermore, F

0
=D() [D() J(D((A))/C)] (J the canonical mapping of
H
1
((A))/C into its separated completion H
1
#
((A))) is a dense vector subspace of F
1
0
.
For more details see [19].
Now, by (2.4) and use of [19, Corollary 2.2] we have that a
0
=G(a
0
) and a
ij
=G(a
ij
)
belong to L

((A)) with
a
0
(s)
0
>0 a.e. in s (A) (2.6)
and
Re
N

i,j=1
a
ij
(s)
j

i
| |
2
( C
N
) a.e. in s (A), (2.7)
according to (1.3). Also, a
ji
= a
ij
(1 i, j N).
This being so, let

(u, v) =
N

i,j=1
_ _

G
a
ij
(s)D
j
u(x, s)D
i
v(x, s) dx d(s)
+
_ _

G
a
0
(s)u
0
(x)v
0
(x) dx d(s)
616 G. Nguetseng / J. Math. Anal. Appl. 289 (2004) 608628
for u =(u
0
, u
1
) and v =(v
0
, v
1
) in F
1
0
, where

G is that set in Lemma 2.1. This denes a
sesquilinear form

b

( , ) on F
1
0
F
1
0
which is Hermitian, continuous and noncoercive. In
order to point out the lack of coercivity, observe that

b

(u, u) = 0 for u =(u

0
, u
1
) F
1
0
such that u
0
(x) =0 a.e. in x and
j
u
1
(x, s) =0 a.e. in (x, s)

G (1 j N),
and conclude by arguing that u
1
has no reason to be the zero function in L
2
(; H
1
#
((A)))
(see Remark 2.2).
Remark 2.2. Suppose is the periodic H-structure represented by the network R=Z
N
(see [19, Example 3.2]) and take S = Z
N
. Then H
1
#
((A)) H
1
#
(Y) = {w H
1
loc
(R
N
y
):
w is Y-periodic and
_
Y
w(y) dy = 0} (see [22]) with Y as in (1.1), so that the system

j
u
1
(x, s) = 0 a.e. in (x, s)

G (1 j N) reduces to (u
1
/y
j
)(x, ) = 0 in
Y

=Y \ T for almost every x (1 j N). That is, for almost every x , u

1
(x, )
is constant in Y

(and not in Y!).

It will prove crucial to have at our disposal an existence result for the noncoercive
variational problem
u =(u
0
, u
1
) F
1
0
and

b

(u, v) =(v) for every v =(v

0
, v
1
) F
1
0
, (2.8)
where is the continuous antilinear form on F
1
0
given by
(v) =M(
G
)
_

f (x)v
0
(x) dx for v =(v
0
, v
1
) F
1
0
.
Lemma 2.5. Under hypotheses (2.2)(2.5), there exists u = (u
0
, u
1
) F
1
0
satisfying
(2.8). Furthermore, u
0
is strictly unique and u
1
is unique up to an additive function
g L
2
(; H
1
#
((A))) such that
j
g(x, s) =0 a.e. in

G (1 j N).
Proof. Let W
G
denote the vector space H
1
0
() L
2
(; H
1
#
((A))) equipped with the
seminorm
N
G
(v) =
_
_

v
0
(x)

2
dx +
N

j=1
_ _

D
j
v(x, s)

2
dx d(s)
_
1/2
_
v =(v
0
, v
1
) W
G
_
.
It is immediate that W
G
is a pre-Hilbert space that is nonseparated and noncomplete. Ac-
cordingly we dene W
G
as separated completion of W
G
and i to be the canonical mapping
of W
G
into its separated completion (see [4,5,10]). Let us note the following classical prop-
erties:
(i) W
G
is a Hilbert space;
(ii) i is linear;
(iii) i(W
G
) is dense in W
G
;
(iv) i(v)
W
G
=N
G
(v) for every v W
G
.
G. Nguetseng / J. Math. Anal. Appl. 289 (2004) 608628 617
The following proposition is also worth recalling:
If F is a Banach space and h a continuous linear mapping of W
G
into F,
then there is a unique continuous linear mapping H : W
G
F
such that h =H i. (2.9)
Having made this point, let us now show that there exists a unique Hermitian, coercive,
continuous sesquilinear form

B
G
( , ) on W
G
W
G
such that

B
G
_
i(u), i(v)
_
=

b

(u, v) for u, v W
G
. (2.10)
To do this, x freely u W
G
and dene the mapping
r
u
: W
G
C, r
u
(v) =

b

(u, v) (v W
G
).
Recalling that some constant c
1
>0 exists such that

(u, v)

c
1
N
G
(u)N
G
(v) (u, v W
G
),
we apply (2.9) with F = C and h(v) = r
u
(v) (complex conjugate of r
u
(v)) for v W
G
,
and we get a unique continuous antilinear form R
u
: W
G
C such that
R
u
_
i(v)
_
=r
u
(v) (v W
G
).
Bearing in mind that R
u
is dened for any arbitrary u W
G
, we next x freely V W
G
and consider the mapping
q
V
: W
G
C, q
V
(u) =R
u
(V ) (u W
G
).
Again applying (2.9) with F = C and h = q
V
leads to a unique continuous linear form
Q
V
: W
G
C such that
Q
V
_
i(u)
_
=q
V
(u) (u W
G
).
Finally, we dene the mapping

: W
G
W
G
C,

B

(U, V) =Q
V
(U) (U, V W
G
).
There is no difculty in verifying that this mapping is a Hermitian continuous sesquilinear
form on W
G
W
G
satisfying (2.10). The unicity follows at once by the density prop-
erty (iii). The coercivity follows in the same way by moreover using the fact that some
constant c
2
>0 exists such that
Re

b

(v, v) c
2
_
N
G
(v)
_
2
(v W
G
),
the latter inequality being a direct consequence of (2.6)(2.7) (see also (2.3) and Re-
mark 2.1).
This being so, based on (2.9), once more, let us consider the antilinear form L on W
G
such that
L
_
i(v)
_
=(v) (v W
G
).
Then, by (2.10) we see immediately that u = (u
0
, u
1
) satises (2.8) if and only if i(u)
satises
618 G. Nguetseng / J. Math. Anal. Appl. 289 (2004) 608628
i(u) W
G
and

B

_
i(u), V
_
=L(V ) for all V W
G
. (2.11)
But then, as is classical (see, e.g., [18, p. 216]), i(u) is uniquely determined by (2.11).
We deduce rstly that (2.8) admits at least one solution, secondly that if u = (u
0
, u
1
)
and z = (z
0
, z
1
) are two solutions, then i(u) = i(z). This equality means precisely that u
and z have the same neighbourhoods in W
G
(see [4, Chapter II, p. 23, Proposition 12])
or equivalently that N
G
(u z) = 0, which amounts to u
0
(x) = z
0
(x) a.e. in x and

j
u
1
(x, s) =
j
z
1
(x, s) (1 j N) a.e. in (x, s)

G. The lemma follows.
Remark 2.3. Condition (2.3) is fundamental. Indeed, if we assume that M(
G
) =0, then
the sesquilinear form

B

( , ) fails to be coercive.
2.3. The abstract homogenization result
Our goal in this section is to prove the following
Theorem 2.6. Suppose (2.2)(2.5) hold and further the H-structure is proper ( for
p = 2). For each real > 0, let u

H
1
(

) be uniquely dened by (1.2), and P

be
the extension operator of Lemma 2.3. Then, as 0,
P

u
0
in H
1
0
()-weak, (2.12)
where u
0
is the unique function in H
1
0
() with the following property:
(P)
_
There is some u
1
L
2
(; H
1
#
((A))) such that the
couple u =(u
0
, u
1
) is a solution of (2.8).
Proof. Clearly for xed >0, u

lies in V

and
_

0
u

v dx +
N

i,j=1
_

ij
u

x
j
v
x
i
dx =
_

f v dx (2.13)
for any v V

. By choosing in particular v =u

, we see immediately that

sup
>0
u

H
1
(

)
<.
By Lemma 2.3 it follows that the sequence (P

)
>0
is bounded in H
1
0
(). Hence, given
an arbitrary fundamental sequence E, the -reexivity of H
1
() (Section 2.1) yields a
subsequence E

and two functions u

0
H
1
0
() and u
1
L
2
(; H
1
#
((A))) such that as
E

0, we have on one hand (2.12), on the other hand

P

x
j
D
j
u =
u
0
x
j
+
j
u
1
in L
2
()-weak (1 j N). (2.14)
Thus, if we can establish that u = (u
0
, u
1
) satises (2.8), then not only u
0
will have the
required property, viz. (P), but also, according to Lemma 2.5, it will turn out that u
0
is the
sole function in H
1
0
() with that property. Hence it will follow that (2.12) actually holds
G. Nguetseng / J. Math. Anal. Appl. 289 (2004) 608628 619
when E 0 ( E instead of E

) and further when 0 < 0 by reason of the

arbitrariness of E (see, e.g., [19, Remark 4.1]).
So the whole problem reduces to showing that the couple u =(u
0
, u
1
) F
1
0
veries the
variational equation in (2.8). To accomplish this, let
=
_

0
, J
_

1
__
F

0
with

1
=G
1
and J
_

1
_
=J

1
,
where

0
D() and
1
D() (A

/C),
A

/C being the space of functions A

with M() =0. Let us note in passing that,

in case of need,
1
(respectively

1
) may be viewed as a function of into A(respectively
H
1
((A))/C), which allows us to dene

1
(respectively J(

1
)). Consider now

=
0
+

1
,
i.e.,

(x) =
0
(x) +
1
_
x,
x

_
(x ).
Clearly

lies in D() and further all the functions

( > 0) have their supports con-

tained in a xed compact set K . Let us then keep in mind that, thanks to Lemma 2.2,
there is some
0
>0 such that

=0 in

\ Q

(0 <
0
).
Having done this, let us return to (2.13) and choose there v =

(restriction of

to

) with 0 <
0
. By the decomposition

=Q

\Q

) and use of Q

=G
we are quickly led to
_

dx +
N

i,j=1
_

ij
P

x
j

x
i

G
dx =
_

G
dx
for 0 <
0
. The next point is to pass to the limit when E

0.
First, letting 1/r =1/p +1/q, by (2.2) and (2.4)(2.5) we see that a
0

G
X
r

X
2

.
Hence, by [19, Corollary 2.1 and Example 4.1] and use of Lemma 2.1, it follows that
a

G
a
0

G
in L
2
()-weak as 0. On the other hand, it is clear that (1)

0
in B() when 0, and (2) P

u
0
in L
2
() when E

0, as is deduced from
(2.12) (when E

0) by the Rellich theorem. Hence (P

u
0

0
in L
2
()-
strong as E

0 (see [19, Example 4.2]). By [19, Proposition 4.7] we conclude

that, as E

0,
_

dx
_ _

G
a
0
(s)u
0
(x)
0
(x) dx d(s).
Now, it is not a difcult matter to see that for xed 1 i N, the sequence
(

/x
i
)
E
is bounded in L

() and further
620 G. Nguetseng / J. Math. Anal. Appl. 289 (2004) 608628

x
i
D
i
=

0
x
i
+
i

1
in L
2
()-strong .
Therefore, recalling (2.14) (when E

0), it follows by Lemma 2.4 that, as E

0,
P

x
j

x
i
D
j
uD
i
in L
2
()-weak .
On the other hand, by an obvious argument based on (2.2) and (2.4)(2.5), we have
a
ij

G
X
2

, hence a
ij

G
C(; X
2

) (X
2

equipped with the L

-
norm). Therefore, as E

0, [19, Proposition 4.5] and Lemma 2.1 lead us to

_

ij
P

x
j

x
i

G
dx
_ _

G
a
ij
(s)D
j
u(x, s)D
i
(x, s) dx d(s).
Finally, by repeating a previous argument we quickly see that, as 0,
_

G
dx M(
G
)
_

f (x)
0
(x) dx (use Remark 2.1).
Consequently, by passing to the limit as E

0 in the preceding equation, we arrive

at

(u, ) =(),
where is arbitrary in F

0
. Hence (2.8) follows by the density of F

0
in F
1
0
. This com-
pletes the proof.
3. Some concrete examples
Our goal here is to work out, by way of illustration, a few concrete homogenization
problems for (1.2).
3.1. Preliminaries
The basic notation and hypotheses are as in Section 2. We begin by noting that since
the sets k +T (k S) are pairwise disjoint, the characteristic function,

, of the set is
given by

kS

k+T
(a locally nite sum) or more suitably

kZ
N
(k)
k+T
, (3.1)
where
k+T
is the characteristic function of k +T in R
N
y
and is that of S in Z
N
. We shall
refer to as the distribution function of the holes.
In most practical cases will belong to the space of essential functions on Z
N
, ES(Z
N
)
(see [21]). The constant functions, the periodic functions and the almost periodic func-
tions, on Z
N
, are classical examples of essential functions on Z
N
. In this connection, the
usefulness of the following proposition will come to light in the next sections.
G. Nguetseng / J. Math. Anal. Appl. 289 (2004) 608628 621
Proposition 3.1. Let be an H-structure on R
N
with image A = J(). Suppose the
distribution function of the holes belongs to ES(Z
N
). On the other hand, assume that for
every K(Y), the function

kZ
N (k)
k
(where
k
(y) =(y k) for y R
N
) lies
in A. Then

X
p

(1 p <) and further

M(

) =M()(T ), (3.2)
where is the Lebesgue measure on R
N
and M() the essential mean of .
Proof. We rst show that

X
p

, where the real p 1 is arbitrarily xed. Let > 0.

By considering
T
as a function in L
p
(Y) and using the fact that K(Y) is a dense subspace
of the latter, we get some K(Y) such that
T

L
p
(Y)
. On letting
=

kZ
N
(k)
k
(a locally nite sum) (3.3)
and bearing in mind that A, we deduce at once

p,
= sup
kZ
N
_
_
k+Y

(y) (y)

p
dy
_
1/p
,
where we recall that
p,
is the norm in the amalgam space (L
p
,

)(R
N
) [11,19,22].
But the latter space is continuously embedded in
p
, as is easily seen by [22, Lemma 1.3].
Hence

X
p

, as claimed.
The next point is to prove (3.2). To begin with, let us note that
(T )M(

) = lim
0

ki

(T )
_
k+Y

(y) dy, (3.4)

where i

(T ) denotes the set of all k Z

N
such that k T (observe that i

(T ) is nite
because T is compact). Indeed, (3.4) is originally true when

is replaced by any function

in

(see [21, Theorem 4.3]), and then by a routine procedure this extends to the closure
of A in (L
p
,

)(R
N
) (it is to be noted that the said closure is a subspace of X
p

).
Next, by substituting (3.1) in (3.4) we obtain immediately
M(

) = lim
0

ki

(T )
(k)
and so the problemreduces to computing the right side. This will proceed in two steps. For
the sake of convenience we will use the notation
M

(a) =
N

ki

(T )
a(k).
Step 1. Fix freely l Z
N
. Let >0. Our purpose here is to show that there exists
0
>0
such that

(
l
) M

()

(0 <
0
), (3.5)
622 G. Nguetseng / J. Math. Anal. Appl. 289 (2004) 608628
where
l
(k) =(k l) for k Z
N
. To this end let us observe that
(k) =
1
(T )
_
k+Y

(y) dy (k Z
N
).
Therefore
M

(
l
) M

() =
_
I

(T )
u

dx
_
u

dened in (2.1)
_
,
where
u(y) =
1
(T )
_

(y l)

(y)
_
for y R
N
and
I

(T ) =
_
ki

(T )
(k +Y).
Hence, by mere routine,

(
l
) M

()

_
J

(T ) \ I

(T )
_
+
_
J

(T ) \ T
__
+

_
u

T
dx

,
where J

(T ) =

kj

(T )
(k +Y), j

(T ) being the set of points k Z

N
such that T meets
(k +Y). But each of the two sets J

(T ) \ I

(T ) and J

(T ) \ T is contained in J

(T )
(this follows by [21, Proposition 4.2]) and further (J

(T )) (T ) =0 as 0 (this
classical result is due to the regularity of the measure ). On the other hand,
_
u

T
dx 0
as 0 (indeed, in [21] the convergence result (2.4) and its proof remain unchanged if
u is taken in L

(R
N
) instead of B(R
N
)). From all that we deduce the existence of some

0
>0 such that (3.5) holds.
Step 2. Let >0. According to [21, Lemma 3.1] a nite family {
i
}
1im
Z
N
exits
such that

1
m
m

i=1
(k
i
) M()

(k Z
N
).
It follows

1
m
m

i=1
M

i
) M()
N

(T )

(T )

( >0),
where |i

(T )| stands for the cardinality of i

(T ). On the other hand, as a consequence of

step 1, there exists some
0
>0 such that

1
m
m

i=1
M

i
) M

()

1
m
m

i=1

i
) M

()

for any 0 <

0
. Therefore
G. Nguetseng / J. Math. Anal. Appl. 289 (2004) 608628 623

() M()
N

(T )

_
1 +
N

(T )

_
(0 <
0
).
But, by the regularity of , we have (J

(T )) (T ) as 0. We deduce that
(I

(T )) (T ) as 0 (this follows by an argument included in step 1). Hence (3.2)

follows, since
N
|i

(T )| =(I

(T )). The proof is complete.

Corollary 3.2. Let the hypotheses be those of Proposition 3.1. Then (2.2) and (2.3) hold
true.
Proof. In view of the equality
G
=1

, the corollary follows by (3.2) and use of the

inequalities M() 1 and (T ) <(Y) =1 (see (1.1)).
3.2. The holes are equidistributed
Throughout this section, we assume that (k) = 1 for all k Z
N
, which means con-
cretely that S =Z
N
. We think it appropriates to say in this case that the holes are equidis-
tributed. In this context we intend to discuss the homogenization of (1.2) under various
concrete structure hypotheses on the coefcients {a
0
, a
ij
}. Let us point out beforehand a
few basic results and remarks. Let
Z
N be the periodic H-structure on R
N
represented
by the network R = Z
N
(see [19, Examples 3.2 and 4.3]).
Z
N is a typical proper H-
structure (we refer to [19,24] for more details about the properness of
Z
N ). The image of

Z
N is the space C
per
(Y) of Y-periodic continuous complex functions on R
N
y
, and there
is no difculty in showing that X
r

Z
N
=L
r
per
(Y) (1 r <), where L
r
per
(Y) denotes the
space of Y-periodic functions in L
r
loc
(R
N
y
) (see [22, Proposition 2.9]). On the other hand,
Proposition 3.1 and its corollary reveal that

G
X
p

Z
N
(1 p <) (3.6)
with (2.3). Before we proceed any further it should be noted that the typical case (i.e., the
holes are equidistributed and the coefcients {a
0
, a
ij
} are Y-periodic) investigated in [9]
falls under the framework of Section 2 with =
Z
N (see Remark 2.2).
Example 3.1. Under the hypothesis that the holes are equidistributed, our goal in the
present example is to study the homogenization of (1.2) with
a
0
, a
ij
L
q
AP
_
R
N
y
_
(1 i, j N) for some given 2 <q <, (3.7)
where L
q
AP
(R
N
y
) denotes the space of functions in L
q
loc
(R
N
y
) that are almost periodic in
the sense of Stepanoff (see [1,11,22]). To do this we begin by noting that by a simple
argument (see [22, Lemma 5.1]) we may consider a countable subgroup R of R
N
such
that a
0
, a
ij
X
q

R
(1 i, j N), where
R
is the almost periodic H-structure on R
N
represented by R (see [19, Example 3.3]). Next, let =
R
where R is the (countable)
subgroup of R
N
spanned by the union R Z
N
. This is a proper H-structure (see [19]) and
further
R
(i.e., J(
R
) J()) and
Z
N . Thus X
q

R
X
q

and X
p

Z
N
X
p

(1 p < ). Hence, xing a real p > 2 such that 1/p +1/q 1/2 and recalling (3.6)
(with (2.3)), we see at once that conditions (2.2)(2.5) are fullled and so the solution to
the homogenization problem before us is furnished by Theorem 2.6.
624 G. Nguetseng / J. Math. Anal. Appl. 289 (2004) 608628
Example 3.2. The problemto be worked out here states as in Example 3.1 except that (3.7)
is replaced by the structure hypothesis
a
0
, a
ij
L
q
,per
(Y) (1 i, j N) for some given 2 <q <, (3.8)
where L
q
,per
(Y) denotes the closure in (L
q
,

)(R
N
y
) of the space of nite sums

nite

i
u
i
_

i
B

_
R
N
y
_
, u
i
C
per
(Y)
_
,
B

(R
N
y
) being the space of continuous complex functions on R
N
y
converging (nitely) at
innity. Let
,Z
N be the H-structure whose image is the closure in B(R
N
y
) of the space
of the preceding nite sums. The H-structure
,Z
N is proper [19, Corollary 4.2] and we
have
a
0
, a
ij
X
q

(1 i, j N)
(see [19, Proposition 5.2]) and
X
p

Z
N
X
p

(1 p <)
with =
,Z
N . This leads us immediately to (2.2)(2.5) and therefore the same conclu-
sion as above follows.
Remark 3.1. The structure hypothesis a
0
, a
ij
L
q
(R
N
y
) +L
q
per
(Y) (1 i, j N) is in-
cluded in (3.8); see [19].
Example 3.3. We assume here that the coefcients {a
0
, a
ij
} are constant in each cell k +Y,
that is, they are of the form
_
a
0
=

kZ
N r
0
(k)
k+Y
(a locally nite sum),
a
ij
=

kZ
N r
ij
(k)
k+Y
(1 i, j N),
where the complex functions k r
0
(k) and k r
ij
(k) (dened on Z
N
) are given. Our
goal is then to investigate the behaviour, as 0, of u

(the solution of (1.2)) under the

structure hypothesis
_
lim
|k|
_
k+Y
a
0
(y) dy =
0
C,
lim
|k|
_
k+Y
a
ij
(y) dy =
ij
C (1 i, j N),
where |k| denotes the Euclidean norm of k in R
N
. By adaptation of the line of argument in
[20, Theorem 3.1 and Example 3.4] one easily arrives at (2.2)(2.5) with =
0

+
Z
N
[20, Proposition 3.4], where
0

=
0
S
with S = B

(Z
N
) (see [20, Denition 3.4]).
Since is proper [20, Proposition 3.5], the conclusion is the same as in the preceding
examples.
G. Nguetseng / J. Math. Anal. Appl. 289 (2004) 608628 625
3.3. The holes are periodically distributed
We assume here that the function is periodic, that is, there exists a network R in R
N
with R Z
N
(e.g., R =
N
i=1
m
i
Z with m
i
N, m
i
1) such that (k + r) = (k) for
all k Z
N
and all r R. Let
R
be the periodic H-structure on R
N
represented by R.
Noting that is an essential function on Z
N
(use [21, Remark 2.2 and Proposition 3.2])
and using Corollary 3.2 lead at once to
G
X
p

R
, hence (3.6), and (2.3). Therefore Exam-
ples 3.13.3 carry over without the slightest change to the present situation.
3.4. The holes are distributed in an almost periodic fashion
In the present section we assume that is almost periodic, i.e., the translates
h

(h Z
N
) form a relatively compact set in

(Z
N
) (we refer to, e.g., [12,16] for almost
periodic functions on locally compact groups).
Now, as ranges over K(Y), the functions of the form (3.3) lie in the space AP(R
N
) of
almost periodic continuous complex functions on R
N
(see [22, Lemma 5.4]). Furthermore,
let D be a dense countable set in K(Y) equipped for a while with the supremum norm
instead of the usual inductive limit topology (D does exist because C(Y) is separable,
Y being compact), and let F denote the set of functions of the form (3.3) as ranges
over D. Thanks to [22, Lemma 5.1], there exists a countable subgroup R
0
of R
N
such that
F AP
R
0
(R
N
), where it should be recalled that AP
R
0
(R
N
) denotes precisely the image
of the almost periodic H-structure
R
0
on R
N
(see [19]). Hence, it follows that each
of the form (3.3) (with K(Y)) belongs to AP
R
0
(R
N
). Therefore, Proposition 3.1 and
Corollary 3.2 apply and we at once arrive at

G
X
p

R
0
(1 p <) with M(
G
) >0.
In this framework it is possible to work out the homogenization of (1.2) under various
structure hypotheses on the coefcients {a
0
, a
ij
}.
By way of illustration if we consider the structure hypothesis (3.7), then the same line
of argument as followed in Example 3.1 leads immediately to (2.2)(2.5) where =
R
is a suitable almost periodic H-structure on R
N
.
Likewise Example 3.2 carries over mutatis mutandis (R
0
replacing Z
N
) to the present
context.
3.5. The holes are concentrated in a neighbourhood of the hyperplane of equation x
N
=0
We use the decomposition R
N
=R
N1
R (with N 2). Thus, each y R
N
writes as
y =(y

, y
N
) with y

=(y
1
, . . . , y
N1
) R
N1
and y
N
R. Accordingly Z
N
=Z
N1
Z,
and so each k Z
N
will write as k =(k

, k
N
).
Having done this, we will in the sequel concentrate on one concrete case.
Example 3.4 (Equidistributed concentration). We take here
S =Z
N1
{0}. (3.9)
Thus, the distribution function : Z
N
R is given by
626 G. Nguetseng / J. Math. Anal. Appl. 289 (2004) 608628
(k

, k
N
) =
_
1 if k
N
=0 (k

Z
N1
),
0 if k
N
=0 (k

Z
N1
).
Let C
per
(Y

) (with Y

= (1/2, 1/2)
N1
) be the usual Banach space of Y

-periodic
continuous complex functions on R
N1
. We introduce the H-algebra [19, Example 3.7]
A=B

_
R; C
per
(Y

)
_
of continuous functions : R
N
=R
N1
RC such that:
(1) The mapping y
N
(, y
N
) sends continuously R into C
per
(Y

).
(2) As |y
N
| , (, y
N
) converges in C
per
(Y

) (with the supremum norm).

Let be the H-structure on R
N
of which A is the image. It is fundamental to recall
that is proper (see [19, Example 4.4]). Our rst purpose is to check that (2.2) (for any ar-
bitrary 1 p <) and (2.3) hold in this context. To this end let K(Y) be freely xed,
and let be given by (3.3). Clearly =

Z
N1
(k

,0)
. Therefore B(R; C
per
(Y

)).
Next, let y =(y

, y
N
) be arbitrarily xed in R
N
. Since the family {k +Y}
kZ
N is a cover-
ing of R
N
, we may consider some l =(l

, l
N
) Z
N
such that y l +Y. The occurrence
that y lies on the boundary of l +Y leads to (y) =0, since the (compact) support of is
contained in Y. So, in the sequel we assume that y l +Y. Then
(y

, y
N
) =(l

, l
N
)(y

, y
N
l
N
).
But if l
N
=0, then (l

, l
N
) =0 and therefore (y

, y
N
) =0, once more. Thus, the only
signicant occurrence is when y lies in l +Y with l =(l

, 0). Then (y

, y
N
) =(l

, 0)
(y

, y
N
). Hence
sup
zR
N1

(z, y
N
)

sup
zR
N1

(z, y
N
)

and that for any arbitrary y

N
R. Since may be viewed as a function in K(R; B(R
N1
)),
we deduce that
K
_
R; C
per
(Y

)
_
,
which implies A. By proceeding as in the proof of Proposition 3.1 we arrive at

X
p

for any real p 1. Therefore (2.2) (for any real p 1) follows. Let us next verify (2.3).
We actually wish to show that M(
G
) =1, or equivalently that M(

) =0. But, as seen

above,

lies precisely in the closure of K(R; C

per
(Y

)) in X
p

. Thus the problem reduces

to showing that M() =0 for K(R; C
per
(Y

)). So, x one such . Let K be a compact

set in R
N
x
such that
(K) =1 and inf
x=(x

,x
N
)K
|x
N
| >0.
Let >0. Consider
0
>0 such that |(x/)| for x K and 0 <
0
. Then

_
K

_
x

_
dx

for any 0 <

0
. On letting 0, we deduce at once M() =0, as claimed.
G. Nguetseng / J. Math. Anal. Appl. 289 (2004) 608628 627
Having made these preliminaries on the perforation, let us precisely state two concrete
homogenization problems to be discussed in the present framework.
Problem 1. We assume that the open set intersects the hyperplane of equation x
N
=0,
and we intend to study the homogenization of (1.2) under the perforation hypothesis (3.9)
and the structure hypothesis
a
0
, a
ij
L
q
_
R; L
q
per
(Y

)
_
(1 i, j N) for some given 2 <q <, (3.10)
where L
q
per
(Y

) is the usual space of Y

-periodic functions in L
q
loc
(R
N1
). According to the
above preliminaries, we have (2.2)(2.3) where the real p >2 is such that (2.5) is satised.
Thus, thanks to Theorem 2.6, the problem is solved once we have veried that (3.10)
leads to (2.4). This is straightforward: K(R; C
per
(Y

)) is contained in A =J() and is a

dense subspace of L
q
(R; L
q
per
(Y

)). On the other hand, L

q
(R; L
q
per
(Y

)) is continuously
embedded in (L
q
,

)(R
N
), and the latter space is itself continuously embedded in
q
.
Hence (2.4) follows and so Theorem 2.6 applies.
Problem 2. The statement is the same as in Problem 1 except that (3.10) is substituted by
a
0
, a
ij
B

_
R; L
q
per
(Y

)
_
(1 i, j N) for some given 2 <q <. (3.11)
The conclusion and the line of argument are the same as above.
Remark 3.2. The preceding result remains valid if in (3.11) we replace the space
B

(R; L
q
per
(Y

)) by the closure of A in (L
q
,

).
3.6. Concluding remarks
When the holes are distributed in an almost periodic fashion (see Section 3.4), the
homogenization of (1.2) under the structure hypothesis in (3.7) falls under the general
framework of almost periodic homogenization theory for which we refer the reader to the
pioneering papers of Kozlov [14,15]. However, attention is drawn to the fact that in the
framework of Section 3.4, it is not any structure hypothesis that leads to almost periodic
homogenization. For example, though the holes are assumed to be almost periodically dis-
tributed, the homogenization of (1.2) under the structure hypothesis in (3.8) is beyond the
scope of almost periodic homogenization. Likewise a periodic distribution of the holes
(see Section 3.3) does not imply that the corresponding homogenization problems for (1.2)
necessarily lie within the scope of periodic homogenization theory.
The study of the distribution of holes considered in Section 3.5 actually goes back to
the early eighties of last century (see, e.g., [17,23]). Later, Oleinik and Shaposhnikova
[25] investigated the more general case when the hyperplane {x
N
=0} is replaced with a
manifold of small dimension d < N. However, only differential operators with constant
coefcients were considered in these works. The present paper seems to be the rst study
in which such a distribution of holes is associated to a differential operator with variable
coefcients.
Finally, in Section 3.5 we have purposely restricted the study to an equidistributed
concentration of holes. One may as well consider a nonequidistributed concentration, for
628 G. Nguetseng / J. Math. Anal. Appl. 289 (2004) 608628
example a periodic concentration, an almost periodic concentration, etc., in a neighbour-
hood of the hyperplane {x
N
=0}.
Acknowledgment
The author very much appreciates the reviewers remarks and suggestions that improved our original work.
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