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Shapes and geometries Metrics analysis differential
calculus 2ed Edition Delfour M.C. Digital Instant
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Author(s): Delfour M.C., Zolesio J.-P.
ISBN(s): 9780898719369, 0898719364
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Year: 2010
Language: english
Advances in Design and Control
SIAM’s Advances in Design and Control series consists of texts and monographs dealing with all areas of
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 Shapes and
Geometries
Metrics, Analysis, Differential
Calculus, and Optimization
Second Edition

M. C. Delfour
Université de Montréal
Montréal, Québec
Canada

J.-P. Zolésio
National Center for Scientific Research (CNRS) and
National Institute for Research in Computer Science and Control (INRIA)
Sophia Antipolis
France

Society for Industrial and Applied Mathematics

Philadelphia
Copyright © 2011 by the Society for Industrial and Applied Mathematics

10 9 8 7 6 5 4 3 2 1

All rights reserved. Printed in the United States of America. No part of this book may be
reproduced, stored, or transmitted in any manner without the written permission of the
publisher. For information, write to the Society for Industrial and Applied Mathematics,
3600 Market Street, 6th Floor, Philadelphia, PA 19104-2688 USA.

Trademarked names may be used in this book without the inclusion of a trademark
symbol. These names are used in an editorial context only; no infringement of trademark
is intended.

The research of the first author was supported by the Canada Council, which initiated
the work presented in this book through a Killam Fellowship; the National Sciences and
Engineering Research Council of Canada; and the FQRNT program of the Ministère de
l’Éducation du Québec.

Library of Congress Cataloging-in-Publication Data

Delfour, Michel C., 1943-

Shapes and geometries : metrics, analysis, differential calculus, and optimization / M. C.
Delfour, J.-P. Zolésio. -- 2nd ed.
p. cm.
Includes bibliographical references and index.
ISBN 978-0-898719-36-9 (hardcover : alk. paper)
1. Shape theory (Topology) I. Zolésio, J.-P. II. Title.
QA612.7.D45 2011
514’.24--dc22
2010028846

is a registered trademark.
 This book is dedicated to
Alice, Jeanne, Jean, and Roger

j
 Contents

List of Figures xvii

Preface xix
1 Objectives and Scope of the Book . . . . . . . . . . . . . . . . . . . . xix
2 Overview of the Second Edition . . . . . . . . . . . . . . . . . . . . . xx
3 Intended Audience . . . . . . . . . . . . . . . . . . . . . . . . . . . . xxii
4 Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xxiii

1 Introduction: Examples, Background, and Perspectives 1

1 Orientation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1 Geometry as a Variable . . . . . . . . . . . . . . . . . . . . . 1
1.2 Outline of the Introductory Chapter . . . . . . . . . . . . . . 3
2 A Simple One-Dimensional Example . . . . . . . . . . . . . . . . . . 3
3 Buckling of Columns . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
4 Eigenvalue Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
5 Optimal Triangular Meshing . . . . . . . . . . . . . . . . . . . . . . . 7
6 Modeling Free Boundary Problems . . . . . . . . . . . . . . . . . . . 10
6.1 Free Interface between Two Materials . . . . . . . . . . . . . 11
6.2 Minimal Surfaces . . . . . . . . . . . . . . . . . . . . . . . . . 12
7 Design of a Thermal Diffuser . . . . . . . . . . . . . . . . . . . . . . 13
7.1 Description of the Physical Problem . . . . . . . . . . . . . . 13
7.2 Statement of the Problem . . . . . . . . . . . . . . . . . . . . 14
7.3 Reformulation of the Problem . . . . . . . . . . . . . . . . . . 16
7.4 Scaling of the Problem . . . . . . . . . . . . . . . . . . . . . . 16
7.5 Design Problem . . . . . . . . . . . . . . . . . . . . . . . . . . 17
8 Design of a Thermal Radiator . . . . . . . . . . . . . . . . . . . . . . 18
8.1 Statement of the Problem . . . . . . . . . . . . . . . . . . . . 18
8.2 Scaling of the Problem . . . . . . . . . . . . . . . . . . . . . . 20
9 A Glimpse into Segmentation of Images . . . . . . . . . . . . . . . . 21
9.1 Automatic Image Processing . . . . . . . . . . . . . . . . . . 21
9.2 Image Smoothing/Filtering by Convolution and Edge Detectors 22
9.2.1 Construction of the Convolution of I . . . . . . . . 23
9.2.2 Space-Frequency Uncertainty Relationship . . . . . 23
9.2.3 Laplacian Detector . . . . . . . . . . . . . . . . . . . 25

vii
viii Contents

9.3 Objective Functions Defined on the Whole Edge . . . . . . . 26

9.3.1 Eulerian Shape Semiderivative . . . . . . . . . . . . 26
9.3.2 From Local to Global Conditions on the Edge . . . 27
9.4 Snakes, Geodesic Active Contours, and Level Sets . . . . . . 28
9.4.1 Objective Functions Defined on the Contours . . . . 28
9.4.2 Snakes and Geodesic Active Contours . . . . . . . . 28
9.4.3 Level Set Method . . . . . . . . . . . . . . . . . . . 29
9.4.4 Velocity Carried by the Normal . . . . . . . . . . . 30
9.4.5 Extension of the Level Set Equations . . . . . . . . 31
9.5 Objective Function Defined on the Whole Image . . . . . . . 32
9.5.1 Tikhonov Regularization/Smoothing . . . . . . . . . 32
9.5.2 Objective Function of Mumford and Shah . . . . . . 32
9.5.3 Relaxation of the (N − 1)-Hausdorff Measure . . . . 33
9.5.4 Relaxation to BV-, H s -, and SBV-Functions . . . . 33
9.5.5 Cracked Sets and Density Perimeter . . . . . . . . . 35
10 Shapes and Geometries: Background and Perspectives . . . . . . . . 36
10.1 Parametrize Geometries by Functions or Functions by
Geometries? . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
10.2 Shape Analysis in Mechanics and Mathematics . . . . . . . . 39
10.3 Characteristic Functions: Surface Measure and Geometric
Measure Theory . . . . . . . . . . . . . . . . . . . . . . . . . 41
10.4 Distance Functions: Smoothness, Normal, and Curvatures . . 41
10.5 Shape Optimization: Compliance Analysis and Sensitivity
Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
10.6 Shape Derivatives . . . . . . . . . . . . . . . . . . . . . . . . 44
10.7 Shape Calculus and Tangential Differential Calculus . . . . . 46
10.8 Shape Analysis in This Book . . . . . . . . . . . . . . . . . . 46
11 Shapes and Geometries: Second Edition . . . . . . . . . . . . . . . . 47
11.1 Geometries Parametrized by Functions . . . . . . . . . . . . . 48
11.2 Functions Parametrized by Geometries . . . . . . . . . . . . . 50
11.3 Shape Continuity and Optimization . . . . . . . . . . . . . . 52
11.4 Derivatives, Shape and Tangential Differential Calculuses, and
Derivatives under State Constraints . . . . . . . . . . . . . . 53

2 Classical Descriptions of Geometries and Their Properties 55

1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
2 Notation and Definitions . . . . . . . . . . . . . . . . . . . . . . . . . 56
2.1 Basic Notation . . . . . . . . . . . . . . . . . . . . . . . . . . 56
2.2 Abelian Group Structures on Subsets of a Fixed Holdall D . 56
2.2.1 First Abelian Group Structure on (P(D),
) . . . . 57
2.2.2 Second Abelian Group Structure on (P(D), ) . . . 58
2.3 Connected Space, Path-Connected Space, and Geodesic
Distance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58
2.4 Bouligand’s Contingent Cone, Dual Cone, and Normal Cone 59
2.5 Sobolev Spaces . . . . . . . . . . . . . . . . . . . . . . . . . . 60
2.5.1 Definitions . . . . . . . . . . . . . . . . . . . . . . . 60
Contents ix

2.5.2 The Space W0m,p (Ω) . . . . . . . . . . . . . . . . . . 61

2.5.3 Embedding of H01 (Ω) into H01 (D) . . . . . . . . . . 62
2.5.4 Projection Operator . . . . . . . . . . . . . . . . . . 63
2.6 Spaces of Continuous and Differentiable Functions . . . . . . 63
2.6.1 Continuous and C k Functions . . . . . . . . . . . . 63
2.6.2 Hölder (C 0,
) and Lipschitz (C 0,1 ) Continuous
Functions . . . . . . . . . . . . . . . . . . . . . . . . 65
2.6.3 Embedding Theorem . . . . . . . . . . . . . . . . . 65
2.6.4 Identity C k,1 (Ω) = W k+1,∞ (Ω): From Convex to
Path-Connected Domains via the Geodesic Distance 66
3 Sets Locally Described by an Homeomorphism or a Diffeomorphism 67
3.1 Sets of Classes C k and C k,
. . . . . . . . . . . . . . . . . . . 67
3.2 Boundary Integral, Canonical Density, and Hausdorff Measures 70
3.2.1 Boundary Integral for Sets of Class C 1 . . . . . . . 70
3.2.2 Integral on Submanifolds . . . . . . . . . . . . . . . 71
3.2.3 Hausdorff Measures . . . . . . . . . . . . . . . . . . 72
3.3 Fundamental Forms and Principal Curvatures . . . . . . . . . 73
4 Sets Globally Described by the Level Sets of a Function . . . . . . . 75
5 Sets Locally Described by the Epigraph of a Function . . . . . . . . 78
5.1 Local C 0 Epigraphs, C 0 Epigraphs, and Equi-C 0 Epigraphs
and the Space H of Dominating Functions . . . . . . . . . . . 79
5.2 Local C k,
-Epigraphs and Hölderian/Lipschitzian Sets . . . . 87
5.3 Local C k,
-Epigraphs and Sets of Class C k,
. . . . . . . . . . 89
5.4 Locally Lipschitzian Sets: Some Examples and Properties . . 92
5.4.1 Examples and Continuous Linear Extensions . . . . 92
5.4.2 Convex Sets . . . . . . . . . . . . . . . . . . . . . . 93
5.4.3 Boundary Measure and Integral for Lipschitzian Sets 94
5.4.4 Geodesic Distance in a Domain and in Its Boundary 97
5.4.5 Nonhomogeneous Neumann and Dirichlet Problems 100
6 Sets Locally Described by a Geometric Property . . . . . . . . . . . 101
6.1 Definitions and Main Results . . . . . . . . . . . . . . . . . . 102
6.2 Equivalence of Geometric Segment and C 0 Epigraph
Properties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104
6.3 Equivalence of the Uniform Fat Segment and the Equi-C 0
Epigraph Properties . . . . . . . . . . . . . . . . . . . . . . . 109
6.4 Uniform Cone/Cusp Properties and Hölderian/Lipschitzian
Sets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113
6.4.1 Uniform Cone Property and Lipschitzian Sets . . . 114
6.4.2 Uniform Cusp Property and Hölderian Sets . . . . . 115
6.5 Hausdorff Measure and Dimension of the Boundary . . . . . 116

3 Courant Metrics on Images of a Set 123

1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
2 Generic Constructions of Micheletti . . . . . . . . . . . . . . . . . . . 124
2.1 Space F(Θ) of Transformations of RN . . . . . . . . . . . . . 124
2.2 Diffeomorphisms for B(RN , RN ) and C0∞ (RN , RN ) . . . . . . 136
x Contents

2.3 Closed Subgroups G . . . . . . . . . . . . . . . . . . . . . . . 138

2.4 Courant Metric on the Quotient Group F(Θ)/G . . . . . . . 140
2.5 Assumptions for B k (RN , RN ), C k (RN , RN ), and C0k (RN , RN ) 143
2.5.1 Checking the Assumptions . . . . . . . . . . . . . . 143
2.5.2 Perturbations of the Identity and Tangent Space . . 147
2.6 Assumptions for C k,1 (RN , RN ) and C0k,1 (RN , RN ) . . . . . . 149
2.6.1 Checking the Assumptions . . . . . . . . . . . . . . 149
2.6.2 Perturbations of the Identity and Tangent Space . . 151
3 Generalization to All Homeomorphisms and C k -Diffeomorphisms . . 153

4 Transformations Generated by Velocities 159

1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 159
2 Metrics on Transformations Generated by Velocities . . . . . . . . . 161
2.1 Subgroup GΘ of Transformations Generated by Velocities . . 161
2.2 Complete Metrics on GΘ and Geodesics . . . . . . . . . . . . 166
2.3 Constructions of Azencott and Trouvé . . . . . . . . . . . . . 169
3 Semiderivatives via Transformations Generated by Velocities . . . . 170
3.1 Shape Function . . . . . . . . . . . . . . . . . . . . . . . . . . 170
3.2 Gateaux and Hadamard Semiderivatives . . . . . . . . . . . . 170
3.3 Examples of Families of Transformations of Domains . . . . . 173
3.3.1 C ∞ -Domains . . . . . . . . . . . . . . . . . . . . . . 173
3.3.2 C k -Domains . . . . . . . . . . . . . . . . . . . . . . 175
3.3.3 Cartesian Graphs . . . . . . . . . . . . . . . . . . . 176
3.3.4 Polar Coordinates and Star-Shaped Domains . . . . 177
3.3.5 Level Sets . . . . . . . . . . . . . . . . . . . . . . . . 178
4 Unconstrained Families of Domains . . . . . . . . . . . . . . . . . . . 180
4.1 Equivalence between Velocities and Transformations . . . . . 180
4.2 Perturbations of the Identity . . . . . . . . . . . . . . . . . . 183
4.3 Equivalence for Special Families of Velocities . . . . . . . . . 185
5 Constrained Families of Domains . . . . . . . . . . . . . . . . . . . . 193
5.1 Equivalence between Velocities and Transformations . . . . . 193
5.2 Transformation of Condition (V2D ) into a Linear
Constraint . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200
6 Continuity of Shape Functions along Velocity Flows . . . . . . . . . 202

5 Metrics via Characteristic Functions 209

1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 209
2 Abelian Group Structure on Measurable Characteristic Functions . . 210
2.1 Group Structure on Xµ (RN ) . . . . . . . . . . . . . . . . . . 210
2.2 Measure Spaces . . . . . . . . . . . . . . . . . . . . . . . . . . 211
2.3 Complete Metric for Characteristic Functions in
Lp -Topologies . . . . . . . . . . . . . . . . . . . . . . . . . . . 212
3 Lebesgue Measurable Characteristic Functions . . . . . . . . . . . . 214
3.1 Strong Topologies and C ∞ -Approximations . . . . . . . . . . 214
3.2 Weak Topologies and Microstructures . . . . . . . . . . . . . 215
3.3 Nice or Measure Theoretic Representative . . . . . . . . . . . 220
Contents xi

3.4 The Family of Convex Sets . . . . . . . . . . . . . . . . . . . 223

3.5 Sobolev Spaces for Measurable Domains . . . . . . . . . . . . 224
4 Some Compliance Problems with Two Materials . . . . . . . . . . . 228
4.1 Transmission Problem and Compliance . . . . . . . . . . . . 228
4.2 The Original Problem of Céa and Malanowski . . . . . . . . . 235
4.3 Relaxation and Homogenization . . . . . . . . . . . . . . . . 239
5 Buckling of Columns . . . . . . . . . . . . . . . . . . . . . . . . . . . 240
6 Caccioppoli or Finite Perimeter Sets . . . . . . . . . . . . . . . . . . 244
6.1 Finite Perimeter Sets . . . . . . . . . . . . . . . . . . . . . . . 245
6.2 Decomposition of the Integral along Level Sets . . . . . . . . 251
6.3 Domains of Class W ε,p (D), 0 ≤ ε < 1/p, p ≥ 1, and a Cascade
of Complete Metric Spaces . . . . . . . . . . . . . . . . . . . 252
6.4 Compactness and Uniform Cone Property . . . . . . . . . . . 254
7 Existence for the Bernoulli Free Boundary Problem . . . . . . . . . . 258
7.1 An Example: Elementary Modeling of the Water Wave . . . 258
7.2 Existence for a Class of Free Boundary Problems . . . . . . . 260
7.3 Weak Solutions of Some Generic Free Boundary Problems . . 262
7.3.1 Problem without Constraint . . . . . . . . . . . . . 262
7.3.2 Constraint on the Measure of the Domain Ω . . . . 264
7.4 Weak Existence with Surface Tension . . . . . . . . . . . . . 265

6 Metrics via Distance Functions 267

1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 267
2 Uniform Metric Topologies . . . . . . . . . . . . . . . . . . . . . . . 268
2.1 Family of Distance Functions Cd (D) . . . . . . . . . . . . . . 268
2.2 Pompéiu–Hausdorff Metric on Cd (D) . . . . . . . . . . . . . . 269
2.3 Uniform Complementary Metric Topology and Cdc (D) . . . . 275
2.4 Families Cdc (E; D) and Cd,loc
c
(E; D) . . . . . . . . . . . . . . . 278
3 Projection, Skeleton, Crack, and Differentiability . . . . . . . . . . . 279
4 W 1,p -Metric Topology and Characteristic Functions . . . . . . . . . 292
4.1 Motivations and Main Properties . . . . . . . . . . . . . . . . 292
4.2 Weak W 1,p -Topology . . . . . . . . . . . . . . . . . . . . . . . 296
5 Sets of Bounded and Locally Bounded Curvature . . . . . . . . . . . 299
5.1 Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 301
6 Reach and Federer’s Sets of Positive Reach . . . . . . . . . . . . . . 303
6.1 Definitions and Main Properties . . . . . . . . . . . . . . . . 303
6.2 C k -Submanifolds . . . . . . . . . . . . . . . . . . . . . . . . . 310
6.3 A Compact Family of Sets with Uniform Positive Reach . . . 315
7 Approximation by Dilated Sets/Tubular Neighborhoods and Critical
Points . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 316
8 Characterization of Convex Sets . . . . . . . . . . . . . . . . . . . . 318
8.1 Convex Sets and Properties of dA . . . . . . . . . . . . . . . . 318
8.2 Semiconvexity and BV Character of dA . . . . . . . . . . . . 320
8.3 Closed Convex Hull of A and Fenchel Transform of dA . . . . 322
8.4 Families of Convex Sets Cd (D), Cdc (D), Cdc (E; D), and
Cd,loc
c
(E; D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 323
xii Contents

9 Compactness Theorems for Sets of Bounded Curvature . . . . . . . . 324

9.1 Global Conditions in D . . . . . . . . . . . . . . . . . . . . . 325
9.2 Local Conditions in Tubular Neighborhoods . . . . . . . . . . 327

7 Metrics via Oriented Distance Functions 335

1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 335
2 Uniform Metric Topology . . . . . . . . . . . . . . . . . . . . . . . . 337
2.1 The Family of Oriented Distance Functions Cb (D) . . . . . . 337
2.2 Uniform Metric Topology . . . . . . . . . . . . . . . . . . . . 339
3 Projection, Skeleton, Crack, and Differentiability . . . . . . . . . . . 344
4 W 1,p (D)-Metric Topology and the Family Cb0 (D) . . . . . . . . . . . 349
4.1 Motivations and Main Properties . . . . . . . . . . . . . . . . 349
4.2 Weak W 1,p -Topology . . . . . . . . . . . . . . . . . . . . . . . 352
5 Boundary of Bounded and Locally Bounded Curvature . . . . . . . . 354
5.1 Examples and Limit of Tubular Norms as h Goes to Zero . . 355
6 Approximation by Dilated Sets/Tubular Neighborhoods . . . . . . . 358
7 Federer’s Sets of Positive Reach . . . . . . . . . . . . . . . . . . . . . 361
7.1 Approximation by Dilated Sets/Tubular Neighborhoods . . . 361
7.2 Boundaries with Positive Reach . . . . . . . . . . . . . . . . . 363
8 Boundary Smoothness and Smoothness of bA . . . . . . . . . . . . . 365
9 Sobolev or W m,p Domains . . . . . . . . . . . . . . . . . . . . . . . . 373
10 Characterization of Convex and Semiconvex Sets . . . . . . . . . . . 375
10.1 Convex Sets and Convexity of bA . . . . . . . . . . . . . . . . 375
10.2 Families of Convex Sets Cb (D), Cb (E; D), and
Cb,loc (E; D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 379
10.3 BV Character of bA and Semiconvex Sets . . . . . . . . . . . 380
11 Compactness and Sets of Bounded Curvature . . . . . . . . . . . . . 381
11.1 Global Conditions on D . . . . . . . . . . . . . . . . . . . . . 382
11.2 Local Conditions in Tubular Neighborhoods . . . . . . . . . . 382
12 Finite Density Perimeter and Compactness . . . . . . . . . . . . . . 385
13 Compactness and Uniform Fat Segment Property . . . . . . . . . . . 387
13.1 Main Theorem . . . . . . . . . . . . . . . . . . . . . . . . . . 387
13.2 Equivalent Conditions on the Local Graph Functions . . . . . 391
14 Compactness under the Uniform Fat Segment Property and a Bound
on a Perimeter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 393
14.1 De Giorgi Perimeter of Caccioppoli Sets . . . . . . . . . . . . 393
14.2 Finite Density Perimeter . . . . . . . . . . . . . . . . . . . . . 394
15 The Families of Cracked Sets . . . . . . . . . . . . . . . . . . . . . . 394
16 A Variation of the Image Segmentation Problem of Mumford
and Shah . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400
16.1 Problem Formulation . . . . . . . . . . . . . . . . . . . . . . 400
16.2 Cracked Sets without the Perimeter . . . . . . . . . . . . . . 401
16.2.1 Technical Lemmas . . . . . . . . . . . . . . . . . . . 401
16.2.2 Another Compactness Theorem . . . . . . . . . . . 402
16.2.3 Proof of Theorem 16.1 . . . . . . . . . . . . . . . . . 402
16.3 Existence of a Cracked Set with Minimum Density Perimeter 405
Contents xiii

16.4 Uniform Bound or Penalization Term in the Objective

Function on the Density Perimeter . . . . . . . . . . . . . . . 407

8 Shape Continuity and Optimization 409

1 Introduction and Generic Examples . . . . . . . . . . . . . . . . . . . 409
1.1 First Generic Example . . . . . . . . . . . . . . . . . . . . . . 411
1.2 Second Generic Example . . . . . . . . . . . . . . . . . . . . . 411
1.3 Third Generic Example . . . . . . . . . . . . . . . . . . . . . 411
1.4 Fourth Generic Example . . . . . . . . . . . . . . . . . . . . . 412
2 Upper Semicontinuity and Maximization of the First Eigenvalue . . 412
3 Continuity of the Transmission Problem . . . . . . . . . . . . . . . . 417
4 Continuity of the Homogeneous Dirichlet Boundary Value Problem . 418
4.1 Classical, Relaxed, and Overrelaxed Problems . . . . . . . . . 418
4.2 Classical Dirichlet Boundary Value Problem . . . . . . . . . . 421
4.3 Overrelaxed Dirichlet Boundary Value Problem . . . . . . . . 423
4.3.1 Approximation by Transmission Problems . . . . . . 423
4.3.2 Continuity with Respect to X(D) in the
Lp (D)-Topology . . . . . . . . . . . . . . . . . . . . 424
4.4 Relaxed Dirichlet Boundary Value Problem . . . . . . . . . . 425
5 Continuity of the Homogeneous Neumann Boundary Value Problem 426
6 Elements of Capacity Theory . . . . . . . . . . . . . . . . . . . . . . 429
6.1 Definition and Basic Properties . . . . . . . . . . . . . . . . . 429
6.2 Quasi-continuous Representative and H 1 -Functions . . . . . . 431
6.3 Transport of Sets of Zero Capacity . . . . . . . . . . . . . . . 432
7 Crack-Free Sets and Some Applications . . . . . . . . . . . . . . . . 434
7.1 Definitions and Properties . . . . . . . . . . . . . . . . . . . . 434
7.2 Continuity and Optimization over L(D, r, O, λ) . . . . . . . . 437
7.2.1 Continuity of the Classical Homogeneous Dirichlet
Boundary Condition . . . . . . . . . . . . . . . . . . 437
7.2.2 Minimization/Maximization of the First
Eigenvalue . . . . . . . . . . . . . . . . . . . . . . . 438
8 Continuity under Capacity Constraints . . . . . . . . . . . . . . . . . 440
9 Compact Families Oc,r (D) and Lc,r (O, D) . . . . . . . . . . . . . . . 447
9.1 Compact Family Oc,r (D) . . . . . . . . . . . . . . . . . . . . 447
9.2 Compact Family Lc,r (O, D) and Thick Set Property . . . . . 450
9.3 Maximizing the Eigenvalue λA (Ω) . . . . . . . . . . . . . . . 452
9.4 State Constrained Minimization Problems . . . . . . . . . . . 453
9.5 Examples with a Constraint on the Gradient . . . . . . . . . 454

9 Shape and Tangential Differential Calculuses 457

1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 457
2 Review of Differentiation in Topological Vector Spaces . . . . . . . . 458
2.1 Definitions of Semiderivatives and Derivatives . . . . . . . . . 458
2.2 Derivatives in Normed Vector Spaces . . . . . . . . . . . . . . 461
2.3 Locally Lipschitz Functions . . . . . . . . . . . . . . . . . . . 465
2.4 Chain Rule for Semiderivatives . . . . . . . . . . . . . . . . . 465
xiv Contents

2.5 Semiderivatives of Convex Functions . . . . . . . . . . . . . . 467

2.6 Hadamard Semiderivative and Velocity Method . . . . . . . . 469
3 First-Order Shape Semiderivatives and Derivatives . . . . . . . . . . 471
3.1 Eulerian and Hadamard Semiderivatives . . . . . . . . . . . . 471
3.2 Hadamard Semidifferentiability and Courant Metric
Continuity . . . . . . . . . . . . . . . . . . . . . . . . . . . . 476
3.3 Perturbations of the Identity and Gateaux and Fréchet
Derivatives . . . . . . . . . . . . . . . . . . . . . . . . . . . . 476
3.4 Shape Gradient and Structure Theorem . . . . . . . . . . . . 479
4 Elements of Shape Calculus . . . . . . . . . . . . . . . . . . . . . . . 482
4.1 Basic Formula for Domain Integrals . . . . . . . . . . . . . . 482
4.2 Basic Formula for Boundary Integrals . . . . . . . . . . . . . 484
4.3 Examples of Shape Derivatives . . . . . . . . . . . . . . . . . 486
4.3.1 Volume of Ω and Surface Area of Γ . . . . . . . . . 486
4.3.2 H 1 (Ω)-Norm . . . . . . . . . . . . . . . . . . . . . . 487
4.3.3 Normal Derivative . . . . . . . . . . . . . . . . . . . 488
5 Elements of Tangential Calculus . . . . . . . . . . . . . . . . . . . . 491
5.1 Intrinsic Definition of the Tangential Gradient . . . . . . . . 492
5.2 First-Order Derivatives . . . . . . . . . . . . . . . . . . . . . 495
5.3 Second-Order Derivatives . . . . . . . . . . . . . . . . . . . . 496
5.4 A Few Useful Formulae and the Chain Rule . . . . . . . . . . 497
5.5 The Stokes and Green Formulae . . . . . . . . . . . . . . . . 498
5.6 Relation between Tangential and Covariant Derivatives . . . 498
5.7 Back to the Example of Section 4.3.3 . . . . . . . . . . . . . . 501
6 Second-Order Semiderivative and Shape Hessian . . . . . . . . . . . 501
6.1 Second-Order Derivative of the Domain Integral . . . . . . . 502
6.2 Basic Formula for Domain Integrals . . . . . . . . . . . . . . 504
6.3 Nonautonomous Case . . . . . . . . . . . . . . . . . . . . . . 505
6.4 Autonomous Case . . . . . . . . . . . . . . . . . . . . . . . . 510
6.5 Decomposition of d2 J(Ω; V (0), W (0)) . . . . . . . . . . . . . 515

10 Shape Gradients under a State Equation Constraint 519

1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 519
2 Min Formulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 521
2.1 An Illustrative Example and a Shape Variational Principle . 521
2.2 Function Space Parametrization . . . . . . . . . . . . . . . . 522
2.3 Differentiability of a Minimum with Respect to a
Parameter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 523
2.4 Application of the Theorem . . . . . . . . . . . . . . . . . . . 526
2.5 Domain and Boundary Integral Expressions of the Shape
Gradient . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 530
3 Buckling of Columns . . . . . . . . . . . . . . . . . . . . . . . . . . . 532
4 Eigenvalue Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . 535
4.1 Transport of H0k (Ω) by W k,∞ -Transformations of RN . . . . 536
4.2 Laplacian and Bi-Laplacian . . . . . . . . . . . . . . . . . . . 537
4.3 Linear Elasticity . . . . . . . . . . . . . . . . . . . . . . . . . 546
Contents xv

5 Saddle Point Formulation and Function Space Parametrization . . . 551

5.1 An Illustrative Example . . . . . . . . . . . . . . . . . . . . . 551
5.2 Saddle Point Formulation . . . . . . . . . . . . . . . . . . . . 552
5.3 Function Space Parametrization . . . . . . . . . . . . . . . . 553
5.4 Differentiability of a Saddle Point with Respect to a
Parameter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 555
5.5 Application of the Theorem . . . . . . . . . . . . . . . . . . . 559
5.6 Domain and Boundary Expressions for the Shape Gradient . 561
6 Multipliers and Function Space Embedding . . . . . . . . . . . . . . 562
6.1 The Nonhomogeneous Dirichlet Problem . . . . . . . . . . . . 562
6.2 A Saddle Point Formulation of the State Equation . . . . . . 563
6.3 Saddle Point Expression of the Objective Function . . . . . . 564
6.4 Verification of the Assumptions of Theorem 5.1 . . . . . . . . 566

Elements of Bibliography 571

Index of Notation 615

Index 619
 List of Figures

1.1 Graph of J(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

1.2 Column of height one and cross section area A under the load . . . 5
1.3 Triangulation and basis function associated with node Mi . . . . . . . 8
1.4 Fixed domain D and its partition into Ω1 and Ω2 . . . . . . . . . . . 11
1.5 Heat spreading scheme for high-power solid-state devices. . . . . . . 14
1.6 (A) Volume Ω and its boundary Σ; (B) Surface A generating Ω;

. . . . . . . . . . . . . . . . . . . . .
(C) Surface D generating Ω. . . 15
1.7 Volume Ω and its cross section. . . . . . . . . . . . . . . . . . . . . . 19
1.8 Volume Ω
and its generating surface A. . . . . . . . . . . . . . . . . 20
1.9 Image I of objects and their segmentation in the frame D. . . . . . . 22
1.10 Image I containing black curves or cracks in the frame D. . . . . . . 22
1.11 Example of a two-dimensional strongly cracked set. . . . . . . . . . . 35
1.12 Example of a surface with facets associated with a ball. . . . . . . . 37

2.1 Diffeomorphism gx from U (x) to B. . . . . . . . . . . . . . . . . . . 68

2.2 Local epigraph representation (N = 2). . . . . . . . . . . . . . . . . . 79
2.3 Domain Ω0 and its image T (Ω0 ) spiraling around the origin. . . . . . 91
2.4 Domain Ω0 and its image T (Ω0 ) zigzagging towards the origin. . . . 92
2.5 Examples of arbitrary and axially symmetrical O around the
direction d = Ax (0, eN ). . . . . . . . . . . . . . . . . . . . . . . . . . 109
2.6 The cone x + Ax C(λ, ω) in the direction Ax eN . . . . . . . . . . . . . 114
2.7 Domain Ω for N = 2, 0 < α < 1, e2 = (0, 1), ρ = 1/6, λ = (1/6)α ,
h(θ) = θ α . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 118
2.8 f (x) = dC (x)1/2 constructed on the Cantor set C for 2k + 1 = 3. . . 119

4.1 Transport of Ω by the velocity field V . . . . . . . . . . . . . . . . . . 171

5.1 Smiling sun Ω and expressionless sun Ω.
. . . . . . . . . . . . . . . . 220

5.2 Disconnected domain Ω = Ω0 ∪ Ω1 ∪ Ω2 . . . . . . . . . . . . . . . . . 227
5.3 Fixed domain D and its partition into Ω1 and Ω2 . . . . . . . . . . . 228
5.4 The function f (x, y) = 56 (1 − |x| − |y|)6 . . . . . . . . . . . . . . . . 234
5.5 Optimal distribution and isotherms with k1 = 2 (black) and k2 =1
(white) for the problem of section 4.1. . . . . . . . . . . . . . . . . . 235
5.6 Optimal distribution and isotherms with k1 = 2 (black) and k2 =1
(white) for the problem of Céa and Malanowski. . . . . . . . . . . . 239

xvii
xviii List of Figures

5.7 The staircase. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 248

6.1 Skeletons Sk (A), Sk (A), and Sk (∂A) = Sk (A) ∪ Sk (A). . . . . . 280

6.2 Nonuniqueness of the exterior normal. . . . . . . . . . . . . . . . . . 286
6.3 Vertical stripes of Example 4.1. . . . . . . . . . . . . . . . . . . . . . 293
6.4 ∇dA for Examples 5.1, 5.2, and 5.3. . . . . . . . . . . . . . . . . . . 301
6.5 Set of critical points of A. . . . . . . . . . . . . . . . . . . . . . . . . 318

7.1 ∇bA for Examples 5.1, 5.2, and 5.3. . . . . . . . . . . . . . . . . . . . 356

7.2 W 1,p -convergence of a sequence of open subsets {An : n ≥ 1} of R2
with uniformly bounded density perimeter to a set with empty
interior. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 387
7.3 Example of a two-dimensional strongly cracked set. . . . . . . . . . . 396
7.4 The two-dimensional strongly cracked set of Figure 7.3 in an open
frame D. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400
7.5 The two open components Ω1 and Ω2 of the open domain Ω for
N = 2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 406
 Preface

1 Objectives and Scope of the Book

The objective of this book is to give a comprehensive presentation of mathematical
constructions and tools that can be used to study problems where the modeling,
optimization, or control variable is no longer a set of parameters or functions but
the shape or the structure of a geometric object. In that context, a good analytical
framework and good modeling techniques must be able to handle the occurrence of
singular behaviors whenever they are compatible with the mechanics or the physics
of the problems at hand. In some optimization problems, the natural intuitive
notion of a geometric domain undergoes mutations into relaxed entities such as
microstructures. So the objects under consideration need not be smooth open do-
mains, or even sets, as long as they still makes sense mathematically.
This book covers the basic mathematical ideas, constructions, and methods
that come from different fields of mathematical activities and areas of applications
that have often evolved in parallel directions. The scope of research is frighteningly
broad because it touches on areas that include classical geometry, modern partial dif-
ferential equations, geometric measure theory, topological groups, and constrained
optimization, with applications to classical mechanics of continuous media such as
fluid mechanics, elasticity theory, fracture theory, modern theories of optimal de-
sign, optimal location and shape of geometric objects, free and moving boundary
problems, and image processing. Innovative modeling or new issues raised in some
applications force a new look at the fundamentals of well-established mathematical
areas such as geometry, to relax basic notions of volume, perimeter, and curvature
or boundary value problems, and to find suitable relaxations of solutions. In that
spirit, Henri Lebesgue was probably a pioneer when he relaxed the intuitive notion
of volume to the one of measure on an equivalence class of measurable sets in 1907.
He was followed in that endeavor in the early 1950s by the celebrated work of E. De
Giorgi, who used the relaxed notion of perimeter defined on the class of Caccioppoli
sets to solve Plateau’s problem of minimal surfaces.
The material that is pertinent to the study of geometric objects and the en-
tities and functions that are defined on them would necessitate an encyclopedic
investment to bring together the basic theories and their fields of applications. This
objective is obviously beyond the scope of a single book and two authors. The

xix
Another Random Scribd Document
with Unrelated Content
 Milepora , dichotoma m unceta, Sclerophytum hirtum Ss
Heliopora coeruli Seriatopora. hystrix DISTRIBUTION OF ANIMAL
COMMUNITIES 15 rivers and standing waters contain considerably
more salts (e.g. places like the Norfolk Broads or the meres of
Lancashire and Cheshire). Then there is a rather sudden increase in
the steepness of the gradient through brackish water lagoons and
estuaries to the sea,itself. ‘The sea, having been there i] PORIT mee
dne| "TONE VCROPORA Zone| SCLEROPHYTUM Zone |GouDER
Zones}. eo palmatum Qe Pocillopora. bulbosa. (ae SEE eee /
 16 ANIMAL ECOLOGY are important (particularly
temperature), but the salt content itself is undoubtedly very
important as a controlling factor, since it acts not only directly but
also by affecting the hydrogen ion concentration of the water. 13.
Within each of the big zones which owe their existence to major
differences in climate there are numerous smaller gradients in outer
conditions, each of which gives rise to a series of more or less well-
marked associations of plants and animals. ‘These gradients are
caused by local variations in soil and climate, or by biotic factors
such as grazing by animals. One obvious example is the gradient in
the amount of water in the soil. At one end we may find the animal
community of a dry heather moor, and at the other the community
of freefloating and free-swimming animals which form the plankton
of a lake. Between these two extremes there would be zones of
marsh, reed swamp, and so on, each with a distinctive set of
animals. "These various zones are due to the fact that at one end of
the gradient there is much soil and practically no water (at any rate
in summer), while at the other there is much water and very little
soil, the proportion of soil and water gradually changing in between.
| 14. We can carry the subdivision of animal communities further
and split up one ordinary plant association, like an oak wood, into
several animal habitats, e.g. tree-tops, tree-trunks, lower vegetation,
ground surface, and underground, and we should find that each of
these habitats contained an animal community which could be
treated to some extent at least as a self-contained unit. Again, each
species of plant has a number of animals dependent upon it, and
one way of studying the ecology of the animals would be to take
each plant separately and work out its fauna. Finally, each animal
may contain within its own body a small fauna of parasites, and
these again can be split up into associations according to the part of
the body which they inhabit. If we examine the parasites of a
mouse, for instance, we find that the upper part of the intestine, the
lower part, the caecum, the skin, the ears, each have their peculiar
fauna. It is obviously impossible to enumerate all the different
 DISTRIBUTION OF ANIMAL COMMUNITIES 17 gradients in
the environment and all the different communities of animals which
inhabit them. One habitat alone, the edge of a pond, or the ears of
mammals, would require a whole book if it were to be treated in an
adequate way. The aim of the foregoing sketch of the whole subject
is to show that the term ‘‘ animal community ” is really a very elastic
one, since we can use it to describe on the one hand the fauna of
equatorial forest, and on the other hand the fauna of a mouse’s
czecum. For general descriptions of the animal communities of the
more important habitats, the reader may be referred to a book on
animal geography by Hesse,’!! and to a more recent book by
Haviland.” 15. The attention of ecologists has been directed hitherto
mainly towards describing the differences between animal
communities rather than to the fundamental similarity between them
all. The study of these differences forms a kind of animal ethnology,
while the study of the resemblances may be compared to human
sociology (soon to become social science). As a matter of fact,
although a very large body of facts of the first type has been
accumulated, few important generalisations have as yet been made
from it. So much is this the case that many biologists view with
despair the prospect of trying to learn anything about ecology, since
the subject appears to them at first sight as a mass of uncoordinated
and _ indigestible facts. It is quite certain that some powerful
digestive juice is required which will aid in the assimilation of this
mass of interesting but unrelated facts. We have to face the fact that
while ecological work is fascinating to do, it is unbearably dull to
read about, and this must be because there are so many separate
interesting facts and tiny problems in the lives of animals, but few
ideas to link the facts together. It seems certain that the key to the
situation lies in the study of animal communities from the
sociological point of view. This branch of ecology is treated in
Chapter V., but first of all it is necessary to say something about the
subject of ecological succession— an important phenomenon
discovered by botanists, since it enables us to get a fuller
understanding of the distribution and relations of animal and plant
communities. Cc
 CHAPTER III ECOLOGICAL SUCCESSION A number of
changes (1) are always taking place in animal communities, (2) one
of the most important of which is ecological succession, which (3)
causes plant associations to move about slowly on the earth’s
surface, and (4) is partly due to an unstable environment and partly
to plant development which typically consists (5) of a sere of
associations starting with a bare area and ending with a climax
association. (6) Each region has a typical set of seres on different
types of country which (7) may be studied in various ways, of which
the best is direct observation of the changes as in (8) the heather
moor described by Ritchie or (9) the changes following the flooding
and redraining of the Yser region described by Massart or (10) a hay
infusion ; but (11) indirect evidence may be obtained as in the case
of Shelford’s tiger beetles. (12) The stages in succession are not
sharply separated and (13) raise a number of interesting problems
about competition between species of animals, which (14) may be
best studied in very simple communities. (15) In the sea, succession
in dominant sessile animals may closely resemble that of land plants,
while (16) on land, animals often control the direction of succession
in the plants. ‘Therefore (17) plant ecologists cannot afford to ignore
animals, while a knowledge of plant succession is essential for
animal ecologists. 1. WE have spoken of animal communities so
frequently in the last chapter that the reader may be in danger of
becoming hypnotised by the mere word ‘‘ community ” into thinking
that the assemblage of animals in each habitat forms a completely
separate unit, isolated from its surroundings and quite permanent
and indestructible. Nothing could be farther from the true state of
affairs. ‘The personnel of every community of animals is constantly
changing with the ebb and flow of the seasons, with changing
weather, and a number of other periodic rhythms in the outer
environment. As a result of this it is never possible to find all the
members of an animal community active or even on the spot at all at
any one moment. 'To this subject we shall return in the chapter on
the Time Factor in Animal Communities, since its 18
 ECOLOGICAL SUCCESSION 19 discussion comes more
suitably under the structure of animal communities than under their
distribution. 2. There is another type of change going on in nearly all
communities, the gradual change known as ecological succession,
and with this we will now deal. Such changes are sometimes huge
and last a long time, like the advance and retreat of ice ages with
their accompanying pendulum swing from a temperate climate with
beech and oak forests and chaffinches, to an arctic one with tundra
and snow buntings, or even the complete blotting out of all life by a
thick sheet of ice. They may, on the other hand, be on a small scale.
Mr. J. D. Brown watched for some years the inhabitants of a hollow
in a beech tree, and the ecological succession of the fauna. At first
an owl used it for nesting purposes, but as the tissues of the tree
grew round the entrance to the hollow it became too small for owls
to get into, and the place was then occupied by nesting starlings.
Later the hole grew smaller still until after some years no bird could
get in, and instead a colony of wasps inhabited it. ‘The last episode
in this story was the complete closing up of the entrance-hole. This
example may sound trivial, but it is an instance of the kind of
changes which are going on continuously in the environment of
animals. 3. If it were possible for an ecologist to go up in a balloon
and stay there for several hundred years quietly observing the
countryside below him, he would no doubt notice a number of
curious things before he died, but above all he would notice that the
zones of vegetation appeared to be moving about slowly and
deliberately in different directions. The plants round the edges of
ponds would be seen marching inwards towards the centre until no
trace was left of what had once been pieces of standing water in a
field. Woods might be seen advancing over grassland or heaths,
always preceded by a vanguard of shrubs and smaller trees, or in
other places they might be retreating; and he might see even from
that height a faint brown scar marking the warren inhabited by the
rabbits which were bringing this about. Again and again fires would
devastate parts of the country, low-lying areas would be flooded, or
pieces of water dried up, and in every
 20 ANIMAL ECOLOGY case it would take a good many years
for the vegetation to reach its former state. Although bare areas
would constantly be formed through various agencies, only a short
time would elapse before they were clothed with plants once more.
There are very few really permanent bare areas to be met with in
nature. Rocks which appear bare at a distance are nearly always
covered with lichens, and usually support a definite though meagre
fauna, ranging from rotifers to eagles. Apparently barren places like
lakes contain a huge microscopic flora and fauna, and even
temporary pools of rain-water are colonised with almost miraculous
rapidity by protozoa and other small animals. 4. It is the exception
rather than the rule for any habitat to remain the same for a long
period of years. Slow geological processes, like erosion and
deposition by rivers and by the sea, are at work everywhere. ‘Then
there are sudden disasters, like fires, floods, droughts, avalanches,
the introduction of civilised Europeans and of rabbits, any of which
may destroy much of the existing vegetation. ‘There is a third kind of
change which is extremely important but not so obvious, and is the
more interesting since its movements are orderly and often
predictable. ‘This is the process known as the development of plant
communities. Development is a term used by plant ecologists in a
special technical sense, to include changes in plant communities
which are solely or largely brought about by the activities of the
plants themselves. Plants, like many animals, are constantly
moulting, and the dead leaves produced accumulate in the soil
below them and help to form humus. ‘This humus changes the
character of the soil in such a way that it may actually become no
longer suitable for the plants that live there, with the result that
other species come in and replace them. Sometimes the seedlings of
the dominant plant (e.g. a forest tree) are unable to grow up
properly in the shade of their own parents, while those of other
trees can. ‘This again leads to the gradual replacement of one
community by another. When a bare area is formed by any of the
agencies we have mentioned, e.g. the changing course of a river, it
is first
 ECOLOGICAL SUCCESSION 21 colonised by mosses or alge
or lichens ; these are driven out by low herbs, which kill the pioneer
mosses by their shade ; these again may be followed by a shrub
stage; and finally a woodland community is formed, with some of
the earlier pioneers still living in the shade of the trees. This
woodland may form a comparatively stable phase, and is then called
a climax association, or it may give way to one or more further
forest stages dominated by different species of trees in the manner
described above. It is not really possible to separate development of
communities from succession caused by extrinsic changes, such as
the gradual leaching out of salts from the soil or other such factors
unconnected with the plants themselves. The important idea to
grasp is that plants react on their surroundings and in many cases
drive themselves out. In the early stages of colonisation of bare
areas the succession is to a large extent a matter of the time taken
for the different plants to get there and grow up; for obviously
mosses can colonise more quickly than trees. 5. In any one region
the kind of climax reached depends primarily upon the climate. In
high Arctic regions succession may never get beyond a closed
association of lichens, containing no animals whatsoever. In milder
Arctic regions a low shrub climax is attained, while farther south the
natural climax is forest or in some cases heath, according to whether
the climate is of a continental or an oceanic type. Sometimes
ecological succession is held up by other agencies than climate and
prevented from reaching its natural climax. In such cases it is a
common custom to refer to the stage at which it stops as a sub-
climax. A great deal of grassland and heath comes under this
heading, for further development is prevented by grazing animals,
which destroy the seedlings of the stage next in succession. An area
of typical heather moor in the New Forest was fenced off for several
years from grazing ponies and cattle by its owner, with the
immediate result that birches and pines appeared by natural
colonisation, and the young pines, although slower in growth than
the birches, will ultimately replace them and form a pine wood. Here
grazing was the sole factor preventing normal ecological © rao
 22 ANIMAL ECOLOGY succession. ‘The same thing is well
known to occur in a great many places when heather or grass is
protected, the important animals varying in different places, being
usually cattle, sheep, horses, or rabbits, or even mice. - 6. We begin
to see that the succession of plant communities does not take place
at random, but in a series of orderly stages, which can be predicted
with some accuracy. ‘The exact type of communities and the order in
which they replace one another depend upon the climate and soil
and other local factors, such as grazing. It is possible to classify
different series of stages in succession in any one area, the term “
sere’ being used to denote a complete change from a bare area in
water or soil up PinEWooD Before felling _ After felling { Usualt ith =
MOLINIA Mixep Woon ren . pein J” (loeatty) < 7 7 étinte2 Mocinia A
—>MotiniA-Juneus__,Bi CH EcoToNne RUBA ASssocieés Bos
Societies) ———» SPHAGNUM Bag = > —Cither has occurred or in
progress Et > Probabie $rom observations ( See Text) Fic. 2.—The
diagram shows the stages in ecological succession follow-" ing
colonisation of damp bare areas formed by felling of a pine wood on
Oxshott Common. The succession is different on the drier areas.
(From Summerhayes and Williams.}?°) to a climax like pine wood
(cf. Fig 2). Each type of soil, etc., has a different type of ‘‘ sere ”
which tends to develop upon it, but they all have one character in
common: bare areas are usually very wet or very dry, and the
tendency of succession is always to establish a climax which is living
in soil of an intermediate wetness—a type of vegetation called “
mesophytic,” of which a typical example is an oak wood. Thus a dry
rock surface gains ultimately a fairly damp soil by the deposition of
humus, while a water-logged soil is gradually raised above the
water-level by the same agency, so that there tends to appear a
habitat in which the expenditure by plants and by direct loss from
the soil is suitably balanced by the
 PLATE III (z) A typical stretch of high arctic dry tundra,
inhabited by reindeer, arctic fox, etc. (The photograph was taken in
August, 1924, by Dr. K. S. Sandford, on.Reindeer Peninsula, North
Spitsbergen. ) (6) Drifting pack-ice near North-East Land
(Spitsbergen Archipelago), with the bearded seal (Ziignathus
barbatus) lying on a floe. (Photographed ,by Mr. J. D. Brown, July,
1923.)
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 ECOLOGICAL SUCCESSION 23 income of water, and
extremes of environment are avoided. This is, of course, only a
rough generalisation and applies especially to temperate regions, but
it explains why we often get seres on very different kinds of bare
areas converging towards the same final climax. 7. The account of
this subject given above is necessarily brief, and a much fuller
account is given by Tansley in his book Practical Plant Ecology,!5
which is essential to the work of all animal ecologists. Clements has
treated the whole subject in stupendous detail in his monograph
Plant Succession,®® which is illustrated by a very fine series of
photographs of plant communities. Let us now consider a few
examples of succession in animal and plant communities. It is clearly
impracticable to take more than a few species as examples of
changes in whole communities, and naturally the exclusives afford
the most striking ones. ‘There are several ways in which animal
succession can be studied. ‘The best way is to watch one spot
changing over a series of years and record what happens to the
fauna. ‘This is the method least practised, but the most likely to lead
to productive results, since we stand a good chance of seeing how
the structure of the communities is altered as one grades into
another. Yapp 3! says: “‘ We may perhaps regard the organisms,
both plants and animals, occupying any given habitat, as woven into
a complex but unstable web of life. The character of the web may
change as new organisms appear on the scene and old ones
disappear during the phases of succession, but the web itself
remains.” It is just the changes in this “‘ web ”’ about which we
know so little at present, and that is why study of the actual changes
will always be the most valuable. 8. One of the most interesting and
clear-cut examples of succession, recorded by Ritchie,’** is so
striking that it has been often quoted, and is worth quoting again
here. He describes the manner in which a typical heather moor in
the south of Scotland, with its normal inhabitant, the red grouse
(Lagopus scoticus), was converted in the short space of fifteen years
into a waste of rushes and docks, inhabited by a huge
 ® 24 ANIMAL ECOLOGY colony of black-headed gulls
(Larus ridibundus), and then in about ten years turned back again
into a moor like the original one. ‘These events were brought about
by the arrival of a few pairs of gulls which nested there for the first
time in about 1892. ‘The gulls were protected by the owner, and
after fifteen years they had increased prodigiously until there were
well over 3,000 birds nesting. The occupation of the ground by gulls,
with its accompanying manuring and trampling of the soil, caused
the heather to disappear gradually and to give way to coarse grass.
‘The grass was then largely replaced by rushes (Juncus), and the
latter ultimately by a mass of docks (Rumex). At the same time
pools of water formed among the vegetation and attracted numbers
of teal (Anas crecca). ‘The grouse meanwhile had vanished. ‘Then
protection of the gulls ceased, and their numbers began to decrease
again, until in 1917 there were less than sixty gulls nesting, the teal
had practically disappeared, and the grouse were beginning to
return. In fact, with the cessation of “ gull action’ on the ground the
place gradually returned to its original state as a heather moor. As
Ritchie remarks, there must have been a huge number of similar
changes among the lower animals which also would be profoundly
affected by the changes in vegetation. g. Another striking story is
that told us by Massart,®° who studied the changes wrought during
the war by the flooding of parts of Belgium in the Yser district. Here
the sea was allowed by the Belgian engineers to inundate the
country in order to prevent the advance of the German army. The
sea-water killed off practically every single plant in this district, and
all available places were very soon colonised by marine animals and
plants, space being valuable in the sea. When the country was
drained again at the end of the war, ecological succession was seen
taking place on a generous scale. At first the bare ““sea-bottom ”
was colonised by a flora of salt-marsh plants, but these gave way
gradually to an almost normal vegetation until in many places the
only traces of the advance and retreat of the sea were the skeletons
of barnacles (Balanus) and mussels (/Mytilus) on fences and notice-
boards, and the presence
 ECOLOGICAL SUCCESSION 25 of prawns (Palemonetes
varians) left behind in some of the shell holes. 10. Ecological
succession may easily be studied experimentally by making a hay
infusion in water and leaving it exposed to the air for several weeks.
Bacteria are the first things to become abundant, since they live
upon the decaying vegetable matter. ‘Then various protozoa appear,
and it is possible to see a whole animal community being gradually
built up, as each new species arrives and multiplies and fits into its
proper niche. In a hay infusion the bacteria are followed by small
ciliate protozoa of the Paramecium type, which subsist upon bacteria
and also by absorbing substances in solution and in suspension in
the water. ‘Then there are larger hypotrichous ciliates, which prey
upon bacteria and also upon the smaller ciliates. Eventually the
whole culture may degenerate owing to the exhaustion of food
material for the bacteria and therefore for the animals dependent on
them. On the other hand, green plants, in the form of small alge,
may arrive and colonise the culture. ‘These will be able to subsist for
a long time, and may change the character of the whole community
by providing a different type of food. Succession in hay infusions is
particularly fascinating, since-it can be studied anywhere, and does
not last over a very long time. 11. Another method of determining
the course of animal succession is to work from a knowledge of the
succession relations of the plant communities (gained either from
direct observation or from deduction and comparison with other
districts) and then work out the animal communities of each plant
zone. It is then possible to say in a general way what animals will
replace existing ones when succession does occur. This was done by
Shelford,2° who studied the tiger beetles of the genus Cicindela
(carnivorous ground beetles of variegated colours) in a sere of plant
communities on the shores of Lake Michigan. ‘The lake-level has
been falling gradually of late years, and there can be seen all stages
in succession on the bare areas left behind on the shores. On the
lake margin was Cicindela cuprascens, whose larve live in wettish
sand. Young
 26 ANIMAL ECOLOGY cottonwoods colonise this ground,
and another species of tiger beetle (C’. lepida) then replaces the first
one. In the old cottonwoods, where conditions are different with
grass and young pine seedlings, C. formosa took the place of C.
lepida. Then with the formation of a dominant pine community on
the ridges still another species, C. scutellaris, replaces the previous
one and continues to live on into the next stage in succession, a
black oak community; but it gradually becomes scarcer with the
change to white oak, until a stage is reached with no tiger beetles at
all. With the following red oak stage there arrives C’. sexguttata,
which persists afterwards in clearings, but when the climax
association of beech and maple has been reached tiger beetles again
disappear altogether. Here there can be distinguished at least eight
stages in the development of plant associations, and five different
species of tiger beetle, none of which come in more than two plant
zones. 12. It is important to note that we have to deal in this case
with a genus of animals which tends to form species which are
exclusive or confined to one or two plant associations. In England
there seems to be the same tendency among the species of
Czcindela. But this kind of strict limitation to plant associations is
probably rather unusual, especially among carnivorous animals.
Exception must be made in the case of some of the great host of
herbivorous animals (in particular insects) which are attached to one
species of plant only. But even in these cases the plant itself, and
therefore the animal, is not usually confined to one plant association.
In practice, succession in animal communities is an infinitely more
complicated affair. One reason for this is the great lag of animals
behind plants, due to their different powers of dispersal. Another
reason is that the survival of only a few of the earlier plants in the
later stages will enable a great number of animals to hang on also,
and these of course cannot be separated in their inter-relations with
the newcomers. For instance, on areas in the south of England
where pine woods have grown up over and largely replaced heather
(Calluna), there are still many patches of heather growing in the
more open places, and these have been found to contain the typical
heather
 ECOLOGICAL SUCCESSION 27 communities of animals,
showing that the animals are in this case affected rather by the food,
shelter, etc., provided by the heather than by the general physica! “
climate” produced by the pine wood.'® It is when we try to work
out the food relations of the animals that the presence of small
patches of earlier pioneer animals in a climax association becomes
such a complicating factor. In fact, succession (at any rate in
animals) does not take place with the beautiful simplicity which we
could desire, and it is better to realise this fact once and for all
rather than to try and reduce the whole phenomenon to a set of
rules which are always broken in practice! ‘The present state of our
knowledge of succession is very meagre, and this ignorance is to a
large extent due to lack of exact knowledge about the factors which
limit animals in their distribution and numbers. The work done so far
has necessarily been restricted to showing the changes in exclusive
species of one genus, or in the picking out of one or two salient
features in the changes as an indication of the sort of thing that is
taking place. Work like that done by Shelford, and observations like
those of Ritchie and Massart, make it quite clear that succession is
an important phenomenon in animal life; the next stage of the
inquiry is the discovery of the exact manner in which succession
affects whole communities. 13. It will be as well at this point to
remind the reader that most of the work done so far upon animal
succession has been static and not dynamic in character ; that the
cases in which the whole thing has been seen to happen are few in
number and, although extremely valuable and interesting, of
necessity incompletely worked out. Given a good ecological survey of
animal communities and a knowledge of the local plant seres, we
can predict in a general way the course of succession among the
animals, but in doing SO we are in danger of making a good many
assumptions, and we do not get any clear conception of the exact
way in which one species replaces another. Does it drive the other
one out by competition? and if so, what precisely do we mean by
competition? Or do changing conditions destroy or drive out the first
arrival, making thereby an empty niche for another
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