CURVATURE PINCHING ESTIMATE AND SINGULARITIES OF
THE RICCI FLOW (FIRST DRAFT)
XIAODONG CAO
∗
Abstract. In this paper, we ﬁrst derive a pinching estimate on the traceless Ricci
curvature in term of scalar curvature and Weyl tensor under the Ricci ﬂow. Then
we apply this estimate to study ﬁnitetime singularity behavior. We show that
if the scalar curvature is uniformly bounded, then the Weyl tensor has to blow
up, as a consequence, the corresponding singularity model must be Ricci ﬂat with
nonvanishing Weyl tensor.
1. Introduction
Let (M, g) be a smooth, closed ndimensional Riemannian manifold. In his seminal
paper [6], R. Hamilton proved that any closed 3manifold which admits a Riemannian
metric with strictly positive Ricci curvature must also admits a metric of constant
positive sectional curvature. He showed that the original metric can be deformed into
the constantcurvature metric by introducing the Ricci ﬂow:
∂
∂t
g
ij
= −2R
ij
. (1.1)
The Ricci ﬂow equation is a (weakly) parabolic partial diﬀerential equation system.
Its short time existence was ﬁrst proved by Hamilton ([6]) and later the proof was
simpliﬁed by D. DeTurck ([4]). One of the main subjects in the study of Ricci ﬂow
is the understanding of long time behavior and formation of singularities. More pre
cisely, we would like to ask when the ﬂow can exist for all time; and if the ﬂow only
exits up to ﬁnite time, we would like to understand the proﬁle of ﬁnitetime singu
larities, which in general will permit us to understand geometry and topology of the
underlying manifold better.
A solution (M, g(t)) to the Ricci ﬂow equation (1.1) is a (ﬁnitetime) maximal
solution if it is deﬁned for t ∈ [0, T), T < ∞. In [6], Hamilton proved that the whole
Riemannian curvature tensor Rm blows up as t → T, i.e., limsup
[0,T)
Rm = ∞. In
[22], N. Sesum showed that in fact the Ricci curvature tensor Rc blows up as t →T,
i.e., limsup
[0,T)
Rc = ∞. In other words, if the norm of Riemannian curvature
or Ricci curvature is uniformly bounded on [0, T), then the ﬂow can be smoothly
Date: Oct. 21, 2010.
2000 Mathematics Subject Classiﬁcation. Primary 53C44.
∗
Research partially supported by NSF grant DMS 0904432 and by the Jeﬀrey Sean Lehman Fund
from Cornell University.
1
2 Xiaodong Cao
extended past T. In [24], B. Wang extended the above results even further by showing
that that if the Ricci curvature tensor Rc is uniformly bounded from below and
moreover, the spacetime integral of scalar curvature R is bounded, namely,
T
0
M
R
α
≤ C, α ≥
n + 2
2
,
then the Ricci ﬂow can be smoothly extended past T. Similar type results also
appeared in [25] by R. Ye and in [14] by L. Ma and L. Cheng.
There is a wellknown conjecture that the scalar curvature R should also blow up
at the singular time T. Recently, J. Enders, R. M¨ uller, P. M. Topping ([5]), and N.
Le, Sesum ([13]) partially conﬁrmed this conjecture in the case of Type I maximal
solutions. Their methods both using blowup argument based on Perelman’s entropy
functionals, reduced distance and pseudolocality theorem.
Deﬁnition 1.1. A solution (M, g(t)), 0 ≤ t < T < ∞, is called a Type I maximal
solution of the Ricci ﬂow, if there exists a constant C < ∞ such that the curvature
satisﬁes
Rm ≤
C
T −t
.
Otherwise it’s a Type II maximal solution of the Ricci ﬂow.
In this paper, we study the behavior of the scalar curvature under the Ricci ﬂow.
Our main result is the following:
Theorem 1.1. Let (M, g(t)), t ∈ [0, T), be an maximal solution to the Ricci ﬂow
with positive scalar curvature. Then we have one of the following:
(1) either limsup
[0,T)
R = ∞,
(2) or if limsup
[0,T)
R < ∞, then limsup
[0,T)
W
R
= ∞. This must be a Type II
maximal solution, furthermore, the dilation limit must be a complete Ricciﬂat
solution with max W = 1.
Remark 1.1. In case (2) of Theorem 1.1, limsup
[0,T)
W
R
= ∞ is equivalent to
limsup
[0,T)
W = ∞.
For simplicity, we also use the following convention: the constants c
i
only depend on
the dimension n, but not on the initial metric g(0); while the constants C
i
depend not
only on the dimension n, but also on the initial metric g(0). We also restrict ourselves
to the case of positive scalar curvature, even though that most estimates in this
paper can be carried to the general case.
The rest of this paper organized as follows. In Section 2, we brieﬂy review the
orthogonal decomposition of Riemannian curvature and evolution of curvatures under
the Ricci ﬂow. In Section 3, we derive a pinching estimate on the traceless Ricci
curvature tensor. As one application, we obtain some information about curvature
blow up at ﬁnitetime; the second application is on manifolds with positive isotropic
curvature. In section 4, we discuss singularity models and ﬁnish the proof of our main
theorem.
Curvature Pinching Estimate and Singularities of The Ricci Flow 3
2. Decomposition and Evolution of Curvature Tensors
In this section, we will ﬁrst give a brief introduction of curvature decomposition of
the Riemannian manifold (M
n
, g) and some relations of geometric conditions. Then
we will recall some evolution formulae for various curvature tensors. For more details,
please see [6]. We use g
ij
to denote the local components of metric g and its inverse
by g
ij
. In this paper we use Rm to denote the (4, 0) Riemannian curvature tensor
instead of the (3, 1) Riemannian curvature tensor, we denote its local components by
R
ijkl
. Let Rc be the Ricci curvature with local components R
ik
= g
jl
R
ijkl
, and let
R = g
ik
R
ik
be the scalar curvature. Let us ﬁrst recall the KulkarniNomizu product
for two symmetric tensor h, k is deﬁned as:
h ◦ k(v
1
, v
2
, v
3
, v
4
) =h(v
1
, v
3
)k(v
2
, v
4
) + h(v
2
, v
4
)k(v
1
, v
3
)
−h(v
1
, v
4
)k(v
2
, v
3
) −h(v
2
, v
3
)k(v
1
, v
4
).
The Einstein tensor or traceless Ricci tensor E is deﬁned as
E
ij
= R
ij
−
R
n
g
ij
.
When n ≥ 4, we can decompose the (4, 0) Riemannian curvature tensor Rm in the
following way:
Rm =
R
2n(n −1)
g ◦ g +
1
n −2
E ◦ g + W,
here W is the Weyl curvature tensor. And the above decompositions are orthogonal.
In local coordinates, we can write
W
ijkl
=R
ijkl
−
1
n −2
(g
ik
R
jl
+ g
jl
R
ik
−g
il
R
jk
−g
jk
R
il
)
+
1
(n −1)(n −2)
R(g
ik
g
jl
−g
il
g
jk
).
It is wellknown that under conformal change of the metric g
= e
u
· g for some func
tion u, then W
= e
u
· W. If we view the Weyl tensor as a (3, 1) tensor, then W
= W,
i.e., the (3, 1) Weyl tensor is a conformal invariant.
Under the Ricci ﬂow, the Ricci curvature is evolving by
∂
∂t
Rc = Rc + 2Rm(Rc, ·) −2Rc
2
,
where Rc
2
ij
= R
ik
R
kj
and the scalar curvature evolves by
∂
∂t
R = R + 2Rc
2
. (2.1)
As a direct consequence of (2.1), in all dimensions, the positivity (or any lower bound)
of the scalar curvature is preserved by the Ricci ﬂow. In dimension 3, the positivity of
Ricci curvature is preserved (see [6]). In dimension at least 4, positivity of curvature
4 Xiaodong Cao
operator is preserved ([7] and [9]).
In [15], M. Micallef and J. D. Moore introduced a new curvature condition, positive
isotropic curvature. A Riemannian manifold of dimension at least 4 is said to have
positive isotropic curvature, if for every orthonormal 4frame {e
1
, e
2
, e
3
, e
4
}, we have
R
1313
+ R
1414
+ R
2323
+ R
2424
−2R
1234
> 0.
Using minimal surface technique, they proved that any compact, simply connected
manifold with positive isotropic curvature is homeomorphic to S
n
. In the same pa
per, they observed that the positivity of isotropic curvature is implied by several other
commonly used curvature conditions, such as positive curvature operator and point
wise
1
4
pinching condition. In dimension 4, Hamilton [10] proved that the positivity
of isotropic curvature is preserved by the Ricci ﬂow. This result has been extended
to higher dimensions by S. Brendle and R. Schoen [1] and also by H. Nguyen [17]
independently. Brendle and Schoen further proved the diﬀerentiable sphere theorem,
i.e., any compact Riemannian manifold with pointwise
1
4
pinching sectional curvature
is diﬀeomorphic to a spherical space form [1].
Another interesting geometric operator in Riemannian geometry, the Weitzenb¨ ock
operator P, is deﬁned as
P = Rc ◦ g −2Rm =
(n −2)R
n(n −1)
g ◦ g +
n −4
n −2
E ◦ g −W,
or in local coordinates,
P
ijkl
= (g
ik
R
jl
+ g
jl
R
ik
−g
il
R
jk
−g
jk
R
il
) −2R
ijkl
.
It is known that in dimension 4, positive isotropic curvature is equivalent to positive
Weitzenb¨ock operator (see for example, [18, 15, 16]). For an even dimensional Rie
mannian manifold of n > 4, positive isotropic curvature implies positive Weitzenb¨ ock
operator ([21, Proposition 1.1]).
3. Curvature Pinching Estimate
The general evolution formulae of curvature tensors suggests that the orthogonal
parts of Riemannian curvature tensor is not evolving totally independently to each
other, one part might depend on the other part(s). An interesting question in the
study of the Ricci ﬂow is which orthogonal part(s) needs to blow up at a ﬁnitetime
T when singularity occurs. In other words, if these parts are uniformly bounded up
to time T, then the Ricci ﬂow can be smoothly extended past T.
Our main theorem in this section is the following estimate, which says that the
traceless Ricci part E can be controlled by the scalar curvature R and Weyl tensor
W. This improves an earlier result of D. Knopf [12].
Curvature Pinching Estimate and Singularities of The Ricci Flow 5
Theorem 3.1. Let (M
n
, g(t)), t ∈ [0, T), be a solution to the Ricci ﬂow on a closed
Riemannian manifold of dimension n ≥ 3, then there exist constants C
1
(n, g
0
) > 0
and c
2
(n) ≥ 0, such that for all t ≥ 0, one has R + c > 0 and
E
R + c
≤ C
1
+ c
2
max
M×[0,t]
W
R + c
. (3.1)
Furthermore, if R > 0 at t = 0, then we have
E
R
≤ C
1
+ c
2
max
M×[0,t]
W
R
. (3.2)
Remark 3.1. In [12], Knopf proved a rather surprising result, namely he showed that
under the Ricci ﬂow, there exist constants c(g
0
) ≥ 0, C
1
(n, g
0
) > 0 and c
2
(n) > 0
such that for all t ≥ 0, one has R + c > 0 and
E
R + c
≤ C
1
+ c
2
max
s∈[0,t]
W
max
(s)
R
min
(s) + c
. (3.3)
In other words, the traceless Ricci part E can be controlled by the maximum and
minimum of the scalar curvature R and the maximum of the Weyl tensor W. Notice
that W
max
, R
min
may actually take at diﬀerent points, so we can not apply (3.3)
to study dilation limits of singularities, while our estimate (3.1) or (3.2) has strong
application in singularity analysis.
Remark 3.2. We state the theorem both for the general case and for the positive
scalar curvature case. But for simplicity, we will only prove (3.2) here, the proof of
(3.1) is similar.
Remark 3.3. The estimate (3.2) is scaling invariant, so it still holds for normalized
Ricci ﬂow and also for Ricci ﬂow solutions exist for all time [0, ∞). In the special
case of K¨ahlerRicci ﬂow, it is known that the scalar curvature is bounded (this is
claimed by G. Perelman and a detailed proof is given by Sesum and G. Tian [23]),
hence the whole curvature tensor blows up if and only if the Weyl tensor W blows up
(also see [14]).
For our purpose, we perform a rather general calculation here. For any positive
number γ, deﬁne
f =
E
2
R
γ
=
Rc
2
R
γ
−
1
n
R
2−γ
,
then f satisﬁes the following evolution equation:
6 Xiaodong Cao
Lemma 3.2. Under the Ricci ﬂow, we have
∂
∂t
f =f +
2(γ −1)
R
∇f · ∇R −
2
R
2+γ
R∇
i
R
jk
−∇
i
RR
jk

2
−
(2 −γ)(γ −1)
R
2
∇R
2
f
−
2(2 −γ)
n
R
1−γ
Rc
2
+
4
R
γ
Rm(Rc, Rc) −
2γ
R
1+γ
Rc
4
−
(2 −γ)(γ −1)
nR
γ
=f +
2(γ −1)
R
∇f · ∇R −
2
R
2+γ
R∇
i
R
jk
−∇
i
RR
jk

2
−
(2 −γ)(γ −1)
R
2
∇R
2
f
+
2
R
1+γ
[(2 −γ)Rc
2
(Rc
2
−
1
n
R
2
) −2(Rc
4
−R · Rm(Rc, Rc)] −
(2 −γ)(γ −1)
nR
γ
.
Proof. We have
∂
∂t
Rc
2
= Rc
2
−2∇Rc
2
+ 4Rm(Rc, Rc),
where
Rm(Rc, Rc) = R
abcd
R
ac
R
bd
.
We can further express the term as
Rm(Rc, Rc) = R
abcd
R
ac
R
bd
=
1
n −2
(
2n −1
n −1
Rc
2
R −2Rc
3
−
R
3
n −1
) + W(Rc, Rc),
hence we arrive at,
∂
∂t
Rc
2
= Rc
2
−2∇Rc
2
+
4
n −2
(
2n −1
n −1
Rc
2
R −2Rc
3
−
R
3
n −1
) + W(Rc, Rc).
Using this together with the evolution equation of the scalar curvature
∂
∂t
R = R + 2Rc
2
,
we have the following two equations:
∂
∂t
(
Rc
2
R
γ
) =(
Rc
2
R
γ
) +
2(γ −1)
R
∇(
Rc
2
R
γ
) · ∇R −
2
R
2+γ
R∇
i
R
jk
−∇
i
RR
jk

2
−
(2 −γ)(γ −1)
R
2+γ
Rc
2
∇R
2
+
4
R
γ
Rm(Rc, Rc) −
2γ
R
1+γ
Rc
4
,
and
∂
∂t
R
2−γ
= R
2−γ
+
2(γ −1)
R
∇R
2−γ
· ∇R + 2(2 −γ)R
1−γ
Rc
2
.
The lemma then follows.
We can also rewrite the above lemma in the following way.
Curvature Pinching Estimate and Singularities of The Ricci Flow 7
Lemma 3.3. Under the Ricci ﬂow, we have
∂
∂t
f =f +
2(γ −1)
R
∇f · ∇R −
2
R
2+γ
R∇
i
R
jk
−∇
i
RR
jk

2
−
(2 −γ)(γ −1)
R
2
∇R
2
f
+
2
R
1+γ
(2 −γ)Rc
2
E
2
−2Q + 2RW(Rc, Rc)
−
(2 −γ)(γ −1)
nR
γ
=f +
2(γ −1)
R
∇f · ∇R −
2
R
2+γ
R∇
i
R
jk
−∇
i
RR
jk

2
−
(2 −γ)(γ −1)
R
2
∇R
2
f
+
2
R
1+γ
¸
−γE
4
+
2(n −2)
n(n −1)
−
γ
n
R
2
E
2
−
4
n −2
RE
3
+ 2RW(E, E)
−
(2 −γ)(γ −1)
nR
γ
,
where Q = Rc
4
−
R
n−2
(
2n−1
n−1
RRc
2
−2Rc
3
−
R
3
n−1
), and E
3
= E
ij
E
jk
E
ki
.
Consider the special case that γ = 2, i.e.,
f =
E
2
R
2
=
Rc
2
R
2
−
1
n
,
we have
Lemma 3.4. Under the Ricci ﬂow, we have
∂
∂t
f =f +
2
R
∇f · ∇R −
2
R
4
R∇
i
R
jk
−∇
i
RR
jk

2
+
2
R
3
¸
−2E
4
−
2
n(n −1)
R
2
E
2
−
4
n −2
RE
3
+ 2RW(E, E)
=f +
2
R
∇f · ∇R −
2
R
4
R∇
i
R
jk
−∇
i
RR
jk

2
+ 4R
¸
−f
2
−
1
n(n −1)
f −
2
n −2
E
3
R
3
+
1
R
3
W(E, E)
.
To estimate the righthand side of the above equation, we calim that there exist
positive constants c
1
, c
2
depending only on n ≥ 3, such that
2
n −2
E
3
≤ c
1
E
3
,
and
W(E, E) ≤ c
2
WE
2
.
Remark 3.4. In the above estimates, c
1
∼
2
n(n−2)
and c
2
∼ n(n −1)(n −2)(n −3).
Plugging these two inequalities into Lemma 3.4, we derive that
8 Xiaodong Cao
Lemma 3.5. Under the Ricci ﬂow, we have
∂
∂t
f ≤f +
2
R
∇f · ∇R + 4R
¸
−f
2
−
1
n(n −1)
f + c
1
f
3/2
+ c
2
W
R
f
=f +
2
R
∇f · ∇R −4Rf
¸
f −c
1
f
1/2
+
1
n(n −1)
−c
2
W
R
.
Combining the above inequality and using maximum principle, this lead to the
following
Lemma 3.6. Under the Ricci ﬂow, there exists C
1
= C
1
(c
1
, g(0)) ≥ c
1
> 0, such that
4f(0) ≤ C
2
1
, then
f
1/2
≤
1
2
C
1
+
1
4
C
2
1
−
1
n(n −1)
−c
2
max
M×[0,t]
W
R
.
Proof. Let’s denote the right side as Φ(t), i.e.,
Φ(t) =
1
2
C
1
+
1
4
C
2
1
−
1
n(n −1)
−c
2
max
M×[0,t]
W
R
,
so Φ(t) is nondecreasing, by our choice of C
1
, f
1
2
(0) ≤
C
1
2
≤ Φ(0). And f satisﬁes
∂
∂t
f ≤ f +
2
R
∇f · ∇R −4Rf
¸
f −C
1
f
1/2
+
1
n(n −1)
−c
2
W
R
.
Notice that
f(0) ≤
C
1
2
≤ Φ(0), then it follows from the maximum principle that
f
1
2
(t) ≤ Φ(t). Since if max f
1
2
(t) > Φ(t), then we have
d
dt
+
max f(t) ≤ 0.
Proof. (Theorem 3.1) The inequality (3.2) now follows from standard inequalities.
As a direct consequence of Theorem 3.1, we have the following claim:
Corollary 3.7. Let (M, g(t)), t ∈ [0, T), be an maximal solution to the Ricci ﬂow,
here T < ∞. Then we have either 1) limsup
[0,T)
R = ∞, or 2) if limsup
[0,T)
R < ∞
but limsup
[0,T)
W
R
→∞.
Proof. For any ﬁnite time singularity, the whole Riemannian curvature (or Ricci cur
vature) blows up at T. The Riemannian curvature tensor is decomposed into the
scalar curvature part R, the traceless Ricci tensor E and the Weyl tensor W. Follow
ing from Theorem 3.1, E can not blow up if R and
W
R
are both bounded, hence the
statement follows.
Corollary 3.7 proves the ﬁrst half of Theorem 1.1. Another interesting application
of (3.2) is the case when the Weyl tensor W is controlled by the scalar curvature R
and traceless Ricci tensor E.
Curvature Pinching Estimate and Singularities of The Ricci Flow 9
Theorem 3.8. (Positive Isotropic Curvature) Let (M
n
, g(t)), t ∈ [0, T), be an max
imal solution to the Ricci ﬂow, here n ≥ 4 is a even positive integer. Assuming that
g(0) has positive isotropic curvature, then we have limsup
[0,T)
R = ∞.
Proof. Since positive isotropic curvature is preserved by the Ricci ﬂow, moreover, it
implies positive Weitzenb¨ ock operator in even dimensions. So we have
P = Rc ◦ g −2Rm =
(n −2)R
n(n −1)
g ◦ g +
n −4
n −2
E ◦ g −W > 0,
or
W
ijkl
<
n −4
n −2
(g
ik
E
jl
+ g
jl
E
ik
−g
il
E
jk
−g
jk
E
il
) +
2(n −2)
n(n −1)
R(g
ik
g
jl
−g
il
g
jk
),
and this implies that
W
R
<
4(n −4)
n −2
E
R
+
4(n −2)
n(n −1)
.
Substituting this into (3.2), it follows from elementary inequalities that
E
R
≤ C.
Hence it follows that
W
R
≤ C.
Since positive isotropic curvature implies scalar curvature R > 0, the maximal exis
tence time T < ∞, so
limsup
[0,T)
R = ∞.
4. Finitetime Singularities, Dilation Limits and Singularity Models
In this section, we will prove the second part of Theorem 1.1, we ﬁrst need to
introducing some notations. In [9, Sect. 16], Hamilton introduced the notion of
singularity model, roughly speaking, these are dilation limits of the Ricci ﬂow. We
brieﬂy describe the strategy here, to ﬁnd out exact details about how to dilate sin
gularities based on rate of blowup of the curvature, see [9, Sect. 16] or [3, Chapter
8]. If we dilate the solution to the Ricci ﬂow about a sequence of points and times
(x
i
, t
i
), where x
i
∈ M and t
i
→T, we may choose the sequence of points and time so
that Rm(x
i
, t
i
) is comparable to the global maximum over the space M and suﬃ
ciently large previous time intervals. We now can deﬁne a sequence of pointed dilation
solutions (M, g
i
(t), x
i
) by:
g
(
t) = Rm(x
i
, t
i
) · g(t
i
+
t
Rm(x
i
, t
i
)
),
for
−t
i
Rm(x
i
, t
i
) ≤ t < (T −t
i
)Rm(x
i
, t
i
),
10 Xiaodong Cao
such that the curvature Rm
g
i
(x
i
, 0) = 1 and the maximum of the (Riemannian)
curvature of g
i
becomes uniformly bounded, hence we have a sequence of solutions to
the Ricci ﬂow. For ﬁnite time singularities on closed manifolds, Perelman’s No Local
Collapsing Theorem [19] provides the injectivity radius estimate, which is necessary
to obtain a noncollapsed limit. Then we can apply Hamilton’s CheegerGromov type
compactness theorem [8] to extract a limit solution of the Ricci ﬂow. This is a com
plete solution to the Ricci ﬂow with bounded curvature. If the solution is Type I, it
is an ancient solution; if the solution is Type II, then it is an eternal solution. It is
worth to mention that in dimension 3, all dilation limits have nonnegative sectional
curvature due to the pinching estimate of Hamilton [9] and T. Ivey [11].
We ﬁrst consider Type I solutions, which has been studied extensively recently by
Enders, Muller and Topping [5], Le and Sesum [13], also by Q. S. Zhang and the
author [2].
Theorem 4.1. If the solution of the Ricci ﬂow is a Type I solution, then we have
W
R
is bounded, hence R →∞.
Proof. If the solution is of Type I and
W
R
is unbounded. Since R > 0 has a lower
bound, W needs to blow up at some point p, and hence Rm also blows up at
p. By [5, Theorem 1.8], scalar curvature blow up is equivalent to whole curvature
blow up, and all the blow up rate are same. So Rm(p) or W(p) is comparable
to the maximum blow up curvature. We then can dilate the solution around p such
that 
˜
W = 1, the dilation limit must be Ricciﬂat for t ≤ 0, since we have bounded
curvature on the dilation limit, the solution of the Ricci ﬂow is Ricci ﬂat, this solution
can not terminate at any ﬁnite time, this is a contradiction.
Remark 4.1. This theorem was ﬁrst shown in [5] and [13], notice that we do not
provide an independent proof here, because we used a fact from [5, Theorem 1.8] that
all Type I singularity notions are equivalent.
Remark 4.2. From [5], [13] and [2], such type I dilation limit must be a nontrivial
gradient Ricci solitons, if they are in fact Ricci ﬂat, then this also contradicts [20,
Theorem 3].
Combine Corollary 3.7 and the above discussion, we now can ﬁnish our proof of
the main Theorem 1.1:
Proof. We assume that limsup
[0,T)
R < ∞, since this is a ﬁnite time singularity, the
whole Riemannian curvature tensor Rm blows up. So limsup
[0,T)
W
R
= ∞, otherwise
by (3.2), the traceless Ricci tensor is also bounded and contradicts it is a ﬁnitetime
singularity. Since R > 0 has a lower bound, we have limsup
[0,T)
W = ∞. In this
case, rescaling with respect to Rm is same as rescaling with respect to W. Hence
we have 
˜
W = 1 after dilation, by Theorem 3.1, we have
E
W
≤ C
1
R
W
+ c
2
max
M×[0,t]
R
W
, (4.1)
Curvature Pinching Estimate and Singularities of The Ricci Flow 11
as t → T, 
˜
E → 0,
˜
R → 0, hence
˜
Rc → 0. Hence the dilation limit is a complete
solution to the Ricci ﬂow with bounded curvature, furthermore, it is Ricciﬂat with
max 
˜
W = 1.
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with positive curvature on totally isotropic twoplanes. Ann. of Math. (2), 127(1):199–227, 1988.
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[18] Maria Helena Noronha. Positively curved 4manifolds and the nonnegativity of isotropic curva
tures. Michigan Math. J., 44(2):211–229, 1997.
[19] Grisha Perelman. The entropy formula for the Ricci ﬂow and its geometric applications.
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[20] S. Pigola, M. Rimoldi, and A. G. Setti. Remarks on noncompact gradient Ricci solitons. ArXiv
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[21] Walter Seaman. On manifolds with nonnegative curvature on totally isotropic 2planes. Trans.
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[22] Nataˇsa
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Seˇsum. Curvature tensor under the Ricci ﬂow. Amer. J. Math., 127(6):1315–1324, 2005.
12 Xiaodong Cao
[23] Natasa Sesum and Gang Tian. Bounding scalar curvature and diameter along the K¨ahler Ricci
ﬂow (after Perelman). J. Inst. Math. Jussieu, 7(3):575–587, 2008.
[24] Bing Wang. On the conditions to extend Ricci ﬂow. Int. Math. Res. Not. IMRN, (8):Art. ID
rnn012, 30, 2008.
[25] Rugang Ye. Curvature estimates for the Ricci ﬂow. II. Calc. Var. Partial Diﬀerential Equations,
31(4):439–455, 2008.
Department of Mathematics, Cornell University, Ithaca, NY 148534201
Email address: cao@math.cornell.edu
R. we also use the following convention: the constants ci only depend on the dimension n.2
Xiaodong Cao
extended past T . Topping ([5]). then lim sup[0.1. reduced distance and pseudolocality theorem. M. the spacetime integral of scalar curvature R is bounded. Similar type results also appeared in [25] by R. but not on the initial metric g(0). Let (M. In [24].T ) R < ∞. J. In Section 2. Their methods both using blowup argument based on Perelman’s entropy functionals. furthermore. Cheng.
W R T
= ∞ is equivalent to
For simplicity.T ) W = ∞. 0 ≤ t < T < ∞. In section 4. (2) or if lim sup[0. In this paper. the dilation limit must be a complete Ricciﬂat solution with max W = 1. u Le. A solution (M. Ye and in [14] by L. even though that most estimates in this paper can be carried to the general case. be an maximal solution to the Ricci ﬂow with positive scalar curvature. lim sup[0. This must be a Type II R maximal solution. Our main result is the following: Theorem 1. In Section 3. In case (2) of Theorem 1. Wang extended the above results even further by showing that that if the Ricci curvature tensor Rc is uniformly bounded from below and moreover. There is a wellknown conjecture that the scalar curvature R should also blow up at the singular time T .T ) R = ∞. the second application is on manifolds with positive isotropic curvature. if there exists a constant C < ∞ such that the curvature satisﬁes C Rm ≤ . T −t Otherwise it’s a Type II maximal solution of the Ricci ﬂow. Ma and L.T ) lim sup[0. we study the behavior of the scalar curvature under the Ricci ﬂow. We also restrict ourselves to the case of positive scalar curvature. P. α ≥ Deﬁnition 1. we brieﬂy review the orthogonal decomposition of Riemannian curvature and evolution of curvatures under the Ricci ﬂow. Remark 1. Recently. but also on the initial metric g(0). t ∈ [0. As one application.1.1. Rα ≤ C. Sesum ([13]) partially conﬁrmed this conjecture in the case of Type I maximal solutions. and N.1. namely. T ). while the constants Ci depend not only on the dimension n. we discuss singularity models and ﬁnish the proof of our main theorem. we obtain some information about curvature blow up at ﬁnitetime. 2 0 M then the Ricci ﬂow can be smoothly extended past T . B. Enders. Then we have one of the following: (1) either lim sup[0. we derive a pinching estimate on the traceless Ricci curvature tensor. g(t)). The rest of this paper organized as follows. n+2 .
.T ) W = ∞. is called a Type I maximal solution of the Ricci ﬂow. g(t)). M¨ller.
v4 ) + h(v2 . For more details. ∂t where Rc2 = Rik Rkj and the scalar curvature evolves by ij ∂ R = R + 2Rc2 . the positivity (or any lower bound) of the scalar curvature is preserved by the Ricci ﬂow. (n − 1)(n − 2) It is wellknown that under conformal change of the metric g = eu · g for some function u. the Ricci curvature is evolving by ∂ Rc = Rc + 2Rm(Rc. the positivity of Ricci curvature is preserved (see [6]). If we view the Weyl tensor as a (3. we can decompose the (4. k is deﬁned as: h ◦ k(v1 . we denote its local components by Rijkl . in all dimensions. please see [6]. v3 )k(v1 . We use gij to denote the local components of metric g and its inverse by g ij . 1) Riemannian curvature tensor. 0) Riemannian curvature tensor instead of the (3.1).e. v2 . v3 )k(v2 . Under the Ricci ﬂow. Let us ﬁrst recall the KulkarniNomizu product for two symmetric tensor h. v4 )k(v1 . Rm = In local coordinates. ·) − 2Rc2 . And the above decompositions are orthogonal.. we will ﬁrst give a brief introduction of curvature decomposition of the Riemannian manifold (M n . then W = W.Curvature Pinching Estimate and Singularities of The Ricci Flow
3
2. 0) Riemannian curvature tensor Rm in the following way: Eij = Rij − R 1 g◦g+ E ◦ g + W. v4 ). v4 )k(v2 . In this paper we use Rm to denote the (4. 2n(n − 1) n−2 here W is the Weyl curvature tensor. the (3. g) and some relations of geometric conditions. positivity of curvature (2. then W = eu · W. 1) tensor. The Einstein tensor or traceless Ricci tensor E is deﬁned as R gij . we can write 1 Wijkl =Rijkl − (gik Rjl + gjl Rik − gil Rjk − gjk Ril ) n−2 1 + R(gik gjl − gil gjk ). and let R = g ik Rik be the scalar curvature. Decomposition and Evolution of Curvature Tensors In this section. i. ∂t As a direct consequence of (2. In dimension 3. v3 ) − h(v1 . v4 ) =h(v1 .1)
. Then we will recall some evolution formulae for various curvature tensors. 1) Weyl tensor is a conformal invariant. v3 ) − h(v2 . v3 . n When n ≥ 4. Let Rc be the Ricci curvature with local components Rik = g jl Rijkl . In dimension at least 4.
Hamilton [10] proved that the positivity of isotropic curvature is preserved by the Ricci ﬂow. Curvature Pinching Estimate The general evolution formulae of curvature tensors suggests that the orthogonal parts of Riemannian curvature tensor is not evolving totally independently to each other. 15. such as positive curvature operator and point1 wise 4 pinching condition. M. e3 . they proved that any compact. This improves an earlier result of D. positive isotropic curvature is equivalent to positive Weitzenb¨ck operator (see for example. n(n − 1) n−2
. D. e2 . any compact Riemannian manifold with pointwise 1 pinching sectional curvature 4 is diﬀeomorphic to a spherical space form [1].4
Xiaodong Cao
operator is preserved ([7] and [9]). It is known that in dimension 4. In the same paper. positive isotropic curvature. Brendle and R. For an even dimensional Rieo mannian manifold of n > 4. Knopf [12]. the Weitzenb¨ck o operator P. (n − 2)R n−4 g◦g+ E ◦ g − W. we have R1313 + R1414 + R2323 + R2424 − 2R1234 > 0. 3.e. if these parts are uniformly bounded up to time T . This result has been extended to higher dimensions by S. simply connected manifold with positive isotropic curvature is homeomorphic to S n . Brendle and Schoen further proved the diﬀerentiable sphere theorem..1]). A Riemannian manifold of dimension at least 4 is said to have positive isotropic curvature. i. Schoen [1] and also by H. In other words. Another interesting geometric operator in Riemannian geometry. Nguyen [17] independently. Micallef and J. [18. Pijkl = (gik Rjl + gjl Rik − gil Rjk − gjk Ril ) − 2Rijkl . An interesting question in the study of the Ricci ﬂow is which orthogonal part(s) needs to blow up at a ﬁnitetime T when singularity occurs. positive isotropic curvature implies positive Weitzenb¨ck o operator ([21. one part might depend on the other part(s). Moore introduced a new curvature condition. if for every orthonormal 4frame {e1 . In dimension 4. Proposition 1. e4 }. which says that the traceless Ricci part E can be controlled by the scalar curvature R and Weyl tensor W. Using minimal surface technique. then the Ricci ﬂow can be smoothly extended past T . In [15]. 16]). is deﬁned as P = Rc ◦ g − 2Rm = or in local coordinates. they observed that the positivity of isotropic curvature is implied by several other commonly used curvature conditions. Our main theorem in this section is the following estimate.
g(t)). it is known that the scalar curvature is bounded (this is a claimed by G. R+c
Furthermore.t] R+c Wmax (s) . Rmin may actually take at diﬀerent points.1) E ≤ C1 + c2 max M ×[0. Perelman and a detailed proof is given by Sesum and G. For our purpose. we perform a rather general calculation here.1. we will only prove (3.2) E ≤ C1 + c2 max M ×[0.Curvature Pinching Estimate and Singularities of The Ricci Flow
5
Theorem 3.1) or (3. Knopf proved a rather surprising result. then there exist constants C1 (n. the proof of (3.3) to study dilation limits of singularities. R
Remark 3. ∞). But for simplicity. Remark 3. γ γ R R n
then f satisﬁes the following evolution equation:
. while our estimate (3. Let (M n .t] R W . In [12].2) is scaling invariant. Rmin (s) + c
In other words. one has R + c > 0 and (3. g0 ) > 0 and c2 (n) ≥ 0.1.2. so we can not apply (3. namely he showed that under the Ricci ﬂow. one has R + c > 0 and (3.3. In the special case of K¨hlerRicci ﬂow. Remark 3. C1 (n. hence the whole curvature tensor blows up if and only if the Weyl tensor W blows up (also see [14]). deﬁne f= E2 Rc2 1 = − R2−γ .3) E ≤ C1 + c2 max s∈[0. T ). the traceless Ricci part E can be controlled by the maximum and minimum of the scalar curvature R and the maximum of the Weyl tensor W.2) here. We state the theorem both for the general case and for the positive scalar curvature case. if R > 0 at t = 0. The estimate (3.t] R+c W .2) has strong application in singularity analysis. such that for all t ≥ 0. be a solution to the Ricci ﬂow on a closed Riemannian manifold of dimension n ≥ 3. there exist constants c(g0 ) ≥ 0. then we have (3. so it still holds for normalized Ricci ﬂow and also for Ricci ﬂow solutions exist for all time [0. t ∈ [0. Notice that Wmax .1) is similar. Tian [23]). For any positive number γ. g0 ) > 0 and c2 (n) > 0 such that for all t ≥ 0.
+ 1+γ [(2 − γ)Rc2 (Rc2 − R2 ) − 2(Rc4 − R · Rm(Rc. We can further express the term as Rm(Rc.
.
Using this together with the evolution equation of the scalar curvature R + 2Rc2 . ∂ Rc2 = ∂t Rc2 − 2 Rc2 + 4 2n − 1 R3 ( Rc2 R − 2Rc3 − ) + W(Rc. Rc). n−2 n−1 n−1 Rc2 − 2 Rc2 + 4Rm(Rc. we have ∂ 2(γ − 1) 2 (2 − γ)(γ − 1) f= f+ f · R − 2+γ R i Rjk − i RRjk 2 −  R2 f ∂t R R R2 2(2 − γ) 1−γ 4 2γ (2 − γ)(γ − 1) − R Rc2 + γ Rm(Rc.
The lemma then follows. Rc). Rc) = Rabcd Rac Rbd = hence we arrive at. Rc) − 1+γ Rc4 . We have ∂ Rc2 = ∂t where Rm(Rc. 2+γ R R R ( 2(γ − 1) R2−γ · R 1 2n − 1 R3 ( Rc2 R − 2Rc3 − ) + W(Rc. Rc) − 1+γ Rc4 − n R R nRγ 2(γ − 1) 2 (2 − γ)(γ − 1) = f+ f · R − 2+γ R i Rjk − i RRjk 2 −  R2 f R R R2 1 (2 − γ)(γ − 1) 2 .6
Xiaodong Cao
Lemma 3. Rc) = Rabcd Rac Rbd . n−2 n−1 n−1 ∂ R= ∂t we have the following two equations: ∂ Rc2 ( )= ∂t Rγ Rc2 2(γ − 1) Rc2 2 )+ ( γ ) · R − 2+γ R i Rjk − i RRjk 2 γ R R R R (2 − γ)(γ − 1) 4 2γ − Rc2  R2 + γ Rm(Rc. Rc). Under the Ricci ﬂow. We can also rewrite the above lemma in the following way.2.
and ∂ 2−γ R = ∂t R2−γ + R + 2(2 − γ)R1−γ Rc2 . Rc)] − R n nRγ Proof.
3.e. we have ∂ f= ∂t f+ + = 2 R3 2 f· R 2 R i Rjk − i RRjk 2 4 R 2 4 −2E4 − R2 E2 − RE3 + 2RW(E. c1 ∼
2 n(n−2)
and c2 ∼ n(n − 1)(n − 2)(n − 3).Curvature Pinching Estimate and Singularities of The Ricci Flow
7
Lemma 3. 3 n(n − 1) n−2R R R− E2 Rc2 1 = − . E) R n(n − 1) n n−2 (2 − γ)(γ − 1) − .
Consider the special case that γ = 2. c2 depending only on n ≥ 3. f= we have Lemma 3. n−1
and E3 = Eij Ejk Eki . we have ∂ f= ∂t (2 − γ)(γ − 1)  R2 f R2 2 (2 − γ)(γ − 1) + 1+γ (2 − γ)Rc2 E2 − 2Q + 2RW(Rc.4. Under the Ricci ﬂow. we calim that there exist positive constants c1 . such that 2 E3 ≤ c1 E3 . Rc) − R nRγ 2(γ − 1) 2 (2 − γ)(γ − 1) = f+ f · R − 2+γ R i Rjk − i RRjk 2 −  R2 f R R R2 4 2 2(n − 2) γ R2 E2 − + 1+γ −γE4 + − RE3 + 2RW(E. Remark 3. In the above estimates..4. Under the Ricci ﬂow.
Plugging these two inequalities into Lemma 3. R2 R2 n
f+ + 4R
To estimate the righthand side of the above equation.4. we derive that
. E) n(n − 1) n−2 2 2 f · R − 4 R i Rjk − i RRjk 2 R R 1 2 E3 1 −f 2 − f− + 3 W(E. n−2 and W(E. nRγ f+ R− R R2+γ
i Rjk
2(γ − 1) f· R
2
−
i RRjk 
2
−
where Q = Rc4 −
R 2n−1 ( RRc2 n−2 n−1
− 2Rc3 −
R3 ). i. E) . E) ≤ c2 WE2 .
T ) W → ∞.T ) R = ∞. by our choice of C1 . f 2 (0) ≤ ∂ f≤ ∂t f+ 2 f· R R − 4Rf f − C1 f 1/2 +
C1 2
≤ Φ(0). Under the Ricci ﬂow. t ∈ [0. i.1. such that 2 4f (0) ≤ C1 . T ). here T < ∞. dt Proof. M ×[0. R Proof. g(0)) ≥ c1 > 0. R n(n − 1) R Combining the above inequality and using maximum principle. Let (M.1) The inequality (3. the traceless Ricci tensor E and the Weyl tensor W. Another interesting application of (3. Let’s denote the right side as Φ(t). Under the Ricci ﬂow. Following from Theorem 3. we have the following claim: Corollary 3. this lead to the following Lemma 3. there exists C1 = C1 (c1 . And f satisﬁes
1 W − c2 . n(n − 1) R
Notice that f (0) ≤ C1 ≤ Φ(0). then we have d+ max f (t) ≤ 0. M ×[0.5..8
Xiaodong Cao
Lemma 3.T ) R < ∞ but lim sup[0. Since if max f 2 (t) > Φ(t). The Riemannian curvature tensor is decomposed into the scalar curvature part R.1. As a direct consequence of Theorem 3.1.7 proves the ﬁrst half of Theorem 1. (Theorem 3. then it follows from the maximum principle that 2 1 1 f 2 (t) ≤ Φ(t). we have ∂ W 2 1 f≤ f+ f · R + 4R −f 2 − f + c1 f 3/2 + c2 f ∂t R n(n − 1) R 2 1 W = f+ f · R − 4Rf f − c1 f 1/2 + − c2 . the whole Riemannian curvature (or Ricci curvature) blows up at T . Then we have either 1) lim sup[0. For any ﬁnite time singularity.e. hence the R statement follows. 1 Φ(t) = C1 + 2 1 2 C − 4 1 W 1 − c2 max . Corollary 3. be an maximal solution to the Ricci ﬂow.6.7. then 1 f 1/2 ≤ C1 + 2 1 2 C − 4 1 1 W − c2 max .t] R n(n − 1)
Proof. or 2) if lim sup[0. E can not blow up if R and W are both bounded.2) is the case when the Weyl tensor W is controlled by the scalar curvature R and traceless Ricci tensor E. g(t)).t] R n(n − 1)
1
so Φ(t) is nondecreasing.
.2) now follows from standard inequalities.
ti ). 16] or [3. we will prove the second part of Theorem 1. Chapter 8]. (Positive Isotropic Curvature) Let (M n . Sect. roughly speaking. Dilation Limits and Singularity Models In this section. where xi ∈ M and ti → T . n−2 n(n − 1) and this implies that W 4(n − 4) E 4(n − 2) < + . gi (t). it implies positive Weitzenb¨ck operator in even dimensions. If we dilate the solution to the Ricci ﬂow about a sequence of points and times (xi . ti ) for −ti Rm(xi . ti ) ≤ t < (T − ti )Rm(xi . to ﬁnd out exact details about how to dilate singularities based on rate of blowup of the curvature.2).T ) R = ∞. g( t) = Rm(xi . Proof.8. be an maximal solution to the Ricci ﬂow.T )
Hence it follows that
4. here n ≥ 4 is a even positive integer. So we have o (n − 2)R n−4 P = Rc ◦ g − 2Rm = g◦g+ E ◦ g − W > 0. n(n − 1) n−2 or n−4 2(n − 2) (gik Ejl + gjl Eik − gil Ejk − gjk Eil ) + R(gik gjl − gil gjk ). it follows from elementary inequalities that Wijkl < E ≤ C.
[0. g(t)). T ). we ﬁrst need to introducing some notations.
. ti ) is comparable to the global maximum over the space M and suﬃciently large previous time intervals. We now can deﬁne a sequence of pointed dilation solutions (M. R W ≤ C. ti ) · g(ti + Rm(xi . we may choose the sequence of points and time so that Rm(xi . R Since positive isotropic curvature implies scalar curvature R > 0. Since positive isotropic curvature is preserved by the Ricci ﬂow. the maximal existence time T < ∞. xi ) by: t ). Finitetime Singularities. Sect. In [9. so lim sup R = ∞. Hamilton introduced the notion of singularity model. then we have lim sup[0. t ∈ [0. R n−2 R n(n − 1) Substituting this into (3. see [9. 16]. these are dilation limits of the Ricci ﬂow.1.Curvature Pinching Estimate and Singularities of The Ricci Flow
9
Theorem 3. Assuming that g(0) has positive isotropic curvature. We brieﬂy describe the strategy here. ti ). moreover.
Ivey [11]. we have lim sup[0. If the solution is Type I.T ) W = ∞. hence R → ∞. otherwise R by (3. This theorem was ﬁrst shown in [5] and [13]. Then we can apply Hamilton’s CheegerGromov type compactness theorem [8] to extract a limit solution of the Ricci ﬂow. such type I dilation limit must be a nontrivial gradient Ricci solitons. which has been studied extensively recently by Enders. So lim sup[0. Theorem 4. If the solution is of Type I and W is unbounded.2). We then can dilate the solution around p such ˜ that W = 1.10
Xiaodong Cao
such that the curvature Rmgi (xi .1. notice that we do not provide an independent proof here. From [5].1: Proof. Theorem 1.T ) W = ∞. since we have bounded curvature on the dilation limit. if they are in fact Ricci ﬂat. If the solution of the Ricci ﬂow is a Type I solution. by Theorem 3. also by Q. Theorem 1. [13] and [2]. this solution can not terminate at any ﬁnite time. We ﬁrst consider Type I solutions. Since R > 0 has a lower R bound. Since R > 0 has a lower bound.
W R
Proof. Combine Corollary 3.8]. Hence ˜ we have W = 1 after dilation. 0) = 1 and the maximum of the (Riemannian) curvature of gi becomes uniformly bounded. It is worth to mention that in dimension 3.2. the traceless Ricci tensor is also bounded and contradicts it is a ﬁnitetime singularity. Le and Sesum [13]. scalar curvature blow up is equivalent to whole curvature blow up. and hence Rm also blows up at p. Remark 4. S. it is an ancient solution. For ﬁnite time singularities on closed manifolds. and all the blow up rate are same. the solution of the Ricci ﬂow is Ricci ﬂat. Remark 4. rescaling with respect to Rm is same as rescaling with respect to W.1) E R ≤ C1 + c2 max M ×[0. because we used a fact from [5. Muller and Topping [5]. By [5. this is a contradiction. if the solution is Type II. We assume that lim sup[0. we have (4. Perelman’s No Local Collapsing Theorem [19] provides the injectivity radius estimate. This is a complete solution to the Ricci ﬂow with bounded curvature. then we have is bounded. since this is a ﬁnite time singularity. the dilation limit must be Ricciﬂat for t ≤ 0. then it is an eternal solution. Zhang and the author [2].1. W
. hence we have a sequence of solutions to the Ricci ﬂow. W needs to blow up at some point p. all dilation limits have nonnegative sectional curvature due to the pinching estimate of Hamilton [9] and T.8] that all Type I singularity notions are equivalent. which is necessary to obtain a noncollapsed limit. In this case. So Rm(p) or W(p) is comparable to the maximum blow up curvature. the whole Riemannian curvature tensor Rm blows up.t] W W R .1. then this also contradicts [20. we now can ﬁnish our proof of the main Theorem 1.7 and the above discussion. Theorem 3].T ) R < ∞.
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