Existence a uniqueness theorems for ODEs: two proofs compared

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Lately I've been studying the existence [and uniqueness] theorem for ODEs. As is often the case with beautiful theorems, there are several proofs of this fact. Today I want to focus on two elementary proofs, and compare them somewhat.

First of all, let's write down exactly what the theorem says in the case of a non-autonomous vector field.

Theorem. Let $ E $ be a normed space ($ \mathbb R^n $ will suffice). Let $ U\subset E $ be open. Let $ I\subset \mathbb R $ be an open interval. Let $ X\colon U\times I\to E $ be continuous and locally uniformly Lipschitz in the second variable. Let $ x_0\in U $ and $ t_0\in E $. Then there exists an open ball $ B\subset U $ around $ x_0 $, an open interval $ J = \left]t_0-\alpha,t_0+\alpha\right[\subset I $ around $ t_0 $, and a unique integral curve $ x\colon J\to U $ of $ X $ such that $ x(t_0) = x_0 $ and such that $ x(t)\in B $ for every $ t\in J $.

A common ground

Both the proofs I have in mind start by noticing that there exists an open ball $ B(x_0,\epsilon)\subset U $ and an open interval $ \left]t_0 - \delta,t_0 + \delta\right[\subset I $ where $ \lVert X(x,t) \rVert\leqq M $ for some $ M > 0 $. This is kinda easy to prove.

Moreover, let's call $ K_0 $ some local Lipschitz constant of $ X $ around $ (x_0,t_0) $.

The first proof

Let $ \alpha $ be such that $ \alpha < \epsilon/M $ and $ \alpha < \delta $. One way to prove the Theorem is to define inductively $ x_n\colon J = \left]t_0 - \alpha,t_0 + \alpha\right[\to U $ for every $ n\in \mathbb N $ by $$ x_0(t) = x_0\text{,}\qquad x_{n + 1}(t) = x_0 + \int_{t_0}^t X(x_n(\zeta),\zeta)\,\mathrm d\zeta\text{.} $$ By induction then $ x_n(t)\in B(x_0,\epsilon) $ and $$ \lVert x_n(t) - x_{n + 1}(t)\rVert\leqq \frac{MK^n}{(n + 1)!}\lvert t - t_0\rvert\text{,} $$ thus the $ x_n $s form a uniformly Cauchy sequence that converges to an integral curve of $ X $.

The second proof

The second proof I had in mind uses the celebrated Banach fixed point theorem, or rather one of its corollaries. We basically define the operator $$ T\colon H\to K\text{,}\qquad (Tx)(t) = x_0 + \int_{t_0}^t X(x(\zeta),\zeta)\,\mathrm d\zeta $$ where $ K $ is the space of bounded continuous functions $ x\colon J\to U $ equipped with the sup-norm $ \lVert\phantom{x}\rVert_\infty $, and $ H $ is the open ball of radius $ \epsilon $ in $ K $ around the constant function $ \bar x_0 $ at $ x_0 $. It is a general easy fact that if $ \lVert Tx - \bar x_0\rVert_\infty < (1 - C)\epsilon $, where $ C $ is the contraction constant of $ T $, then $ T $ has a fixed point that lies in $ H $.

A couple of questions

The first one. The estimate to be made on $ \alpha $ in the second proof seems stronger. For the fixed point argument to work we need, in order: $ \alpha < \delta $, $ \alpha < \epsilon/M $ (this ensures that $ Tx $ is again a bounded continuous mapping and thus lies in $ K $), and some other condition related to the fact that $ \lVert Tx - \bar x_0\rVert_\infty < (1 - C)\epsilon $ must hold.

For example, Loomis&Sternberg's Advanced Calculus claims that $ \alpha $ should be smaller than $ \epsilon/(M + C\epsilon) $.

On the other hand, the first proof seems to work for all $ \alpha < \delta $ and $ \alpha < \epsilon/M $. This surprises me. Did I do something wrong?

The second one. This is more philosophic. I don't know anything about computational mathematics, but I was wondering: If one of these two iterative proofs were to be implemented on a computer, which one would it be? What's the differences between the two approaches. Or, on the contrary: How are they similar?

I will follow a Dynamical Systems course next term and I hope it will clarify me some doubts, but for now I'm just leaving it there.

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The restriction based on the Lipschitz constant are technical and thus not necessary.

After the first restriction based on the bound on $X$ to $\bar \alpha=\min(a,M/b)$, the local Lipschitz constant for that cylinder $\{|t-t_0|\le\bar\alpha,\;\|x-x_0\|\le b\}$ or the double cone $\{\|x-x_0\|\le M\,|t-t_0|\le M\,\bar\alpha\}$ inside this cylinder is indistinguishable from a global Lipschitz constant in the strip over the time interval.

This could be made formal by replacing $X$ with a continuation that is constant or linear on the rays in the space directions outside the cylinder.

To more directly see this, observe that the radius $\alpha=\min(\bar \alpha,\frac1L)$ of the local solution is valid for any continuation in the above cylinder. So the big cylinder can be covered by finitely many slices of width $\alpha$, and the local solutions of IVP inside the slices can be patched together to a solution over the full width of the cylinder.


There is another approach to get a solution over the cylinder directly from the Banach fixed-point theorem. This is by using a weighted norm, where the weight function is associated to the exponential function that is the sum of all bounds in the first approach. In short the modified norm is $$\|x\|_L=\sup_{|t-t_0|\le\bar \alpha} e^{-2L|t-t_0|}\|y(t)\|.$$ In this norm the Picard iteration operator has a contraction factor of $\frac12$. Over bounded intervals this norm is equivalent to the simple supremum norm, so that all convergence properties remain valid.