# A Characterization of Affine Surface Area

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1 A Characterization of Affine Surface Area Monika Ludwig and Matthias Reitzner Abteilung für Analysis, Technische Universität Wien, Wiedner Hauptstraße 8-10/114, A-1040 Vienna Abstract We show that every upper semicontinuous and equi-affine invariant valuation on the space of d-dimensional convex bodies is a linear combination of affine surface area, volume and the Euler characteristic AMS subject classification: Primary 5A0; Secondary 53A15. Keywords: affine surface area, convex bodies, valuation, Hadwiger s Characterization Theorem. 1 Introduction and statement of result Let K be a convex body, i.e. a compact convex set, in Euclidean d-space E d. For K with boundary bd K of differentiability class C the affine surface area Ω is defined as Ω(K) = κ(x) 1 d+1 dσ(x), bd K where κ(x) is the Gaussian curvature of bd K at x and σ is the (d 1)-dimensional Hausdorff measure. This notion was introduced in affine differential geometry (see Blaschke s monograph [4]). The reason for its importance in this field is that it is equi-affine invariant, i.e. invariant with respect to volume preserving affine transformations. Also outside affine differential geometry, affine surface area has important applications, for example, in problems of asymptotic approximation of convex bodies by polytopes (see [9], [10]) and in the theory of affine inequalities (see [1]). Beginning with the work of Leichtweiß [16], several ways of defining affine surface area Ω for general (not necessarily smooth) convex bodies were proposed. Since it was shown that these definitions are all equivalent, we can speak of the affine surface area Ω of a general convex body. Here we describe briefly three definitions of Ω, from which the properties needed for our characterization 1

2 Affine Surface Area can easily be deduced. For more detailed information, we refer to Leichtweiß monograph [18] and for further ways of defining affine surface area also to [4] and [31]. A theorem of Aleksandrov (see subsection.) says that with respect to the (d 1)-dimensional Hausdorff measure σ at almost every point x bd K there is a paraboloid osculating bd K. The (generalized) Gaussian curvature κ(x) of bd K at such an x is defined as the Gaussian curvature of this paraboloid at x, and the function κ(x) is Lebesgue integrable. Hence affine surface area can be defined as Ω(K) = κ(x) 1 d+1 dσ(x). (1) bd K This definition was given by Schütt and Werner [30]. Schütt [9] (or see [1]) showed that it is equivalent to the definition given by Leichtweiß [16]. Schütt and Werner [30] also showed the following. For δ > 0 define the convex floating body K δ of K as the intersection of all half-spaces whose complements intersect K in a set of volume δ. Generalizing results by Blaschke [4] and Leichtweiß [15], they proved that lim δ 0 c d V (K) V (K δ ) δ d+1 = bd K κ(x) 1 d+1 dσ(x), () where c d is a suitable constant and V stands for volume. Consequently, the left-hand side of () can also be used as a definition for Ω. Lutwak [0] gave the following definition of affine surface area for general convex bodies. Let So d be the set of starshaped bodies in E d with non-empty interior and centroid at the origin. Define Ω(K) = inf {(d V (L)) 1 d L So d S d 1 1 ρ L (u) dσ K(u)} d d+1, (3) where S d 1 is the unit sphere centered at the origin, ρ L (u) is the radial function of L at u S d 1, and σ K is Aleksandrov s surface area measure of K. This definition is related to Petty s notion of geominimal surface area [5]. It was shown to be equivalent to the other definitions by Leichtweiß [17] and Dolzmann and Hug [6]. Let K d be the space of convex bodies in E d equipped with the usual topology induced by the Hausdorff metric (cf. [8]). Then Ω is a functional defined for every K K d and has the following properties. (i) It is equi-affine invariant, i.e. for every volume preserving affine transformation ϕ and every convex body K Ω(ϕ(K)) = Ω(K)

3 Affine Surface Area 3 holds. For general convex bodies, this follows, for example, from (), since the volume of convex floating bodies is equi-affine invariant. (ii) Ω is upper semicontinuous, i.e. Ω(K) lim sup Ω(K n ) n for every K K d and every sequence K n K d with K n K. This was first even for smooth bodies proved by Lutwak [0]. The weak continuity of the surface area measure σ K implies that the functionals over which the infimum is taken in (3) are continuous, and as an infimum of continuous functionals affine surface area is therefore upper semicontinuous. Since Ω(P ) = 0 for every polytope P K d, affine surface area is not continuous. (iii) Ω is a valuation. Here a functional µ : K d R is called a valuation, if for every K, L K d with K L K d µ(k L) + µ(k L) = µ(k) + µ(l) holds. That Ω has this property follows from (1) (see [9]). Valuations play an important role in convex geometry (see [3], []) and have many applications in integral geometry (see [14]). One of the most important results in this field is the following characterization theorem by Hadwiger [11]: A functional µ : K d R is a continuous and rigid motion invariant valuation if and only if there are constants c 0, c 1,..., c d such that µ(k) = c 0 W 0 (K) c d W d (K) for every K K d. Here W 0 (K),..., W d (K) are the quermassintegrals of K. In particular, W 0 (K) is equal to the volume V (K) and W d (K) is a multiple of the Euler characteristic χ(k). For a short proof of this theorem, see Klain [13]. Prior to Hadwiger, Blaschke [5] indicated that every continuous and equiaffine invariant valuation on K 3 is a linear combination of volume and the Euler characteristic. Our aim is to extend Blaschke s result in order to obtain also a characterization of affine surface area. Ω is an equi-affine invariant and upper semicontinuous valuation on K d. Other examples of such functionals are volume and the Euler characteristic. We show that these properties characterize affine surface area, volume and the Euler characteristic. Theorem. A functional µ : K d R is an upper (or lower) semicontinuous and equi-affine invariant valuation if and only if there are constants c 0, c 1, and c 0 (c 0) such that for every K K d. µ(k) = c 0 χ(k) + c 1 V (K) + c Ω(K)

4 Affine Surface Area 4 That such a linear combination of affine surface area, volume and the Euler characteristic is an upper semicontinuous and equi-affine invariant valuation follows from the properties of affine surface area described above. We show that also the converse holds. In the planar case, this theorem was proved in [19] and independently by Tibor Ódor. Recently, he informed us that he has also obtained the above theorem. Tools 1. We need the following result on valuations on the set of spherical polytopes. Let S d 1 denote the unit sphere in E d and σ the (d 1)-dimensional Hausdorff measure. A C E d is a polyhedral cone, if it is the intersection of a finite family of closed half-spaces which have the origin in their boundaries, and a P S d 1 is called a spherical polytope, if there is a polyhedral cone C such that P = S d 1 C. Let P(S d 1 ) be the set of spherical polytopes and let ν : P(S d 1 ) R be a simple valuation, i.e. ν(p 1 P ) = ν(p 1 ) + ν(p ) for every P 1, P P(S d 1 ) with P 1 P P(S d 1 ) and where P 1 P is at most (d )-dimensional. Schneider [7] proved the following characterization theorem. Let ν : P(S d 1 ) R be a rotation invariant, non-negative and simple valuation. Then, there is a constant c 0 such that ν(p ) = c σ(p ) for every P P(S d 1 ).. A convex function f : E d 1 R is twice differentiable at a point x 0, if there exists a second order Taylor expansion at x 0, i.e. the gradient grad f at x 0 exists and there is a symmetric linear map A f(x 0 ) such that f(x ) = f(x 0) + grad f(x 0), x x A f(x 0 ) (x x 0), x x 0 + o( x x 0 ) as x x 0 0, where, denotes the inner product and the norm in E d 1 (see [8]). Let K be a convex body in E d and x 0 bd K. x 0 is called a normal point of bd K, if bd K can be represented in a neighbourhood of x 0 by a convex function f : E d 1 R such that x = (x 1,..., x d ) = (x, f(x )) for x bd K and such that f is twice differentiable at x 0. In this case, choosing a suitable coordinate system in E d makes it possible to write f(x ) = 1 ( κ1 (x 0 ) (x 1 x 1 0) κ d 1 (x 0 ) (x d 1 x d 1 0 ) ) + o( x x 0 ) as x x 0 0. The coefficients κ 1 (x 0 ),..., κ d 1 (x 0 ) are the (generalized) principal curvatures of bd K at x 0 and κ(x 0 ) = κ 1 (x 0 ) κ d 1 (x 0 ) is the (generalized) Gaussian curvature. The convexity of K implies that κ 1,..., κ d 1 0. If all principal curvatures are positive, then K is osculated by suitable ellipsoids at x 0. If κ(x 0 ) = 0, then K is osculated by suitable cylinders at x 0.

5 Affine Surface Area 5 Let N bd K denote the set of normal points of bd K. A classical theorem of Aleksandrov [] (or see [3]) states that i.e. almost all points on bd K are normal. σ(n) = σ(bd K), (4) 3. We need the following results on packings. They follow immediately from the Euclidean results (see, for example, [8]), since spheres and cylinders are locally Euclidean. Let B d be the closed unit ball in E d, and let B(x, r) be a closed d-dimensional ball with center x and radius r. We say that the balls B(x 1, r),..., B(x n, r) define a packing in S d 1, if x i S d 1 for i = 1,..., n and if the sets S d 1 B(x i, r) have pairwise disjoint relative interior in S d 1. Let m(r) be the maximum number of balls of radius r that define a packing in S d 1. Then κ d 1 m(r) r d 1 δ d 1 d κ d (5) as r 0, where δ d 1 > 0 is the packing density of balls in E d 1 and κ k is the volume of the k-dimensional unit ball. A similar statement holds for cylinders. Let I k E k denote the closed k- dimensional cube with side length centered at the origin. Then I k B d k, where B d k is the (d k)-dimensional unit ball, is a cylinder. We say that the balls B(x 1, r),..., B(x n, r) define a packing in the lateral surface Z = I k S d k 1 of this cylinder, if x i Z for i = 1,..., n and if the sets Z B(x i, r) have pairwise disjoint relative interior in Z. Let m(r) be the maximum number of disjoint balls of radius r that define a packing in Z. Then as r 0. κ d 1 m(r) r d 1 δ d 1 k (d k) κ d k (6) 4. Finally, we make use of the following result from measure theory (see, for example, [7] and [6]). Let N E d be a set of finite (d 1)-dimensional Hausdorff measure σ(n) and denote the diameter of set V by diam V. We call a collection V of sets a Vitali class for N, if for every x N and every δ > 0, there is a V V such that x V, 0 < diam V δ, and σ(v ) q(x) > 0, (diam V ) d 1 where q(x) depends only on x. Then a version of Vitali s covering theorem states the following. Let V be a Vitali class of closed sets for N. Then for every ε > 0 there are pairwise disjoint V 1,..., V n V such that n σ(n) σ(v i ) + ε.

6 Affine Surface Area 6 3 Proof The proof is organized in the following way. In the first part, we use induction on the dimension d to arrive at the characterization of affine surface area in Proposition. In the second part, it is shown that it suffices to consider ε- smooth convex bodies, i.e. to show Proposition 3, for which the proof is given in the last part. 1. If µ is lower semicontinuous, then µ is upper semicontinuous. Thus it suffices to consider upper semicontinuous µ. Since µ is translation invariant, there is a constant c 0 such that µ(k) = c 0 for every singleton K = {x}. We define µ 0 (K) = µ(k) c 0 χ(k) for every K K d. Then µ 0 is an upper semicontinuous and equi-affine invariant valuation and it vanishes on singletons. Thus it suffices to show the following proposition to prove our theorem. Proposition 1. Let µ : K d R be an upper semicontinuous and equi-affine invariant valuation which vanishes on singletons. Then there are constants c 1 and c 0 such that µ(k) = c 1 V (K) + c Ω(K) for every K K d. To prove this proposition we use induction on the dimension d. Let d = 1. Then every convex body is a closed interval. Since µ vanishes on singletons and is translation invariant, this implies that µ(k) depends only on the length of the interval K. Thus we can define a function f : [0, ) R by f(x) = µ(k), where x = V 1 (K) is the length of the interval K. Since µ is a valuation and vanishes on singletons, f(x + y) = f(x) + f(y) holds for every x, y [0, ). Thus f is a solution of Cauchy s functional equation. Since µ is upper semicontinuous, also f has this property. By a well known property of solutions of Cauchy s functional equation (see, for example, [1]), this implies that there is a constant a such that f(x) = a x

7 Affine Surface Area 7 for every x [0, ). Thus µ(k) = a V 1 (K) and Proposition 1 holds for d = 1. So suppose that Proposition 1 holds in dimension (d 1), i.e. for every upper semicontinuous and equi-affine invariant valuation ν : K d 1 R which vanishes on singletons, there are constants a 1 and a such that ν(k) = a 1 V d 1 (K) + a Ω d 1 (K) (7) for every K K d 1, where V d 1 is the volume and Ω d 1 is the affine surface area in E d 1. Now let d and let µ : K d R be an upper semicontinuous and equi-affine invariant valuation which vanishes on singletons. Using (7), we show that µ is simple, i.e. µ(k) = 0 for every at most (d 1)-dimensional K K d. Lemma 1.1. µ is simple. Proof. Let H E d be a hyperplane, let K(H) be the set of convex bodies K H, and let ν be the restriction of µ to K(H). Then ν : K(H) R is an upper semicontinuous valuation which is invariant with respect to affine transformations (including dilations). If we identify K(H) with K d 1, we can apply our induction assumption (7) and obtain ν(k) = a 1 V d 1 (K) + a Ω d 1 (K) for every K K(H) with suitable constants a 1, a. Since both V d 1 and Ω d 1 are homogeneous and neither V d 1 nor Ω d 1 is invariant with respect to dilations, we conclude that a 1 = a = 0. Note that simple valuations have the following additivity property. If P 1,..., P n are polytopes with pairwise disjoint interior and if K is a convex body with K P 1... P n, then µ(k) = µ(k P 1 ) µ(k P n ). This follows easily from the valuation property by using induction on n (see, for example, [11], p. 81). Next, we subtract a suitable multiple of volume from µ to obtain a valuation which vanishes on polytopes. Let S be a simplex, i.e. the convex hull of d + 1 points in E d. Since µ is equi-affine invariant and simple, the value µ(s) depends only on the volume of S, i.e. there is a function f : [0, ) R such that f(x) = µ(s),

8 Affine Surface Area 8 where x = V (S). For given values x 1, x 0, we can find simplices S 1 and S of volume x 1 and x, respectively, such that S 1 S is a simplex of volume x 1 + x. Therefore, taking into account that µ is simple valuation, we obtain and µ(s 1 S ) = µ(s 1 ) + µ(s ) f(x 1 + x ) = f(x 1 ) + f(x ). Thus f is a solution of Cauchy s functional equation and since it is upper semicontinuous, this implies that there is a constant c 1 such that and consequently f(x) = c 1 x µ(s) = c 1 V (S) for every simplex S. Since every polytope P can be dissected into simplices and since µ is a simple valuation, this implies that µ(p ) = c 1 V (P ) for every polytope P K d. We define µ 1 (K) = µ(k) c 1 V (K) for every K K d and obtain a functional µ 1 : K d R, which is an upper semicontinuous, equi-affine invariant and simple valuation with the property that µ 1 (P ) = 0 for every polytope P. Since every convex body K can be approximated by polytopes P n and since µ 1 vanishes on polytopes, the upper semicontinuity of µ 1 implies that µ 1 (K) lim sup µ 1 (P n ) = 0, (8) n i.e. µ 1 is non-negative. Using our induction assumption (7), we now show that µ 1 vanishes on cylinders. A convex body Z is called a cylinder, if Z is the Minkowski sum of a (d 1)-dimensional convex body K and a closed line segment I, i.e. Z = K + I. Lemma 1.. For every cylinder Z, µ 1 (Z) = 0. Proof. We choose a hyperplane H and a direction in E d and consider only line segments I parallel to this direction. For a given K K(H), the translation invariance of µ 1 implies that µ 1 (K + I) depends only on the length x = V 1 (I) of I, and we define f K (x) = µ 1 (K + I).

9 Affine Surface Area 9 Since µ 1 is a translation invariant and simple valuation, we see that for line segments I 1, I µ 1 (K + (I 1 + I )) = µ 1 (K + I 1 ) + µ 1 (K + I ) holds. Setting x 1 = V 1 (I 1 ) and x = V 1 (I ) we therefore obtain f K (x 1 + x ) = f K (x 1 ) + f K (x ), which implies that f K is a solution of Cauchy s functional equation. In addition, f K is upper semicontinuous. Thus there is a ν(k) such that and f K (x) = ν(k) x µ 1 (K + I) = ν(k) V 1 (I) for every K K(H) and every line segment I. ν is defined on K(H). Since µ 1 is an equi-affine invariant and upper semicontinuous valuation and vanishes on polytopes, also ν has these properties. We can therefore apply our assumption (7) for K d 1 and obtain ν(k) = a Ω d 1 (K) for every K K(H) with a suitable constant a, and consequently µ 1 (K + I) = a Ω d 1 (K) V 1 (I) (9) for every K K(H) and every line segment I. We now choose equi-affine invariant transformations ϕ t in the following way. 1 We dilate by a factor t > 0 in H and by a factor in the direction parallel t d 1 to our line segments. Then ϕ t (K + I) is a translate of the cylinder t K + 1 I. t d 1 From the equi-affine invariance of µ 1 and from (9), we therefore obtain µ 1 (ϕ t (K + I)) = a Ω d 1 (t K) V 1 ( 1 t d 1 I) = µ 1(K + I) = a Ω d 1 (K) V 1 (I). If a 0, then Ω d 1 (t K) = t d 1 Ω d 1 (K) for every K K(H) and every t > 0. But Ω d 1 is not homogeneous of degree d 1. Thus a = 0 and µ 1 (Z) = 0.

10 Affine Surface Area 10. By the definition of µ 1, Lemma 1.1 and 1., it suffices to show the following result to complete our proof by induction of Proposition 1. Proposition. Let µ : K d [0, ) be an upper semicontinuous, equi-affine invariant and simple valuation, which vanishes on polytopes and on cylinders. Then there is a constant c 0 such that for every K K d. µ(k) = c Ω(K) To prove this proposition we show that if we know the value of µ for the unit ball B d, the value of µ for every K K d is already uniquely determined. That this implies Proposition can be seen in the following way. Let µ be defined as in Proposition. Then there is a c 0 such that for the unit ball B d µ(b d ) = c σ(s d 1 ) = c Ω(B d ). (10) Ω is also a valuation which fulfills the assumptions of Proposition. If for every K K d the value of Ω as well as of µ is uniquely determined by the value for the unit ball, then (10) implies that µ(k) = c Ω(K) for every K K d and therefore Proposition holds under this assumption. Thus we have to show that µ is uniquely determined by the constant c chosen in (10). We already know the value of µ for polytopes and cylinders. As an application of Schneider s theorem cited in subsection.1, we now obtain the following result. Lemma.1. For every polytope P, µ(b d P ) = c σ(s d 1 P ). Proof. First, we consider polyhedral cones. For every polyhedral cone C, S d 1 C is a spherical polytope. Set ν(s d 1 C) = µ(b d C). Then ν is defined on P(S d 1 ). Since µ is a rotation invariant and simple valuation, so is ν. In addition, µ and ν are non-negative by (8). Thus by Schneider s theorem there is a constant a 0 such that ν(s d 1 C) = a σ(s d 1 C) for every polyhedral cone C. By (10), ν(s d 1 ) = µ(b d ) = c σ(s d 1 ). Thus a = c and µ(b d C) = c σ(s d 1 C). (11) Second, we prove the lemma in the case that P is the convex hull of a (d 1)- dimensional polytope F and the origin. Let C F be the polyhedral cone generated by the ray starting from the origin and intersecting F, and let ε > 0 be chosen. We dissect F into polytopes F 1,..., F n and hence the cone C F into cones C F1,..., C Fn such that for i = 1,..., k, F i B d, for i = m,..., n, F i B d =, and such that m 1 i=k+1 σ(s d 1 C Fi ) < ε. (1)

11 Affine Surface Area 11 Let P i be the convex hull of F i and the origin. Then for i = 1,..., k, since µ vanishes on polytopes, and µ(b d P i ) = 0 (13) µ(b d P i ) = c σ(s d 1 C Fi ) (14) for i = m,..., n, since then B d P i = B d C Fi and by (11). The polytopes P i have pairwise disjoint interior and since µ is non-negative, this and (13) imply n µ(b d P i ) µ(b d P ) = i=m n i=k+1 µ(b d P i ). Since µ is non-negative, µ(b d P i ) µ(b d C Fi ). Therefore we obtain by (14) and (11) c n n σ(s d 1 C Fi ) µ(b d P ) c σ(s d 1 C Fi ) i=m i=k+1 and thus by (1) ( n ) ( n ) c σ(s d 1 P i ) ε µ(b d P ) c σ(s d 1 P i ) + ε. i=k+1 i=k+1 Since σ(s d 1 P i ) = 0 for i = 1,..., k, and since ε > 0 was arbitrary, this proves µ(b d P ) = c σ(s d 1 P ) (15) in the case that P is convex hull of a (d 1)-dimensional polytope and the origin. Finally, for an arbitrary polytope P the lemma follows now easily from the observation that every polytope can be represented by the convex hulls of the (d 1)-dimensional facets F 1,..., F n of P and the origin. The polytope P is the intersection of finitely many half-spaces H 1 +,..., H n + such that F i bd H + i. Let H + i for i = 1,..., m be the half-spaces which contain the origin. Denoting by P i the convex hull of F i and the origin, we thus obtain m P i = n i=m+1 P i P, and the P i s have for i = 1,..., m and for i = m + 1,..., n pairwise disjoint interior. Hence m n µ(b d P ) = µ(b d P i ) µ(b d P i ). i=m+1

12 Affine Surface Area 1 Since by (15) our statement is already proved for the polytopes P i, this completes the proof of the lemma. Therefore µ is uniquely determined by (10) for the intersection of the unit ball and a polytope, and since µ is equi-affine invariant, it is also determined on equi-affine images of such intersections. By Lemma 1., we know that µ vanishes on cylinders. Hence we have for the intersection of a polytope P and a cylinder Z µ(z P ) = 0. This can be seen by dissecting the cylinder Z by polytopes P, P 1,..., P n, since we have 0 = µ(z) = µ(z P ) + µ(z P 1 ) µ(z P n ) and since µ is non-negative. We introduce the following family of convex bodies. Definition. Let E be the family of convex bodies E which can be represented as E = E 1... E n, where the E i s have pairwise disjoint interior and every E i is a polytope or an equi-affine image of the intersection of the unit ball or a cylinder with a polytope. Having fixed c 0 in (10) by the value of µ for the unit ball, we now know the value of µ for every E E. Since the polytopes belong to E, E is dense in K d and we can approximate every K K d by elements of E. The upper semicontinuity of µ implies that µ(k) lim sup µ(e n ) (16) n for every sequence E n with E n K. We will prove that for every K K d there is a sequence E n such that we have equality in (16), i.e. µ(k) = sup{lim sup µ(e n ) : E n E, E n K}. (17) n Showing this implies that µ is uniquely determined by (10) and therefore proves Proposition. As a first step, we show that it suffices to prove (17) for ε-smooth bodies. Here a convex body K is ε-smooth if there is a convex body K 0 such that We need the following lemma. K = K 0 + ε B d. Lemma.. For every K K d and every closed line segment I, µ(k + I) = µ(k).

13 Affine Surface Area 13 Proof. We choose a direction in E d and consider only line segments I parallel to this direction. Then, since µ is translation invariant, µ(k + I) depends only on the length x = V 1 (I), and we define f K (x) = µ(k + I). Let I 1, I be line segments with disjoint relative interior such that the origin is contained in I 1 I. Then and Since µ is a valuation, this implies that (K + I 1 ) (K + I ) = K + (I 1 + I ) (K + I 1 ) (K + I ) = K. µ(k + (I 1 + I )) + µ(k) = µ(k + I 1 ) + µ(k + I ), and setting x 1 = V 1 (I 1 ) and x = V 1 (I ), now shows that f K (x 1 + x ) + f K (0) = f K (x 1 ) + f K (x ) for every x 1, x 0. Thus f K (x) f K (0) is a solution of Cauchy s functional equation. Since it depends upper semicontinuously on x, there is a ν(k) such that f K (x) = ν(k) x + f K (0) for every x 0. Therefore µ(k + I) = ν(k) V 1 (I) + µ(k) (18) holds for every K K d and every line segment I. For I sufficiently long (i.e. longer than the width of the shadow boundary of K in the direction of the line segment I), we can find closed half-spaces H 1 + and H such that the part of K + I not lying in one of these half-spaces is a non-degenerate cylinder Z. Set I 1 = I H 1 + and I = I H. Then V 1 (I) > V 1 (I 1 ) + V 1 (I ). (19) Since µ vanishes on cylinders by Lemma 1. and since it is translation invariant, we obtain µ(k + I) = µ((k + I) H + 1 ) + µ(z) + µ((k + I) H ) = µ(k + I 1 + I ). Consequently, (18) implies that ν(k) V 1 (I) = ν(k) V 1 (I 1 + I ).

14 Affine Surface Area 14 Thus it follows from (19) that ν(k) = 0 and combining this with (18) shows that µ(k + I) = µ(k) holds for every K K d. Suppose that (17) does not hold for a K K d, i.e. µ(k) > sup{lim sup µ(e n ) : E n E, E n K}. n Then there is an a > 0 and a δ > 0 such that µ(k) > µ(e) + a σ(bd K) (0) for every E E with δ H (E, K) δ, where δ H stands for Hausdorff distance. We show that then there is also an ε-smooth convex body for which an inequality of this type holds. The unit ball B d can be approximated by zonotopes I n, i.e. by Minkowski sums of finitely many line segments (cf. [8], Chapter 3.5). The upper semicontinuity of µ and Lemma. imply that µ(k + ε B d ) lim sup µ(k + ε I n ) = µ(k) n for every ε > 0, i.e. µ is larger for K + ε B d than for K. Thus for ε 1 δ, (0) implies that µ(k + ε B d ) > µ(e) + a σ(bd K) for every E E with δ H (K + ε B d, E) 1 δ, since for such an E E δ H (K, E) δ H (K, K + ε B d ) + δ H (K + ε B d, E) δ. Since σ depends continuously on K, it now follows that µ(k + ε B d ) > µ(e) + a σ(bd(k + ε Bd )) for every E E with δ H (K + ε B d, E) 1 δ and 0 < ε 1 δ sufficiently small. This implies that if (17) does not hold for a K K d, then it does also not hold for K + ε B d for ε > 0 sufficiently small.

15 Affine Surface Area Thus it suffices to show the following proposition to prove (17) and thereby our theorem. Proposition 3. For every ε-smooth K K d, ε > 0, we have µ(k) = sup{lim sup µ(e n ) : E n E, E n K}. n Let K K d be ε-smooth, ε > 0, and let P i, P c K d be polytopes such that P i int K P c, where int stands for interior. We will prove that for every choice of such K, P i, P c, and every a > 0, an E E can be constructed such that P i E P c and such that µ(k) µ(e) + a σ(bd K) (1) holds. This shows that there is always an E E arbitrarily close to K such that µ(e) is almost as large as µ(k) and therefore proves Proposition 3. The proof that such an E can always be constructed is subdivided into four parts. In the first part, we show that for a normal point x 0 bd K with positive curvature an E r (x 0 ) E and a small polytope P r (x 0 ) containing x 0 can be chosen such that µ(e r (x 0 ) P r (x 0 )) is almost as large as µ(k P r (x 0 )). This is done by comparing K with a suitable unit ellipsoid close to an osculating ellipsoid of K. In the second part, a similar statement is proved for normal points with vanishing curvature. Here we compare K with suitable cylinders. In the third part, we use that K is ε-smooth to show that for every polytope P, µ(k P ) is bounded by c(ε) σ(bd K P ) with a suitable constant c(ε), i.e. we prove a type of absolute continuity property of µ. Finally, using Aleksandrov s theorem and Vitali s covering theorem, we construct our E E and using the estimates from the preceding parts for normal points and the absolute continuity property, we show that (1) holds for our E Let x 0 bd K be a normal point with curvature κ(x 0 ) > 0. Let R(x 0 ) be the ray starting at x 0, orthogonal to the tangent hyperplane of K at x 0 and intersecting K. Then there is a solid ellipsoid E(x 0 ) of volume κ d which osculates K at x 0 and whose center lies on R(x 0 ). Every ellipsoid with center on R(x 0 ) whose principal curvatures at x 0 in respective directions are larger than those of E(x 0 ) lies locally inside of K and similarly, every ellipsoid with smaller principal curvatures lies locally outside of K. Thus for a given t > 0 there are solid ellipsoids Et(x i 0 ) and Et c (x 0 ) with centers on R(x 0 ) of volume κ d and (1 + t) d κ d, respectively, such that Et c (x 0 ) is homothetic to Et(x i 0 ), Et(x i 0 ) touches K at x 0 and lies locally inside of K, and Et c (x 0 ) touches K at x 0 and lies locally outside of K. For such an ellipsoid Et(x i 0 ), let ϕ t be the equi-affine map which transforms Et(x i 0 ) into the unit ball. Denote by ϕ t the norm of ϕ t. Then ϕ t (x 1 ) ϕ t (x ) ϕ t x 1 x

16 Affine Surface Area 16 for every x 1, x E d, which implies that for every set S with finite (d 1)- dimensional Hausdorff measure, we have σ(ϕ t (S)) ϕ t d 1 σ(s). This is a property of Lipschitz maps (see, for example, [7]). Since ϕ t depends continuously on t, for t > 0 bounded from above, say t < 1 4, there is a p(x 0) > 0 (depending only on x 0 ) such that σ(s) σ(ϕ t (S)) p(x 0) () for every S with finite (d 1)-dimensional Hausdorff measure. We now choose a t > 0 so small, that 4 ( ) 1 4 c + a p(x0 ) d t 1, (3) 4 c + a p(x 0 ) where c is the constant chosen in (10), and that if c 0, then also 4 t ( 1 + a p(x ) 1 d 0) 1 (4) 8 c holds. Denote by ϕ the equi-affine map belonging to this t. Note that (3) implies that t < 1 4. Let y 0 = ϕ(x 0 ) S d 1 and Bt d = B( t y 0, 1 + t) = ϕ(et c (x 0 )). We choose a polytope Q with the following properties: and for every 0 < r 1. Define and Q B d (1 + t) Q (5) S d 1 r Q is a convex set on S d 1 (6) T r = ϕ(bd K) (y 0 + r Q), L r = ϕ(k) (y 0 + r Q). Note that for r > 0 sufficiently small the set T r is simply connected and that by the definition of E i t(x 0 ), E c t (x 0 ) and ϕ, T r lies between B d and B d t. We show that µ(b d (y 0 +r Q)) is almost as large as µ(l r ) for r > 0 sufficiently small. The basic idea is the following. By construction bd(ϕ(k)) touches B d at y 0 and lies locally outside of B d and the boundary of the convex hull of L r and B d differs only around y 0 from S d 1. We take a dense packing in S d 1 of rotated copies of that part of S d 1 not contained in the boundary of this convex hull

17 Affine Surface Area 17 and using the same rotations we construct a convex body M(r) as the convex hull of rotated copies of L r and B d. Then M(r) B d as r 0 and since µ is upper semicontinuous, µ(m(r)) cannot be much larger than µ(b d ) for r > 0 sufficiently small. From this we deduce that also µ(l r ) is not much larger than µ(b d (y 0 + r Q)). Then, in 3.1.., we replace B d (y 0 + r Q) by an element E r of E which consists of a relatively large piece of B d (y 0 + r Q) contained in ϕ(k) and suitable parts of cylinders and polytopes. This E r is chosen in such a way that after transforming back by ϕ 1 we are able to build our E E using ϕ 1 (E r ) Suppose that for r > 0 arbitrarily small, µ(l r ) > µ(b d (y 0 + r Q)) + a p(x 0) 4 σ(s d 1 (y 0 + r Q)) (7) holds. To show that this leads to a contradiction the following technical claim will be useful. It states that the convex hull of T r and B d differs only in a small neighbourhood of y 0 from B d. claim 1. For every r, 0 < r < 1, conv ( B d T r ) \B d y 0 + (1 + 4 t) r Q. (8) Proof. First we state some elementary facts which will be used throughout this section. Let y / B d, denote by dist(y, B d ) = inf{ y x : x B d } the distance of y to B d, and let ȳ S d 1 be such that aff(y, ȳ) is tangent to B d. Here aff stands for affine hull. Then we have y ȳ = (dist(y, B d ) + 1) 1 dist(y, B d ) (9) for dist(y, B d ) 1. Note that this implies conv ( B d y ) \B d y + dist(y, B d ) B d. (30) Now, if y B d t an elementary calculation shows that dist(y, B d ) t y y 0. (31) Clearly, this is a two-dimensional problem. Denote by f(s) and f t (s) the functions representing the circle with radius 1 and 1 + t, respectively, and touching the s- axis at the origin from above. Then dist(y, B d ) < f( y y 0 ) f t ( y y 0 ) and the Taylor expansions of f and f t yield (31). Since T r lies in B d t, we now have by (31), (30), and (5) conv ( B d y ) \B d y + t (1 + t) r Q

18 Affine Surface Area 18 for every y T r. Since y y 0 + r Q and t < 1, this proves the claim. 4 We now construct the convex bodies M(r). Let m r be the maximum number of points y 1,..., y mr S d 1 such that the sets S d 1 B(y i, (1 + 4 t) r) for i = 1,..., m r form a packing in S d 1. Then, since m r = m((1 + 4 t) r), it follows from (5) that as r 0. We define κ d 1 m r ((1 + 4 t) r) d 1 δ d 1 d κ d (3) M(r) = conv ( B d ψ y1 (T r )... ψ ymr (T r ) ), where the ψ yi s are rotations such that ψ yi (y 0 ) = y i. This construction implies that M(r) B d as r 0, and because of (8) that ψ yi (T r ) bd M(r) (33) holds for i = 1,..., m r and r > 0 sufficiently small. We dissect m r M(r)\ ψ yi (L r ) into convex polytopes P 1,..., P kr. It follows from (6) and (33) that the intersection of ψ yi (L r ) and ψ yj (L r ) for i j is empty and we obtain m r k r µ(m(r)) = µ(ψ yi (L r )) + µ(m(r) P j ). (34) Note that for a polytope P for which P bd M(r) = P S d 1 it follows from Lemma.1 that µ(m(r) P ) = c σ(s d 1 P ). Since µ is non-negative, dissecting M(r) P j into small pieces therefore implies that k r j=1 j=1 µ(m(r) P j ) c σ(s d 1 bd M(r)). Using this and the rotation invariance of µ we obtain from (34) µ(m(r)) m r µ(l r ) + c σ ( S d 1 bd M(r) ). (35)

19 Affine Surface Area 19 By the definition of M(r) and (8), we have σ(s d 1 bd M(r)) σ(s d 1 ) m r σ(s d 1 (y 0 + (1 + 4 t) r Q)), and since σ is homogeneous of degree (d 1) in the hyperplane tangent to S d 1 at y 0 and since S d 1 is locally Euclidean, the estimate σ(s d 1 (y 0 + (1 + 4 t) r Q)) (1 + 4 t) d σ(s d 1 (y 0 + r Q)) holds for r > 0 sufficiently small. Hence (35) and our assumption (7) now yield ( µ(m(r)) m r µ(b d (y 0 + r Q)) + a p(x ) 0) σ(s d 1 (y 0 + r Q)) ( 4 + c σ(s d 1 ) m r σ(s d 1 (y 0 + (1 + 4 ) t) r Q)) ( µ(b d ) + m r σ(s d 1 (y 0 + r Q)) c + a p(x 0) c (1 + 4 ) t) d 4 for r > 0 sufficiently small. Since by (5) B (1 + t) Q, comparison with the tangent hyperplane shows that the estimate σ(s d 1 (y 0 + r Q)) rd 1 κ d 1 (1 + 4 t) d 1 holds for r > 0 sufficiently small. Thus by our choice of t in (4), by (3), and since µ is upper semicontinuous, we obtain µ(b d ) lim sup µ(m(r)) µ(b d ) + a p(x 0) r 0 8 This is a contradiction, since a > 0. Therefore δ d 1 d κ d (1 + 4 t) (d 1). µ(l r ) µ(b d (y 0 + r Q)) + a p(x 0) σ(s d 1 (y 0 + r Q)) (36) 4 holds for r > 0 sufficiently small For r > 0, we construct a polyhedral cone C r with S d 1 C r S d 1 (y 0 + r Q) such that C r can be complemented by cylinders and polytopes to a suitable element E r of E with the properties that for r > 0 sufficiently small and µ(l r ) µ(e r (y 0 + r Q)) + a p(x 0) σ(e r (y 0 + r Q)), (37) µ(e r ) = µ(b d C r ), (38) bd E r ϕ(k) y 0 + r Q. (39) Since locally around y 0 B d lies in L r, the last property means that bd E r intersects bd ϕ(k) before it intersects y 0 + r bd Q.

20 Affine Surface Area 0 For y S d 1, let H + (y) be the closed half-space which contains B d and is bounded by the tangent hyperplane to B d at y, and for a convex set C, set H + (C) = H + (y). y S d 1 C Note that for C a polyhedral cone, H + (C) is the union of B d C and finitely many polyhedra and pieces of unbounded cylinders. Hence for a suitable polyhedral cone C r we can set E r = H + (C r ) ϕ(p c ) and obtain an element of E. Using this notation (39) can be written as bd H + (C r ) ϕ(k) y 0 + r Q. The following claim shows that it suffices to choose a polyhedral cone C r with S d 1 C r y 0 + (1 3 t) r Q to ensure that this condition holds. claim. For every r, 0 < r < 1 bd H + (y 0 + (1 3 t) r Q) ϕ(k) y 0 + r Q. (40) Proof. The proof of this claim is analogous to that of Claim 1 in Let y ϕ(k) and ȳ S d 1 (y 0 + (1 3 t)r Q) be such that aff(y, ȳ) is tangent to B d. Then by (9) and (31), which can be used since dist(y, B d ) 1 and since y B d t, y ȳ < t y y 0. By assumption, ȳ y 0 (1 3 t)r and therefore this and the triangle inequality imply y y 0 < 1 3 t 1 t r. Using (5) we therefore have y ȳ + t 1 3 t 1 t (1 + t) r Q Since ȳ y 0 + (1 3 t)r Q, this proves the claim. By (6) S d 1 (y 0 + (1 3 t) r Q) is a convex set on S d 1 and can therefore be approximated by polyhedral cones. We choose a polyhedral cone C r such that S d 1 (y 0 + (1 4 t) r Q) S d 1 C r S d 1 (y 0 + (1 3 t) r Q) and define E r = H + (S d 1 C r ) ϕ(p c ). (41)

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