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A cancelling disk triad has an exact C² boundary scalar

Statement

Assume ACω. Let W be a smooth compact disk with corners whose boundary consists, in cyclic order, of an incoming interval E−, a trajectory side S0, an outgoing interval E+ and a trajectory side S1. Let f0 be smooth near W, with f0=a on E−, f0=b on E+, a<b, and exactly two interior critical points, a minimum p and an index-one saddle q, with a<f0(p)<f0(q)<b. Let Y be a smooth upward gradient-like field for f0, in its adapted Morse forms near p,q, tangent to the sides and transverse to the faces. Suppose there is exactly one connecting trajectory from p to q. Let c be C2 on an open neighbourhood of the entire boundary of W, with dc(Y)>0 there, and suppose ∣c−f0∣<(b−a)/3 on the two faces. Then there is a C2 function v on W with dv nowhere zero and v=c on an open collar of the entire boundary. The same conclusion holds after rounding corners inside that collar.

Facts & Assumptions

Given: The disk triad, smooth f0,Y, unique connecting trajectory, and C2 boundary scalar c of the Statement.

[F1]

The cancellation modification is supported in a trajectory neighbourhood supplies a smooth nonzero replacement field supported near the unique connecting trajectory, all of whose trajectories cross a two-face compact slab; a smooth scalar increases strictly along that field. Its scalar is fixed near the two faces only, and no other scalar support assertion is used.

[F2]

Smooth flows have smooth dependence and uniqueness (The fundamental theorem on flows); transverse hitting times and local smooth product inverses follow from The smooth inverse function theorem on manifolds.

[F3]

A manifold bump for a compact set inside an open set supplies cutoffs with prescribed compact support. The standing assumption is The Axiom of Countable Choice (ACω).

Proof

technique · direct
1.1givenF2F3construct

Extend the two sides slightly beyond their endpoints and take narrow regular flow strips around them. The coordinate s=f0 increases along Y, and its normalized flow makes each strip a product with s∈[a,b]; a transverse coordinate labels its trajectories. Glue an auxiliary rectangle [0,1]×[a,b] along its two vertical edges to the two trajectory sides of W, using these product coordinates. On the rectangle put f0=s and extend the field as a positive multiple of ∂s: on narrow edge strips use exactly the transported original coefficient, and interpolate the positive coefficients across the rectangle with a cutoff. The glued smooth surface K is an annulus, whose lower and upper faces are circles formed by the respective actual interval faces and the horizontal rectangle edges. The function and field agree on open seam strips, not just on their edges; after extending the face collars, K is a compact two-circle-face slab with exactly p,q as critical points and the same unique connecting trajectory. A rectangle trajectory has no critical limit, so it creates no additional connecting trajectory. The rectangle is an abstract auxiliary piece, not a subset of the original source disk.

2.1F1F2step 1.1construct

Choose an open neighbourhood U of the closed connecting orbit with closure in int⁡(W). Apply [F1] on K, reversing its downward-field convention, to obtain a smooth nonzero Y′ equal to Y off a compact subset of U and a smooth scalar g with dg(Y′)>0. Both actual sides are still invariant: the field is unchanged on their open regular strips, and uniqueness prevents a trajectory from crossing a side. Consequently a trajectory starting in W remains in W until it meets one of the actual faces. The all-trajectories face-crossing conclusion on K therefore implies face crossing on W itself. Alternatively, the positive minimum of dg(Y′) on compact W and the bounded range of g bound the transit time; no trapped orbit is possible.

3.1givenF2step 2.1algebra

Parametrize E− by y∈[0,1] with its endpoints on the two sides. Smooth dependence, transverse finite exit and [F2] make its transit time τ(y) smooth and positive. The normalized flow G(t,y)=Φtτ(y)Y′(G(0,y)), for (t,y)∈[0,1]2, is a smooth product diffeomorphism onto W: uniqueness gives injectivity and the face-crossing property gives surjectivity, while transversality and the flow inverse give its smooth inverse. Put A(y)=c(G(0,y)) and B(y)=c(G(1,y)). They are C2 and Δ(y)=B(y)−A(y)>(b−a)/3 by the two face error bounds, regardless of which outgoing point the modified trajectory reaches. Put F=c∘G wherever the boundary collar defines it. Its t derivative is positive near both ends and on narrow full side strips because Y′=Y there. Compactness gives uniform end neighbourhoods and full strips y near 0,1 on which these assertions hold.

4.1F3step 3.1constructalgebra

Choose a smooth η(t)∈[0,1], equal to one near 0,1, supported in sufficiently short end neighbourhoods. The density η∂tF is extended by zero over its middle gap; no undefined interior value of F is used. Since the endpoint derivatives are bounded and min⁡Δ>0, choose the support short enough that E(y)=∫01η(r)∂rF(r,y) dr<Δ(y) for every y. Write J=∫01(1−η(r)) dr>0, h(y)=(Δ(y)−E(y))/J>0, and q0=η∂tF+(1−η)h. Then q0>0, it equals ∂tF near both ends, and its integral along each fiber is Δ(y). Define w0(t,y)=A(y)+∫0tq0(r,y) dr. It equals F near each end, using the common initial value A and terminal value B.

5.1step 4.1algebra

The regularity of this primitive is C2, even though ∂tF is only C1. On its end domains integration by parts gives I(t,y)=η(t)F(t,y)−A(y)−∫0tη′(r)F(r,y) dr. Here ηF and η′F are extended by zero into the gap where their cutoffs vanish. They are jointly C2; the displayed integral is jointly C2, since its second y derivatives integrate the continuous second derivatives of F, its mixed derivative uses η′∂yF, and its second t derivative uses η′′F+η′∂tF. Thus I, E(y)=I(1,y), h, and w0=A+I+h∫0t(1−η(r)) dr are C2. No third derivative of F has been assumed.

6.1F2F3step 3.1step 4.1step 5.1∎

Choose a smooth transverse cutoff λ(y)∈[0,1], supported in the full side strips and equal to one on narrower strips. There set w=(1−λ)w0+λF, and elsewhere set w=w0; the support condition makes this a jointly C2 function. Both summands agree with F near the ends, and on the narrower entire side strips w=F. Moreover ∂tw=(1−λ)q0+λ∂tF>0, because both densities are positive wherever used. Hence v=w∘G−1 is C2, has dv≠0, and agrees with c on the union of a smaller pair of face collars and side collars, an open collar of the entire boundary. Restricting to a domain whose corners are rounded in this collar preserves all these conclusions. The choices of strips and cutoffs were finite; only the standing choice hypothesis in [F3] is used through [F1].

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