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Baire diagonal passage from finite regularity to smooth metrics
Statement
Assume the Axiom of Choice (The Axiom of Choice). Let be a closed smooth finite-dimensional manifold and a fixed smooth Morse function. For a fixed pair of its critical points, the smooth metrics for which its stable and unstable manifolds are transverse form a residual subset of the standard metric space.
Facts & Assumptions
Given: The Axiom of Choice and as in the statement. Write for the space of all smooth metrics. Finite metric regularity may be chosen arbitrarily high; the required universal projection and its regular-value interpretation are constructed below, not assumed.
For a reference smooth metric and disjoint closed critical neighbourhoods, let be the closed Banach subspace of symmetric two-tensors vanishing on these neighbourhoods. Positive metrics in the corresponding affine space form an open subset. Trajectory variations are and equation values are , with the norms in [F4]. No universal surjectivity assertion is included in this fact.
Sard--Smale makes its regular values residual at every sufficiently high finite regularity (Sard--Smale residual regular values for Fredholm maps).
A complete metric space satisfies the Baire conclusion (Under Dependent Choice, a nonempty complete metric space is not a countable union of closed sets with empty interior).
The fixed-metric trajectory operator is bounded Fredholm of index and is onto exactly when the stable and unstable manifolds are transverse (Morse--Smale transversality and surjectivity of the linearized flow operator).
Continuous finite-dimensional linear matrix ODEs have unique solutions on every compact interval (Linear matrix ODEs have unique global solutions on a fixed interval). Uniqueness patches these solutions on nested compact intervals.
Finite-dimensional subspaces of normed spaces have bounded projections (Finite-dimensional subspaces are complemented).
A bounded bijection between Banach spaces has bounded inverse under DC (Bounded inverse theorem). The assumed AC supplies DC: choose one successor for each point of an entire relation and iterate that function from the specified starting point.
The Banach-space implicit-function theorem applies to a map whose partial derivative in one Banach factor is a bounded linear isomorphism, under AC (Implicit function theorem for Banach spaces).
Proof
First take distinct and a connecting trajectory . Use a fixed smooth background exponential map to chart nearby curves by small elements of ; these curves have the same limits at both ends. Parallel transport back to trivializes the equation bundle. The section is . In these charts it is at least for : derivatives of the finite-dimensional exponential and gradient maps are uniformly bounded on the relevant compact coordinate sets, so Taylor remainder estimates hold uniformly in the supremum norms. Variations and their first derivatives tend to zero at the ends, and metric variations vanish near the limiting critical points, so all these derivatives take values in . Its derivative at a zero is , where along , by differentiating the inverse metric.
If , the stable and unstable tangent spaces at are complementary eigenspaces of the hyperbolic gradient linearization; strict descent excludes any other intersection. If and , strict descent makes the intersection empty. These cases hold for every metric. Hence suppose .
Near each metric choose compact local unstable and stable disks at , with parametrizations depending continuously in on in a neighbourhood . Here is the parameter dependence needed: in coordinates near either zero fix its hyperbolic linearization at and write . After a cutoff on a sufficiently small ball, has uniformly small Lipschitz constant. For prescribed small stable coordinate , the integral equation is a uniform contraction on a small exponentially weighted space of paths on . Its fixed point and its derivative with respect to depend continuously on ; the derivative solves a linear contraction equation. Evaluation at zero gives the stable disk. Reversing time gives the unstable disk. Restrict to smaller closed parameter balls so both disks extend beyond their boundaries. Finite-time flows also depend continuously in on .
Write . Its range is closed and is finite-dimensional by [F4]. Suppose the image of in were proper. A nonzero linear functional on vanishing on that image would lift to a nonzero bounded functional on with and . Trivialize along by a parallel orthonormal frame, so with continuous matrix . By [F5] obtain , , on ; solving , , shows and hence invertibility. No global bound on is required.
For integers , let require transversality of the disk maps and at every coincidence of points in their compact parameter domains. Tangent spaces here are those of the extended disks, including at boundary points. This is an open condition: if failing metrics converged in to a metric satisfying it, compactness would give convergent coincidence parameters, and the closed rank-deficiency condition would contradict transversality at their limit. Every point of a global stable or unstable manifold eventually flows into the interior of the corresponding local disk. Thus all together are equivalent to the desired global transversality on .
For a continuous compactly supported vector function put . If , its primitive is compactly supported and , and . Thus . Fix a continuous compactly supported scalar with integral one. Subtracting gives for a fixed vector . Consequently, for every compactly supported continuous , Compactly supported functions are dense in by cutoff, so , since . Hence is continuous and nowhere zero. All products with used here have compact support.
Strict descent of makes the connecting orbit injective and gives a point outside the fixed critical neighbourhoods with . A small neighbourhood of can meet the orbit only in a short compact time interval: restrict first to a sufficiently small -level slab about and then to a coordinate ball. At a symmetric endomorphism can send to any prescribed vector ; explicitly Choose a symmetric two-tensor at such that its metric variation has positive pairing with , and extend its coordinate components smoothly nearby. Continuity preserves positive pairing along the short orbit segment after shrinking the ball. Multiply by a nonnegative smooth bump supported there and positive at . The resulting has compactly supported along the orbit, with nonnegative pairing everywhere and positive pairing on an interval. Step 3.1 gives , a contradiction. Thus maps onto , and maps onto .
Choose finitely many tensors whose -images form a basis of , giving a bounded linear lift with . By [F6] write with closed ; by [F7], has bounded inverse . Then is a bounded right inverse of . Therefore is a bounded projection onto , while is a closed complementary subspace. Apply [F8] using this complement as the invertible-derivative variable. The zero set is locally a Banach manifold with tangent exactly . The parameter projection on this tangent has kernel and range , a closed subspace of codimension . It is therefore Fredholm of index . These are the zero-set charts and projection used below.
The ambient spaces here are separable: finite- tensors on compact , and paths on in finitely many components, admit countable dense approximating families in their indicated norms; closed subspaces and open subsets remain separable metrizable. The trajectory path space has a countable atlas by finite-coordinate piecewise approximations on compact time intervals and fixed endpoint charts on the tails. The zero set inherits second countability from this ambient space. Thus its Fredholm projection meets the countable-base hypotheses of [F2]. Choose so large that ; no loss of one derivative affects availability at arbitrarily high finite regularity.
At a zero, the surjectivity of and tangent identity are now established by steps 4.1–5.1. The projection differential is on . If is onto, it is onto by solving . Conversely, write any as , choose using surjectivity of the projection, and obtain . Hence regular values of the projection are exactly metrics for which all the corresponding are onto, equivalently the required transversality by [F4].
Each is dense in . Indeed, start at any smooth in a specified basic smooth neighbourhood controlling derivatives through order . Choose finite with above the Sard--Smale threshold. Fix on small disjoint critical neighbourhoods. Every trajectory between distinct critical points leaves their union, so the supported variations of step 4.1 are permitted. Steps 5.1–6.1 construct the Fredholm projection; [F2], step 6.2 and Baire give arbitrarily -close metrics in this open affine Banach parameter space for which the pair is transverse. Choose one, , still in and within the prescribed derivative bounds; it satisfies .
Approximate by a smooth symmetric tensor using convolution in a finite coordinate cover and a smooth partition of unity. This converges in because is finite and is compact. Sufficiently close approximants remain positive definite, remain in the prescribed neighbourhood, and still satisfy by its openness. Only this compact-disk condition needs to survive smoothing. Since was arbitrary, this proves the claimed smooth density without fixing any common critical-neighbourhood data throughout .
The smooth symmetric tensors on compact form a separable complete metrizable space under their countable derivative seminorms; positivity is an open condition. Hence is second countable and completely metrizable (an open subset admits an equivalent complete metric). Choose countably many neighbourhoods as above and closed sets whose interiors cover . This is obtained by taking sufficiently small closed balls from a countable metric basis. For each , set These sets are open and dense by steps 2.2 and 8.1.
By [F3], under the assumed Axiom of Choice, is dense and residual. Any metric in this intersection belongs to some , hence satisfies every and therefore the global pair transversality by step 2.2. The complement of the desired set is consequently contained in a countable union of closed nowhere dense sets, so the desired set itself is residual. Together with step 1.2 this covers all ordered pairs.
Depends on
- The Axiom of Choice
- Nowhere dense, meagre, residual, and comeagre subsets of a topological space
- Under Dependent Choice, a nonempty complete metric space is not a countable union of closed sets with empty interior
- Sard--Smale residual regular values for Fredholm maps
- Morse--Smale transversality and surjectivity of the linearized flow operator
- Linear matrix ODEs have unique global solutions on a fixed interval
- Finite-dimensional subspaces are complemented
- Bounded inverse theorem
- Implicit function theorem for Banach spaces
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Sources
- Alberto Abbondandolo and Pietro Majer, Lectures on the Morse Complex, Lemma 2.25 (standard reference, not scraped)