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Compactified unstable manifolds give the Morse--Smale CW decomposition

Statement

Assume the Axiom of Choice (The Axiom of Choice). Let (W;M0,M1) be either a closed manifold M with a Morse--Smale pair (f,X), including the actual metric version X=−grad⁡gf (the case M0=M1=∅ of the triad notation), or a compact cobordism triad with adapted excellent Morse function f and adapted complete downward gradient-like field X that is Morse--Smale and boundary-directed: outward along M0 and inward along M1 (Morse--Smale pairs, Morse function adapted to a cobordism, Smooth cobordism triad for Morse theory). Thus all critical points are interior, and every maximal nonconstant X-trajectory has a definite forward limit: a critical point of strictly lower value, or, in the relative case, a point of M0 through which the trajectory leaves W.

For a critical point p set W‾u(p)=Wu(p) ⊔ ⁣ ⁣⨆q∈Crit⁡(f)M(p,q)≠∅ ⁣ ⁣M(p,q)×W‾u(q) ⊔ Ep, where Ep is the set of maximal X-trajectories of W whose backward limit is p and which leave W through M0, each recorded as an abstract point (Ep=∅ in the closed case), with the topology of geometric convergence (Broken Morse trajectories, Geometric convergence to a broken trajectory), and let Φp:W‾u(p)→W send Wu(p) to itself, (γ,x)∈M(p,q)×W‾u(q) to the image of x, and a trajectory of Ep to its exit point in M0. Then:

  1. W‾u(p) is a compact metrizable space homeomorphic to the closed disk Dind⁡(p) with interior Wu(p), and the attaching map is the restriction Φp∣∂W‾u(p), whose image lies in M0∪⋃ind⁡(q)<ind⁡(p)Φq(W‾u(q)), the union of M0 with the closed cells of strictly lower index; in the closed case the term M0 is absent and the image lies in the union of the cells of strictly lower index (Nondegenerate critical points, nullity, index, and coindex);
  2. the disks W‾u(p) give a finite disk-attachment pair (Z,M0) with one open k-disk for each critical point of index k: take the quotient of the disjoint union M0⊔⨆pW‾u(p) that identifies points with the same image in W under the maps Φp, with the attaching map of the cell at p given by Φp∣∂W‾u(p) read in the quotient; the open disk at p is Wu(p) and its closure is the image Φp(W‾u(p)), which need not be a disk because the disk map may identify boundary points. Each index-filtration stage Z(k) is obtained from the previous one by attaching the disks of index k along their boundary, and Φ identifies it homeomorphically with the closed subspace W(k)=M0∪⋃ind⁡(p)≤kWu(p)⊂W (Cell attachment by a characteristic map); in the closed case the open unstable manifolds partition M and this is a CW structure on M, with this index filtration as its skeleta (CW complex with closure finiteness and weak topology, CW skeleta are closed and cells form a disjoint partition); in the relative case the open unstable manifolds do not cover W∖M0, because trajectories entering through M1 need not pass through a critical point, and the content is the homotopy equivalence of pairs (W,M0)≃(Z,M0) (A handle decomposition gives a relative CW complex, Morse functions and handle decompositions correspond, Unstable disk is the handle core);
  3. the boundary admits the stratification ∂W‾u(p)=Ep ⊔ ⁣ ⁣⨆q: ind⁡(q)<ind⁡(p) ⁣ ⁣M(p,q)×W‾u(q), with Ep=∅ in the closed case; the boundary is mapped by Φp into M0∪⋃ind⁡(q)<ind⁡(p)Wu(q), so only M0 and cells of strictly lower index occur in the image of the boundary of the characteristic disk W‾u(p).

For any supplied finite CW structure on M0, cellular approximation of the attaching maps, with attachment comparison at each stage, gives a finite CW pair (X,M0)≃(Z,M0)≃(W,M0) relative to M0, with one relative k-cell per critical point of index k (A handle decomposition gives a relative CW complex). Such a base structure can also be constructed by the closed case in one lower dimension. The original maps Φp give a CW structure extending that base only when each index-k attaching map lands in the ordinary (k−1)-skeleton of the preceding CW stage, including the base cells. In general exits may land anywhere in M0, and the CW model's characteristic maps are the transported, cellularly approximated maps rather than these exact evaluation maps. If only a finite CW model A≃M0 is retained, the same comparison gives (X′,A)≃(W,M0).

In the closed metric version the gradient need not have normalized local eigenvalues. The proof uses its actual invariant disks and metric critical crossings. Normalized field data are realized by a metric without changing their trajectories.

Facts & Assumptions

Given: The Axiom of Choice and the stated closed Morse--Smale data, in either the actual metric version or normalized field version, or the adapted relative data.

[F1]

Actual metric critical points have smooth hyperbolic stable and unstable disks and the Morse dimensions; their smooth bootstrap and transported charts are as in the regular datum. Ordinary Morse coordinates give the standard critical handle attachment (Stable and unstable manifolds for a Morse gradient with an arbitrary smooth metric, A regular continuation datum between Morse--Smale pairs, Morse lemma, One critical point handle attachment).

[F2]

Finite regular bands and boundary collars are transported by the complete carrier flow and exit only through M0; actual metric height paths have an integrable square-root modulus (Regular interval diffeomorphism, Morse function adapted to a cobordism, Continuation trajectories are compact up to breaking).

[F3]

Actual metric passage estimates and joint normal matching give compatible broken charts. A critical crossing with a compact incoming normal tube preserves the pointed disk pair by a finite-time ambient normal-disk isotopy and flat late collar (Mixed boundary hyperbolic passage has uniform endpoint derivative bounds, Finite flow matching gives local charts at metric-end broken trajectories, A metric-gradient critical crossing preserves the pointed disk pair, The Euclidean implicit function theorem with derivative formula).

[F4]

Finite chart constructions use smooth partitions and Euclidean bumps. Every closed compact smooth manifold has an excellent Morse function and a Morse--Smale metric, without an eigenvalue normalization premise (Smooth partitions of unity exist on manifolds with boundary, A Euclidean bump for a compact set inside an open set, Every compact smooth manifold admits an excellent Morse function, Morse--Smale metrics are residual for a fixed Morse function).

[F5]

Handles are replaceable by core cells relative to the preceding stage, and homotopic attaching maps yield equivalent attachments. The proof of the handle/CW supplier, steps 1.1–2.1, gives the mapping-cylinder attachment comparison and cellular approximation at each stage, including replacement of a model base (Handle attachments are relative cell attachments up to homotopy, A handle decomposition gives a relative CW complex).

Proof

technique · direct, by actual metric pointed critical crossings and attachment comparison
1.1F1F4givenconstruct

Make the height excellent without changing the field. Add distinct small constants times bumps supported in disjoint critical charts and equal to one near the critical points; on the compact transition supports df(X) stays bounded away from zero, so sufficiently small constants preserve strict descent and introduce no critical point. Hessians and trajectories are unchanged. Boundary heights are retained in the relative case. In the metric case the original metric still represents the new gradient near every critical point. In the normalized field case use the Euclidean critical-chart metric there. On each regular coordinate chart split TM=RX⊕ker⁡df, put g(X,X)=−df(X), and make the factors orthogonal using the coordinate metric restricted to ker⁡df. A partition combines these positive metrics while preserving g(X,⋅)=−df. Thus the same field is an actual metric gradient for the auxiliary excellent height. No equality of its hyperbolic rates is imposed.

2.1F1F3step 1.1construct

Its local unstable disk is a valid handle core up to attaching homotopy. In ordinary Morse coordinates the actual disk is a graph z=h(u) over the negative Hessian space, with h(0)=Dh(0)=0. The graphs z=th(u), 0≤t≤1, remain below the critical value off the origin on a small disk. Adjust their boundary radius so that ∣u∣2−t2∣h(u)∣2=ε; the radial derivative is positive for sufficiently small u, so the implicit-function theorem gives a smooth boundary homotopy in the lower regular level. It connects the actual unstable attaching sphere to the ordinary negative-coordinate handle core sphere, with the critical ray unchanged. The restriction of height to the actual unstable disk is a nondegenerate maximum, so its small truncated cap is a closed disk by [F1]. This proves the core comparison for actual metric disks rather than invoking a normalized-core assertion outside its hypotheses.

3.1F1F2step 1.1step 2.1construct

Define the pointed space by a finite descending critical chain from p, followed by a terminal segment to a marked interior point, a terminal critical point, or a transverse exit. Record different histories separately. Extend its height path constantly beyond its marked endpoint and above f(p). The metric height estimate in [F2] gives a common square-root modulus. On compact regular subintervals pass the height equation to a uniform limit and split at every critical point actually hit, as in the proof of [F2]. This argument is confined to compact W before first exit, so it applies to relative moving endpoints as well; the boundary is regular and every boundary hit is recorded at height zero. Positive index drops bound the number of breaks. Hence the pointed space is compact metrizable and evaluation is continuous. Let Bp(A) be its closed subset with marked height at least A. Broken-then-exiting limits are included; the exit-only stratum is not declared closed.

4.1F1F2F3step 3.1construct

The pointed charts are exact finite matching charts with a free endpoint. At a last critical break use a fixed endpoint-time anchor and the whole ambient endpoint sheet, so its unstable coordinates b are free. The incoming normal equation is a=A(αT(a,b),ξ) with identity unknown derivative at 1/T=0. It gives the lower unstable disk and its neck collar, including b=0. For an exit, append the finite transverse crossing of the regular face, whose time is smooth because df(X)<0. Earlier breaks use the independent passage endpoint displacements and the joint exterior normal equations of [F3]. Thus all old corner charts and marked endpoint coordinates are compatible. This locally proves the variable-endpoint extension; it does not promote fixed-critical-end compactness automatically.

5.1F1F3F4step 3.1step 4.1construct

At a critical crossing q consider the compact incoming history space Q=M‾(p,q) recorded on an entry level above f(q). Its normal coordinate is the unstable coordinate u in an invariant-axis chart, of dimension ind⁡(q); the derivative is onto on every old face by Morse--Smale transversality. The charts of step 4.1 therefore make this a neat normal neighbourhood. Construct it uniformly over Q: take local vector fields tangent to all old corner faces with duj(Yi)=δij, combine them by finite restricted Euclidean corner bumps, and apply their flows in a fixed order. Their inverse flows erase these same normal coordinates, giving a product Q×Dδk. Compactness gives a common radius; when Q is empty no modification is needed. The actual metric critical-crossing theorem of [F3] now applies to this tube and supplies a homeomorphism of Bp(A) with the lower-cutoff pointed disk, fixed on a higher cap and matching ordinary transport off the tube. Its proof uses positive finite passage inverses and the late 1/T collar, so unequal rates do not alter this disk conclusion.

6.1F1F2F3step 2.1step 3.1step 5.1

Between critical levels use ordinary endpoint flow-height reparametrization of [F2], retaining earlier histories and fixing a higher cap. Iterate this and step 5.1 over the finite excellent height spectrum, beginning with the small unstable cap of step 2.1. In the closed case stop below the minimum; in the relative case stop at the regular exit height zero. Every crossing homeomorphism sends the old interior to the unbroken interior and preserves old faces. Thus the final pair is (Dind⁡(p),int⁡Dind⁡(p)), with the exact recursive critical and exit stratification and continuous evaluation. The index-zero disk is a point with no outgoing critical or exit face.

7.1F1F2step 3.1step 6.1

Each boundary evaluates into M0 or a strictly lower-index unstable disk; interiors evaluate injectively and different unstable interiors are disjoint by their backward limits. Attaching the disks in index order therefore gives the stated finite disk quotient Z. Each finite quotient is compact and evaluation is bijective onto the Hausdorff subspace W(k), hence is a homeomorphism. In the closed case the attaching image lies in the ordinary lower skeleton, finite attachments give weak topology and closure finiteness, and every backward orbit has a critical limit. These disks consequently give a CW structure on M. In the relative case they give the index filtration over all of M0; this is not necessarily the ordinary skeletal filtration for a supplied base CW structure, since exits need not land in its lower skeleton. The exact disks extend that structure as CW cells precisely when every attaching image has the required ordinary skeletal containment.

8.1F1F2F5step 2.1step 6.1step 7.1construct

For the relative handle comparison, let Hp be the constructed disk homeomorphism, fixed on an inner unstable cap. Radially shrink its source boundary sphere to a smaller sphere in that cap. Choose an innermost fixed cap strictly inside this smaller sphere; the homotopy avoids it, and injectivity of Hp makes the image avoid it as well. Thus all endpoint heights in the homotopy stay below a regular level strictly below f(p). The boundary attaching map is therefore homotopic in the previous handle stage to the actual local unstable sphere, which step 2.1 compares to the standard handle core. Starting at the collar of M0, use the mapping-cylinder comparison of [F5] at each value-ordered handle to obtain (Z,M0)≃(W,M0) relative to M0 with the exact disk attachments. Value order is an attachment order; the index-order disks supply the filtration of step 7.1. Index-zero attachments have empty sphere.

9.1F4F5step 1.1step 7.1step 8.1construct∎

If a finite CW structure on M0 was not supplied, use dimension induction. The zero-dimensional closed case is finitely many points. The closed proof of steps 1.1–7.1 has no incoming base and works for arbitrary Morse--Smale metrics. If M0 is empty, use its empty CW structure; otherwise choose Morse--Smale data by [F4] on the closed manifold M0 of dimension dim⁡W−1 and apply that closed construction. Starting with this base, replace the disk attachments of Z in index order by CW attachments: transport each attaching sphere through the homotopy inverse from the preceding model, use the finite-source cellular approximation of [F5] to move it into that model's ordinary (k−1)-skeleton, and attach one k-disk. The attachment comparison of [F5] preserves the pair equivalence relative to M0 at each stage. This yields a finite CW pair (X,M0)≃(Z,M0) with the required relative cell counts; the base cells retain their original dimensions. The maps need not remain the exact evaluations Φp. For a model base A≃M0, the same mapping-cylinder construction gives (X′,A)≃(W,M0). Together with step 8.1 this proves all the stated disk, exit, closed CW and relative CW model assertions.

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