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Stable and unstable manifolds for a Morse gradient with an arbitrary smooth metric

Statement

Let f be a smooth Morse function on a finite-dimensional smooth manifold M, let g be a smooth Riemannian metric, and set X=−grad⁡gf. At a critical point p of Morse index λ(p), there are local C1 stable and unstable embedded disks for the flow of X, of dimensions dim⁡M−λ(p) and λ(p). They are tangent at p to the positive and negative Hessian subspaces, respectively, using gp to represent the Hessian as an endomorphism. Their flow saturations give immersed stable and unstable manifolds wherever the requisite finite-time flow is defined. Every tangent vector to the stable manifold along an orbit converging to p gives a variational solution decaying exponentially in forward time; every tangent vector to the unstable manifold gives one decaying exponentially in backward time. This applies to the actual metric gradient; no Euclidean-gradient normal form for g is assumed.

Facts & Assumptions

Given: The stated f,g,p,X and their local flow.

[F1]

The Hessian at a Morse critical point is nondegenerate and its negative eigenspace has dimension λ(p) (Nondegenerate critical points, nullity, index, and coindex).

[F2]

Finite-time flow maps are smooth diffeomorphisms between their open domains (The fundamental theorem on flows, Time-t flow maps are diffeomorphisms between open domains).

[F3]

Finite-dimensional self-adjoint operators split into orthogonal spectral subspaces (Real spectral theorem: a self-adjoint endomorphism of a finite-dimensional real inner product space has an orthonormal eigenbasis).

Proof

technique · direct
1.1

Choose a smooth coordinate chart centered at p and represent the vector field by x′=Ax+R(x). Since dfp=0, A=−gp−1Hess⁡pf; in the gp inner product it is self-adjoint and nonsingular. By [F1] and [F3] it has a stable spectral space Es of dimension d−λ(p), an unstable space Eu of dimension λ(p), orthogonal projections Ps,Pu, and λ>0 with ∥etAPs∥≤e−λt for t≥0 and ∥etAPu∥≤eλt for t≤0. Moreover R(0)=DR(0)=0, and R is C2.

F1F3givenalgebra
2.1

Choose a smooth cutoff equal to one on a small ball about zero and zero outside a slightly larger ball, and replace R by the cut-off Rδ. Since DR(0)=0, the cutoff radius δ can be chosen so that Rδ is globally Lipschitz with constant ε as small as desired; the derivative of the cutoff contributes at most O(sup⁡∣x∣≤2δ∣R(x)∣/δ)=o(1). Fix 0<β<λ and take ε((λ−β)−1+(λ+β)−1)<1. For a∈Es define on the weighted continuous-path Banach space ∥z∥β=sup⁡t≥0eβt∣z(t)∣ the map Taz(t)=etAa+∫0te(t−s)APsRδ(z(s)) ds−∫t∞e(t−s)APuRδ(z(s)) ds. The exponential bounds of step 1.1 make this a contraction with the displayed constant. Iteration from etAa converges geometrically to its unique fixed point za, and ∥za∥β≤∣a∣/(1−εcβ). For small a, the entire path stays where the cutoff equals one; differentiating the integral equation shows that it solves the actual x′=X(x) and converges exponentially to p.

step 1.1constructalgebra
3.1

Its initial value is za(0)=a+h(a) with h(a)∈Eu. The map a↦za is C1 in the weighted-path norm. Indeed, Rδ is C2 with bounded first and second derivatives on the chosen finite-dimensional support, so the integral map in step 2.1 is C1 on the weighted path space; its path derivative has norm below one uniformly. Differentiating the fixed-point equation and summing the resulting Neumann series gives a continuous derivative in a. At a=0, z0=0 and DRδ(0)=0, hence Dh(0)=0. Consequently {a+h(a):a small in Es} is a C1 embedded disk tangent to Es at p. Differentiating za(t) with respect to a also shows that every tangent variation to this disk is bounded by Ce−βt along its forward orbit.

step 1.1step 2.1algebra
4.1

Conversely, any actual orbit that stays in a sufficiently small chart neighbourhood for all t≥0 and converges to p satisfies the integral equation of step 2.1 with a=Psx(0): variation of constants determines the stable part, while boundedness forces the unstable terminal term to cancel. The same integral operator is a contraction in the ordinary bounded-path norm after making ε<λ/2, so that orbit equals za and lies in the disk. The disk is therefore the local stable set, not just a selected family of decaying solutions. Time reversal gives the unstable disk, its dimension and tangent space, and exponential decay of its tangent variations as t→−∞.

step 1.1step 2.1step 3.1cases
5.1

An orbit converging to p eventually enters the local chart and stays there, so after some finite time it belongs to the local stable disk by step 4.1. The global stable set is the union of finite-time backward flow images of that disk. By [F2] each image is an immersed C1 disk with the same dimension; their structures agree on overlaps by flow uniqueness. A tangent vector at any point transports by the derivative of a finite-time flow into a tangent vector of the local disk, whose variational solution decays exponentially by step 3.1. The same argument with reversed time gives the global unstable manifold and its tangent-decay assertion. No completeness outside the orbits under discussion is required.

F2step 3.1step 4.1algebra∎

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