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A positive transverse Hessian gives an open nonsynchronous basin
Statement
Assume countable choice. Let be a smooth real potential on a finite flat phase torus , invariant under simultaneous rotations, and let be an equilibrium of its negative gradient flow. If its Hessian is positive on and its rotation orbit contains no all-equal phase configuration, that orbit attracts a nonempty open set of initial phases. This set has positive normalized phase volume. Therefore the flow does not converge to the synchronous set for almost every initial phase. Positive transverse Hessian means for every nonzero real with .
Facts & Assumptions
Smooth negative gradient trajectories on the phase torus exist uniquely for all real times under countable choice, by Gradient trajectories and complete compact phase dynamics and The Axiom of Countable Choice (AC_ω).
Rotation and relative phase conventions are those of Diagonal phase rotations and relative-phase coordinates.
Every nonempty open phase set has positive phase volume, and almost-everywhere assertions mean outside a phase-null set, by Normalized phase volume and almost-everywhere assertions.
In angular Euclidean charts the Hessian is the matrix of second partial derivatives, and a critical point has zero gradient (The Hessian matrix and critical points of a scalar field). Continuous second partial derivatives commute, so the Hessian of the smooth potential is symmetric at every chart point, without a local-minimum assumption (Clairaut--Schwarz theorem for continuous second partial derivatives).
A self-adjoint endomorphism of a finite-dimensional real inner product space has an orthonormal eigenbasis (Real spectral theorem: a self-adjoint endomorphism of a finite-dimensional real inner product space has an orthonormal eigenbasis).
Continuous partial derivatives give total differentiability with the Jacobian as derivative (If all partial derivatives exist on a neighbourhood and are continuous at a point, then the map is totally differentiable there with Jacobian derivative); total derivatives obey the chain rule (The chain rule for total derivatives: D(g∘ f)(a)=Dg(f(a))∘ Df(a)). Scalar sums, products, powers and compositions obey the usual derivative rules (Sum, product, quotient, and chain rules from difference quotients).
For a continuously differentiable scalar function on an open interval containing , (The fundamental theorem of calculus and integration by parts). Pointwise bounds on an integrable function bound its integral by the same constants times for (If f ≤ g on [a,b] and both are integrable then ∫ₐᵇ f ≤ ∫ₐᵇ g; and m(b-a) ≤ ∫ₐᵇ f ≤ M(b-a)).
The exponential is smooth with derivative itself (The exponential function is smooth and (exp)'=exp), is positive with (The exponential is positive and satisfies exp(-x)=1/exp(x)), and tends to zero as its argument tends to negative infinity (The exponential tends to +∞ at +∞ and to 0 at -∞).
Proof
Given: The torus, invariant potential and nonsynchronous equilibrium with a positive transverse Hessian.
Goal: Produce an open positive-volume set converging to nonsynchronous rotations of .
Choose real representatives of in an angular chart and put and . Differentiating in and in the coordinates of , using [F6], gives and . Differentiating the latter identity in gives . By [F4], is symmetric, so for : its restriction to is a self-adjoint endomorphism. The nonsynchrony hypothesis excludes , so has positive dimension. By [F5], choose an orthonormal eigenbasis of this restriction. Every eigenvalue is positive by the assumed positive quadratic form; let be their minimum. Expansion in this basis gives for .
Continuity of the Hessian gives such that for , all entries of have absolute value less than and these points lie in the chosen chart. Indeed, ; the last inequality follows by expanding . Thus for . For with , the scalar function is continuously differentiable on an open interval containing , by smoothness and [F6]. Its derivative is , and its value at zero is zero because is an equilibrium. Applying both parts of [F7] yields .
Shrink if necessary and choose so that the closed cylinder , , , , lies inside the angular chart. A solution initially with and has constant mean coordinate and satisfies by the rotation identities in step 1.1. As long as it stays in the ball, step 2.1 and [F6] give . By [F6] and [F8], has . On any such interval , [F7] gives ; hence . Since has positive derivative and (the reciprocal identity at zero and positivity in [F8]), [F7] also gives for . Thus the estimate prevents a first exit from the ball by continuity. The closed cylinder stays inside the chart, and the complete flow in [F1] continues this estimate for all positive times. Finally [F8] gives , so the trajectory converges to .
Allowing to range over and over a smaller open ball in gives a nonempty open set in the angular chart: , with continuous inverse coordinates and . Step 3.1 makes each such solution converge to a rotation of . No such limit is synchronous by hypothesis. The synchronous set is closed, being the zero fibre of the continuous relative-phase map in [F2]; an open metric ball about each nonsynchronous limit is therefore disjoint from that set. Convergence to this limit prevents the solution from approaching the synchronous set. By [F3] the open initial set has positive phase volume and cannot be contained in a phase-null exception set. This rules out almost-everywhere synchronous convergence.
Source notes
This locally proves the dynamical implication invoked in Canale, Section II.B, p. 6. The source supplies attribution for the Kuramoto case; the smooth-potential attraction argument here uses the declared mathematical suppliers. It establishes an open basin for the rotation orbit, rather than for one prescribed equilibrium point.
Depends on
- Gradient trajectories and complete compact phase dynamics
- Diagonal phase rotations and relative-phase coordinates
- Normalized phase volume and almost-everywhere assertions
- The Axiom of Countable Choice (AC_ω)
- The Hessian matrix and critical points of a scalar field
- Clairaut--Schwarz theorem for continuous second partial derivatives
- Real spectral theorem: a self-adjoint endomorphism of a finite-dimensional real inner product space has an orthonormal eigenbasis
- If all partial derivatives exist on a neighbourhood and are continuous at a point, then the map is totally differentiable there with Jacobian derivative
- The chain rule for total derivatives: D(g∘ f)(a)=Dg(f(a))∘ Df(a)
- Sum, product, quotient, and chain rules from difference quotients
- The fundamental theorem of calculus and integration by parts
- If f ≤ g on [a,b] and both are integrable then ∫ₐᵇ f ≤ ∫ₐᵇ g; and m(b-a) ≤ ∫ₐᵇ f ≤ M(b-a)
- The exponential function is smooth and (exp)'=exp
- The exponential is positive and satisfies exp(-x)=1/exp(x)
- The exponential tends to +∞ at +∞ and to 0 at -∞
- Eduardo A. Canale, From weighted to unweighted graphs in Synchronizing Graph Theory, arXiv:2209.06362v3 · Section II.B, printed p. 6 (PDF page 6), paragraph beginning "One way to see"
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External dependencies
For the homogeneous Kuramoto flow, a nonsynchronous equilibrium whose potential Hessian has precisely the rotation zero mode and otherwise positive eigenvalues obstructs synchronization from almost every initial condition.
Hypotheses: A finite weighted graph with the homogeneous Kuramoto negative-gradient flow and its rotation-invariant cosine-difference potential; the equilibrium is not a consensus and the transverse Hessian is positive.
Reading limits: Checked Section II.B, printed pp. 5–6, for this attribution only. The smooth-potential generalization and its attraction argument below are local deductions, not an imported theorem or a reconstruction of the rest of Canale's paper.
Sources
- Eduardo A. Canale, From weighted to unweighted graphs in Synchronizing Graph Theory, arXiv:2209.06362v3 · Section II.B, printed p. 6 (PDF page 6), paragraph beginning "One way to see"