Annales de l’institut Fourier (AIF)

Yakovenko, Sergey Yu.

ANNALES DE L’INSTITUT FOURIER
SERGEY YU. YAKOVENKO
Smooth normalization of a vector field near
a semistable limit cycle
Annales de l’institut Fourier, tome 43, no 3 (1993), p. 893-903
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Ann. Inst. Fourier, Grenoble
43, 3 (1993), 893-903
SMOOTH NORMALIZATION OF A VECTOR FIELD
NEAR A SEMISTABLE LIMIT CYCLE
by Sergey Yu. YAKOVENKO
0. Formulation of the main result.
We consider a neighborhood of a semistable (of multiplicity two) limit
cycle for a C^-smooth vector field on the real plane. If 7 is a smooth
transversal to the cycle, endowed with a local chart x G (M^O), then the
monodromy (otherwise called the first return map) A : (R^O) -^ (R\0)
is well defined and smooth germ,
A{x) = x + ex2 + • • • , c ̂  0.
For such a germ the smooth normal form is well known.
THEOREM (F. Takens, 1973 [T]). — There exists a local C°° -smooth
transformation conjugating the germ A with the time 1 map for the vector
field p on the real line,
(1) p = p ( x ) - 9 ^ , p{x) =x<2+ax3, .re^.O), aeR 1 .
The scalar parameter a e M is an invariant of both smooth and formal
classifications. D
Note. — If a coordinate system ( r r , . . . ) on a manifold (the real line
in the above case) is fixed, we use the symbol 9x for the corresponding
coordinate unit vector field.
Key words : Limit cycles - Normal forms - Homotopy method - Homological equation.
A.M.S. Classification : 58F36 - 58F14 - 58F21.
894 SERGEY YU. YAKOVENKO
COROLLARY. — There exists a smooth diffeomorphism conjugating
the vector field near a semistable limit cycle with the vector field on the
cylinder C = (IR1,0) x (R/Z) having the form
(2) I?Or,0)(Cr2+a;r3)•a,+l.^),
where R is a certain smooth function, not vanishing (say, positive) on the
circle S = {x = 0} C C.
Proof. — A conjugacy q : (M^O) —> (R^O) between the two mon-
odromy maps (which exists by virtue of Takens theorem) may be extended
to a diffeomorphism Q of a neighborhood of the cycle, sending orbits of the
initial field into orbits of the field (2). Therefore the former field is sent by
Q into the the field which differs from the standard one by a nonvanishing
factor R. D
This corollary solves the problem of orbital classification of vector
fields (in a neighborhood of a semistable cycle). For flows there is at
least one additional invariant, namely, the period T of the cycle. It turns
out that there is another one, and together with the formal invariant of
the monodromy and the period, the three constitute a complete system
of invariants of smooth classification of vector fields near limit cycles of
multiplicity 2. The main result of the paper follows.
THEOREM. — There exists a C°°-smooth transformation taking the
field (2) into the polynomial form
(3) (l-}-bx)({x2+ax3)•9^-^T~l • %), a .&.TcR
where T > 0 is the period of the semistable periodic solution x = 0, and
b C M is another real invariant of smooth classification: two fields with
different invariants (a, 6, T) are not conjugate to each other.
The proof of this theorem is given in Sections 1 through 5 below, and
in Section 6 there is given a generalization of this result for limit cycles of
any finite multiplicity.
1. Preliminary normalization.
From now on we are working with vector fields on the cylinder
C = R x S1, §1 = RmodZ, endowed with the standard coordinates
(x, 0 modi), and consider only transformations which preserve the orbital
NORMALIZATION AROUND A SEMISTABLE CYCLE 895
structure of the field (2). Thus performing all these transformations, one
has to control only the function J?(-, •).
LEMMA 1. — The field (2) can be transformed to another one of
the following form,
(4) (1 + xp(x, 0))((x2 + ax3) • ̂  + T-1 . Qe\
where p is a smooth function on the cylinder.
Proof. — We choose T being equal to the period of the cycle S1 =
{x = 0} for the field (2). Then there exists a transformation 9 of the
circle §1 into itself conjugating the flow R(0,0) ' QQ with T~1 • QQ. If
one extends such a transformation to the transformation of the form
(x^O) i—> (X(x^O)^Q(O)) preserving the orbital structure, then such a
transformation will send the field (2) to the field coinciding with (4) on
§1 and proportional to it everywhere else. D
Remark. — As it will be seen from the proof of Lemma 3, the
coefficient b in the normal form (3) is the average of the function po(0) =
p(0, 0) over the cycle §1: b = f^ po(0) d0.
2. Homotopy method and homological equation.
In this section we use the homotopy method in the form exposed in
[IY1]; other applications of this method one can find in [M]. From now on
we fix the value of period T and denote for simplicity by v the field on the
cylinder,
(5) 'v=(x2+ax3)•9^+T~l '9e,
and by g1 : C —^ C the one-parameter group of the flow maps for the
field v.
Let R(x^ 0\ r) > 0 be a smooth function depending on an additional
parameter T C [0,1], and C = C x [0,1] the extended phase space endowed
with the coordinates (.r, ^, r). Consider the vector field V = R • v + 0 • Qr
on C tangent to the foliation T = const.
PROPOSITION (Homotopy lemma). — Suppose that there exists a
smooth vector field H on C having the form A(x,0;r) • 9x + B(x,0;r) -
QQ + 1 • 9r, which commutes with the field V. Assume that A(0, • ; •) =
5(0 , . ; . )=0 .
896 SERGEY YU. YAKOVENKO
Then the fields WQ = R{', • ; 0) • v and w\ = R{', • ; 1) • v are smoothly
conjugate.
Proof. — The time 1 map for the field H sends Co = C x {0} to
C\ = C x {1} and conjugates restrictions of the field Wi = V\c^ i = 0,1,
with each other. The conditions on A and B guarantee that the time 1 map
for the field H is well defined in a sufficiently small neighborhood of the
cycle {x = 0} C Co. D
We are interested in the case of
(6) R(x, 0; r) = 1 + b(r)x + (1 - r)xp{x, 0), 6(0) = 0,
which would yield a smooth conjugacy between the field WQ = (l+xp(x^ 0))'
v and Wi = (l+6(l)a;)-v. Let us look for a field H commuting with V = R'v
in the form
^ = / . y + l . ^ ,
where / : C —>• R is a smooth function. Then the commutativity relation
[H, V] = 0 takes the form
r)7?
0=[l-9r+fV,V}=-^v+[fV,V]
c)n
=^+(Lvf)V+f[V,V}
QD
^V+^GL^V,
where Ly f and L^f stand for the Lie derivative of the function / along
the fields V and v respectively. This equation is in fact scalar rather than
vector one, being equivalent to the homological equation
op
(7) W=r , r=-R-2^,
which is to be solved with respect to /. Later on we establish necessary
and sufficient conditions to be imposed on the right hand side part r of the
homological equation (7), guaranteeing its solvability.
3. Solvability of homological equation.
Integrating (7) between two points of subsequent intersection of a
phase curve of the field v with some transversal, say, 0 = 0, one obtains
the discrete time homological equation
(8) / oA- /= / i , ^=/i(-,r),
NORMALIZATION AROUND A SEMISTABLE CYCLE 897
where A : (R1,0) -^ (R1,0) is the time 1 map for the standard vector field
p on the real line (1), and h is a smooth function denned by the formula
rT
(9) h= \ ( r o g ^ d t ^
J o
where gt is the flow of the field v on the cylinder, and T is the corresponding
period, see (5) (for sake of simplicity we omit in this section the parameter
r in the notation, while keeping in mind its presence).
LEMMA 2. — The discrete homological equation (8) admits a
smooth solution f smoothly depending on the parameter r, if and only
if
VT C [0,1] h(0) = //(O) = 0.
Proof. — We prove this statement in two steps : first we prove
solvability of (8) in the class of formal power series (with coefficients
depending smoothly on r), and then we show that there exists a flat solution
for the right hand side part h which is flat in re. Both steps are standard.
A. Formal solvability.
Expand h in the Taylor series of the form
00
h^^hkxk, hk=hk(r)eR, T O [0,1], ho = h^ = 0,
k=0
and prove that there exists a formal series of the same form (but starting
with a first order term), satisfying (8). Since the map A has no zero order
term, the result of substitution of it into the formal power series is well
defined series of the same form. Here and below dots after the addition
sign stay for terms of orders higher than those explicitly written.
An elementary computation shows that A^) = ̂ (1 + kx + • • •) and
therefore
/oA-/=^A(to / c+ l+.. . ) ,
k
whence comes the system of equations determining the coefficients fk '.
kfk 4- (linear combination of fj, j < k) = /i/c+i, k = 1, 2 , . . .
Being triangular, such a system always admits a formal solution, that is an
infinite sequence of smooth functions fk = fk(r).
898 SERGEY YU. YAKOVENKO
B. Flat solutions.
Suppose that the function h is flat in x, that is
^.-ft^ai.
V a ^ G N EL^eM: —^- < K^.
Then the discrete homological equation admits a smooth solution with the
same property.
Indeed, one can write the explicit formulas,
00
E^'
5=0
—00
/ = - ̂  h o A^ for x ^ 0,
(10)
f = ̂  ho A^ for x ̂  0,
s=-l
where A^ stands for s times iterated standard map, ̂  = id. We prove
that these series converge to smooth flat functions in a sufficiently small
neighborhood of the origin (sl is sufficient to take a closed segment not
containing fixed points of A other than that at the origin). Obviously, it is
sufficient to prove this fact only for any of the two formulas.
I f a - ^ 0 , then on [-l/2[a|, 0] one has the uniform estimate |A^(rr)| <;
0(1/5) (since
A^Qr) A^(;r)
f du [ du ^ 2 3
1 W)^ 1 pw=s- pw=u + a n 5
-l/2|a| x
by definition of the standard map A). Therefore for any f3
\ho^s\x)\<K^s-^
uniformly on [-l/2|a[,0], and the series (10) converges to a continuous
function, if {3 ^ 2, the sum decreasing more rapidly than any power of |.r|
as x —> 0~.
To prove differentiability, we note that the derivative of A^ satisfies
the identity
W{x)-p(x)={poA^){x)^
since AM is the automorphism of the standard field p = p(x) ' 9^ on the
line, thus formal differentiation of (10) yields the series
,, ̂  _ y^ ( / ^oA^ - ^oA^ )7 - 2^ „ ^Ps=0
NORMALIZATION AROUND A SEMISTABLE CYCLE 899
which is of the same form as above, but with the function h replaced by h1-p,
up to the common factor p~1. Since for a flat h the product, h' - p is also flat,
the latter series also converges to a flat function, and this flatness of the sum
is not affected by the division by p. Iterating these arguments, one proves
infinite differentiability and flatness of the series (10). Differentiability in r
is even more easy to see, since A does not depend on the parameter while
all derivatives of h with respect to r are flat in x.
C. Smooth solution.
To prove that (8) admits a smooth solution, we find a formal one
/ and then extend it to a smooth function /, using Borel theorem. The
extension satisfies the homological equation up to an error h = / o A — / — h
which has the identically zero Taylor series, being therefore a flat function.
Since the homological equation is linear, such an error can be eliminated
by subtracting from / any solution to the homological equation with the
flat right hand side part h.
D. Necessity of the solvability condition.
If the equation (8) admits a C^-smooth solution, then
h(o) = /(A(O))-/(O) = o, //(o) = /'(o^A^-no) = fW-fW = o.
D
4. Construction of an appropriate homotopy.
It remains to prove that one can construct a homotopy R(-^r) in
such a way that the solvability conditions for the homological equation (8)
would be satisfied.
LEMMA 3. — There exists a path r i—> b(r) G IR such that the
homotopy (6) would yield the right hand side in (7) satisfying the solvability
condition established in Lemma 2.
Proof. — The condition h(0) = 0 is automatically satisfied because
of the preliminary normalization : ^(§1) = §1, and r|§i = 0, where (^ is
the flow of the field v.
We compute the derivative /^(O). Evidently, for t < T one has
g\x, 0) = {x + 0(rr2), 0 + tx + 0(^2)),
900 SERGEY YU. YAKOVENKO
r)n
R o g\x^ 0) = 1 + 0(;r), -^ o g\x^ 0) = x(b\r) - p(0, t/T)) + 0(;r2),
and therefore the linear part of the integral (9) is
fi
h\0)=b\r)- \ p(0,0)d0.
Jo
Finally we conclude that /2/(0) = 0, if b(r) = r - (p(0, •)) (the averaged value
of p(0, •)). Thus the explicit value of the parameter &(1) in the normal form
is determined. D
5. Necessary conditions : uniqueness of the normal form.
Let there be two systems of the form (3) but with different parameters
a, &, T. Then they are C^-smoothly equivalent if and only if the correspond-
ing triplets coincide.
In the part concerning the values a and T this is evident : the
parameter a is the formal invariant of the monodromy map therefore it
is defined in a unique way, see [T]. The period of the solution x = 0 is also
invariant even with respect to topological classification. So it remains only
to prove that the parameter b is uniquely defined.
PROPOSITION. — LetVi = (l+^)-v, i = 1,2, be two vector fields
on the cylinder. They are C2-conjugate if and only ifb\ = b^.
Proof. — The "if part is trivial. So assume that H : C —> C is a
C2-smooth conjugacy between the two fields. Without loss of generality
one may consider it being identical on the circle §1 (otherwise a parallel
translation 0 ̂  0 + const should be performed after H). Denote by (^,
i = 1,2, the flows of the two fields, and by [gj}^ |§i = J,(0) G GL (2,R)
the Jacobian matrices of their time T maps. Then^.(.1,;).
Since H conjugates the flows, H o g{ = g^ o H , so the linearization
H^ = H^(0) satisfies the equation
H^J\ = J ^ H ^ ,
whence we conclude that the ratio of two diagonal elements of H^ must
be equal to ^1/^25 while the field QQ is invariant by H^. Therefore in the
coordinates x, 6 one has
n (b1^ °^^* § l = ^ * l •
NORMALIZATION AROUND A SEMISTABLE CYCLE 901
Now note that such a diffeomorphism when applied to the vector field
(x2 + • • • ) • 9x + ( • • • ) • 9e, takes it into the form (kx2 + • • • ) • 9^ + (• " } - 9 e ,
k == &i/&2? hence the condition b^ = 63 comes. D
This proposition finishes the proof of the main theorem.
Remark. — The formal solvability of the homological equation (8)
can be interpreted as the existence of a semi formal conjugacy
/ °° \(x^e)^ (^e^)^
^=1 /
sending the field (4) into the normal form (3) : the functions Q/c(^) are
smooth, but no convergence assumption is made about the series. The
remaining part of the proof of Lemma 2 is actually establishing the
implication "formal conjugacy =^ smooth conjugacy" which is known
to be true in some cases of local dynamical systems, in particular, for
quasihyperbolic germs of diffeomorphisms at fixed points, see [B], Theorem
2.3.2. On the other hand, there exist examples where such an implication
does not hold [IY2]. Our case is nonlocal.
6. Concluding remarks.
In a similar way one can prove that for a limit cycle of multiplicity
k ^ 3, with the monodromy map of the form x \—> x + cxk + • • •, c 7^ 0,
k > 2, the normal form is
Pk-^x)^ + a^-1) . 9, + T-1 • %),
where Pk-i is a polynomial of degree k — 1 with P(0) = 1. All the details
of the above proof go with only minor changes :
(1) the first return map is smoothly conjugate to the time one map for
the field p = (a^ + a.r2^"1) • 9^ on the real line [T], therefore the
representation (2) holds, and the homological equation can be written
down exactly as before;
(2) the discrete homological equation (8) admits a formal solution if and
only if the function h has no terms of order less than k;
(3) for a flat function h the flat solution of (8) always exists and is given
by the same formulas (10) : only the estimates proving the differen-
tiability are changed, for example, on the interval (—l^a1/^"1^)
one has
|A^(.r)|^0(51/^-1)),
902 SERGEY YU. YAKOVENKO
which still makes possible all the upper estimates of Section 3B;
(4) the homotopy of the form
Y(., T) = R(^ r) • v, v = (^ 4- a^-1) . 9, + T-1 . %,
k-l
^(^,r)=l+^^(r)^ + (1 - r)xp(x,0)
.7=1
may be chosen in such a way that the solvability conditions for the
equation (8) will be met;
(5) the polynomial P appears as 1 + ̂  ̂ j(l) x3.
To clarify the nature of such a polynomial, proving at the same
time its uniqueness, we need the following construction. Let 7 be any
smooth transversal to the cycle. Then with such a transversal, besides the
monodromy A, also the return time function T : 7 -^ R, x ^ T(x), is
associated. This construction is persistent under deformations splitting the
fixed point at the origin into ^ k points, generically nondegenerate. The
values taken by the function T at these points, are invariants of smooth
classification. Hence one concludes that the limit object T mod(A — id) is
invariantly associated with the field; this object is the equivalence class of
the function T(-) in the local algebra C^° / (A(.r) - x), see [AVG]. Such a
class contains a unique polynomial P/c-i of degree ^ k — 1, the truncated
Taylor polynomial of the function T(-), and is determined only by the
unperturbed function.
A similar problem of finding a smooth normal form can be posed also
for a family of vector fields, generically unfolding a field with a multiple
limit cycle. In such a case the Takens theorem does not hold any more,
and one can show that even in the C1 -smooth classification of unfoldings
of diffeomorphisms tangent to identity, functional moduli appear, see the
paper [IY2] in which a smooth classification for the case k = 2 was
obtained. This implies that the orbital classification of such families already
possesses functional moduli. But still there is a hypothesis that taking into
consideration the dynamics, one adds to the functional moduli only a finite
number of scalar invariants in the same manner as above.
NORMALIZATION AROUND A SEMISTABLE CYCLE 903
BIBLIOGRAPHIE
[AVG] V.I. ARNOLD, A.N. VARCHENKO and S.M. GUSSEIN-ZADE, Singularities of
differentiable maps. I. Classification of critical points, caustics and wavefronts,
Monographs in Mathematics, vol 82, Birkhauser Boston Inc., Boston MA,
1985.
[B] G. BELITSKII, Equivalence and normal forms of germs of smooth mappings,
Russian Mathematical Surveys, 33-1 (1978).
[IY1] Yu.S. ILYASHENKO, S.Yu. YAKOVENKO, Finite-differentiable normal forms for
local families of diffeomorphisms and vector fields, Russian Math. Surveys,46—
1 (1991), 1-43.
[IY2] Yu.S. ILYASHENKO, S.Yu. YAKOVENKO, Nonlinear Stokes phenomena in smooth
classification problems, Nonlinear Stokes phenomena (Yu. S. Ilyashenko, ed.),
Advances in Soviet Mathematics, AMS PubL, Providence RI, 14 (1993), 235-
287.
[T] F. TAKENS, Normal forms for certain singularities of vector fields, Ann. Inst.
Fourier, Grenoble, 23-2 (1973), 163-195.
[M] J.N. MATHER, Stability of C^-mappings, III, Publ. Math. IHES, 35 (1968),
279-308.
Manuscrit recu Ie 8 decembre 1992.
Sergey Yu. YAKOVENKO,
The Weizmann Institute of Science
Dept of Theoretical Mathematics
Rehovot 76100 (Israel).


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