Conley Index

Conley Index Theory and Applications

Dahisy Lima
MM 851 - Topics in Topology
26 de setembro de 2014
Outline

Review: Dynamics
Outline

Review: Dynamics
Continuous Flows
We present Conley Index Theory for locally compact metric
spaces. This theory extends to infinite dimensions.
Let X be a locally compact metric space.
Definition
A continuous flow on X is a group action of the additive group of the
real numbers R on X , that is, it is a continuous map : R X X
such that:
1
(0, x) = x, for all x X ;
(s + t, x) = (s, (t, x)) for all s, t R and x X .
Definition
Given x X , the orbit through x with respect to the flow is the set
O (x) := {(t, x) : t R}, that is, O (x) := (R, x).

Review: Dynamics
Continuous Flows
Definition
such that:
1
Definition

Review: Dynamics
Continuous Flows
Definition
such that:
1
Definition

Review: Dynamics
Invariant sets
Definition
A subset S X is said to be an invariant set with respect to the flow
if, for all p S, one has (t, p) S for all t R. In other words,
(R, S) = S.
Any orbit is an invariant set;
A set is invariant if and only if it is a union of orbits of ;
If S is invariant under then S and S c are also invariant;
The union and intersection under any collection of invariant sets
are also invariant sets.

Review: Dynamics
Invariant sets
Definition
(R, S) = S.

Review: Dynamics
Invariant sets
Definition
(R, S) = S.

Review: Dynamics
Invariant sets
Definition
(R, S) = S.

Review: Dynamics
Invariant sets
Definition
(R, S) = S.

Review: Dynamics
Definition
Let N X be a subset of X . The maximal invariant set of N is
defined by:
Inv (N) = {x X | (t, x) N, for all t R}.
A

Review: Dynamics
Definition
defined by:
p

Review: Dynamics
Definition
defined by:
The set Inv (N) is an invariant set.

Inv (N) is maximal in N with respect to this property, that is, if
P N is an invariant set then P Inv (N).
If N X is compact then Inv (N) is closed in N. Hence, Inv (N) is
compact.

Review: Dynamics
Definition
A subset S X is called an isolated invariant set if there exists a
compact neighborhood N of S in X such that S int(N) and
S = Inv (N).
In this case, N is said to be an isolating neighborhood for S in X .
p

Review: Dynamics
Definition
S = Inv (N).
Consider a saddle point S at the

origin of the plane.
N
The square N = [1, 1] [1, 1] is

an isolating neighborhood for S.
S is an isolated invariant set;
In general
fhjkshdfkj

Review: Dynamics
Definition
S = Inv (N).
There exist sets which are invariant

under the flow but are not isolated.
For example, consider the flow on R2
associated to x 1 = x2 , x 2 = x1 .
The origin (0, 0) is a rest point and
S = {(0, 0)} is an invariant set;
However, S is not isolated.
N
S

Review: Dynamics
Definition
S = Inv (N).

N
S

Review: Dynamics
Definition
S = Inv (N).

N
S

Review: Dynamics
Definition
S = Inv (N).

N
S

Review: Dynamics
Definition
S = Inv (N).
In general, the union of two isolated

invariant sets is not isolated.
For example, consider the flow on
the disk having three rest points;
The segments ab and bc are

isolated invariant sets;
However, ac is not isolated.

Review: Dynamics
Definition
S = Inv (N).



Review: Dynamics
Definition
S = Inv (N).



Review: Dynamics
Definition
S = Inv (N).



Homotopy Conley Index
Outline

Pointed Space
Definition
A pointed space (Y , y0 ) is a topological space Y with a distinguished
basepoint y0 Y , which is called a base point.
Given a pair (N, L) of topological spaces with L N and L 6= ,
define:
x y x = y or x, y L.
(1)
Denote by N/L the pointed space (N/ , [L]), where [L] represents
the equivalence class of the points of L under the relation (??) and
N/ = {[x] : x N} can be identified with (N\L) [L].
If L = , it is a convention to consider N/L = (N {}, {}), where
{} denotes the equivalence class of the empty set.

Pointed Space
Definition
define:
(1)

Pointed Space
Definition
define:
(1)

Pointed Space
Definition
define:
(1)

Definition
Let S X be an isolated invariant set. A pair (N, L) of compact sets
in X is said to be an index pair for S in X if L N and
1
N\L is an isolating neighborhood for S in X ;
L is positively invariant in N, that is, if x L and ([0, T ], x) N

then ([0, T ], x) L;
L is the exit set of the flow, that is, if x N and ([0, ), x) * N

then there exists T > 0 such that ([0, T ], x) N and
(T , x) L.
S
Possible
Not possible
Not possible

Definition
1

then ([0, T ], x) L;

(T , x) L.
S
Possible
Not possible
Not possible

Definition
1

then ([0, T ], x) L;

(T , x) L.
S
Possible
Not possible
Not possible

Definition
1

then ([0, T ], x) L;

(T , x) L.
S
Possible
Not possible
Not possible

Examples: index pairs in dimension two

( N , L ) is an index pair
N
S
L=
Saddle
singularity
Attracting singularity
(sink)
N
Repelling singularity
(source)
N
S
L=
Atracting periodic orbit
S
L
Repelling periodic orbit

Examples: index pairs in dimension two

N
S
L=
Saddle
singularity
Attracting singularity
(sink)
N
Repelling singularity
(source)
N
S
L=
S
L

Examples: index pairs in dimension three

Sink
Saddle
of index 1
Saddle
of index 2
Saddle periodic orbit
Source


Sink
Saddle
of index 1
Saddle
of index 2
Source


Sink
Saddle
of index 1
Saddle
of index 2
Source
Cross section
index 2


Sink
Saddle
of index 1
Saddle
of index 2
Source
Cross section
index 1


Sink
Saddle
of index 1
Saddle
of index 2
Source
Cross section
index 0

Isolating Blocks
Definition
A special case of index pair is an isolating block (N, N ) where
N = {x N : > 0 with (x, (0, )) N = }.
In other words, the flow exits N immediately in the positive flow
direction.
N
N
S
S
N
isolating neighborhood
isolating block

Let S be an isolated invariant set with respect to the flow .

Theorem (Existence and Invariance of index pairs)
There exist compact sets N and L such that (N, L) is an index
pair for S.
e L)
e are two index pairs for S, then N/L and N/
e L
e
If (N, L) and (N,
are homotopically equivalent, that is, have the same homotopy
type.
Definition (Homotopy Conley Index)
The Homotopy Conley Index of S is defined to be the homotopy type
of the pointed space N/L, where (N, L) is the index pair S.
This index is denoted by h(S) = (N/L, [L]) .
The above results were proven by Conley, and later by Salamon.


pair for S.
e L)
e L
e
If (N, L) and (N,
type.


pair for S.
e L)
e L
e
If (N, L) and (N,
type.

Example - Homotopy Conley Index

N
S
N/L ' S 2 {p, q}

' R2 p
' S1
N0
S
L0
h(S) ' (N 0 /L0 , [L0 ]) = 1
N 00
S
L00
h(S) ' (N 00 /L00 , [L00 ]) = 1


N
S
h(S) ' (N/L, [L]) = 1

N0
S
L0
h(S) ' (N 0/L0, [L0]) = 1
N 00
S
L00
h(S) ' (N 00/L00, [L00]) = 1


N
S
h(S) ' (N/L, [L]) = 1

N0
S
L0
h(S) ' (N 0/L0, [L0]) = 1
N 00
S
L00
h(S) ' (N 00/L00, [L00]) = 1

Example: disjoint union of singularities. can be an index pair for

more than one isolated inv
N
S = {x, y}
h(S 0) = 1 1
y
L
S = {x, y}
y
L
h(S 0) = 1 1

A compact pair (N, L) can be an index pair for more than one isolated
invariant set.
N
S = {x, y}
h(S 0) = 1 1
N
S0
h(S 0) = 1 1

Wedge Sum
Given two pointed spaces (X , x0 ) and (Y , y0 ). Define:
the wedge of X and Y to be the quotient of the union under the identification
x0 y0 , i.e.,
X Y := (X t Y )/{x0 y0 };
One has the identification: X Y = X y0 x0 Y .
This operation is well defined on the homotopy equivalence classes.
1 1 =
2 1 =

Wedge Sum
x0 y0 , i.e.,
X Y := (X t Y )/{x0 y0 };
1 1 =
2 1 =

Wedge Sum
x0 y0 , i.e.,
X Y := (X t Y )/{x0 y0 };
1 1 =
2 1 =

Wedge Sum
x0 y0 , i.e.,
X Y := (X t Y )/{x0 y0 };
1 1 =
2 1 =

Smash Product
the smash product of X and Y to be the quotient of the product space under
(x, y0 ) (x0 , y ), i.e.,
X Y := X Y /{X y0 x0 Y };
One has the identification: X Y = X Y /X Y .
(Y, y0 ) ' 0
(X, x0 ) ' 1
X Y
X Y = 1 0
1 0
'
1

Smash Product
(x, y0 ) (x0 , y ), i.e.,
X Y := X Y /{X y0 x0 Y };
(Y, y0 ) ' 0
(X, x0 ) ' 1
X Y
X Y = 1 0
1 0
'
1

Smash Product
(x, y0 ) (x0 , y ), i.e.,
X Y := X Y /{X y0 x0 Y };
(Y, y0 ) ' 0
(X, x0 ) ' 1
X Y
X Y = 1 0
1 0
'
1

Smash Product
(x, y0 ) (x0 , y ), i.e.,
X Y := X Y /{X y0 x0 Y };
(Y, y0 ) ' 0
(X, x0 ) ' 1
X Y
X Y = 1 0
1 0
'
1

Theorem
The product of isolated invariant sets is isolated and the homotopy
Conley index is the smash product of its factors.
Theorem
m n = m+n
Conley index of non degenerate critical points
Given a critical point x of Morse index k in Rn , consider the
splitting Rk Rnk = Rn ;
Consider a repelling singularity p1 in Rk and an attracting
singularity in Rnk ;
the product of these two isolated invariant sets give rise to an

index k singularity x in Rn .
The Conley index of S = {x} is given by the smash product of
k 0 = k .

Theorem
Theorem
m n = m+n

k 0 = k .

Theorem
Theorem
m n = m+n

k 0 = k .

Theorem
Theorem
m n = m+n

k 0 = k .

Theorem
Theorem
m n = m+n

k 0 = k .

Theorem
Theorem
m n = m+n

k 0 = k .

Conley index of non degenerate critical points (another way)

Consider the flow associated to f , where f is a Morse function.
Let S = {x} be a single critical point of Morse index k .
Isolating neighborhood N = D k D nk with exit set L = D k D nk .

The Conley index of {x} is the homotopy type of S k, h(x) = k .
N
S
L



N
S
L



N
S
L



N
S
L

Homology Conley Index
Outline

Definition (Homology Conley Index)

Let S be a isolated invariant set with respect to the flow and let
(N, L) be a index pair for S. The homology Conley index is defined as
Con (S, ) := H (N/L),
where Hn (N/L) denotes the n-th reduced homology group of the
pointed space (N/ , [L]).
Alternative notation: Con (S, ) = H (h(S)) or CH(S).


A inclusion map i : A X beteween topological spaces is said
to be a cofibration if it satisfies the homotopy extension property
with respect to all spaces Y .
Definition (Regular Index pair)

An index pair (N, L) is called regular if and only if the inclusion map
L N is a cofibration.
Given a regular index pair (N, L) for S. Then the Homology Conley
index of S is given by
Con (S, ) := H (N/L) H (N, L).



Con (S, ) := H (N/L) H (N, L).



Con (S, ) := H (N/L) H (N, L).

Conley index for non degenerate critical points
Let S be a critical point of a Morse

function, with Morse index k ;
The homotopy Conley index of S is ;
S2
Hence the homology Conley index of

S, with coefficients in Z, is:

Conj (S) =
Z
0
,
,
if j = k
if j 6= k
N
S
S1
L

Conley index for periodic orbits
0 1
2 3

1 2

0 1
Let S be an orientable periodic orbit. The homotopy Conley index of

S is k k +1 , where k is the dimension of the unstable manifold of
S. Hence

Z , if j = k , k + 1
Conj (S) =
0 , if j 6= k , k + 1

1 2
Repelling
periodicorbit
orbit
Saddle periodic
2

1 2

0 1

S. Hence

Z , if j = k , k + 1
Conj (S) =
0 , if j 6= k , k + 1


2

1 2

0 1

S. Hence

Z , if j = k , k + 1
Conj (S) =
0 , if j 6= k , k + 1

Example
Saddle connection:
N
S0
h(S 0) = 1 1
Con (S) = H (S 1 S 1 ) =
Z Z , if k = 1
0
, if k 6= 1

Property of Conley Index

Proposition ( Wazewski property)
Let S be an isolated invariant set with respect to a flow . If
Con (S) 0 then S 6= .
Proof:
The proof follows by contrapositive. Assume that S = .
S is an isolated invariant set by vacuity.
(, ) is an index pair for S.
Then Con (S) 0.
In other words, if Con (S) 0 then S 6= .


Proof:
Then Con (S) 0.


Proof:
Then Con (S) 0.


Proof:
Then Con (S) 0.


Proof:
Then Con (S) 0.


Proof:
Then Con (S) 0.

Properties of the Conley Index

Proposition ( Additivity property)
S = S1 S2 , where S1 and S2 are disjoint isolated invariant sets, then
Con (S) Con (S1 ) Con (S2 ).
Proof: Since S1 and S2 are disjoint isolated invariant sets, there

exist disjoint isolating neighborhoods N0 and N1 such that (N0 , L0 )
and (N1 , L1 ) are index pairs for S0 and S1 , respectively. Hence,
Con (S)
= H (N0 N1 , L0 L1 )
= H (N0 , L0 ) H (N1 , L1 )
= Con (S0 ) Con (S1 ).



Con (S)
= H (N0 N1 , L0 L1 )
= H (N0 , L0 ) H (N1 , L1 )
= Con (S0 ) Con (S1 ).



Con (S)
= H (N0 N1 , L0 L1 )
= H (N0 , L0 ) H (N1 , L1 )
= Con (S0 ) Con (S1 ).

Continuation
Let { : R M M| I = [0, 1]} be a
parameterized family of flows in M, i.e.,
t (x, ) = ( (t, x), ) is a smooth flow
on M I.
x = x(1 x 2 ) f (x, )
S := Inv (N, ) is an invariant set with

S
to respect the flow i .
N is an isolating neighborhood for S
with respect to for all I.
I
S2
S1
0
S0
Definition
S 0 and S 1 are related by continuation if there is an isolated invariant set
S M I for t such that S 0 = S {(x, 0)} and S 1 = S {(x, 1)}. If
S = Inv(N I) in t then S defines a continuation from S 0 to S 1 .
Proposition (Continuation Property)

The Conley index is invariant under continuation.
=0

Continuation
Let { : R M M| I = [0, 1]} be a
on M I.
x = x(1 x 2 ) f (x, )

S
I
S2
S1
0
S0
Definition

=0

Continuation
Let { : R M M| I = [0, 1]} be a
on M I.
x = x(1 x 2 ) f (x, )

S
I
S2
S1
0
S0
Definition

=0

Continuation
x = x(1 x 2 ) f (x, )
I
S
2
1
S1
0
S0
=0

Example:
The following example illustrates how one can use the continuation
property to obtain information on the homology index.
Consider the family of differential equations
x

1
y + (1 )(x 2 1) x +
+ (x 1)
2
parametrized by [0, 1]. Denote by the flow associated to this

system, for each [0, 1].
For k > 0 sufficiently large, N = [k , k ] [k , k ] is an isolating
neighborhood for S = Inv (N), for each [0, 1].
Goal: find out the homology Conley index of S0 .

Example:
x

1
y + (1 )(x 2 1) x +
+ (x 1)
2


Example:
x

1
y + (1 )(x 2 1) x +
+ (x 1)
2



Since S0 and S1 are related by continuation, one has that
Con (S0 ) Con (S1 ).
For = 1, this system is reduced to

x
y
= y
= y +x 1
Therefore, the isolated invariant set S1 is formed by the rest point

(1, 0), which is a saddle point. It follows that

Z , if k = 1
Con (S0 ) Con (S1 ) =
0 , if k 6= 1
/



x
y
= y
= y +x 1


Z , if k = 1
Con (S0 ) Con (S1 ) =
0 , if k 6= 1
/



x
y
= y
= y +x 1


Z , if k = 1
Con (S0 ) Con (S1 ) =
0 , if k 6= 1
/



x
y
= y
= y +x 1


Z , if k = 1
Con (S0 ) Con (S1 ) =
0 , if k 6= 1
/

Final Remarks
Morse Theory
Entire dynamics:
Critical points
Connecting orbits
Morse index:
dimension of W u
Defined for nondeg. crt. pts.
Conley Index Theory

Entire dynamics:
Morse decomposition
Connecting orbits
Conley index:
homotopy type of N/L
Defined for iso. inv. sets

References I
BERTOLIM, M.A., MELLO, M. P. and de REZENDE, K. A.. Lyapunov
graph continuation. Ergodic Theory and Dynamical Systems 23 (2003)
158.
BERTOLIM, M.A., MELLO, M. P. and de REZENDE, K. A..
Poincar-Hopf Inequalities. Transactions of the American Mathematical
Society 357 (2004)
CONLEY, C. Isolated Invariant Sets and the Morse Index. CMBS
Regional Conference Series in Mathematics, n. 38. Providence:
American Mathematical Society, Providence, R.I., 1978.
SALAMON, D.A. Connected Simple Systems and The Conley Index of
Isolated Invariants Sets. Transactions of the American Mathematical
Society, vol. 291, n. 1, p. 1-41, (1985).
SMOLLER, J. Shock Waves and Reaction - Diffusion Equations.
Springer-Verlag

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Conley Index Theory and Applications

Conley Index Theory and Applications

Conley Index Theory and Applications

Conley Index Theory and Applications

Conley Index Theory and Applications

(0, x) = x, for all x X ;

(s + t, x) = (s, (t, x)) for all s, t R and x X .

Conley Index Theory and Applications

(0, x) = x, for all x X ;

(s + t, x) = (s, (t, x)) for all s, t R and x X .

Conley Index Theory and Applications

(0, x) = x, for all x X ;

(s + t, x) = (s, (t, x)) for all s, t R and x X .

Conley Index Theory and Applications

Conley Index Theory and Applications

Conley Index Theory and Applications

Conley Index Theory and Applications

Conley Index Theory and Applications

Conley Index Theory and Applications

Conley Index Theory and Applications

Conley Index Theory and Applications

The set Inv (N) is an invariant set.

Conley Index Theory and Applications

Conley Index Theory and Applications

Consider a saddle point S at the

The square N = [1, 1] [1, 1] is

Conley Index Theory and Applications

There exist sets which are invariant

Conley Index Theory and Applications

There exist sets which are invariant

Conley Index Theory and Applications

There exist sets which are invariant

Conley Index Theory and Applications

There exist sets which are invariant

Conley Index Theory and Applications

In general, the union of two isolated

The segments ab and bc are

Conley Index Theory and Applications

In general, the union of two isolated

The segments ab and bc are

Conley Index Theory and Applications

In general, the union of two isolated

The segments ab and bc are

Conley Index Theory and Applications

In general, the union of two isolated

The segments ab and bc are

Conley Index Theory and Applications

Conley Index Theory and Applications

Conley Index Theory and Applications

Conley Index Theory and Applications

Conley Index Theory and Applications

Conley Index Theory and Applications

N\L is an isolating neighborhood for S in X ;

L is positively invariant in N, that is, if x L and ([0, T ], x) N

L is the exit set of the flow, that is, if x N and ([0, ), x) * N

Conley Index Theory and Applications

N\L is an isolating neighborhood for S in X ;

L is positively invariant in N, that is, if x L and ([0, T ], x) N

L is the exit set of the flow, that is, if x N and ([0, ), x) * N

Conley Index Theory and Applications

N\L is an isolating neighborhood for S in X ;

L is positively invariant in N, that is, if x L and ([0, T ], x) N

L is the exit set of the flow, that is, if x N and ([0, ), x) * N