6 Morse-Smale complex and the category of Morse functions [03RY]
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6 Morse-Smale complex and the category of Morse functions
6.1 Notations from Morse theory
Let be a compact oriented Riemannian manifold of dimension , be a smooth Morse function. We will denote the set of critical points of by . If , we will denote by (resp. ) the unstable (resp. stable) submanifolds associated with . Namely, , and .
Let be the Morse index of , i.e. the negative rank of the quadratic form . The manifolds and are diffeomorphic to open balls of dimensions and respectively. It follows that the cohomology of with compact support is a graded vector space with the only non-zero -dimensional component in degree : . A choice of generator defines an orientation of . If the function satisfies Morse-Smale transversality condition, i.e. for any the manifolds and intersect transversally, then is a cell decomposition of . The cohomology can be computed as the cohomology of the Morse complex , with the components . Let us choose orientations of manifolds for all . We endow with the dual orientations. The graded module can be identified with where is the set of critical points of of index . The choice of orientations gives a basis of .
The differential is the standard Morse differential:
where an oriented -dimensional manifold (a set of points with signs), and denotes the total number of points counted with signs. The action of arises from the natural reparametrization of the gradient trajectories.
There is also a generalization of the Morse complex for a flat vector bundle (see [BZ], [HL]).
6.2 Morse -category of smooth functions
Here we will define the Morse category of smooth functions following [FuO]. It will be an -pre-category over . Objects of are pairs , where is a smooth function, and is a local system of finite-dimensional complex vector spaces on . Before defining the transversality of objects, we will define the transversality of functions.
Suppose we are given a sequence of smooth functions such that all are Morse functions, and a sequence of critical points . We will use oriented binary planar trees in order to describe certain moduli spaces associated with such sequences. Let us fix a planar trivalent tree with tails vertices. Among the tail vertices we choose one and call it the root vertex. Let us orient edges of along the shortest paths towards the root. Thus, becomes a binary tree considered as an oriented tree . We depict inside of the standard unit disc in such a way that tail vertices of belong to , and connected components of are cyclically numbered from to in the clockwise order. We assume that numbers attached to two regions near the root vertex are and .
![[Uncaptioned image]](https://arxiv.org/html/math/0011041v1/fig2.4.png)
We define a gradient immersion of into as a continuous map such that:
1) The restriction is an orientation preserving homeomorphism of the edge onto an interval in the gradient line of , where the label (resp. ) corresponds to the region of which is left (resp. right) to .
2) Each tail vertex is mapped to the point , where (resp. ) is the label of the region which is left (resp. right) to the only tail edge containing .
We will need immersed binary trees (let us call them gradient trees) in order to define compositions and transversal sequences in the Morse -pre-category. These structures can be defined in terms of certain varieties, which we are going to describe now.
Suppose that we are given a sequence of functions and critical points as above, and a binary planar tree . Let us consider the manifold , where is the set of internal vertices of . We are going to define several submanifolds in . For each tail vertex we define and for we define . Here denotes the second endpoint of the edge of containing , and is the canonical projection on the factor corresponding to .
For pair we define a subset , consisting of pairs such that and for some . Then is a non-compact submanifold of .
An edge of we call internal if both endpoints of it are internal vertices. The set of internal edges we denote by . For each internal edge , which separates two regions labeled by (left) and (right), we define a submanifold , where is the natural projection.
It follows from the definitions that the space of gradient immersions of a given as above, up to homeomorphisms preserving tails, can be identified with .
Definition 18
We say that a sequence is -transversal for a given tree , if for any sequence of intersection points such that
the collection of submanifolds is transversal in (i.e. intersection of any subcollection is transversal). For , we say that is -transversal (there is only one tree in this case) if is a Morse function, satisfying the Morse-Smale transversality condition.
Remark 15
As in the case of Fukaya category we consider here only spaces of (virtual) dimensions less or equal than zero. Our condition in the case of strictly negative dimension means that the moduli space is empty.
It can be proven (see [Fu1]) that there exists a subset of second Baire category in such that for any element of this set and for any strictly increasing sequence of integers and for any planar tree with tails, the sequence is -transversal.
Definition 19
A sequence of objects is called transversal if for any and any binary tree with tails, an arbitrary subsequence is -transversal.
For any two transversal objects and we define the space of morphisms as the Morse complex . Now we define the -structure on .
The map is the standard differential in the Morse-Smale complex. Higher compositions where for transversal sequences of objects are linear maps
Each is defined as a sum where runs through the set of isomorphism classes of oriented binary planar trees with tails. Let us describe the summands . For simplicity we will give the formulas in the case when all local systems are trivial of rank one.
Let us fix critical points , such that , and orientations of manifolds . It follows from the definition of a transversal sequence that the moduli space of gradient trees is an oriented compact zero-dimensional manifold.
Definition 20
We define compositions by the formula
where is the equivalence class of as an abstract oriented planar tree, and is the total number of points counted with signs, as before.
For local systems of higher ranks one proceeds as in the case of Fukaya categories, using flat connections in order to define an analog of the holonomy of local systems.
One can obtain slightly different formulas for in the following way. For any point we define the weight
Here is a variation of along the gradient line , which is defined such as follows: , where and are the endpoints of , such that . After extension of scalars to one can choose another basis in , namely for . Then the formulas for will be modified. The contribution of each will be multiplied by . The formulas will be similar to those for the Fukaya-Oh category (see Section 5.2).
6.3 De Rham -category of smooth functions
The other -pre-category we are interested in will be a differential-graded category (dg-category for short). In other words, it is an -category with strict identity morphisms and vanishing compositions . We will call it de Rham category of and denote by . Objects of are same as for . They are pairs , where is a smooth function and is a local system on . Morphisms are complexes defined by the formula
Notice that the space of morphisms does not depend on and . The composition of morphisms is defined in the obvious way: in a local trivialization of and it is given by the product of matrices with the coefficients in .
Now we can formulate the main result of this section.
Theorem 2
-pre-categories and are equivalent.
The proof of the theorem will occupy the rest of the section. First, we will discuss a version of formulas from βhomological perturbation theoryβ (see [GS], [Me]). They will give an -structure on a subcomplex of a dg-algebra. Then we will discuss an approach to the proof based on the ideas of [HL]. It seems plausible that an alternative proof (but, presumably, much more difficult) can be obtained within the framework of Witten complex, using methods of [BZ].
6.4 -structure on a subcomplex
In this section we are going to restate in a convenient form some results from [GS] and [Me].
Let be a non-unital -algebra, be an idempotent which commutes with the differential . In other words, is a linear map of degree zero such that . Assume that we are given an homotopy , . Let us denote the image of by . Then we have an embedding and a projection , such that .
Let us introduce a sequence of linear operations in the following way:
a) ;
b) ;
c) .
Here the summation is taken over all oriented planar trees with tails vertices (including the root vertex), such that the (oriented) valency (the number of ingoing edges) of every internal vertex of is at least . In order to describe the linear map we need to make some preparations. Let us consider another tree which is obtained from by the insertion of a new vertex into every internal edge. As a result, there will be two types of internal vertices in : the βoldβ vertices, which coincide with the internal vertices of , and the βnewβ ones, which can be thought geometrically as the midpoints of the internal edges of .
To every tail vertex of we assign the embedding . To every βoldβ vertex we assign with . To every βnewβ vertex we assign the homotopy operator . To the root we assign the projector . Then moving along the tree down to the root one reads off the map as the composition of maps assigned to vertices of . Here is an example of and :
![[Uncaptioned image]](https://arxiv.org/html/math/0011041v1/fig3.png)
![[Uncaptioned image]](https://arxiv.org/html/math/0011041v1/fig3.1.png)
Proposition 4
The linear map defines a differential in .
Proof. Clear.
Theorem 3
The sequence gives rise to a structure of an -algebra on .
Sketch of the proof. The proof is quite straightforward, so we just briefly show main steps of computations.
First, one observes that and are homomorphisms of complexes. In order to prove the theorem we will replace for a given each summand by a different one, and then compute the result in two different ways. Let us consider a collection of trees such that is obtained from in the following way:
a) we split the edge into two edges by inserting a new vertex inside ;
b) the remaining part of is unchanged.
We assign to the vertex edge, and keep all other assignments untouched. In this way we obtain a map .
Let us consider the following sum (with appropriate signs):
We can compute it in two different ways: using the relation , and using the formulas for given by the -structure on . The case of the relation gives
where is defined analogously to , with the only difference that we assign to a new vertex operator instead of for some edge . Similarly, the summand is defined if we assign to a new vertex operator instead of . Formulas for are quadratic expressions in . This gives us another identity
Thus we have , and it is exactly the -constraint for the collection .
Moreover, using similar technique, one can prove the following result.
Proposition 5
There is a canonical -morphism , which defines a quasi-isomorphism of -algebras.
For the convenience fo the reader we give an explicit formula for a canonical choice of . The operator is defined as the inclusion . For we define as the sum of terms over all planar trees with tails. Each term is similar to the term defined above, the only difference is that we insert operator instead of into the root vertex.
One can also construct an explicit -quasi-isomorphism .
Remark 16
a) Similar construction works in the case of an arbitrary non-unital -category. In that case one needs projectors and homotopies for every graded space of morphisms . All formulas remain the same as in the case of -algebras. The resulting -category with the spaces of morphisms given by is equivalent to the original one. We will use this fact later.
b) Propositions 4 and 5 should hold in a much more general case of algebras over operads (see e.g. [M]).
6.5 Projectors and homotopies in Morse theory
We would like to apply formulas for the -structure on a subcomplex to the proof of the Theorem 2. In order to do that we need to identify the Morse complex with a direct summand of the de Rham complex. Our approach is based on the ideas of Harvey and Lawson (see [HL]).
Let be a compact oriented smooth manifold, . The space of currents we will identify with the space of distribution-valued differential forms. Continuous linear operators are given by their Schwartz kernels, which are elements of . Smoothening operators have kernels in .
With any oriented submanifold , of finite volume we associate a canonical current of degree (namely, we can integrate smooth -forms over ).
Let be a Riemannian metric on , and be a Morse-Smale function. The gradient flow gives rise to a -parameter semigroup acting on : . Schwartz kernel of is where manifold is given by . We also have the identity
where is a linear operator of degree defined by the distributional kernel , .
It is checked in [HL] that this picture has a limit (in certain sense) as . Namely, there exist limits of currents and :
Linear operators (of degree zero) and (of degree ), corresponding to these kernels, map to and satisfy the identity
where is the natural inclusion. According to the de Rham theorem this inclusion is a quasi-isomorphism of complexes, therefore is. Morally, should be thought of as a projector. The image coincides with . We have
Moreover, the operator commutes with the differentials. Hence the complex is a finite-dimensional subcomplex of isomorphic to the Morse complex . In fact it is quasi-isomorphic to both complexes and . In this way Harvey and Lawson prove that the de Rham cohomology is isomorphic to the cohomology of Morse complex.
In order to construct actual projectors and homotopies we will proceed as follows. Let be a family of smooth closed differential -forms on such that belongs to the open -neighborhood of the diagonal , and the cohomology class of in is the same as of .
We define as the integral operator given by the kernel .
Lemma 3
1) The operator is a homomorphism of complexes.
2) If are two oriented submanifolds of finite volume such that they intersect transversally at finitely many points, and , , then for sufficiently small one has:
3) There exists a linear operator such that its kernel has support in , the wave front is the conormal bundle of , and
Proof . Part 1) follows from the fact that is a closed current. Part 2) follows from the fact that changes the supports of by . To prove part 3) one observes that the operators and preserve the space of smooth forms , and is cohomologous to .
Let be two critical points of the same Morse index. Then (the Kronecker symbol). By the part 2) of the Lemma, for sufficiently small we obtain the identity
This implies the following result.
Proposition 6
Let us define for a sufficiently small a linear operator by the formula
Then
1) if , and
2) The image is a subcomplex in which is canonically isomorphic to the Morse complex .
We define a homotopy operator as an integral operator given by the kernel (The last summand is well-defined because of the condition on the wave front of ). It is easy to check that the following identity holds:
Thus we have a family of homotopies and projectors parametrized by .
Remark 17
One can define the projector using another canonical element , instead of , as we did. The above Proposition holds for the new canonical element as well.
There is a version of the previous construction, which will be useful in the next subsection. Namely, we start with a differential -form on such that for the support of belongs to for all sufficiently small , and defines the same cohomology class in as .
Let us consider now the spaces and It is easy to see that both complexes and are quasi-isomorphic to .
We define a linear operator similarly to the definition of . Then the Lemma and the Proposition hold with obvious changes. We will denote the corresponding objects by the same letters as before, skipping the subscript (like for the homotopy and for the projector). Morally, they are obtained from the old objects by extending them as differential forms βin the direction of β.
6.6 Proof of the theorem
For simplicity we will assume that all local systems are trivial and have rank one. The general case is completely similar.
We are going to construct the following chain of -equivalences connecting and :
Classes of objects of all these categories will be the same, and all functors will be identical on objects.
The -pre-category is in fact a dg-category, i.e. all sequences of objects are transversal, compositions vanish for and it has strict identity morphisms. The space is defined as Clearly the space of morphisms does not depend on objects. Using the wedge product of differential forms we make into a dg-category over the field . There is a natural functor , which is the identity map on objects. On morphisms it is the natural embedding of as the subspace of forms on , which are pullbacks of forms on . Clearly it establishes an equivalence of -categories.
The -pre-category is defined as the full subcategory of , and it differs from the latter only by the choice of transversal sequences. Namely, we use the same notion of transversality in as in the Morse category.
The next -pre-category is obtained from by applying homological perturbation theory. For any two transversal objects of we define as . Here is the projector corresponding to the Morse function , it was described at the end of the previous subsection. We also have homotopies associated with . Then formulas of homological perturbation theory (summation over trees) give rise to an -pre-category and an equivalence .
The last functor will have no non-trivial higher components for . The first component of it is a linear map
for every transversal pair . Recall that has a basis labeled by critical points . We define as . It is clear that gives a quasi-isomorphism of complexes for every transversal pair .
Now, we claim that is an -functor. This means that maps all higher compositions in to higher compositions in . This follows directly from the descriptions of higher compositions in both categories in terms of planar trees and the lemma in the previous subsection. Indeed, the number of functions in any given sequence is finite. For all sufficiently small every summand in the formula for , corresponding to a binary tree , coincides with the summand for corresponding to the same (we can assume that is so small that the part 2) of the Lemma can be applied). The theorem is proved.