STABLE MANIFOLDS FOR MAPS ~)

DAVID RUET.T.~ MICHAEL SHUB

IHES, fll Bures-sur-Yvette, QUEENS COLLEGE OF
FRANCE THE CITY UNIVERSITY O F N E W YORK
FLUSHING, N E W YORK

Here we present a stable manifold theorem for non-invertible differentiable

maps of finite dimensional manifolds. There is a long history of stable manifold

theorems for hyperbolic fixed points and sets, see for instance [1]. More recently

Pesin [3] has proven theorems ofalgeneral nature which rely on measure theoretic

techniques. Pesin's results have been extended in [5]. The results described in

the present paper were arrived at by the two authors along different paths. The

first author starting from a treatment of differentiable maps in Hilbert space [6]

specializes to the finite dimensional case while the second starting from seminar

notes by Fahti, Herman and Yoccoz applies graph transform as in Ill.

We say that a map is of class C r'e if its r-th derivative is Holder contin-

uous of exponent @ (Lipschitz if @ = 1). Similarly for manifolds. In what

follows class C will mean class C r'e with integer r ~ i and @ E (0,1], or

class Cr with r ~ 2, o r class C~ o r class C~ (real analytic), o r (complex)

holomorphim. [Class C-1 will be r e s p e c t i v e l y Cr - l ' ~ , Cr - l , C ~, C ~, o r h o l o -

morphie].

Throughout what follows, M will be a locally compact C-manifold and

f: M 4 M a C-map such that fM is relatively compact in M. (In particular,

if fM = M, then M is a compact manifold). We introduce the inverse limit.

~= [(Xn)nm 0 : x n E M and fXn+ 1 = xn~ and define ~(x n) = X0 7

~(xn) = (yn) where Yn Xn+ 1 for n ~ 0. Notice that M is compact, ~ is

continuous M @ M with image ~0 raM, and ~ is a homeomorphism of M.

Furthermore f ~ = ~ f

We state in (I), (2), (3) b e l o w some (~asy) consequences of the multiplicative

ergodic theorems *~). Our main results are the stable and unstable manifold

• ) This work has been supported by NSF Research Grant

• ~) See Oseledec [2], Raghunathan [4].

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theorems in (4), (5). It is likely that these results extend to general local

fields (the m u l t i p l i c a t i v e ergodic theorem does, see [4]). We have h o w e v e r not

checked the u l t r a m e t r i e case.

(i) T h e r e is a Borel set F cM such that f F C ~ , and $(F) = i for

every f - i n v a r i a n t p r o b a b i l i t y m e a s u r e p. If x ~ •, there are an i n t e g e r

s E [0,m], reals (i) > ... > (s) , and spaces T M = V (I) D ... D V (s) D v(S+l)
x x x x
D [0} such t h a t
lim i log I~fn(x)ull = ~ (r) if u ~ V x(r) \ v(r+l)
n x
n4~
for r = 1,...,s, and

-- = - V (s+l)
lim 1 log [ fn¢x)ull ® if u x
n.b¢o n
The functions x .~ s, ( i ) (s) V(1) ,V (s) are B o r e l and x 4 s,
*''*'~ ' X D''" X

~(i) , . . . , ~ (s) , dim V x(I) ''' .,dim V x(s) are f-invariant.

(2) S i m i l a r l y there is a Borel set F c M such that ~ ~ C ~ and ~(~) = 1

for every ~-invariant probability measure ~. If ~ = (x n) E ~, there are

s ~ [0,m], ~(i) > ... > ~ (s) and [0} = ~ (0) C ~ (i) c • .. c ~ (s) cT M
~ ~ x
x x x 0

such that if (Un)n~ 0 satisfies Un E Tx M and T f ( X n + l ) U n + 1 = Un and

n

lira -llog II<+ =

n n
n4~

then u0 E ~Js) Conversely, for e v e r y uo E V/s) there is such a sequence

x x

(u), it is u n i q u e and
n
(r)
lim --1 log I~ II = -~ if u Eg(r) \v(r-1)
n n 0 ~
n4~ X X

for r = 1,...,s.

(3) The m a p ~ sends the f~-invariant p r o b a b i l i t y m e a s u r e s on M o n t o the

f - l n v R r i a n t p r o b a b i l i t y m e a s u r e s on M. A l m o s t e v e r y w h e r e w i t h respect to every
(r)
f-invariant p r o b a b i l i t y m e a s u r e ~ , the q u a n t i t i e s s 0 ~ , ~ • ~ ,
(r) ~ (r)
dim V (r+l) o c c u r r i n g in (1) are equal to s, ~ , m - d i m .(.) in (2). This
~(.)
(r)
justifies the c o n f u s i o n in n o t a t i o n for s and
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(4) Local stable manifolds

Let ~, ~, r be f-invarlant Borel functions on r with @ > O, i < O, r in-

teger E [O,s], and

(r+l) < ~ < (r)

(where (0) = + ~ , ~ (s+l) = - ~ ). Replacing possibly ~ by a smaller set

retaining the properties of (i) one may construct Borel functions 8 > ~ > 0 on

F with the following properties.

Ca) If x ~ F the set W k= [y ~ M: d(x,y) g ~x) and d(fnx,fny)

x
8(x)e nk(x) for all n > O~ is contained in F and is a ~-submanifold of the

ball [y E M: d(x,y) ~ c~x)~. For each y ~ W~ we have T W~= V (r+l) More

x' yx Y
generally, for every t E [O,s], the function y 4 V (t+l) is of class gl on
Y
W k .
x
(b) If y , z E Wk
x ' then

d(fny,fnz) ~ ~x) d(y,z) e n~(x)

(c) If x ~ ~ , then G~fnx), 8(fnx) decrease less fast with n than the

exponential e -n@ .

The manifolds W~ do not in general depend continuously on x, but the con-

x
atruction implies measurability properties on which we shall not elaborate here.

(5) Local unstable manifolds

Let @, ~, r be ~-invariant Borel functions on F with ®>0, ~>0, r

integer E [O,s], and

(r+l) (r)
< ~ <

(where (0) = + ~ , ~ (s+l) = - m ). Replacing possibly by a smaller set re-

raining the properties of (2), one may construct Borel functions ~> ~> 0 and

~> 1 on F with the following properties.

(a) If ~= (xn) E ~ the set

W'~'=x {~'~= (Yn) E~': dCxo'Yo) ~ ~x") and d(Xn,Y n) ~; ~"~'~-(x~e

-nt'l'(x-
for all n > O} is contained in F ; the map restricted to ~ ~ is injective

and y w~ is a C-submanifold of the ball [ Y E M" d(Xo,Y) ~ ~(x~ ,~. For each
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= (Y) E ~ , we have T ~W ~ = V (r) More generally, for every t ~ [0,s],

n ~ YO ~ 7
the function y ~ v~(t)_l is of class C -I o n ~ .
Y x
(b) If (Yn), (z n) E ~,~ then
x

d(Yn,Z n) ~ ~(~) d(Xo,Yo)e -n~(x)

(e) If ~ ~, then ~f~b x~ , ~(~ x~ decrease less fast with n than the

exponential e -n®

(6) Global stable and unstable manifolds exist under obvious transversality

conditions (for instance, if T f is a linear isomorphism), Under these condi-

x
tions they are immersed submanifolds.

(7) The results described above for maps apply immediately to flows, via a

time T map.

REFERENCES

[i] M. Hirsch, C. Pugh and M. Shub, Invariant manifolds, Lecture Notes in Math.

no. 583, Springer, Berlin, 1977.

[2] V°I. Oseledec, Multiplicative ergodic theorem, Lyapunov characteristic

numbers for dynamical systems. Trudy Moskov., Mat. Obsc. 19, 179-210

(19681. English transl. Trans. Moscow Math. Soe., i__99, 197-221 (1968).

[3] Ya. B. Pesin, Invariant manifold families which correspond to non-vanishing

characteristic exponents. Izv. Akad. Nauk SSSR, Ser. Mat. 40 no. 69 1332-

1379. (1976) 9 English transl. Math. USSSR izv. i__O0,no. 6, 1261-1305 (1976).

[4] M.S. Raghunathan, A proof of Oseledec multiplicative ergodic theorem,

Israel J. Math. To appear.

[5] D. Ruelle, Ergodic theory of differentiable dynamical systems. I.H.E.S.

Publications Mathematiques. To appear.

[6] D. Ruelle, Invariant manifolds for flows in Hilbert space, to appear.