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A counter-example to a C2 closing lemma

C. Gutierrez

Ergodic Theory and Dynamical Systems / Volume 7 / Issue 04 / December 1987, pp 509 - 530
DOI: 10.1017/S0143385700004181, Published online: 19 September 2008

Link to this article: http://journals.cambridge.org/abstract_S0143385700004181

How to cite this article:

C. Gutierrez (1987). A counter-example to a C2 closing lemma. Ergodic Theory and
Dynamical Systems, 7, pp 509-530 doi:10.1017/S0143385700004181

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Ergod Th & Dynam Sys (1987), 7, 509-530
Printed in Great Britain

A counter-example to a C2 closing lemma

C GUTIERREZ
IMPA, Estrada Dona Castorina 110, Jardim Botdnico, Rio de Janeiro, RJ,
CEP 22 460, Brazil

{Received 4 November 1985, revised 27 May 1986 and 18 December 1986)

Abstract Let M be a compact manifold that contains a two-dimensional punctured

torus Given pe M and an integer r > 2 , there exists X e £°°(M) having non-trivial
recurrent trajectories and such that, for some neighbourhood °U, of X| (M _ {p}) in
£r(M-{/>}), no Ye 'U has closed orbits
1 Introduction
The Cr-Closing Lemma Problem is very important because it is strongly related to
the extension, to classes of differentiability r 2 2, of the C '-General Density Theorem
and the Stability Conjecture We shall explain this
Let JV be a manifold, X e £\N), pe N and yp be the trajectory passing through
the point p, we say that xe{p, yp} is non-wandering if there exists a sequence of
real numbers tn -> oo and a sequence of points of the manifold pn->p such that either
^<n(Pn)~*/> o r •^(-<n)(Pn)-*A where X,(f eU) is the flow induced by X If pn=p in
this definition and moreover X,{p)itp, for all feR-{0}, the non-wandering xe
{p, yp) will be called non-trivial recurrent
The statement of the Cr-Closing Lemma Problem is as follows
Let M be a smooth compact manifold, r s 2 an integer, /eDifT (M) (resp Xe
3Er(M)) and p b e a non-wandering point of/ (resp of X) There is ge Diffr (M)
(resp Ye3Er(M)) arbitrarily close to / (resp to X) in the Cr-topology so that p
is a periodic point of g (resp of V)
C Pugh proved not only the C'-Closing Lemma but also that if, for a given r > 1,
the Cr-Closing Lemma had a positive answer, then generically, in the Cr-topology,
vector fields would have the property that the union of their closed orbits and
singularities is dense in their non-wandenng set [Pg.2] Relevant to this is a partial
claim of the Stability Conjecture This generic property must be satisfied for vector
fields whose topological orbit structure is preserved by small Cr-perturbations
[Pa-Sm]
Nevertheless, C Pugh has already put in doubt the validity of the C2-Closing
Lemma [Pg.l] Our result strengthens these doubts We give a negative answer to
this problem when a point is removed from the manifold The considered C r -
topology is the Whitney one which is defined as follows
Given a compact manifold M and a closed subset A of it, let || ||r be a norm
on Xr(M) comoatible with its Cr-toDoloev and let {V,|i eN} be a locally finite open

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510 C Gutierrez

covering of M - A When {e,} varies among all possible sequences of positive real
numbers, a fundamental system of neighbourhoods, of any given C vector field X
on M —A, in the Whitney C'-topology is the one formed by the open sets
%({*,}) = { Y e £ ' ( M - A ) | || Y\9-X\9i\\r<e,}
£ ' ( M - A ) will be the space of C" vector fields on M - A with the Whitney
Cr-topology
The only result known about the Cr-Closing Lemma Problem, when r>2, is that
it is true for diffeomorprnsms of the circle and for a large class of flows on the torus
with non-trivial recurrence [Gu.2] Now we state our result
THEOREM A Let M be a compact manifold that contains a two-dimensional punctured
torus Given peM and an integer r > 2 , there exists X E £ ° ° ( M ) having non-trivial
recurrent trajectories and such that, for some neighbourhood °U o/X|(M_jpj) in X.r(M —
{p}), no Y€.°U has closed orbits
Given Xe3E'(M) and a non-wandering point q, Pugh's C1-Closing Lemma states
that, for any neighbourhood V of q and for any neighbourhood °U of X in £\M)
there exists Ye °U, having a closed trajectory through q and such that X|(M_V> =
y| (M _ V ) Therefore, for vector fields on compact manifolds, as opposed to the case
of the C'-Closing Lemma, a positive answer to the C2-Closing Lemma is not always
possible by local perturbations around the non-wandering point
We wish to mention some C'-Closing Lemma type results One is the Peixoto's
C'-Connecting Lemma which was used to characterize structurally stable vector
fields on two-manifolds [Pe] Another is Mane's C'-Ergodic Closing Lemma that
was utilized to characterize structurally stable difTeomorphisms of two-manifolds
[Ma] Moreover, we have the Takens C'-Connecting result which was used to prove
generic properties in conservative systems [Ta] Finally, the Pixton-Robinson C -
Connecting result for diffeomorphisms of the sphere S2 which is a positive answer
in the direction of the C '-Closing Lemma [Px]
In the context of Bifurcation Theory [So], [N-P-T], the following question has
been asked 'Given a hyperbolic saddle point, of a smoothflow(or diffeomorphism),
such that its unstable manifold accumulates on itself, is it always possible to produce,
via a small C'-perturbation of the flow, r > 2 , a homochnic orbit of this saddle
point9'
A negative answer to this question (on punctured manifolds) can be obtained by
modifying, locally around one of its hyperbolic saddle points, the example of
Theorem A In the example of Theorem A, no unstable manifold of any given
hyperbolic point accumulates on itself See also [Pg.3]
Definitions used in this work can be found in [Me-Pa]
It will be seen that it is enough to prove Theorem A when the manifold is the
bidimensional torus § 2 is devoted to providing a general idea of the paper, relevant
to this we prove Theorem 2 1 which deals with a simpler example (on an infinitely
punctured torus T2) but contains the main ideas of the proof of Theorem A §§3,4
provide the proof of two results used in § 2 Theorem A is proved in § 5

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 A counter-example to a C2 closing lemma 511

2 The idea of the proof of Theorem A

It will be convenient to introduce the following notation
u will be the golden mean which is the positive root a of the equation
cr 2 +o--l=0
{qn/qn+i} will be the sequence of principal convergents of a, that is qo = qx = 1 and,
for n > l , qn+l = qn + qn_1
Real numbers will be used to also denote elements of R/Z
{T(I)} will be the sequence defined as follows T(0) = T(1) = 0 and, for i > 1, T(I) = rw
provided that qm < i < <?m+1
0 = 0 ( a ) = £ i a T ( | l | ) It is observed that if a e (0,|), then 3 < 0 ( a ) < 4 (Lemma 4 1)
/j C -» R/Z will be the monotone continuous map of degree one such that h(Q) = 0
and
(1) For all i e Z, / J ^ K T ) IS an interval of length aT(|l|) Here the point io- is to be
taken modulo 1
(2) The union of all of the intervals h~l{io~), with i e Z, is a full Lebesgue measure
subset of the circle C = R/ 0Z
Y will be the homeomorphism of the circle C =R/0Z such that 0 = 0(0 01) and
(1) If Rv R/Z-»R/Z is the geometric rotation x^x + a then, for all yeC,

(2) Y is smooth away from {x\x or Y(x) is an endpoint of /J~'(0)} and moreover,
for all ieZ such that h~\ia) and h'\(i + l)a) have the same length, Y'\h-'ilv)= 1
9 will be a continuous oriented foliation on the torus T2 which is a suspension of
the map Y The foliation & is topologically equivalent to the example of class C 1
constructed by Denjoy [De] The arguments of [Gu.l, Smoothing Theorem] can
be used to prove that & can be constructed to be smooth when restricted to
T 2 -{endpointsof h~\Q)}
Jf will be the union of all intervals ^"'(icr) such that i e Z and m, considered as a
point of R/Z, belongs to the closed subinterval of R/Z —{^} with endpoints
—(gx(x(l,l)))cr and (qT(TQ,m)cr Observe that N is a closed subset of R/Z
X will be a smooth vector field, without singularities, tangent to 2F and defined on
the manifold M = T2 — Jf The arguments of [Gu.l, Smoothing Theorem] imply the
existence of such an X which has the additional property that can be extended to
a smooth vector field on T2 whose set of singularities is precisely Jf
Dom (/) will be the domain of definition of a function /
The mam result of this section is the following
2 1 THEOREM If°Uisa neighbourhood ofX, in £2( T2-N), small enough, no vector
field Yell has closed orbits
To state Proposition 2 2, which is a fundamental step in the proof of Theorem 2 1,
we shall use the following definitions
Let A and B be the transversal edges of aflowbox of 9 Suppose that the foliation
goes from A to B We say that Yedi2(T2-J/) properly connects A with B if there
is a homotopy of open segments A(f), t e [0,1], contained in T2 — (Au B) such that

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512 C Gutierrez

For all t e [0,1], X(t) connects A and B Moreover, A(0) (resp A(l)) is an arc of
trajectory of X (resp of V) going from A to B
The order of the integers determines in a natural way the order ' < ' of the connected
components of Jf Given neN and a neighbourhood °U of Y in £ 2 (T 2 -«V), we say
ffcaf Y is in $fn(<%), if Ye °U and any pair of consecutive connected components
h~1(m)<h'l(aj) of Jf, such that -qnsi<j<qn, are properly connected by V
2 2 PROPOSITION TTiere exists a natural number n such that if % is a neighbourhood
of X in X2(T2-Jf), small enough, and Ye% then Ye^n{°U) Moreover for all
fc > n, any Z e 3Vk(1l) - ^ffc+1(%) has no closed orbits
Using this proposition, the proof of which is outlined in 2 8 but done in § 4, we
shall proceed to give the proof of Theorem 2 1 The following will be needed
||x|| = Infp£Z |x + p|, where xeU In this way ||x|| defines a metric on R/Z
R^ R/Z -» R/Z will be the geometrical rotation x->x + o-
I{x, y) and I[x, y] will be the open and closed subintervals of R/Z - {5}, respectively,
with endpoints x and y
°U will be a neighbourhood of X in the Whitney C 2 -topology
Q(i) will be h'l{(\i\/i){qM)o-), when 1 # 0 and Q(0) = h~\0)
@t(A, B) will be a flow box of & having A and B as transversal edges and such
that the foliation goes from A to B
2 3 LEMMA [La] If | q | > 0 is an integer such that \q\<qn+i, then \\qa\\ > \\qno~\
Conversely, i / n > l , qn+i is the smallest positive integer such that \\qn+1cr\\<\\qn(T\\
Using this lemma and the fact that Y is semiconjugate to /?CT we conclude that
2 4 COROLLARY Given a natural number n > 3, the union ofh~l(I[0, qncr]) and the
arc of trajectory of !F joining Oe Q(0) and Q(n) contains a simple closed curve F n
which is uniquely determined Also F n is non-null homotopic and so T2-Tn is an open
annulus
We can introduce the following notation
Kn R2 —{0}-» T 2 will be the covering map such that Tn, as in corollary above, is
covered by closed curves going around the origin and the circle C transversal to 8F
is covered by 'radial' curves starting at the origin See figure 2 1

FIGURE 2 1

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 A counter-example to a C2 closing lemma 513

<£„ will be the union of cn and the two connected components of K ^ ' ( 5 8 ( Q ( 0 ) , Q(n))
that meet cn, where cn is the closure of a connected component of K^ ! (r 2 —Tn) and
Yn is as in the corollary above Observe that cn is a fundamental domain See, in
figure 2 2 n, the compact annulus <&„

Q(n-l)

<?("-5)

FIGURE 2 2 n

The proof of the following lemma will be given in § 3

2 5 LEMMA The annulus %„ is - up to a homeomorphism - that of figure 22 n In
this figure, the shaded strips are formed by ^ n n K ; ' ( 3 ( Q ( - n - l ) , Q(n + l))), also,
the segments that meet transversally these shaded strips are contained in K ' ^
2 6 Remarks If % is small enough and Ye % then
(1) It will be seen in Lemma 4 2 that there exists an oriented continuous foliation
3*Y defined everywhere on T2, tangent to Y and of class C 2 when restricted to
T2-{endpoints of Q(0)} Moreover, the forward Poincare map U = UY C^C
induced by 9>Y is defined everywhere
(2) If r e 5Jffc(%), for somefe,there is a fundamental domain D of <k R 2 -{0}-»T 2
whose boundary is determined by the union of /i~'(/[0, q^Y), N'<"> S8(<?(0), Q(k))
and a selection of the minimal number of arcs of trajectory that are needed to
connect all consecutive connected components of jVnS8(Q(0), Q(k)) See figure
23fe

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514

i y

(3(0)

FIGURE 2 3 n

Now we can show the following

2 7 Proof of Theorem 2 1 It follows from Proposition 2 2, that for Ye^li to have
closed orbits it will be necessary that, for all k> n, Ye SVk(°U) However, we claim
that
(1) If Ye 9?k(°U), for some k, any closed orbit of Y meets C at least qk times
In fact, Kfc'(C) n ^ has qk connected components because, by Lemma 2 3, 53((?(O),
Q(fc)) n C does so By the remarks in 2 6 and since Ye dKk{aU), any closed trajectory
of Y has to meet these qk connected components
Therefore, it follows from the claim (1) above that Y cannot have closed orbits
We observe that the tables above contain the notation needed for the precise
statements of the results of the next sections that are used in 2 8 below
2 8 Outline of the proof of Proposition 2 2 Certainly, given n e N, if °IL is small
enough, Ye3€n(^l) Moreover, the example has been constructed so that the proof
of Lemma 2 2 is the same for all given k. The required topological and metric
symmetries are provided by Lemmas 2 5 and 4 3, respectively Roughly speaking
Lemma 4 3 says that
(1) When k is large, %k is very thin Also, the shaded strips of figure 2 2 k are
much thicker than the strips in between them
The C2-topology is only needed in Lemma 4 2 This lemma is put together with (1),
and the remarks of 2 6 so that somewhere, as suggested in figure 2 3 k, there must
be trajectories of Y e °U. - the dotted curves y and A in that figure - that block any
possibility of having closed orbits These trajectories y and A appear near to and
as a consequence of the consecutive connected components of
(-Jk-1), Q(k))u®(Q(k), Q(fc+l)))njV

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 A counter-example to a C2 closing lemma 515

that (by the assumption that Y e 2ifk('%)-3(fk+1((%)) are not properly connected
by Y
29 Outline of the proof of Theorem A We construct a vector field X on T2-Q(0)
so that if B is a small neighbourhood of a connected component of JV, then the
phase portrait of X\B is that of figure 5 1 Away from a small neighbourhood of
Jf-Q(0) in T2- Q(0) the phase portraits of X and X are the same Moreover all
singularities of X are hyperbolic
Following basically the same argument as that of the proof of Theorem 2 1, we
can find a neighbourhood of X, in T2 - Q{0), made up of vector fields (with
singularities but) without closed orbits From this point it is not difficult to prove
Theorem A when the manifold is the torus T2

3 The golden mean

We shall recall some properties of the golden mean a The proofs of these facts can
be found in [Cx] or, in the more general context of continued fractions, in [Her,
Ch V], [La] and [SI]
3 1 LEMMA Let R/Z - {5} be provided with the orientation induced by that of U For
all n>2, the elements of the sequence {q,o-} are ordered in the oriented interval
'. - {5} as in figure 3 1

(q2n-, )a 2{q2n+,)a (q2n + ,)cr 0 {q2n)<J 2(q2n)a (q2n-2W

FIGURE 3 1

3 2 LEMMA For all n>\, the intervals {(7?o.)J(/[0, qncr])\0^J <qn+i} and
c
{(/?o.)' (/[0, (qn+l)o-])\0 < k < qn} cover U/Z, and, moreover, their interiors arepairwise
disjoint
3 3 LEMMA The number a and the sequence {qn} satisfy the following properties
(1) For all n> 1, \\qn<r\\/\\qH^tr\\=<r
(11) For all M > 6, qn > n +1
As a direct consequence of this lemma, we have that
3 4 LEMMA LetRtrn I(-qna, qno-)-> I(-qna, qna) be the map induced by Ra, that
is, R<7tn(x) = y if for some positive integer j , (Ra)J(x) = y and (/? o .) k (x) does not
belong to I(-qn<r, qna), for 1 < k <j
Then /?„.„ is a piecewise orientation preserving isometry that satisfies the following
(1) Its graph is that of figure 3 2, in particular,
Kn(I(0, -qncr)) = 7(0, qna), / ^ . ( / [ O , -qn+la]) = 7[0, qn+la]
and
R^n(H-qn+io; qna)) = (qncr, qn+1(r)
(11) Up to re-scaling, via the linear map x-* -ax, the maps R^n and R^n+1 are the
same, for all n> 1

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516 C Gutierrez

- * ••

FIGURE 3 2

3 5 Proof of Lemma 2 5 It follows from Lemmas 2 3 and 3 1 that the two connected
components of K~\C)nc€n meeting Q(0) are precisely h~l(I[qna, qn-ta-]) and
l
h~ (I[0, qn-2<r]) and, moreover, that these components meet 53(Q( — n — 1),
Q(n + 1)) a s m figure 2 2 n Since qn-2+qn-i = qn, ®(Q(-n + l), Q(0)) meets these
components at Q(O) and Q(-n + l) only and so it is localized as in figure 2 2 n
With these type of arguments, the proof of the lemma can easily be completed

4 Proof of Proposition 2 2
To prove this proposition we shall need some lemmas
41 LEMMA Let a e (0,5) Then

0=O(a) = 3 + - ^—2
I—a —a
Proof First we shall prove that

In fact, let u = £ a" = 1/(1 - a) By induction we may easily see that, for all n e N,
qn < 2" Therefore S is absolutely convergent and it can be re-written as

= u + ua2S
This implies that S = 1 / ( 1 - a -a2) The lemma follows immediately because

Although the proof of next lemma is contained in the proofs of Lemmas 5 2 and
5 3, part (1) will be proved now
42 LEMMA Let e = 0 1 If°llis small enough and Ye% then
(1) there exists an oriented continuous foliation 9Y defined everywhere on T2,
tangent to Y and of class C2 when restricted to T2 — {endpoints ofh'1^)}
(11) Let U =UY C -* C be the forward Poincare map induced by 2FY and neN
For all points p, q, s, t belonging to a connected component of Dom ([/„) of length
less than 2~", the following is satisfied
:U«)(p)-(UnKq)\\ \\(Un)(s)-(Un)(t)\\
\\p-q\\ \\*-t\\

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 A counter-example to a C2 closing lemma 517

where 5 e { - l , l } , D= C - ( S p (D s )uSp (D_28)), Un is either (Us\6)n or

(Y"s) c us o ( [/*|D)""', and Sp (D6k), wrtfcfcE {1,2}, is the union ofU^iSik-1 +
<7n)o-)|neN-{0,1,2}} and {x\Yk'\x) is an endpoint of /T^O)}
Proof of (I) Let Lx be the unit tangent vector field to T2 - {endpoints of h~l(0)}
induced by 3? Let {V,},;,, be a locally finite open covering of T2~M and let {</>,}
be a smooth partition of unity strictly subordinate to {V,} The neighbourhood <%
has the form

where || ||2 is the uniform C2-norm on 3r(T 2 ) and {e,} is a sequence of positive
real numbers
Given V e t , we may define on T2 - {endpoints of /i
LO=LX and L, = £ 4>k(LY-Lx) + Lx,

where L y is the unit tangent vector field induced by Y and defined on T2 — Jf

Let W be an arbitrary open neighbourhood of {endpoints of /i~'(0)} Since the
support of \})k is contained in Vk, we may take the terms of the sequence {e,} so
small that

I
where || ||2 is also the uniform C -norm on the space of real valued C -maps on T
This implies that {L,} converges to a vector field LY of class C2 which, as each
L,, is defined on T2 - {endpoints of /i~'(0)} Certainly, LY restricted to T2-N is
precisely LY Under these conditions, it is easy to see that LY induces a foliation
$Y as required to prove part (1) of this lemma
43 LEMMA Gwenn>0, let^n = ||n"'(/(0, qno~))\\ Then, for all n > 1, fin = a""Vi,
and therefore,

Proof By the way that the length of the intervals h~l(io-), leZ, have been chosen
and the fact that Y is semi-conjugate to Ra, the lemma follows immediately from
Lemma 4 1 and the re-scahng property of Lemma 3 4
4 4 LEMMA / / % is small enough, then for all n>5 such that a"~ 6 <2 " and
((l + e) 2 /2)"<a 6 , where e =0 1 and a =0 01, any Ye 5ifn(%) - 9 C - , W has no
orbits
Proof We shall use the following notation Given x, y e C such that ||x - y | | < 0/2,
the subinterval of C having x and y as endpoints and such that its length is less
than 6/2, will be denoted by xy Let

A n2 = 3B(fc-1(/[0, - 9 B ( T ] ) , «^(/[0, qncr}))

A n3 = ^ ( ^ - ' ( / [ ( ^ . . V , -9n<7]), fc'
See these flow boxes in figure 4 1

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518 C Gutierrez
Q(n-l) Q(n-l)

Q(n-4) Q(n-5)

FIGURE 4 1

Since Y e"Xn(°H) it is easy to check that when either of the following two conditions
is satisfied the lemma is true
(11) Y\T*_ v- does not properly connect the transversal edges of A nl , or
(12) Y\ r2_^ does not properly connect either the transversal edges of An 2 or the
transversal edges of An 3
Since YeXn{<U)-Xn+iW),
(2) There are two consecutive connected components, aft, and aft,, of Jf which
belong to 38(<?(n), <?(n + l ) ) u S 8 ( Q ( - n - l ) , <?(-«)) that are not properly con-
nected by Y (At the moment, the index '7' is unnecessary but it will change with
the considerations just before (5), below)
This gives rise to the following three alternatives
(3) aft, and aft, are necessarily contained in one of the following flow boxes
whose union covers T2
(3 1) »(*- 1 (/(-(g n - 4 )<r, -2(<?n_4)cr), h~\l(0, -(9n_4)o-)))
(3 2) »(/r'(7(0, (qn-4)a)), h-\l((qn.A)a, 2(qn.4)a))
(3 3) ®{h-\l(0, -(q«-*)<r)), A"1(7(0, (gn-4)<r)))
If alternative (3 1) occurs, that is if a,^, and aft} are contained in theflowbox
®(h\l(-(qn_4)a, -2(qn.4)a), fc-1(7(0, -(«n_4)(r)))
of figure 4 2, then, by definition of N
(4) aft,, and a,ft, are also contained in the subinterval h^x{I[-{qT(Ti\,<[)))cr,
(qT(T(|,|)))o-]) of C, which crosses theflowbox
\K-(qn-4)<r, -2{qn_4)<r), h \

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 A counter-example to a C2 closing lemma 519

along global cross sections, determining a partition of it into sub-flow boxes The
flow box ^ ( a j b , , , axbu) of figure 4 2 is a typical sample of such sub-flow boxes,
moreover, by definition of Jf, for all 16 {1, 2, , 11}, the segments a,b, and a,b, of
figure 4 2 are consecutive connected components of N (l e holes of the punctured
torus)
Therefore, we may assume that djb} and a}b}, considered in (2), are contained in
the transversal edges of the flow box S8(a,b n , a,b n ) that was described in (4) By
letting j vary in the set {2, 3,6, 7}, we obtain all possibilities See figure 4 2

a2 ft. a fti
O(n + D
b2
a, ft:

ft,
a4 ^ at

\ . 1
ft4
a. ^ a,

ft, ft,
a.

a7 ft6

ft7
a,
0(n-3) 0(«-4)
ft8

a,

ft, ft,

a,.,
:
ft,o ft,o
V, <
Oil

Q(~n- (?(-« + 3)

FIGURE 4 2 See in figure 4 3 how this flow box is situated in

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520

FIGURE 4 3

Using the properties of X and Lemma 4 3, it is easy to check (5)-(7) below

if agbs<z®(Q(n-5), Q(n-4))-«?(«-5)u<?(n-4)),
||a2ft2|| = ||a 2 * 2 || = 11^3^3 II = || a3&3 II = HfleM = II 06*6 II = 1107*711 = || 07*7 II = «",
||o4fc4|| = ||aA|| = a-2, \\a5bs\\ = \\a5b5\\ = an~\
\\agb9\\ = \\a9b9\\ = a"~\ \\awb10\\ = ||a10*,oll = «"" 2
(6) For all 1 e{1,2, , 10}, ||b,a,+1|| = ||*,o,+i||
(7) ||6 4 a 5 ||<3a" , Z,^ 4 ||6,a1+,|| < « " + 1
+1

It follows from Lemma 3 2 and the definition of T(M) that

(8) Any arc of trajectory of M(a,bn, atbn) meets C at most n times
Now we shall prove that
(9) If (1 1) is not satisfied, then (12) is true In other words, when alternative
(3 1) occurs, the lemma is true
Since Ye $fn(<%), (9) implies that for Y to have closed orbits it is necessary that
Y properly connect both b,a4 with b,a4 and bsas with bsas This leads to some
possibilities all of which are similar to (10) below The argument is essentially the
same in all cases We shall only prove

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 A counter-example to a C2 closing lemma 521

(10) The assumption (2) is satisfied for j = 2, also, Ye °U properly connects b^a^
with b,a 4 by an arc of trajectory that joins b2d3 with b1a2, and moreover, Y properly
connects b6d7 with b6a7
First, we shall also assume that
(11) S8(a,fcu, a,b u ) does not meet either Q(n-4) or the transversal edges of A n ,
Under these conditions, we claim that
(12) If % is as in Lemma 4 2 then Y does not properly connect either fc9d10 with
M i o or b, o d u with b l o a u
In fact, Let U = UY C -» C and TT = nY d-ibu-* axbu be the forward Poincare maps
induced by Y Suppose that Uk = 77 Then there are points px e b2d3 ana< P2 e b~6dj
belonging to Dom (ir) and such that 7r(/>,)e b,a 2 and ir(p 2 )e b6a7 If we assume
that there exists p3eb9dt0 belonging to Dom (77), then iripj) belongs to b9a10
because, as Ye3€n(1l), any two consecutive connected components of Jf belonging
to either $l(d9bg, agbg) or 8ft(dl0bi0, awbw) are properly connected by Y
Before proceeding, observe that we may apply Lemma 4 2 to points of the interval
PxPi In fact, ||piP3|| < a " ~ 6 < 2 ~ " and, since Ye$fn(<%) and bxdu is contained in
(TTA) ' ( C - ( ( S p ( D , ) u S p (D_ 2 ))), we have that Pxp3 is contained in the domain
of definition of
( U\ l/->(C-((Sp (D,)wSp(D_2))))
Using (6), (7) and (8) and assuming that a8b8<= 38(Q(n-4), Q(n-3))-Q(n-4),
it can be seen that

\Plp2\\<4an+i + 2an + a"~

"~2+ a
a"~\

Therefore, as a = 0 01,

IIP.P2II 4'

\\P2P4
3
IK(PiMj>2)H \\n{p2)ir(p3)\\ a3 5
a
IIP.P2II HP2P3II 8
However, this last inequality is not possible by (8), by Lemma 4 2 and the assumptions
of this lemma Similarly, Y does not properly connect bio^n with biOan This proves
(12)
The assumption (11) is unnecessary For instance if 6,a,, meets Q(n—4), we
use Lemma 4 2 in the case that Un= [/„( Y) = Y ° ir~l This proves the lemma when
alternative 3 1 is satisfied Up to orientation of &, alternatives 3 1 and 3 2 are the
same (See figure 4 4) The proof of the lemma following alternative 3 3 is similar
to the case considered See figures 4 5 and 4 6
4 5 Proof of Proposition 2 2 It follows directly from Lemma 4 4

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522

Q(n-2)

Qin-3) (?(n-4) Q(n-5)

FIGURE 4 4

V-.,

Q(-n+4) Qi-n + 2) Q(~n) (?(0)

FIGURE 4 5 See infigure4 6 how this canonical rectangle is situated in

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 A counter-example to a C2 closing lemma 523

Q(n~2)

Q(n-3) Q(n-4) Q(n-5)

FIGURE 4 6

5 Proof of Theorem A
This section will be devoted to the proof of our main result which will be obtained
as a corollary of Theorem 5 1 below
A canonical rectangle of a flow Y on T2 will be a rectangle (closed disk) R such
that two of its opposite edges are arcs of trajectory of Y and its other two opposite
edges, transversal to Y, are one of entrance to R and the second of exit from R
To define the vector field X that appears in the statement of Theorem 5 1 and
for later use, we shall introduce the following notation
Y will be as in §2 with the following additional property For 8 e {1,-1},
(Y 6 )'| ( C -(D^D ( _ 2 5 1 ))= 1, where
Dsk, with ke{l,2} is the union of \J{Z(8(k-l + qn)o-)\n e^-{0,1,2}} and
{x\Yk~\x) is an endpoint of h~\0)}, and
2(0, with i e Z, is an open subinterval of C whose closure is contained in h~l(ia) -
{endpoints of h^(ia)} and ||/i"H'o-)|| - ||S(i)|| < j|^-H'cr)|j30
Jfsk, with 5 e {-1,1} and ke {1,2}, will be the union of all intervals E(5(fc-l + i)),
when i > 2 and X(Si) c: Jf Here Sk is the product of 8 times k
Sp(Aic), with 8e{-l, 1} and fce{l,2}, will be the union of all intervals h'\io-)
such that 1(i) is contained in Dsk
Sp(Nsk), with Se{-1,1} and fce{l,2}, will be the union of all intervals h~\ia)
such that S(i) is contained in Jfsk
X will be a smooth vector field on T2 such that
(1) X is transversal to C -{endpoints of /»"'(())}
(2) The forward Poincare map C -» C induced by X is a restriction of Y and its
domain of definition contains C - S p (J*fx u ^V,_2))

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524 C Gutierrez

(3) Given a connected component 2(i) of J V , U / ( _ 2 ) , there is a canonical

rectangle B, of X such that its transversal edges are the intervals h~\ia) and
h~1((i + l)cr), and the phase portrait of X\Bi is that of figure 5 1, where the four
singularities are hyperbolic, S(i) is contained in the stable manifold of the sink of
X\Bi, 2(i + 1) is contained in the unstable manifold of the source of X\Bi Observe
that one of the transversal edges of B, is a connected component of Sp (Jf, u .V(_n)

FIGURE 5 1

(4) Each B, contains a canonical rectangle B, such that the set of singularities
of X|Br and the transversal edge of B, meeting -A^U-A^-D are contained in B,
Moreover, the complement in T2 of any neighbourhood of {endpoints of ^"'(O)}
meets only finitely many J3,'s
(5) The only singularities of X that are not contained in the rectangles B, as
above are the endpoints of ^"'(0) See figure 5 2

1<
- - •
(0)
"V 7 •

r
y
FIGURE 5 2

The arguments of [Gu.l, Smoothing Theorem] imply the existence of such an X

Observe that (4) is possible because the connected components of *V, u.A"(_n
accumulate at {endpoints of /i~'(0)} only
5 1 THEOREM Let °IL be a neighbourhood of X in the Whitney C2-topology The
vector field X has non-trwial recurrent points Moreover, if°U is small enough, no vector
field belonging to °U has closed orbits
To prove Theorem 5 1, we shall need some lemmas and the following notation
H(e, Y), with £>0, will be the set of homeomorphisms U C -» C such that, for
8e{-l,l},
(1) Us restricted to C - ( [ / " 6 ( A ) u A) is of class C2, where A = {endpoints of

(2) (Y~5) ° Us is of class C 2 in the whole of C

(3) ||Y"d ° l / s - I d | | 2 < e , where Id is the identity map of C and is the
2
C -umform norm

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 A counter-example to a C2 closing lemma 525

5 2 LEMMA Let e = 0 1 and n e N - {0} Given UeE(e, Y), for all points p, q, s, t
belonging to a connected component of Dom ([/„) of length less than 2~", the following
is satisfied
\\(Un)(s)-(Un)(t)\\
\\p-q\\ \\s-t\\
where D = C - (Dg u D_2g) and Un is either (U 6 \ 6 ) n or (Y~s)° Us ° (U s \D)"" 1
Proof We shall prove this lemma only when 5 = 1 Since (Y~1|(C_(D_loD2>)'= 1 and
1/ e H(e, Y) we have that

Moreover, we shall show, by induction on n that if xe Dom (1/|D)", then

In fact, (a 1) follows directly from (1) Suppose that (a n) is valid Then, using (1)
)"(x)|<|([/")"(U(x))\ \(U'(x))2\ + \(U"Y(U(x))\ \U"(x)\

This finishes the proof of (a n), for all n

By the Mean Value Theorem and (a n), it follows that, given x, ye Dom [ U\D]">

The lemma follows immediately from this and the Mean Value Theorem
5 3 LEMMA Let e = 0 1 and A = {endpomts of ^"'(O)} If'U is small enough and
Ye% then
(C 1) Y is transversal to C — A and Y\T?_C is topologically equivalent to X\Tz_c
Also U{2(i) I I'l — 2} is contained in the stable manifold of the attractor ofY originating
from that of X having the same property
(C 2) Dom ((Y y ) s ) n Jfs is empty, where YY C -* C is the forward Poincare map
induced by Y
Moreover, given an arbitrary sequence {xk} of points of Spt-A^u
Sp (^"(-i)) — (^ViU ^"(-D) which meet, at most once, any given connected component
of Sp (^i)uSp (•//"(_,))-(./VjU ,//•(_,)), there exists L/eH(e, Y) such that
(C3) For all x e {xk}n Dom ((Y y ) 8 )nSp (JV8), U8(x) = ((YY)s)(x)
(C4) (Yj)5 and Us are equal when restricted to the set Dom((Y y ) 8 )-

Proof Given i e Z, write i= 2i if i >0, and i= -2i - 1 if i <0 Let {B,} and {B,} be
the sequences of canonical rectangles considered in the definition of X Let {V,},;,,
be a locally finite open covering of T2 - A such that
(1 1) Each B, is contained in V; and each B, is contained in Mt={J{Vj\j< i}
(1 2) Each B, is disjoint from L J { ^ | j > i} and each 6, is disjoint from U{VJ|j ^ i}

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526 C Gutierrez

(13) For all ieN-{0,1}, V,cM,-M,_ 2

(1 4) For all 1e N, there exist smooth closed curves A, and p, such that \,np, =
M,, T2- M, is the union of two disks each of which contains an endpoint of fc~'{0},
the boundary <9( T2 - M,), of T2 - M,, is equal to the closure of A, u p, - A, n p,, and
the flow enters T2 - M, through A, See figure 5 3
B,

/ "

1
1

E, X 7i
X T
r r i

1
y,
• '

FIGURE 5 3

Let || ||2 be a norm on £ 2 (T 2 ) compatible with its C2-topology When {e,} vanes
among all possible sequences of positive real numbers, a fundamental system of
neighbourhoods of X\T*_A in the Whitney C2-topology is the one formed by the
open sets
<%({£,}) = {YeZ2(T2-A)\ || Y|v,-X|v,||2<e,}
2
Let {<//, J T - A - » [ 0 , 1]} be a smooth partition of unity strictly subordinate to the
locally finite covering {V,} Given Ye I 2 (T 2 -A), we define

yo = X and Y,= S ipk(Y-X) + X

k=\

Let °U0 = <%({1,1, , 1 , }) Suppose inductively on n, that for 1 e {0,1, 2, , n},

there is a positive real number e,, with e o = l , such that if Ye°lln =
^({fii, £2, , £n, 1,1.1. }) and T, C-* C is the forward Poincare map induced
by Y,, then there exists a map U, C -» C, with t/0 = Y, defined everywhere and such
that
(2 1 /) Items (C 1) and (C 2) of this lemma are true for Y=Y, and Y y = T, Also
C/,eS(e,Y)
(2 2 1) If / < 1 and xe{x fc }nDom ( ( Y r ) s ) n S p (Jfs)n B} Then (l/,) s (x) =

(2 3 1) I f / > i , then (U,)s and (T,)s are equal when restricted to Dom ((T,)*)n
Sp (J{a)nBJ
(2 4 1) (T,)s and {U,)s are equal when restricted to the set

(2 5 0 ||Y"8o ([/,)»-Y-'o( t / i _ 1 )»|| 2 <-l I , where t/_ 1 =[/ 0 =

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 A counter-example to a C2 closing lemma 527

Let G be the canonical rectangle of Yn containing M n + 1 - M n _ , such that its

transversal edges £, (of entrance) and E, (of exit) are contained in C, and each
of its edges, which is an arc of trajectory of Yn, meets 3Mn_, exactly once See
figure 5 3 Let E2 = Cr^(T2-Mn_x)
Let us prove (2 1 n + l)-(2 5 n + 1) Since the support of Yn+X is contained in Vn+1,
(3) Yn+1 is a perturbation of Yn localized in Vn+X<=- Mn+1 — Mn_Y
It may or may not be that there exists B, contained in Vn+1 If so, it may or may
not happen that {xk} meets B, Since, by (1 2), Vn+X meets at most one term of {Bk},
this gives rise to a couple of cases, similar to (4) below, to be considered We shall
proceed studying only
(4) For some t, B, is contained in Vn+1, the transversal edges h\ta) and
h~l((t + l)(r) of B, are contained in £, and Sp (^V*-i), respectively, and {xk} meets
f T ' ( ( f + l ) o - ) - 2 ( f + l ) at x
It follows from (3) that e n+1 can be taken so small that items (C 1) and (C 4) of
this lemma are true when Y= Yn+l and Y y = Tn+X Also, Un+X can be defined to
be equal to Un in C - ( E , u E2) We shall only need to define both Un+1 and (Un+X)~1
at E2
It follows from (2 3 n) and (2 4 n) that (U n Y l and (Tn)~l are equal in an open
neighbourhood of h~\{t + l)cr)nDom((Tn)1) Therefore, using (1 1)-(1 3) and
(3), e n+1 > 0 can be chosen so small that (Un+X)~x can be defined in a neighbourhood
F { _ u of h~\(t+\)cr)c E2 so that
(5) The statements (2 2 n + l)-(2 5 n + 1) are true when (t/ n + 1 ) s and (T n + 1 ) s are
restricted to F s where F, = (t/ n )" 1 (F_,)c: £,
Let/ n A n + 1 -A" 1 ((t+l)o-)-»£ 1 (resp gB \n+1-h~*({t+ l)a)-* £,) be the back-
ward Poincare map induced by y n | G (resp V n+1 | G ) Certainly if en+1 is small enough,
gn is so close to /„ that by defining

and
Un
we have that
(6) The statements (2 2n + l)-(2 5 « + l) are true when (C/ n+1 ) s and (Tn+1)s are
restncted to Hs
With the same procedure, Un+1 is defined in E2 In this way we have defined
Un+i in the whole of C Conditions (2 3 n + 1) and (2 4 n + 1) ensure that l/ n+1 is
well defined
Under these conditions, it is easy to finish the proof of (2 1 n + 1)
This implies that {Y~x ° U,} converges to a C2 map that can be written as Y"1 ° U
and such that
(7) | | Y - S o [ / S - I d | | 2 < e ,
where Id = Y"1 ° Uo is the identity map of C and || ||2 is the C2 uniform norm
The lemma is proved
The order of the integers determines in a natural way the order ' < ' of the intervals
of the set {2(i)|ieZ} and, therefore, of the connected components of JV,U^V_, Let

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528 C Gutierrez

1(i) < 2(7) be a pair of consecutive connected components of Jf1uJf^1 Let Bh and
Bh be the elements of {Bk} containing 1(i) and 2(y), respectively We say that Ye %
weakly connects 2(i) with 2(7) if there is a homotopy of open segments \(t),
te[0,1], such that
For all fe[0,1], A(f) has both endpoints contained in B,tu BM Moreover,
A(0)(resp A(l)) is an arc of trajectory of X(resp of Y) going from its repelling
singularity contained in Bh to its attracting singularity contained in Bh
Given neH and Ye% we say that Y is in A(<%)n, if any pair Z(i)<1(j) of
consecutive connected components of Jft u JV_, , with — qn < 1 <j < qn, are weakly
connected by Y

55 LEMMA If °U is small enough then for any natural number n > 5 such that
6
a"~ <2~" and ((l + e)2/2)" < a6, where e=01 and a = 0 01, any Ye
A ( % ) n - A W n + 1 has no closed orbits
Proof Except for (12) of the proof of Lemma 4 4 - whose corresponding version
in this new case will be proved below - the same proof applies to this similar
case
Here 88(6, 0) will be the canonical rectangle of X with transversal edges 6 = dxbu
and 0 = a1bl We shall suppose the following
(1) The connected components ofJf, u Jf-t contained in 0 (resp 0) are the closed
intervals A,B, (resp A,B,), with i e { l , 2 , ,11}, that are distributed, along
0 (resp 0), according to the order <, as a, < A, < B, < b, (resp a, < A, < B, < b,)
(2) If Ye °U, then A2B2 and A2B2 are not weakly connected by Y Also Y, when
restricted to 58(<?, 0), connects B2A3 with B,A2 and B6A7 with B6A7
(3) 58(0, 0) does not meet either Q(n - 4 ) or the transversal edges of An ]
Under these conditions, we claim that
(4) If <% is small enough then Y\mige) does not connect either B9A10 with B9BW
or B10An with B,oAu
In fact, suppose that ( Y y f s ? <?-»0is the forward Poincare map induced by
Y Then there are points px e B2A3 and p2e B6A7 belonging to Dom (TT) and such
that Tr{p^)eBxA2 and ir(p2)e B6A7 If we assume that there exists p^eB9Aw
belonging to Dom (IT), then TT(/73) belongs to B9A10 because, as Ye A(%) n , any two
consecutive connected components of JV,U^V_! belonging to either S8(d9b9, a9fe9)
or 38(i3iob,o, al0b10) are weakly connected by Y
Let {xk} be the sequence formed by the points of the intersection of Sp (.#\)u
Sp (^V(_1))-(^V, U^V ( _D) and Ularcs of trajectory of Y connecting p, with TT(P,)|I =
1,2, 3} Certainly, {xk} meets, at most once, any given connected component of
Sp (.A"i) u Sp (JV ( _D) — (^Vj u ^V"(-i>) Therefore, corresponding to {xk}, we may con-
sider the map t / e S ( e , Y)of Lemma 5 3, that satisfies Uk(p,) = nip,), with 1 = 1,2,3
By (2) and the fact that Ye AC%)n, 0 is contained in the domain of definition of
(t/|i;-'(c-(D1wD_1)))'c Under these circumstances and because ||/>,p3|| < a"~ 6 <2~",
we may apply Lemma 5 2 to points of the interval pxp3 so as to obtain a contradiction
and prove (4) As we said, we carry out this last argument as in the proof of Lemma
4 4 Observe that, for all 1, ||/i"'(o-r)|| - | | 2 ( J ) | | IS negligible

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 A counter-example to a C2 closing lemma 529

5 6 Proof of Theorem 5 1 Let °li and n be as in Lemma 5 5 Let Y e

A(<%)n-A(%)n+! It follows from the last lemma, that for Ye°U to have closed
orbits it will be necessary that, for all k> n, Ye A(°U)k However if FeA(%) k , for
some k, any closed orbit of Y meets C at least qk times Therefore, Y cannot have
closed orbits
5 7 Proof of Theorem A In the following sequence of statements, we will use the
same pattern of arguments of the proof of Lemma 5 3, corresponding to the use of
a partition of unity
Let *• T2-» [0,1] be a smooth function which vanishes exactly at h~\0) Theorem
5 1 is also true for the vector field Z = ^X| T 2_ h -' ( 0 ) Letpe T 2 a n d H (T2-h~\0))^>
2
(T — {p}) be a smooth diffeomorphism The vector field WX can be constructed so
flat at the set of its singularities that the vector field H^Z extends smoothly to the
whole T2 and also, for some neighbourhood V of H%Z, H~\Y)^% where °U is
as in Theorem 5 1 This proves Theorem A when the manifold is the torus
Certainly the example can be embedded in any higher genus two-manifold Also,
the proof of the general case follows by taking the torus as a normally hyperbolic
attractor [H-P-S] of a smooth flow (on a higher dimensional manifold) that is a
gradient-like Morse-Smale vector field [Pa-Sm] away from this attractor This proves
Theorem A
The author acknowledges hospitality from CALTECH during the preparation of
this paper, and in particular wishes to thank A Katok for very helpful conversations
This work was partially supported by CNPq, Brazil Grant 20 062626/84-M

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