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# Host galaxies of 2MASS-selected QSOs to redshift 0.3 1footnote 11footnote 1Based on observations made with the Canada France Hawaii telescope, which is operated by NRC of Canada, CNRS of France, and the University of Hawaii.

## 1 Introduction

The 2MASS survey has produced a sample of AGN which are not the traditional blue-selected objects (see e.g. Warren, Hewett, and Foltz 2000). The candidates were selected for colours redder than most known AGN (J-K$`>`$2.0), and the sample does not include any previously known AGN. Spectroscopic follow-up of the candidates has selected those with AGN spectra, which have been measured for redshifts. The optical spectra were obtained with a variety of telescopes, including the Palomar 5m, Keck, Steward 2.3m, and MSSO 2.3m (Cutri et al 2000). The AGN were classified, using standard line width and line ratio criteria, into types 1 and 2 and LINERS. Type 1 requires line widths of 10000 km s-1; some have both narrow and broad line components, leading to classifications between 1 and 2.

A major question that arises is how these IR-selected AGN are related to the traditional blue-selected AGN. They may be dust-obscured versions of objects we are familiar with, or they may be a different population altogether. This paper describes a program to image low-redshift 2MASS AGN to compare their properties (in particular those of the host galaxies) with ‘normal’ AGN.

The sample chosen was the complete dataset of 2MASS-selected AGN with known redshift 0.3 or less, observable from the CFHT (declination between -30o and 60o). This list has 243 objects, with nuclear types well spread among types 1, 2, and LINERs. Radio fluxes at 1400 MHz from the FIRST and NVSS catalogues, within 1.5 and 3.0 arcsec, respectively, were noted as associated.

## 2 Observations

The observations were acquired as a CFHT ‘snapshot’ proposal, during the first semester of 2002. The list of 243 QSOs as described in the introduction, was used as the target list for 200-second integrations with the R-band filter and the CFHT 12K camera. The pixel sampling is 0.206”. In almost all cases, a second 200-second exposure was obtained at the same time, to enable cosmic-ray rejection. A total of 205 such exposures were taken, along with a smaller number of 5 or 20 second exposures (a default to enable photometric standards to be measured elsewhere in the large CFHT 12K camera field). The QSOs were placed in the same CCD and position for all observations, so the detector properties are very uniform. The observing logs contained notes on the photometric quality and other variables at the time of observation. As the observations were taken over many different nights, there is some variation of observing conditions, and we were careful to investigate the effects of these on the derived results. Figure 1 shows the principal observational variations in the database.

Most of the images have FWHM in the range 0.8” to 1.2”. While this is not exceptional, we find this range of image quality has little effect on our measured quantities. As we discuss, these ‘red’ QSOs have obscured nuclei, so that nuclear light is not dominant, and the host galaxies are large enough to be resolved. The lower panels in Figure 1 show the ranges of data properties that may affect the results: the dynamic range and limiting surface brightness depend on image quality, sky brightness, and the nuclear and host signals. As we note below, we measure host galaxies to an average radius of 8 arcsec, where very low surface brightness can be detected.

The objects imaged were chosen to fit the time of observation, without regard (or knowledge) of any property other than position in the sky. Data on about 90 objects were received, but some of these were obtained in poor conditions, and we discarded them. Our final set of objects with good data totals 76. Figures 2 and 3 show how these are distributed in redshift, magnitude, and nuclear spectral classification (as described in the introduction). We feel we have a good representative sample of the 2MASS low redshift AGN, in redshift, apparent magnitude, nuclear spectral classification, and also radio flux.

Table 1 lists the QSOs and their properties. The nuclear classification and magnitudes are from the 2MASS database, and we have added a column giving the radio power based on positional coincidence to within 2” in the NVSS and FIRST radio surveys. Other properties listed are from the new CFHT data.

## 3 Measurements

The QSOs are all imaged in the centre of one of the 2K x 4K CCDs in the camera, and all were identified unambiguously by comparison with the digitised sky survey images. Provided the two images of each field had comparable signal levels, sky brightness, and image FWHM, they were combined, with CR-rejection, before making further measurements. In a few cases only one image was useful.

The image processing was done using the tasks in IRAF/STSDAS. Several suitable stars were chosen to establish the PSF for each image. A PSF was generated by shifting and adding the images of the selected PSF stars. These had to be within a few arcmin of the QSO, to have similar signal levels, and to be free of blemishes or close companions.

In most cases, the host galaxies are well-resolved down to small radii (a few pixels), so that modelling and removing the PSF is not a critical step in the image analysis. However, in all cases, we generated and measured a set of PSF-subtracted images, using a range of PSF scale factors, and a few different positional shifts. The range of scale factors and PSF positions in each case was confined to those leaving a rising signal to the host galaxy nucleus, and the range of positional shifts until the central pixels showed a clear S-wave result due to misaligned peaks.

Using best-fit ellipses (the IRAF task ‘ellipse’), azimuthally averaged luminosity plots were generated from each PSF-subtracted image, and plotted as magnitudes against both radius and R1/4. These plots were used to choose the best fits to exponential or de Vaucouleurs law profiles, and hence derive the associated host galaxy signal. This standard process is straightforward and will clearly distinguish disk and spheroid type galaxies which are well-resolved and have no asymmetries or superposed companions in the line of sight. In a number of cases, we found this to be so. However, in most cases, there are asymmetries or nearby objects and there is no simple host morphology, or quantitative way to separate the nuclear and host galaxy fluxes. Figure 4 shows some examples of luminosity profiles, and model fits to the PSF-subtracted images.

In cases where the QSO images have nearby companions or bright knots that have no clear connection with the host galaxy, they were edited from the image before doing the PSF-subtraction and profile-fitting, in order to look for an exponential or de Vaucouleurs profile fit to the outer host galaxy. (In our final assessment of the host galaxies, the presence of these features in the original image was taken into account.) The overall host galaxy ‘type’ was quantified by measuring the best linear fit to the two types of plot. A clearly exponential profile is assigned a value 1.0, while a clearly spheroidal profile has value 2.0. In a number of cases, the profile was clearly one or the other, but had regions of poor fit. These were regarded as ‘disturbed’ disks or spheroids, and given values between 1 and 2, depending on the length of the profile lying outside the linear fit. A number of plots had different regions of good fit to the different profiles, (usually resembling an inner bulge and outer disk structure), and these were given values of 1.3 to 1.7, depending on the relative lengths of the two regions of linear fit in the profiles. Finally, there were many host galaxies that are very irregular or asymmetrical, and show no regions of linear fits in any plots. Usually, these are clearly merging or tidally disturbed galaxies, and they are given host type values of 3.0.

The ellipse task generates formal errors on the signal values for each ‘radius’ (semi-major axis values), which become larger as the outer profiles disappear into the image sky noise. The sky value was determined as the median value from 1-2 arcmin around the QSO. However, the presence of faint background galaxies makes this uncertain over a small range, and we adjusted the sky value by small amounts to maximise the radial extent of the linear fits through the well-determined inner regions of the host galaxies. This exercise allowed us to note the lowest signal value that was not affected by uncertainties in the sky value. This lowest signal was noted in each case, and used to determine the dynamic range of each image, and the limiting surface brightness for each object. We also noted the eccentricity of the fitted ellipse to the isophote at this lowest level, as a measure of the overall circularity of the host galaxy.

The photometric calibration was derived from standard star observations taken as part of the service observing. All signals were converted to magnitudes, and the calibration is expected to be good to within 0.1mag. The B and R magnitudes listed are from the USNOA-2.0 catalogue, which has systematic errors for extended objects, as it uses a diameter-magnitude calibration for stars. Our R-band magnitudes are fainter than these by an average that runs from 0.3 at (our) magnitude 18, to 1.4 at magnitude 15. The B-R values are likely to be about right, since the USNOA systematic errors will cancel. We consulted the CFHT ‘skyprobe’ monitor data for the times of our observations and noted those where ‘variable absorption’ was measured. With the exception of a few objects, the plot of our magnitudes against those from the USNOA have the same scatter ($`\pm `$0.3m) for good and variable nights. We thus adopt this value as the presumed accuracy of our magnitudes. Where we have separated the nuclear and host galaxy magnitudes, the differences (or nuclear/host ratios) do not depend on the photometric accuracy of the images.

For each best-fit profile model, we looked at the range of PSF scale factors within which the fit does not change significantly (in terms of residuals from linear fits). This yields an error bar for the host galaxy flux, and hence the ratio of nuclear to host flux (hereafter N/H). Another estimate of robustness of host galaxy fluxes is comparison of the values for best-fit exponential and spheroidal models, to see how model-dependent the numbers are. In all cases, a best overall gradient for an exponential fit was recorded, to provide a rough number describing the scale length of the host galaxy structure.

In general, the host galaxies were detected to radii of 40-50 pixels, or 8-10 arcsec. Thus, they are all large and well-resolved, even with the poorest image quality in the dataset (see Figures 1 and 4). At these radii, we reach limiting surface brightness values near 27 magnitudes per square arcsecond in many cases. Our host galaxy fluxes are estimated to be correct to within 0.3 magnitudes for all objects selected for this paper.

Three of the QSOs have high N/H ratios, more like those typical of blue-selected QSOs. The host galaxy properties are less reliable for these. We discuss them in more detail below.

For all host galaxies, we have assigned an ‘interaction level’ index from 0 to 3. This is an attempt to quantify merging and tidal disturbances that have been associated with triggering of nuclear activity in many types of AGN. Level 3 indicates large-scale and clear tidal disturbance, while level 0 indicates a symmetrical and undisturbed morphology. Other indicators in between include very asymmetrical arms, knots with connecting luminous bridges to the main galaxy, an off-centred nucleus, outer arcs, a warped disk, or nuclear jet-like features. This index was estimated independently by the two principal authors, with a high degree of agreement. Figures 5 and 6 illustrate some examples of interaction levels 1 through 3. In three cases, the merging event is so extreme that we did not attempt to measure the host and nuclear magnitudes, or fit ellipses to the images.

Table 1 shows all the measured quantities for the 76 QSOs in the sample. In addition to the quantities discussed above, we have given absolute R magnitudes for the whole object, and the host galaxy for the different fitted models. These are based on H0=70, and no k-corrections have been applied.

## 4 Selection effects

We expect some selection effects in a flux-limited sample spanning a redshift range of a factor more than 4. We expect that the higher redshift host galaxies will be less well resolved: however, the plot of N/H flux ratio against redshift shows no real trend (see Figure 7). The least-resolved objects are not at the highest redshift, and plots of N/H against image FWHM or the limiting signal show that these quantites dominate over redshift in determining the resolved fraction. Thus, the random mix of image quality removes almost all of the redshift bias in the resolved fraction of the total QSO light. We also note that the least resolved QSOs have good to average image FWHM, so the measurements do not appear to be biased by image quality either.

The host galaxy scale length in arcsec generally decreases with increasing redshift, and the scale lengths in rest-frame Kpc are similar at all redshifts in our range. The host galaxy contour ellipticities have an upper envelope decreasing with increasing redshift (see Figure 7). This may be real (more distant hosts are more circular), or perhaps that we are seeing faint irregular outer structure in some nearby objects, and do not reach faint enough to see this at higher redshifts.

The mean and spread of redshift where we see the different interaction levels are very similar, so that we see no redshift bias in this quantity. We do see a systematic increase in mean redshift, moving from disk to mixed to spheroid morphology hosts. The irregular morphology hosts have a similar redshift distribution and average to the pure disk systems. The spheroid systems house more luminous QSOs, so that the connection with redshift is probably real, and is discussed below.

We also looked for trends connecting measured quantities with data quality values (FWHM, dynamic range, limiting surface brightness, sky brightness). None were found.

## 5 Null effects

Having found no significant sample or data-quality biases in the sample, we looked for trends and correlations among the QSO properties and our measured quantities. In the next section we discuss those that may be significant. However, it is also of interest to note where no correlation is seen, particularly where they might test a scenario or process.

The ellipticity of the host galaxies might be expected to correlate with the interaction level index, since interactions generally lead to strong deviations from circular symmetry. There is a wide range of overlap for all interaction levels, and while the mean ellipticity is lowest for the non-interacting de Vaucouleur-law hosts, and largest for the level 3 objects, the differences are not significant. This lack of significant correlation is presumably because the ellipticity is mainly a projection effect for any type of galaxy. Similarly, the ellipticity shows little trend with nuclear type: the type 1 objects have lower e values overall, possibly indicating they occur more in face-on disks. We also find no trends of the luminosity scale lengths with any other quantities.

Host morphology index has the same mean colour for all, again with large spread. The J-K/B-R plot shows no correlation or grouping, so the overall SEDs are presumably a complex mix of stars and dust.

Looking at the radio fluxes, we find no correlation with N/H ratio, nuclear spectral type, or host galaxy interaction level.

## 6 Trends and correlations

Our most important measured quantities are the fluxes and morphological classifications of the host galaxies. These are measured in various ways, and summarized in Table 1.

The overall ratio of nuclear flux to host galaxy flux is the simplest quantity, and the variation of this quantity with nuclear spectral classification is shown in Figure 8. The N/H flux ratio is highest for type 1s, and lowest for LINERs. This is in accordance with the orientation-bias assumed to explain the type 1-2 differences, and the lower nuclear luminosity of LINERs. Thus, the 2MASS sample seems normal in this respect. However, compared with ‘standard’ QSOs in this redshift range, the actual values of N/H are lower by several times, suggesting that the entire nuclear regions are surrounded by dust. The mean N/H from a sample of normal QSOs in this redshift range by Hutchings and Neff (1991) has a mean of 5, compared with a mean of 0.5 for the 2MASS sample. The overall absolute magnitudes show a similar result: a decline of 0.7 magnitudes from nuclear types 1 to 3, which is almost all in the nuclear flux - the host galaxy absolute magnitudes show little change along the sequence.

The N/H ratio also varies with interaction level index. Non-interacting hosts have the highest N/H ratio, but the highly interacting hosts have very similar values. The intermediate interaction level hosts show the lowest mean values and upper values, as shown in Figure 8. The N/H ratio also varies with overall colour (which is presumably linked to the interaction index). The sequence with interaction index is interesting: non-interacting and index value 2 objects have blue colours (both B-R=0.8) while the strongest interaction objects have B-R=1.2 and the mildest interactions are reddest at B-R=1.6. As the colours refer to host plus nucleus, this can be explained by sequences of nuclear dust-formation and clearing, and star-formation in more extended regions that are less dust-covered. We discuss this further in the next section. The envelope of B-R with N/H ratio shows that high ratios occur for the bluest colours, as we would expect for dust extinction as the cause of the red colour (Figure 8).

The QSO+host absolute magnitudes average at -22.5 in R, which is not particularly luminous. However, if we assume there is an average 2.5 magnitudes of extinction (by the comparison with blue-selected QSOs), the objects have absolute magnitudes averaging -25: i.e. fairly luminous QSOs with significant dust extinction. The distribution of N/H flux shows a clear boundary with B-R colour, also showing that the highest ratios are seen in the bluest objects in the sample. We attempted to make a correction for nuclear reddening based on overall B-R, and using our measured nucleus/host ratios, obtained estimates of the nuclear absolute magnitudes. These range from -19 to -27, with upper limit values dropping through nuclear types 1 through 3, as expected. However, as the colours are for the combined host and nucleus, this estimate has large uncertainties in individual objects. It is probably good for the average: nuclear MR -23.5 for type 1, -22.5 for types 2, and -21 for the LINERS. There is no correlation between host and the corrected nuclear absolute magnitudes. The host absolute magnitudes are more reliable as they generally dominate the overall flux, and are probably not heavily reddened outside the nucleus.

The host absolute magnitudes show a trend with nuclear type, as seen in Figure 9. These range over 0.7 magnitudes, but should be compared with a matched sample of AGN not selected by NIR properties. There is no correlation of host absolute magnitude with host morphological type, although the most luminous hosts are spheroidal. The host morphological type shows some correlation with radio power (see Figure 9), in which the spheroid-dominated galaxies are more radio-luminous by an order of magnitude than the disk systems. This follows the general wisdom that luminous radio sources reside in elliptical galaxies, although the radio luminosities here are not particularly high. The radio luminosities do not show any correlation with host or nuclear absolute magnitude, or B-R. Plots with K-band absolute magnitudes show very similar trends to those derived from our measured R band magnitudes, so are presumably not due to dust reddening effects.

## 7 Discussion

Our database provides a good measure of the properties of low redshift NIR-selected AGN. The investigation is primarily aimed at understanding whether this population is significantly different from the traditionally-selected AGN, based on blue colours and bright optical nuclei, or simply a dust-obscured subgroup of the general AGN population. While comparisons among AGN samples are always plagued by selection effects, we may make a few comparisons, and note the unusual properties of our sample, in addressing this issue.

In terms of known comparable objects from other catalogues, we note the following. Excluding LINERS (only 13% of the 2MASS sample), in the redshift and declination range studied, the 2MASS sample has 230 objects, the Hewitt-Burbidge (1993) catalogue 364, and the Veron-Veron (1998) catalogue 310. As noted in the introduction, there is no overlap between 2MASS and previously catalogued AGN. Thus, the 2MASS sample represents a major new population of low redshift AGN, comparable with the traditionally selected objects. Since spectroscopic verification of other candidates is incomplete, the population of red AGN is likely to be signficantly higher, and will be the subject of a separate paper.

The mean B-R colours are 1.1 for the 2MASS objects, compared with the (not well-established) value near 0.3 for standard AGN. Our N/H ratios average at 0.5 compared with 5.0 for standard AGN. These numbers indicate that the 2MASS AGN have nuclear extinction of an average factor close to 10 compared with standard AGN, if they are basically the same objects. The distribution of B-R falls rapidly above 1.5 so that it appears unlikely that there is a large population of even more dust-hidden AGN, obscured even at 2 microns.

The three QSOs with high N/H flux ratios (more typical of standard QSOs) are probably not typical of the 2MASS AGN. Two of them have very blue colours, and the third is very bright, where the catalogue magnitudes are least reliable (indeed our R magnitude suggests a bluer colour). One of them appears in standard QSO catalogues. We have ignored them in the overall discussion, although they are pointed out in some of the diagrams.

The host galaxies show a high degree of tidal interaction. 30% of the sample is highly interacting, and 71% have some sign of interaction. The numbers for standard AGN are not easy to compare because of the different data quality and samples in the literature. The sample of Hutchings and Neff (1992) of 28 objects, almost all of z less than 0.32, was taken with better optical resolution, and was able to detect more subtle signatures of interaction than we can in this paper. However, only 3 of these show marked signs of interaction, and another 8 moderate signs that we would find in the 2MASS sample data. However, they do find signs of old mergers and mergers with high mass ratios (13 and 10 in their sample, 5 in both classes). Thus, a comparison with low z QSOs (type 1 objects) indicates fractions of 11% and 39% in standard QSOs to compare with the 33% and 75% in the type 1 objects in the 2MASS sample.

Another comparison of interest is with IRAS-selected galaxies, not selected as housing AGN. A sample of 64 of these was investigated, also with the CFHT, by Hutchings and Neff (1991), and 43 of them do host AGN, from QSOs to LINERs. These are at much lower redshift (average z$``$0.06), but many of these galaxies are in major mergers, which would be very obvious even in blue QSO hosts at larger redshifts. The sample of 43 IRAS AGN has mean interaction strength and age in the middle of the range, with some 23% being weak or old interactions. These objects are more similar to the 2MASS AGN, than the traditionally-selected AGN, in terms of their interaction status.

A final comparison of interest is with an X-ray selected one, which may be free of the optical-IR biases (but may embody other biases such as orientation, and hard X-ray sensitivity). Schreier et al (2001) and Koekemoer et al (2002) discuss HST imaging of X-ray sources in the HDF-S field. Their study notes that the optically bright sources are red and consistent with dust obscured nuclei in merging galaxies, but at higher redshifts than the 2MASS sample. They also find a fainter population they speculate are type 2 AGN at much higher redshift. It is possible that the red QSO population dies beyond redshift 0.3. Deeper imaging of a larger sample would help expand this comparison.

In our profile-based classifications, only 27 of the sample of 76 (36%) clearly fit a simple standard galaxy model, about evenly split between disk and spheroid (12 and 15). Thus, the great majority of the 2MASS host galaxies are disturbed, by any measure.

It has been widely discussed (see e.g. Sanders and Mirabel 1996 and references therein, Hutchings and Neff 1991) that mergers often lead to accumulations of gas in the central regions of the galaxy, which triggers circumnuclear star-formation and possibly activates the central black hole(s). The circumnuclear starburst generates large amounts of dust, that obscure the central hot stars and AGN, and re-radiate in the IR. As the starburst dies down, the central dust clears, revealing the AGN, which continues to be fuelled until many of the initial events of the merger have died away. Many standard AGN are found in weakly interacting systems, where the initial mass ratio may be a few, rather than the massive mergers of equals we see in the IR-selected objects, again suggesting that the AGN fuelling is relatively long-lived and steady compared with the tidal disturbances and accompanying starbursts.

Thus, the 2MASS sample appears to bridge the gap between massive young mergers and minor mergers that do not produce massive starbursts and dust, while still fuelling an AGN. Given the low overlap with standard QSOs, it appears that these red QSOs are a significant population, at least at low redshift. There seems to be no reason to suppose they do not exist in higher redshift populations in the similar proportions.

The overall colour changes with our interaction index must indicate that age and strength of the interaction, and accompanying star-formation and nuclear extinction, all play a role in the overall colour. We note in this connection that intermediate interactions have relatively blue colours and lower luminosity AGN.

The host galaxy luminosities and other properties are typical of standard AGN, so that these objects do not appear to arise in a very different host galaxy population, or to have unusual nuclear properties.

There is a related study of 2MASS QSOs by Marble et al (2003), which uses HST snapshot images of 29 objects, of which 7 have redshifts above 0.3, which was done independently from ours. These images are measurable only to radii of 2 - 3 arcsec in most cases, and thus do not reveal the faint traces of interactions of the CFHT data. With this caveat, their results are in agreement with this paper.

## 8 Summary

Our investigation of the host galaxies of 2MASS-selected red AGN has the following principal conclusions.

1. The host galaxies have a 2 - 3 times higher fraction of obvious tidal interactions than matched samples of traditionally-selected AGN at the same redshift.

2. The luminosity profiles show that most (64%) of the host galaxies are not fit by a simple galaxy model.

3. The N/H ratio is 10 times lower than for traditionally-selected QSOs. This, and the average colour, indicates dust extinction of normally luminous nuclei.

4. The host galaxy properties are not otherwise unusual and do not suggest a different parent population.

5. Red QSOs form a major, previously unknown population of low-redshift AGN. The details of their nuclear triggering and fuelling may be different from traditionally-selected QSOs.

We thank the CFHT service observers, and Ann Gower for discussions and support of N. Maddox.

References

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Captions to figures

1. Distributions of data properties in sample. The dynamic range is from QSO nucleus to lowest contour used, and the limiting surface brightness measures this lower level.

2. Photometric properties of the observed sample (circled points) compared with entire 2MASS sample. The observed objects were selected to fit the service observing schedule and are well spread over the full sample. The sample is limited by K magnitude.

3. Distributions in redshift of the three nuclear spectral classifications. Apart from the lowest redshift objects (all class 1), the distributions sample the redshift range comparably. The dots indicate objects with known radio flux. These too are well distributed.

4. Illustrative luminosity profiles from the sample. The lines show the raw QSO and PSF, scaled to the same peak value. The dots and dashed lines are the best-fit PSF-subtracted profile, for exponential (left) and R1/4 models (right). The QSO names are truncations of the positions given in Table 1. 0411-01 is very irregular and does not fit either model. 1507-12 can be fit reasonably well by either model, while 0215-15 and 1221-11 fit only one model well.

5. Examples of highly interacting host galaxies. Clockwise from top left, the QSOs are 0411-01 (foreground star removed for profile fitting), 1001-05, 1521-11, 1006+07.

6. Examples of less interacting host galaxies: index 2 (top) and index 1 (bottom). Clockwise from top left: 1517+17 (highly asymmetrical galaxy with tidal arm); 1519+18 (double nucleus and asymmetrical halo); 1517-06; and 2124-17 (both lower ones have asymmetrical outer arms and shells).

7. Measured quantities as function of target redshift. Upper: the resolved fraction shows no change with z, and depends more on image resolution (see text). Lower: the outer host galaxy ellipticity may decrease with increasing redshift, as outer host galaxy structures become smaller and fainter.

8. Distributions of properties with ratio of nuclear to host (N/H) flux. Arrows indicate two extreme values which are off-scale. The dashed lines connect mean values (without the two extreme objects). Note the progression of nuclear dominance from type 1 to 2 to LINERS, and the lower nuclear dominance in mid-range interacting hosts. The upper envelope of B-R with nuclear dominance suggests that nuclear dust-obscuration is a major effect in the sample.

9. Upper: distributions of host absolute magnitude with nuclear spectral type. Note the progression in mean values from types 1 to 2 to LINERS, and the larger range in type 1 objects. Lower: radio power with host morphology type. Note the trend of higher radio power in the sequence from disk-dominated (type 1) to spheroid-dominated (type 2) host galaxy. Irregular (interacting) hosts fit the value for disturbed disks. Dashed lines connect the mean values for the groups.

| Table 1: 2MASS sample and measurements | | | | | | | | | | | | | | | |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| RA | Dec | Nuc | z | J,K,B,R | fwhm | QSO,host | host | range | limit | e | Mr | Int | n/h | scale | 20cm |
| (2000) | | type |  | (catalogue) | (”) | (mag) | type | (mag) | m/”2 |  | QSO | index |  | (m/kpc) | WHz |
| 2:15:38.40 | -15:10:12.4 | 1 | 0.211 | 14.6,12.4,15.4,15.3 | 1.3 | 15.5,16.1 | 2 | 10.4 | 27.0 | 0.1 | -24.3 | 0 | 0.70 | 0.2 |  |
| 2:21:50.60 | 13:27:41.0 | 2 | 0.140 | 15.6,13.2,18.9,16.4 | 1.5 | 16.6,16.7 | 3 | 6.8 | 26.5 | 0.4 | -22.3 | 3 | 0.06 | 0.3 | 22.7 |
| 2:26:50.25 | 13:43:38.7 | 1 | 0.194 | 15.8,13.8,19.9,17.0 | 1.4 | 17.5,17.7 | 1 | 5.6 | 25.1 | 0.3 | -22.2 | 1 | 0.24 | 0.3 |  |
| 2:31:01.74 | 14:26:24.2 | 1 | 0.259 | 16.2,14.0,19.6,18.0 | 1.4 | 17.8,18.1 | 1.7 | 7.5 | 27.4 | 0.2 | -22.6 | 1 | 0.29 | 0.2 |  |
| 2:48:07.37 | 14:59:57.7 | 1 | 0.072 | 14.8,12.7,14.5,13.1 | 2.0 | 15.2,15.3 | 1 | 7.3 | 25.8 | 0.0 | -22.1 | 2 | 0.15 | 0.3 |  |
| 3:06:52.43 | -5:31:56.4 | 1 | 0.126 | 15.2,12.9,16.6,15.9 | 2.5 | 16.3,16.5 | 3 | 5.9 | 25.5 | 0.2 | -22.4 | 1 | 0.21 | 0.3 |  |
| 3:12:31.03 | 7:06:55.0 | 1 | 0.145 | 15.5,13.4,18.1,16.0 | 2.4 | 16.9,17.1 | 1 | 5.5 | 25.6 | 0.5 | -22.1 | 1 | 0.18 | 0.2 |  |
| 3:13:02.25 | 21:07:14.5 | 3 | 0.094 | 15.8,13.8,17.9,16.9 | 1.0 | 17.0,17.1 | 1.3 | 5.2 | 25.3 | 0.3 | -20.7 | 3 | 0.03 | 0.4 | 22.9 |
| 4:00:19.77 | 5:02:14.6 | 2 | 0.187 | 14.8,12.7,17.0,16.0 | 1.0 | 17.8,18.3 | 1.5 | 8.3 | 27.0 | 0.2 | -21.9 | 3 | 0.54 | 0.2 | 23.5 |
| 4:09:24.86 | 7:58:56.1 | 1 | 0.091 | 14.9,12.7,17.4,16.2 | 1.2 | 16.5,17.0 | 2 | 9.1 | 26.7 | 0.3 | -21.3 | 3 | 0.61 | 0.4 |  |
| 4:11:26.47 | -1:18:05.6 | 3 | 0.139 | 16.7,14.5,18.2,16.2 | 0.8 | 17.8,17.9 | 3 | 6.3 | 25.7 | 0.5 | -21.1 | 3 | 0.14 | 0.3 |  |
| 4:22:56.57 | -18:54:42.1 | 1 | 0.064 | 13.8,11.6,13.6,13.7 | 1.4 | 15.3,15.7 | 1.5 | 9.9 | 27.0 | 0.2 | -22.0 | 2 | 0.47 | 0.7 | 22.1 |
| 4:35:22.56 | -6:35:26.1 | 1 | 0.185 | 15.3,13.3,16.8,16.1 | 1.0 | 16.5,17.0 | 1.3 | 7.9 | 25.3 | 0.3 | -23.1 | 3 | 0.49 | 0.2 |  |
| 4:36:48.40 | -11:23:55.9 | 1 | 0.208 | 15.9,13.7,16.5,16.2 | 1.2 | 17.3,17.7 | 2 | 7.5 | 25.9 | 0.1 | -22.5 | 0 | 0.50 | 0.3 |  |
| 4:47:47.62 | -16:49:34.7 | 1 | 0.199 | 15.8,13.7,18.0,16.1 | 1.0 | 17.3,17.5 | 1.5 | 7.4 | 26.5 | 0.0 | -22.3 | 3 | 0.14 | 0.3 |  |
| 5:04:25.68 | -19:09:25.4 | 2 | 0.138 | 15.6,13.5,16.4,15.9 | 1.1 | 16.9,17.1 | 1.5 | 6.5 | 25.6 | 0.3 | -22.0 | 1 | 0.16 | 0.3 | 23.7 |
| 8:16:52.26 | 42:58:29.4 | 1 | 0.235 | 15.8,13.7,17.3,17.5 | 1.0 | 16.9,20.0 | 1.5 | 9.2 | 26.3 | 0.1 | -23.3 | 0 | 17.0 | 0.1 |  |
| 8:19:09.03 | 34:19:31.3 | 3 | 0.228 | 16.6,14.6,19.5,18.0 | 0.9 | 18.1,18.2 | 3 | 7.0 | 27.0 | 0.5 | -22.0 | 3 | 0.10 | 0.2 |  |
| 8:56:32.98 | 59:57:46.7 | 1 | 0.283 | 16.0,14.0,16.7,16.5 | 1.2 | 16.5,19.3 | 1.2 | 6.0 | 27.4 | 0.1 | -24.1 | 2 | 12.2 | 0.2 |  |
| 8:59:21.28 | 59:48:20.7 | 2 | 0.280 | 16.4,13.8,19.2,17.8 | 1.2 | 18.3,18.5 | 1.8 | 7.0 | 27.5 | 0.1 | -22.3 | 2 | 0.20 | 0.2 |  |
| 9:01:51.18 | 34:57:24.1 | 1 | 0.274 | 16.3,14.2,18.1,17.1 | 1.1 | 17.5,18.0 | 1.5 | 7.1 | 25.8 | 0.2 | -23.0 | 0 | 0.60 | 0.3 |  |
| 9:08:37.68 | 34:24:54.2 | 3 | 0.202 | 16.1,13.9,19.5,17.7 | 0.9 | 18.1,18.2 | 1.5 | 7.3 | 27.0 | 0.3 | -21.6 | 1 | 0.14 | 0.4 |  |
| 9:10:00.75 | 33:48:09.2 | 2 | 0.178 | 16.6,14.3,18.7,17.7 | 1.3 | 17.8,18.0 | 1.5 | 7.6 | 27.0 | 0.1 | -21.7 | 0 | 0.22 | 0.5 | 23.1 |
| 10:01:18.15 | 41:04:13.2 | 3 | 0.143 | 16.2,14.2,16.3,15.7 | 1.2 | 16.9, – | 3 |  |  |  | -22.0 | 3 |  |  | 22.8 |
| 10:01:39.17 | -5:58:13.2 | 1 | 0.217 | 15.8,13.6,16.4,16.7 | 1.1 | 16.9,17.3 | 3 | 8.8 | 26.7 | 0.1 | -23.1 | 3 | 0.50 | 0.3 |  |
| 10:04:11.76 | 30:10:32.1 | 3 | 0.257 | 16.7,14.7,19.0,18.4 | 1.1 | 17.7,17.9 | 1.3 | 7.5 | 27.0 | 0.0 | -22.7 | 2 | 0.15 | 0.1 | 23.4 |
| 10:06:02.49 | 7:11:32.3 | 2 | 0.120 | 15.3,13.2,14.8,13.3 | 0.9 | 14.79, – | 1.3 |  |  |  |  | 3 |  |  | 23.0 |
| 10:06:57.84 | 41:04:06.6 | 1 | 0.089 | 15.8,13.8,16.9,15.9 | 1.0 | 16.5,16.9 | 3 | 8.0 | 25.7 | 0.2 | -21.2 | 3 | 0.40 | 0.4 |  |
| 10:10:34.28 | 37:25:14.8 | 1 | 0.283 | 16.1,13.8,19.0,17.7 | 1.0 | 17.9,18.4 | 2 | 8.3 | 26.7 | 0.3 | -22.6 | 1 | 0.53 | 0.2 |  |
| 10:13:28.87 | 32:40:10.2 | 1 | 0.287 | 16.8,14.7,17.9,17.5 | 1.1 | 18.0,18.4 | 1.5 | 7.7 | 27.0 | 0.1 | -22.6 | 1 | 0.38 | 0.3 |  |
| 10:14:00.48 | 19:46:14.4 | 1 | 0.110 | 14.4,12.4,16.5,14.0 | 1.1 | 15.6, – | 3 |  |  |  | -22.7 | 3 |  |  | 23.9 |
| 10:14:05.89 | 0:06:20.5 | 1 | 0.141 | 15.3,13.2,18.2,16.3 | 1.1 | 16.5,16.8 | 2 | 8.2 | 26.3 | 0.2 | -22.4 | 1 | 0.24 | 0.2 |  |
| 10:14:21.19 | 20:10:32.4 | 1 | 0.261 | 17.0,14.7,17.8,17.9 | 0.9 | 17.9,18.4 | 1.5 | 9.1 | 27.5 | 0.1 | -22.5 | 0 | 0.60 | 0.5 |  |
| 10:40:43.66 | 59:34:09.2 | 2 | 0.148 | 14.8,11.8,18.4,17.5 | 1.3 | 17.9,18.1 | 2 | 7.5 | 26.7 | 0.3 | -21.2 | 0 | 0.20 | 0.4 | 23.3 |
| 10:57:28.63 | -13:53:59.5 | 3 | 0.163 | 16.1,13.6,18.7,17.3 | 1.1 | 17.7,17.9 | 1.4 | 7.5 | 26.1 | 0.1 | -21.6 | 0 | 0.20 | 0.4 |  |
| 11:06:26.66 | -13:13:06.9 | 1 | 0.286 | 15.9,13.7,16.4,16.4 | 0.9 | 17.4,17.8 | 2 | 8.5 | 24.5 | 0.2 | -23.2 | 0 | 0.45 | 0.2 |  |
| 11:09:40.52 | -18:43:13.6 | 1 | 0.214 | 15.9,13.7,16.2,15.8 | 1.2 | 17.2,17.3 | 1.5 | 9.0 | 26.3 | 0.4 | -22.7 | 2 | 0.10 | 0.2 |  |
| 11:10:09.77 | 13:58:06.1 | 1 | 0.215 | 16.5,14.5,18.4,18.0 | 1.2 | 17.8,18.0 | 1.5 | 7.6 | 26.7 | 0.0 | -22.2 | 0 | 0.27 | 0.4 |  |
| 11:12:35.74 | 13:54:50.6 | 3 | 0.236 | 16.5,14.4,18.8,17.6 | 1.2 | 17.9,18.2 | 2 | 5.0 | 24.4 | 0.2 | -22.3 | 3 | 0.36 | 0.4 |  |
| 11:16:03.16 | 2:08:52.5 | 1 | 0.211 | 15.2,13.1,16.4,16.0 | 1.3 | 16.4,17.4 | 3 | 7.6 | 25.3 | 0.3 | -23.4 | 3 | 1.50 | 0.2 | 22.4 |
| 11:27:51.14 | 24:32:08.1 | 1 | 0.088 | 15.0,12.9,17.9,15.9 | 1.1 | 16.4,16.7 | 1 | 6.8 | 25.1 | 0.6 | -21.4 | 0 | 0.32 | 0.3 |  |
| 11:31:11.05 | 16:27:39.5 | 2 | 0.174 | 16.3,14.1,18.1,16.8 | 1.0 | 16.9,17.1 | 3 | 6.4 | 25.3 | 0.5 | -22.5 | 3 | 0.18 | 0.1 | 22.5 |
| 11:36:08.12 | 18:01:33.7 | 2 | 0.232 | 17.0,14.8,19.5,18.2 | 0.9 | 18.4,18.5 | 2 | 5.8 | 25.6 | 0.3 | -21.7 | 1 | 0.09 | 0.2 | 22.9 |
| 11:58:24.61 | -30:03:34.9 | 1 | 0.136 | 15.1,13.0,15.2,14.7 | 2.4 | 16.4,16.5 | 1 | 9.0 | 26.5 | 0.2 | -22.4 | 2 | 0.10 | 0.4 | 23.2 |
| 12:11:15.72 | -14:46:21.5 | 1 | 0.218 | 15.5,13.4,17.7,16.8 | 0.8 | 17.1,17.6 | 2 | 8.0 | 26.1 | 0.2 | -22.9 | 0 | 0.58 | 0.2 |  |
| 12:12:14.49 | -14:22:16.1 | 1 | 0.148 | 15.8,13.7,18.3,17.5 | 1.2 | 17.5,17.8 | 1.5 | 9.0 | 27.0 | 0.4 | -21.6 | 0 | 0.28 | 0.6 |  |
| 12:21:25.33 | -11:11:37.7 | 2 | 0.209 | 14.9,12.7,16.9,16.4 | 1.1 | 16.5,16.9 | 2 | 9.0 | 26.3 | 0.1 | -23.3 | 0 | 0.45 | 0.2 | 24.7 |
| 13:07:00.66 | 23:38:05.0 | 1 | 0.275 | 16.8,13.4,21.0,19.5 | 1.6 | 19.4,19.7 | 1.5 | 5.0 | 26.2 | 0.1 | -21.1 | 2 | 0.40 | 0.4 | 23.3 |
| 13:09:05.12 | 4:33:12.2 | 2 | 0.222 | 16.6,13.8,18.7,17.6 | 2.0 | 18.1,18.2 | 1.5 | 6.0 | 26.4 | 0.2 | -21.9 | 2 | 0.10 | 0.2 | 23.3 |
| 13:12:07.64 | -18:55:51.2 | 1 | 0.202 | 15.6,13.3,17.1,16.7 | 1.5 | 17.5,17.7 | 1.7 | 8.0 | 27.0 | 0.1 | -22.3 | 0 | 0.20 | 0.5 |  |
| 13:17:04.36 | -17:39:12.6 | 1 | 0.216 | 14.9,12.8,17.2,15.7 | 1.2 | 17.0,17.6 | 1.9 | 6.0 | 26.3 | 0.3 | -22.9 | 3 | 0.74 | 0.2 |  |

| Table 1, continued | | | | | | | | | | | | | | | |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| RA | Dec | Nuc | z | J,K,B,R | fwhm | QSO,host | host | range | limit | e | Mr | Int | n/h | scale | 20cm |
| (2000) | | type |  | (catalogue) | (”) | (mag) | type | (mag) | m/”2 |  | QSO | index |  | (m/kpc) | WHz |
| 13:21:39.08 | 13:42:30.4 | 3 | 0.199 | 17.0,14.9,20.4,18.5 | 1.5 | 18.6,18.8 | 1.2 | 7.0 | 27.0 | 0.1 | -21.2 | 0 | 0.20 | 0.4 | 21.8 |
| 13:23:14.70 | -2:19:02.0 | 1 | 0.160 | 15.0,12.8,16.9,16.2 | 1.5 | 16.6,16.9 | 1 | 9.0 | 27.4 | 0.2 | -22.6 | 3 | 0.32 | 0.3 | 21.6 |
| 13:29:17.52 | 12:13:40.6 | 1 | 0.203 | 16.1,14.1,18.7,17.5 | 1.6 | 18.9,19.4 | 1.5 | 3.9 | 24.3 | 0.2 | -20.8 | 0 | 0.52 | 0.4 |  |
| 13:38:45.30 | -4:38:53.0 | 1 | 0.163 | 15.6,13.6,16.9,16.5 | 1.5 | 16.5,17.0 | 2 | 6.0 | 25.8 | 0.1 | -22.8 | 0 | 0.58 | 0.3 | 22.5 |
| 14:07:37.48 | 42:56:16.3 | 2 | 0.118 | 15.4,13.1,17.2,15.5 | 1.3 | 16.8,16.8 | 3 | 6.7 | 25.8 | 0.3 | -21.9 | 3 | 0.13 | 0.3 | 23.0 |
| 14:17:58.24 | 36:07:41.5 | 1 | 0.212 | 16.1,13.9,17.0,16.3 | 1.0 | 16.6,17.0 | 3 | 8.7 | 26.5 | 0.1 | -23.2 | 3 | 0.42 | 0.2 |  |
| 14:48:19.38 | 44:32:32.7 | 1 | 0.080 | 14.2,12.2,16.1,13.1 | 1.0 | 14.0,15.1 | 1.5 | 7.5 | 25.0 | 0.3 | -22.7 | 1 | 0.14 | 0.3 | 22.5 |
| 14:56:08.60 | 38:00:38.6 | 1 | 0.283 | 16.5,14.1,16.2,16.0 | 0.9 | 16.8,17.3 | 2 | 7.5 | 24.9 | 0.1 | -23.8 | 1 | 0.61 | 0.1 |  |
| 15:01:13.19 | 23:29:08.2 | 1 | 0.258 | 15.9,13.5,19.3,17.2 | 1.9 | 17.4,17.6 | 1 | 9.0 | 27.4 | 0.4 | -22.9 | 1 | 0.20 | 0.2 | 23.4 |
| 15:04:20.74 | 11:52:55.4 | 3 | 0.171 | 16.7,15.0,19.5,17.4 | 2.1 | 17.8,17.8 | 1 | 5.5 | 26.7 | 0.6 | -21.6 | 1 | 0.10 | 0.2 | 21.6 |
| 15:07:06.36 | -12:25:15.9 | 1 | 0.185 | 15.3,12.6,18.2,17.1 | 1.6 | 17.1,17.7 | 1.5 | 8.0 | 27.5 | 0.3 | -22.5 | 2 | 0.64 | 0.3 |  |
| 15:10:43.47 | -17:35:39.2 | 1 | 0.151 | 15.9,13.9,17.9,16.9 | 2.0 | 17.5,17.7 | 1 | 7.5 | 27.4 | 0.4 | -21.6 | 1 | 0.20 | 0.3 |  |
| 15:13:25.89 | 46:54:07.9 | 1 | 0.199 | 14.9,12.8,16.6,16.2 | 1.1 | 16.5,17.5 | 1.5 | 9.0 | 25.9 | 0.2 | -23.2 | 0 | 1.40 | 0.5 | 22.5 |
| 15:16:53.24 | 19:00:48.4 | 1 | 0.190 | 13.5,11.4,15.8,14.5 | 1.0 | 14.9,17.1 | 3 | 8.0 | 26.7 | 0.2 | -24.8 | 3 | 6.60 | 0.2 | 21.7 |
| 15:17:30.26 | -6:33:06.2 | 1 | 0.128 | 15.8,13.7,17.0,16.3 | 1.1 | 17.0,17.4 | 1 | 7.0 | 26.3 | 0.1 | -21.7 | 1 | 0.45 | 0.5 | 22.2 |
| 15:17:53.38 | 17:58:44.1 | 2 | 0.163 | 16.5,14.6,18.6,17.3 | 1.7 | 17.2,17.3 | 3 | 7.5 | 27.3 | 0.2 | -22.1 | 2 | 0.10 | 0.5 | 21.6 |
| 15:19:01.50 | 18:38:04.9 | 1 | 0.187 | 16.4,14.3,18.9,17.5 | 1.1 | 17.5,17.6 | 1.8 | 8.0 | 26.2 | 0.3 | -22.2 | 2 | 0.10 | 0.2 | 21.7 |
| 15:21:38.06 | -11:59:43.8 | 1 | 0.153 | 15.6,13.6,18.2,17.3 | 0.9 | 17.4,18.0 | 1 | 8.5 | 27.0 | 0.3 | -21.8 | 0 | 0.74 | 0.5 |  |
| 15:21:51.07 | 22:51:20.8 | 1 | 0.287 | 16.6,14.3,20.5,18.0 | 1.6 | 18.3,18.4 | 3 | 4.5 | 26.6 | 0.2 | -22.3 | 3 | 0.10 | 0.1 | 23.5 |
| 15:33:49.87 | -3:30:34.7 | 1 | 0.142 | 15.9,13.9,17.7,17.6 | 1.2 | 18.0,18.3 | 1.5 | 7.0 | 26.9 | 0.2 | -20.9 | 0 | 0.21 | 0.2 | 21.5 |
| 15:36:03.17 | 8:01:41.5 | 3 | 0.120 | 16.1,13.9,16.6,16.0 | 1.2 | 17.3,17.4 | 1.2 | 8.0 | 27.3 | 0.3 | -21.3 | 3 | 0.10 | 0.4 | 21.3 |
| 15:45:16.89 | 38:15:39.3 | 3 | 0.292 | 16.6,14.1,19.4,18.5 | 1.2 | 18.3,18.6 | 1.5 | 6.9 | 26.6 | 0.1 | -22.3 | 1 | 0.3 | 0.30 | 23.1 |
| 15:46:53.53 | 54:57:06.7 | 2 | 0.107 | 15.5,13.4,17.1,15.8 | 1.3 | 16.5,16.7 | 3 | 7.1 | 25.6 | 0.2 | -21.8 | 0 | 0.26 | 0.4 | 23.5 |
| 16:37:36.52 | 25:43:02.8 | 2 | 0.277 | 16.5,14.2,19.4,18.3 | 1.5 | 18.3,18.9 | 2 | 6.3 | 25.8 | 0.3 | -22.2 | 2 | 0.64 | 0.1 | 23.3 |
| 21:24:41.63 | -17:44:45.8 | 1 | 0.112 | 13.8,11.4,14.4,13.8 | 1.2 | 15.3,16.0 | 1 | 8.0 | 26.4 | 0.1 | -23.1 | 1 | 0.90 | 0.4 | 23.3 |


format: text

text:
# Smooth Lyapunov 1-forms

## 1. Introduction

C. Conley  showed that any continuous flow $`\mathrm{\Phi }:X\times 𝐑X`$ on a compact metric space $`X`$ “decomposes” into a chain recurrent flow and a gradient-like flow. More precisely, he proved the existence of a continuous function $`L:X𝐑`$ which (i) decreases along any orbit of the flow in the complement $`XR`$ of the chain recurrent set $`RX`$ of $`\mathrm{\Phi }`$ and (ii) is constant on the connected components of $`R`$. Such a function $`L`$ is called a Lyapunov function for $`\mathrm{\Phi }`$. This existence result plays a fundamental role in Conley’s program of understanding general flows as collections of isolated invariant sets linked by heteroclinic orbits.

A more general notion of a Lyapunov 1-form was introduced in paper . Lyapunov 1-forms, compared to Lyapunov functions, allow to go one step further and to analyze the flow within the chain-recurrent set $`R`$ as well. Lyapunov 1-forms provide an important tool in applying methods of homotopy theory to dynamical systems. In the recent papers ,  a generalization of the Lusternik - Schnirelman theory was constructed which applies to flows admitting Lyapunov 1-forms.

The problem of existence of Lyapunov 1-forms was addressed in our recent preprint , where we worked in the category of compact metric spaces, continuous flows and continuous closed 1-forms. In the present paper we study the smooth version of the problem: we construct smooth Lyapunov 1-forms for smooth flows on smooth manifolds. We use Schwartzman’s asymptotic cycles to formulate a necessary condition for the existence of Lyapunov 1-forms in a given cohomology class. We also show that under an additional assumption this condition is equivalent to the homological condition introduced in our previous paper .

## 2. Definition

Let $`V`$ be a smooth vector field on a smooth manifold $`M`$. Assume that $`V`$ generates a continuous flow $`\mathrm{\Phi }:M\times 𝐑M`$ and $`YM`$ is a closed, flow-invariant subset.

###### Definition 1.

A smooth closed 1-form $`\omega `$ on $`M`$ is called a Lyapunov one-form for the pair $`(\mathrm{\Phi },Y)`$ if it has the following properties:

1. The function $`\iota _V(\omega )=\omega (V)`$ is negative on $`MY`$;
2. There exists a smooth function $`f:U𝐑`$ defined on an open neighborhood $`U`$ of $`Y`$ such that

$$\omega |_U=df\text{and}df|_Y=0.$$

The above definition is a modification of the notion of a Lyapunov 1-form introduced in section 6 of . The definition of  requires that $`Y`$ consists of finitely many points and the vector field $`V`$ is locally a gradient of $`\omega `$ with respect to a Riemannian metric.

Definition 1 can also be compared with the definition of a Lyapunov 1-form in the continuous setting which was introduced in . Condition ($`\mathrm{\Lambda }`$1) above is slightly stronger than condition (L1) of Definition 1 in . Condition ($`\mathrm{\Lambda }`$2) is similar to condition (L2) of Definition 1 from  although they are not equivalent.

There are several natural alternatives for condition ($`\mathrm{\Lambda }`$2). One of them is:

1. The 1-form $`\omega `$, viewed as a map $`\omega :MT^{}(M)`$, vanishes on $`Y`$.

It is clear that ($`\mathrm{\Lambda }2`$) implies ($`\mathrm{\Lambda }2^{}`$). We can show that the converse is true under some additional assumptions:

###### Lemma 1.

If the de Rham cohomology class $`\xi `$ of $`\omega `$ is integral, $`\xi =[\omega ]H^1(M;𝐙)`$, then the conditions ($`\mathrm{\Lambda }2^{}`$) and ($`\mathrm{\Lambda }2`$) are equivalent.

###### Proof.

Clearly we only need to show that ($`\mathrm{\Lambda }2^{}`$) implies ($`\mathrm{\Lambda }2`$). Since $`\xi `$ is integral there exists a smooth map $`\varphi :MS^1`$ such that $`\omega =\varphi ^{}(d\theta )`$, where $`d\theta `$ is the standard angular 1-form on the circle $`S^1`$. Let $`\alpha S^1`$ be a regular value of $`\varphi `$. Assuming that ($`\mathrm{\Lambda }2^{}`$) holds it then follows that $`U=M\varphi ^1(\alpha )`$ is an open neighborhood of $`Y`$. Clearly $`\omega |_U=df`$ where $`f:U𝐑`$ is a smooth function which is related to $`\varphi `$ by $`\varphi (x)=\mathrm{exp}(if(x))`$ for any $`xU`$. Hence ($`\mathrm{\Lambda }2`$) holds. ∎

###### Lemma 2.

The conditions ($`\mathrm{\Lambda }2^{}`$) and ($`\mathrm{\Lambda }2`$) are equivalent if $`Y`$ is an Euclidean Neighborhood Retract (ENR).

###### Proof.

Again, we only have to establish ($`\mathrm{\Lambda }2^{}`$) $``$ ($`\mathrm{\Lambda }2`$). Since $`Y`$ is an ENR it admits an open neighbourhood $`UM`$ such that the inclusion $`i_U:UM`$ is homotopic to $`i_Yr`$, where $`i_Y:YM`$ is the inclusion and $`r:UY`$ is a retraction (see , chapter 4, §8, Corollary 8.7). Pick a base point $`x_j`$ in every path-connected component $`U_j`$ of $`U`$ and define a smooth function $`f_j:U_j𝐑`$ by

$$f_j(x)=\underset{x_j}{\overset{x}{}}\omega ,xU_j.$$

The latter integral is independent of the choice of the integration path in $`U_j`$ connecting $`x_j`$ with $`x`$. This claim is equivalent to the vanishing of the integral $`_\gamma \omega `$ for any closed loop $`\gamma `$ lying in $`U`$. To show this we apply the retraction to see that $`\gamma `$ is homotopic in $`M`$ to the loop $`\gamma _1=r\gamma `$, which lies in $`Y`$; thus we obtain $`_\gamma \omega =_{\gamma _1}\omega =0`$ because of ($`\mathrm{\Lambda }2^{}`$). It is clear that the functions $`f_j`$ together determine a smooth function $`f:U𝐑`$ with $`df=\omega |_U`$. ∎

Our main goal in this paper is to find topological conditions which guarantee that for a given vector field $`V`$ on $`M`$ there exists a Lyapunov 1-form $`\omega `$ lying in a prescribed cohomology class $`\xi H^1(M;𝐑)`$.

## 3. Asymptotic cycles of Schwartzman

Let $`M`$ be a closed smooth manifold and let $`V`$ be a smooth vector field. Let $`\mathrm{\Phi }:M\times 𝐑M`$ be the flow generated by $`V`$.

Consider a Borel measure $`\mu `$ on $`M`$ which is invariant under $`\mathrm{\Phi }`$. According to S. Schwartzman , these data determine a real homology class

$$𝒜_\mu =𝒜_\mu (\mathrm{\Phi })H_1(M;𝐑)$$

called the asymptotic cycle of the flow $`\mathrm{\Phi }`$ corresponding to the measure $`\mu `$. The class $`𝒜_\mu `$ is defined as follows. For a de Rham cohomology class $`\xi H^1(M;𝐑)`$ the evaluation $`\xi ,𝒜_\mu 𝐑`$ is given by the integral

(3.1) $`\xi ,𝒜_\mu ={\displaystyle _M}\iota _V(\omega )𝑑\mu ,`$
where $`\omega `$ is a closed 1-form in the class $`\xi `$. Note that $`\xi ,𝒜_\mu `$ is well-defined, i.e. it depends only on the cohomology class $`\xi `$ of $`\omega `$, see , page 277. Indeed, replacing $`\omega `$ by $`\omega ^{}=\omega +df`$, where $`f:M𝐑`$ is a smooth function, the integral in (3.1) gets changed by the quantity

(3.2) $`{\displaystyle _M}V(f)𝑑\mu =\underset{s0}{lim}{\displaystyle \frac{1}{s}}{\displaystyle _M}\left\{f(xs)f(x)\right\}𝑑\mu (x).`$
Here $`V(f)`$ denotes the derivative of $`f`$ in the direction of the vector field $`V`$ and $`xs`$ stands for the flow $`\mathrm{\Phi }(x,s)`$ of the vector field $`V`$. Since the measure $`\mu `$ is flow invariant, the integral on the RHS of (3.2) vanishes for any $`f`$. It is clear that the RHS of (3.1) is a linear function of $`\xi H^1(M;𝐑)`$. Hence there exists a unique real homology class $`𝒜_\mu H_1(M;𝐑)`$ which satisfies (3.1) for all $`\xi H^1(M;𝐑)`$.

## 4. Necessary Conditions

We consider the flow $`\mathrm{\Phi }`$ as being fixed and we vary the invariant measure $`\mu `$. As the class $`𝒜_\mu H_1(M;𝐑)`$ depends linearly on $`\mu `$, the set of asymptotic cycles $`𝒜_\mu `$ corresponding to all $`\mathrm{\Phi }`$-invariant positive measures $`\mu `$ forms a convex cone in the vector space $`H_1(M;𝐑)`$.

###### Proposition 1.

Assume that there exists a Lyapunov 1-form for $`(\mathrm{\Phi },Y)`$ lying in a cohomology class $`\xi H^1(M;𝐑)`$. Then

(4.1) $`\xi ,𝒜_\mu \mathrm{\hspace{0.17em}0}`$
for any $`\mathrm{\Phi }`$-invariant positive Borel measure $`\mu `$ on $`M`$; equality in (4.1) takes place if and only if the complement of $`Y`$ has measure zero. Further, the restriction of $`\xi `$ to $`Y`$, viewed as a Čech cohomology class

$$\xi |_Y\stackrel{ˇ}{H}^1(Y;𝐑)$$

vanishes, $`\xi |_Y=0`$.

###### Proof.

Let $`\omega `$ be a Lyapunov one-form for $`(\mathrm{\Phi },Y)`$ lying in the class $`\xi `$. According to Definition 1, the function $`\iota _V(\omega )`$ is negative on $`MY`$ and vanishes on $`Y`$. We obtain that the integral

$$_M\iota _V(\omega )𝑑\mu =\xi ,𝒜_\mu $$

is nonpositive.

Assuming $`\mu (MY)>0`$, we find a compact $`KMY`$ with $`\mu (K)>0`$; this follows from the Theorem of Riesz - see e.g. , Theorem 2.3(iv), page 256. There is a constant $`ϵ>0`$ such that $`\iota _V(\omega )|_Kϵ`$. Therefore, one has

$$_M\iota _V(\omega )𝑑\mu ϵ\mu (K)<\mathrm{\hspace{0.17em}0}.$$

Hence, the value $`\xi ,𝒜_\mu `$ is strictly negative if the measure $`\mu `$ is not supported in $`Y`$.

To prove the second statement we observe (see ) that the Čech cohomology $`\stackrel{ˇ}{H}^1(Y;𝐑)`$ equals the direct limit of the singular cohomology

$$\stackrel{ˇ}{H}^1(Y;𝐑)=\underset{WY}{lim}H^1(W;𝐑),$$

where $`W`$ runs over open neighborhoods of $`Y`$. It is clear in view of condition ($`\mathrm{\Lambda }`$2) that $`\xi |_U=0H^1(U;𝐑)`$ (by the de Rham theorem). Hence the result follows. ∎

## 5. Chain-recurrent set $`R_\xi `$

Given a flow $`\mathrm{\Phi }`$, our aim is to construct a Lyapunov 1-form $`\omega `$ for a pair $`(\mathrm{\Phi },Y)`$ lying in a given cohomology class $`\xi H^1(M;𝐑)`$. A natural candidate for $`Y`$ is the subset $`R_\xi =R_\xi (\mathrm{\Phi })`$ of the chain-recurrent set $`R=R(\mathrm{\Phi })`$ which was defined in . For convenience of the reader we briefly recall the definition.

Fix a Riemannian metric on $`M`$ and denote by $`d`$ the corresponding distance function. Given any $`\delta >0`$, $`T>1`$, a $`(\delta ,T)`$-chain from $`xM`$ to $`yM`$ is a finite sequence $`x_0=x,x_1,\mathrm{},x_N=y`$ of points in $`M`$ and numbers $`t_1,\mathrm{},t_N𝐑`$ such that $`t_iT`$ and $`d(x_{i1}t_i,x_i)<\delta `$ for all $`1iN`$. Here we use the notation $`\mathrm{\Phi }(x,t)=xt`$. The chain recurrent set $`R=R(\mathrm{\Phi })`$ of the flow $`\mathrm{\Phi }`$ is defined as the set of all points $`xM`$ such that for any $`\delta >0`$ and $`T>1`$ there exists a $`(\delta ,T)`$-chain starting and ending at $`x`$. The chain recurrent set is closed and invariant under the flow.

Given a cohomology class $`\xi H^1(M;𝐑)`$ there is a natural covering space $`p_\xi :\stackrel{~}{M}_\xi M`$ associated with $`\xi `$. A closed loop $`\gamma :[0,1]M`$ lifts to a closed loop in $`\stackrel{~}{M}_\xi `$ if and only if the value of the cohomology class $`\xi `$ on the homology class $`[\gamma ]H_1(M;𝐙)`$ vanishes, $`\xi ,[\gamma ]=0`$. See .

The flow $`\mathrm{\Phi }`$ lifts uniquely to a flow $`\stackrel{~}{\mathrm{\Phi }}`$ on the covering $`\stackrel{~}{M}_\xi `$. Consider the chain recurrent set $`R(\stackrel{~}{\mathrm{\Phi }})\stackrel{~}{M}_\xi `$ of the lifted flow and denote by $`R_\xi =p_\xi (R(\stackrel{~}{\mathrm{\Phi }}))M`$ its projection onto $`M`$. The set $`R_\xi `$ is referred to as the chain recurrent set associated to the cohomology class $`\xi `$. It is clear that $`R_\xi `$ is a closed and $`\mathrm{\Phi }`$-invariant subset of $`R`$. We denote by $`C_\xi `$ the complement of $`R_\xi `$ in $`R`$,

$$C_\xi =RR_\xi .$$

A different definition of $`R_\xi `$ which does not use the covering space $`\stackrel{~}{M}_\xi `$ can be found in .

To state our main result we also need the following notion.

A $`(\delta ,T)`$-cycle of the flow $`\mathrm{\Phi }`$ is defined as a pair $`(x,t)`$, where $`xM`$ and $`t>T`$ such that $`d(x,xt)<\delta `$. If $`\delta `$ is small enough then any $`(\delta ,T)`$-cycle determines in a canonical way a unique homology class $`zH_1(M;𝐙)`$ which is represented by the flow trajectory from $`x`$ to $`xt`$ followed by a “short ”arc connecting $`xt`$ with $`x`$. See .

## 6. Theorem

###### Theorem 1.

Let $`V`$ be a smooth vector field on a smooth closed manifold $`M`$. Denote by $`\mathrm{\Phi }:M\times 𝐑M`$ the flow generated by $`V`$. Let $`\xi H^1(M;𝐑)`$ be a cohomology class such that the restriction $`\xi |_{R_\xi }`$, viewed as a Čech cohomology class $`\xi |_{R_\xi }\stackrel{ˇ}{H}^1(R_\xi ;𝐑)`$, vanishes. Then the following properties of $`\xi `$ are equivalent:

(I). There exists a smooth Lyapunov 1-form for $`(\mathrm{\Phi },R_\xi )`$ in the cohomology class $`\xi `$ and the subset $`C_\xi `$ is closed.

(II). For any Riemannian metric on $`M`$ there exist $`\delta >0`$ and $`T>1`$ such that the homology class $`zH_1(M;𝐙)`$ associated with an arbitrary $`(\delta ,T)`$-cycle $`(x,t)`$ of the flow, with $`xC_\xi `$, satisfies $`\xi ,z1`$.

(III). The subset $`C_\xi `$ is closed and there exists a constant $`\eta >0`$ such that for any $`\mathrm{\Phi }`$-invariant positive Borel measure $`\mu `$ on $`M`$ the asymptotic cycle $`𝒜_\mu =𝒜_\mu (\mathrm{\Phi })H_1(M;𝐑)`$ satisfies

(6.1) $`\xi ,𝒜_\mu \eta \mu (C_\xi ).`$
(IV). The subset $`C_\xi `$ is closed and for any $`\mathrm{\Phi }`$-invariant positive Borel measure $`\mu `$ on $`X`$ with $`\mu (C_\xi )>0`$, the asymptotic cycle $`𝒜_\mu =𝒜_\mu (\mathrm{\Phi })H_1(M;𝐑)`$ satisfies

(6.2) $`\xi ,𝒜_\mu <0.`$
The main point of this result is that it gives sufficient homological conditions for the existence of a Lyapunov 1-form in the cohomology class $`\xi `$.

Condition (6.1) can be reformulated using the notion of a quasi-regular point. Recall that $`xX`$ is a quasi-regular point of the flow $`\mathrm{\Phi }:X\times 𝐑X`$ if for any continuous function $`f:X𝐑`$ the limit

(6.3) $`\underset{t\mathrm{}}{lim}{\displaystyle \frac{1}{t}}{\displaystyle _0^t}f(xs)𝑑s`$
exists. It follows from the ergodic theorem that the subset $`QX`$ of all quasi-regular points has full measure with respect to any $`\mathrm{\Phi }`$-invariant positive Borel measure on $`X`$, see , page 106. From the Riesz representation theorem, see e.g. , page 256, one deduces that for any quasi-regular point $`xQ`$ there exists a unique positive flow-invariant Borel measure $`\mu _x`$ with $`\mu _x(X)=1`$ satisfying

(6.4) $`\underset{t\mathrm{}}{lim}{\displaystyle \frac{1}{t}}{\displaystyle _0^t}f(xs)𝑑s={\displaystyle _X}f𝑑\mu _x`$
for any continuous function $`f`$. We use below the well-known fact that any positive, $`\mathrm{\Phi }`$-invariant Borel measure $`\mu `$ with $`\mu (X)=1`$ belongs to the weak closure of the convex hull of the set of measures $`\mu _x`$, $`xQ`$, see , p. 108.

If the subset $`C_\xi X`$ is closed, and hence compact, one can apply the above mentioned facts to the restriction of the flow to $`C_\xi `$. Let $`\omega `$ be an arbitrary smooth closed 1-form lying in the cohomology class $`\xi `$. For any quasi-regular point $`xC_\xi `$ of the flow $`\mathrm{\Phi }|_{C_\xi }`$ one has

(6.5) $`\underset{t\mathrm{}}{lim}{\displaystyle \frac{1}{t}}{\displaystyle _x^{xt}}\omega =\underset{t\mathrm{}}{lim}{\displaystyle \frac{1}{t}}{\displaystyle _0^t}\iota _V(\omega )(xs)𝑑s=`$
$`={\displaystyle _M}\iota _V(\omega )𝑑\mu _x=\xi ,𝒜_{\mu _x}.`$
We therefore conclude that condition (III) is equivalent to:

$`(\mathrm{III}^{})`$ The subset $`C_\xi `$ is closed and there exists a constant $`\eta >0`$ such that for any quasi-regular point $`xC_\xi `$,

(6.6) $`\underset{t\mathrm{}}{lim}{\displaystyle \frac{1}{t}}{\displaystyle _x^{xt}}\omega \eta ,`$
where $`\omega `$ is an arbitrary closed 1-form in class $`\xi `$.

The value of the limit (6.6) is independent of the choice of a closed 1-form $`\omega `$; the only requirement is that $`\omega `$ lies in the cohomology class $`\xi `$.

In the special case $`\xi =0`$ the set $`C_\xi `$ is empty and $`R=R_\xi `$. The above statement then reduces to the following well-known theorem of C.Conley - see  and , Theorem 3.14:

###### Proposition 2.

(C. Conley) Let $`V`$ be a smooth vector field on a smooth closed manifold $`M`$. Denote by $`\mathrm{\Phi }:M\times 𝐑M`$ the flow generated by $`V`$ and by $`R`$ the chain recurrent set of $`\mathrm{\Phi }`$. Then there exists a smooth Lyapunov function $`L:M𝐑`$ for $`(\mathrm{\Phi },R)`$. This means that $`V(L)<0`$ on $`MR`$ and $`dL=0`$ pointwise on $`R`$.

Proposition 2 is used in the proof of Theorem 1.

As we could not find a proof of this statement in the literature we present one in the appendix.

## 7. Proof of Theorem 1

The implication (I) $``$ (II) follows from the proof of Proposition 4 in .

(II) $``$ (III) By , Theorem 2, the set $`C_\xi `$ is closed. Now we want to show that the inequality (6.2) is satisfied for any positive $`\mathrm{\Phi }`$-invariant Borel measure $`\mu `$ on $`X`$ with $`\mu (C_\xi )>0`$. Fix a closed 1-form $`\omega `$ in the cohomology class $`\xi `$. By Lemma 6 from , there exist constants $`\alpha >0`$ and $`\beta >0`$ such that for any $`xC_\xi `$ and $`t>0`$, one has

$$_x^{xt}\omega \alpha t+\beta .$$

Set $`t_0=2\beta /\alpha `$. Then for any $`xC_\xi `$ and $`tt_0`$ we have

(7.1) $`{\displaystyle \frac{1}{t}}{\displaystyle _x^{xt}}\omega {\displaystyle \frac{\alpha }{2}}.`$
With any quasi-regular point $`xC_\xi `$ one associates in a canonical way a positive $`\mathrm{\Phi }`$-invariant Borel measure $`\mu _x`$ on $`C_\xi `$, see above. It has the property that

(7.2) $`\underset{t\mathrm{}}{lim}{\displaystyle \frac{1}{t}}{\displaystyle _x^{xt}}\omega ={\displaystyle _M}\iota _V(\omega )𝑑\mu _x.`$
From (7.1) and (7.2) one obtains

(7.3) $`\xi ,𝒜_{\mu _x}{\displaystyle \frac{\alpha }{2}}<0`$
for any quasi-regular point $`xC_\xi `$. According to , page 108, any positive $`\mathrm{\Phi }`$-invariant Borel measure $`\mu `$ with $`\mu (M)=\mu (C_\xi )=1`$ belongs to the weak closure of the convex hull of the set of measures $`\{\mu _x;xC_\xi \text{is quasi-regular}\}`$; hence

(7.4) $`\xi ,𝒜_\mu {\displaystyle \frac{\alpha }{2}}<0.`$
It is well known that every (finite) positive $`\mathrm{\Phi }`$-invariant Borel measure is supported on $`R=R_\xi C_\xi `$, see e.g. , Proposition 4.1.18, page 141. As $`R_\xi `$ and $`C_\xi `$ are closed and flow-invariant we may write $`\mu =\mu _1+\mu _2`$ where $`\mu _1,\mu _2`$ are $`\mathrm{\Phi }`$-invariant and $`\mu _1`$ is supported on $`R_\xi `$, while $`\mu _2`$ is supported on $`C_\xi `$. It folllows from (7.4) that $`\xi ,𝒜_{\mu _2}\frac{\alpha }{2}\mu _2(C_\xi ).`$ Further, we claim that $`\xi ,𝒜_{\mu _1}=0`$ for the following reason. Since $`\xi |_{R_\xi }=0`$ (as a Čech cohomology class), for any smooth closed 1-form $`\omega `$ on $`M`$ representing $`\xi `$ there exists a smooth function $`f`$ defined on an open neighborhood of $`R_\xi `$ such that $`\omega =df`$ near $`R_\xi `$. Then we obtain

(7.5) $`\xi ,𝒜_{\mu _1}={\displaystyle _M}\iota _V(\omega )𝑑\mu _1={\displaystyle _{R_\xi }}\iota _V(\omega )𝑑\mu _1={\displaystyle _{R_\xi }}V(f)𝑑\mu _1=0.`$
The last equality holds since the measure $`\mu _1`$ is $`\mathrm{\Phi }`$-invariant (see e.g. , Theorem on page 277). Finally, as $`𝒜_\mu =𝒜_{\mu _1}+𝒜_{\mu _2}`$ we see that $`\xi ,𝒜_\mu \eta \mu (C_\xi )`$ with $`\eta =\alpha /2`$ which completes the proof of (II) $``$ (III).

The implication (III)$``$(VI) is obvious.

We are left to show the implication (IV) $``$ (I). Our argument uses the technique of Schwartzman . It is to show that under the conditions (IV) there exists a smooth Lyapunov 1-form for $`(\mathrm{\Phi },R_\xi )`$ in the class $`\xi `$. In a first step we prove that there exists a smooth, closed 1-form $`\omega _1`$ in the class $`\xi `$ so that $`\iota _V(\omega _1)<0`$ on $`C_\xi `$. To this end, denote by $`𝒟C^0(M)`$ the space of functions

$$𝒟=\{V(f);f:M𝐑\text{is smooth}\}$$

and by $`𝒞^{}`$ the convex cone in $`C^0(M)`$ consisting of all functions $`fC^0(M)`$ with

$$f(x)<0\text{for all}xC_\xi .$$

As $`C_\xi `$ is compact, the cone $`𝒞^{}`$ is open in the Banach space $`C^0(M)`$ of continuous functions on $`M`$, endowed with the usual supremum norm. Choose an arbitrary smooth, closed 1-form $`\omega `$ in the class $`\xi `$. Assume that $`𝒞^{}(\iota _V(\omega )+𝒟)=\mathrm{}.`$ It then follows from the Hahn - Banach Theorem (cf. , page 58) that there exists a continuous linear functional $`\mathrm{\Lambda }:C^0(M)𝐑`$ so that

$$\mathrm{\Lambda }|_{\iota _V(\omega )+𝒟}0\text{and}\mathrm{\Lambda }|_𝒞^{}<0.$$

Since $`\iota _V(\omega )+𝒟`$ is an affine subspace and $`\mathrm{\Lambda }`$ is bounded on it from below, we obtain that $`\mathrm{\Lambda }`$ restricted to $`𝒟`$ vanishes. According to the Riesz representation theorem (cf. ), there exists a Borel measure $`\mu `$ on $`M`$ so that

$$\mathrm{\Lambda }(f)=_Mf𝑑\mu $$

for any $`fC^0(M)`$. By Theorem , page 277, the condition $`\mathrm{\Lambda }|_𝒟=0`$ implies that $`\mu `$ is $`\mathrm{\Phi }`$-invariant. On the other hand, $`\mathrm{\Lambda }|_𝒞^{}<0`$ implies that $`\mu |_{C_\xi }>0`$.

Denote by $`\chi :M𝐑`$ the characteristic function of $`C_\xi `$ and let $`\nu =\chi \mu `$. As $`C_\xi `$ is $`\mathrm{\Phi }`$-invariant $`\nu `$ is a $`\mathrm{\Phi }`$-invariant Borel measure and (unlike, possibly, $`\mu `$) is positive. Note that $`\mu \nu `$ is a $`\mathrm{\Phi }`$-invariant Borel measure supported on $`R_\xi `$ (again using that any $`\mathrm{\Phi }`$-invariant measure is supported on $`R=R_\xi C_\xi `$). Thus, it follows from our assumption $`\xi |_{R_\xi }=0`$, by the same argument which led to (7.5), that

$$\xi ,𝒜_{\mu \nu }=0.$$

Since $`𝒜_{\mu \nu }=𝒜_\mu 𝒜_\nu `$ we find

$$\xi ,𝒜_\nu =\xi ,𝒜_\mu =_M\iota _V(\omega )𝑑\mu =\mathrm{\Lambda }(f)0$$

where $`f=\iota _V(\omega )`$, contradicting condition (IV). This means that the intersection $`𝒞^{}(\iota _V(\omega )+𝒟)`$ cannot be empty, i.e. there exists a smooth function $`g:M𝐑`$ so that the smooth closed 1-form $`\omega _1=\omega +dg`$ is in the class $`\xi `$ and satisfies

$$\iota _V(\omega _1)<0\text{on}C_\xi .$$

This completes the first step of the proof.

To finish the argument, we now adjust $`\omega _1`$ on the complement of $`C_\xi `$ so that the resulting form is a Lyapunov 1-form for $`(\mathrm{\Phi },R_\xi )`$. As $`\iota _V(\omega _1)<0`$ on $`C_\xi `$ and $`C_\xi `$ is compact, there is some open neighborhood $`W_1`$ of $`C_\xi `$ such that $`W_1R_\xi =\mathrm{}`$ and $`\iota _V(\omega _1)<0`$ on $`W_1`$. Since $`\xi |_{R_\xi }=0`$, there exists an open neighborhood $`W_2`$ of $`R_\xi `$ such that $`W_1W_2=\mathrm{}`$ and a smooth function $`g:M𝐑`$ such that $`\omega _{1|W_2}=dg`$ and $`dg|_{W_1}=0`$. By Proposition 2 there exists a smooth Lyapunov function $`L:M𝐑`$ for $`(\mathrm{\Phi },R)`$. Now consider

(7.6) $`\omega _2=\omega _1dg+\lambda dL,`$
where $`\lambda >0`$ remains to be chosen. Clearly, the form $`\omega _2`$ is smooth and closed and represents the class $`\xi `$. For any $`\lambda >0`$ it satisfies $`\omega _2|_{W_2}=d(\lambda L)`$, because $`\omega _1dg`$ vanishes on this set. In particular, $`\omega _2`$ has property ($`\mathrm{\Lambda }`$2) of a Lyapunov 1-form for the pair $`(\mathrm{\Phi },R_\xi )`$. Note also that for all positive $`\lambda `$ we have $`\iota _V(\omega _2)<0`$ on $`W_1`$ (by the construction of $`W_1`$) and on $`W_2R_\xi `$ because $`\omega _1dg`$ vanishes there, whereas $`V(L)<0`$. As the complement of $`W_1W_2`$ is compact and disjoint from $`R`$,

$$1<\lambda _0:=1+\underset{xW_1W_2}{sup}\frac{|\iota _V(\omega _1dg)|}{|V(L)|}<\mathrm{},$$

and $`\iota _V(\omega _2)<0`$ on $`MR_\xi `$ for all $`\lambda \lambda _0`$, showing that for such choices of $`\lambda `$ the form $`\omega _2`$ also has property ($`\mathrm{\Lambda }`$1) of a Lyapunov 1-form for $`(\mathrm{\Phi },R_\xi )`$. This completes the proof of the implication (IV) $``$ (I) and hence the proof of Theorem 1. ∎

## Appendix: Proof of Proposition 2

Recall from \[1, II 6.2.A\] the alternative characterization of the chain recurrent set $`R`$ as

$$R=\{AA^{}|(A,A^{})\text{ is an attractor-repeller pair}\}$$

Here a closed, flow-invariant subset $`AM`$ is called an attractor if it admits a neighborhood $`U`$ such that $`A`$ is the maximal flow-invariant subset in the closure of $`U[0,\mathrm{})`$. The dual repeller $`A^{}`$ is the set of all points $`xM`$ whose forward limit set is disjoint from $`A`$ (cf. \[1, II 5.1\]). Equivalently, $`(A,A^{})`$ is an attractor-repeller pair if and only if both $`A`$ and $`A^{}`$ are closed flow invariant subsets of $`M`$ and the forward (resp. backward) limit set of every point $`xAA^{}`$ is contained in $`A`$ (resp. $`A^{}`$) - see \[14, Prop. 1.4.\].

As $`M`$ is a closed manifold and hence separable, the number of distinct attractor-repeller pairs is at most countable (cf. \[1, II 6.4.A\]). Let $`\{(A_n,A_n^{})\}_{n1}`$ be some enumeration. For each $`n1`$, the construction of Robbin and Salamon (Prop. 1.4. of  and the remark following it) yields a smooth function $`f_n:M[0,1]`$ with $`f_n^1(0)=A_n`$, $`f_n^1(1)=A_n^{}`$ and $`df_n(V)<0`$ on the complement of $`A_nA_n^{}`$. Let $`c_n`$ be positive constants such that in a fixed finite atlas of charts all partial derivatives of $`f_n`$ of order $`n`$ are bounded pointwise in absolute value by $`c_n`$. Then

$$L(x):=\underset{n=1}{\overset{\mathrm{}}{}}\frac{f_n(x)}{2^nc_n}$$

is a smooth function having the required properties. In particular, as for any $`n1`$ the differential $`df_n`$ vanishes on $`A_nA_n^{}`$, the differential of $`L`$ vanishes on $`R`$. ∎


text:
# Direct Demonstration of the Anisotropic Origin of the Macroturbulent Instability in Type-II Superconductors

## Abstract

The physical nature of the macroturbulence in the vortex matter in YBCO superconductors is verified by means of magnetooptic study of the instability in a single crystal prepared specially for this purpose. The instability develops near those sample edges where the oppositely directed flow of vortices and antivortices, guided by twin boundaries, is characterized by the discontinuity of the tangential component of the hydrodynamic velocity. This fact directly indicates that the macroturbulence is analogous to the instability of fluid flow at a surface of a tangential velocity discontinuity in classical hydrodynamics, and is related to the anisotropic flux motion in the superconductor.

One of the most interesting and unexpected phenomena in vortex matter in type II superconductors has been discovered about ten years ago Vlasko-Vlasov et al. (1994); Indenbom et al. (1993); Frello et al. (1999). Using magneto-optical (MO) imaging technique, the turbulent instability of the vortex-antivortex interface has been observed in $`\mathrm{YBa}_2\mathrm{Cu}_3\mathrm{O}_{7\delta }`$ single crystals. When magnetic flux is trapped in the superconductor and a moderate field of opposite direction is subsequently applied, a boundary of zero flux density will separate regions containing flux and antiflux. In some temperature and magnetic field range such flux-antiflux distribution can display unstable behavior characterized by an irregular time-dependent propagation of the boundary, where finger-like patterns often develop. This behavior differs strongly from the predictions of the critical state model, or creep models, where only quasi-static, or slow and regular processes of flux redistribution can occur Bean (1962); Yeshurun et al. (1996).

The nature of this intriguing phenomenon remained unclear for a long time. Actually, only a few attempts to interpret the macroturbulent instability have been made. In Ref. Bass et al. (1998) the problem was formulated in terms of the hydrodynamic flow of vortex matter accompanied by a thermal wave generated by local release of heat due to vortex-antivortex annihilation. However, as was pointed out in Ref. prl , this mechanism is probably irrelevant since the condensation energy within the vortex cores is too small to give rise to a considerable overheating of the superconductor.

It is essential that the macroturbulence is observed only in $`\mathrm{YBa}_2\mathrm{Cu}_3\mathrm{O}_{7\delta }`$ single crystals placed in a magnetic field parallel to the crystallographic $`c`$-axis so that the velocity vector of the moving magnetic flux lies in the $`ab`$-plane. Specifically, the $`\mathrm{YBa}_2\mathrm{Cu}_3\mathrm{O}_{7\delta }`$ material is characterized by a pronounced anisotropy of its microstructure and of the physical properties in the $`ab`$-plane due to the existence of twin boundaries. In particular, the twin boundaries cause an anisotropic flow of the Abrikosov vortices under the action of the Lorentz force. According to a number of observations, the vortices move preferably along the twins, an effect often referred to as flux guided motion guid1 ; guid2 . The examination of the vortex–antivortex flow under conditions of the guiding effect prompted the authors of Ref. prl  to attribute the macroturbulent instability to the $`ab`$-plane anisotropy. They assumed an analogy in the physical nature of the macroturbulence with a kind of turbulence in the hydrodynamics of usual fluids. According to a classical paper of Helmholtz, the flow of two fluids becomes unstable near their interface and turbulence develops if there exists a discontinuity of the tangential components of their velocities (see, for example, Ref. Landau and Lifshits (1987)). Such a tangential discontinuity is present at the vortex-antivortex interface in twinned superconductors if the twin boundaries are inclined at an angle $`0<\theta <\pi /2`$ with respect to the direction of the Lorentz force. Indeed, the anisotropy gives rise to vortex motion with a velocity component normal to the Lorentz force. The vortices and antivortices are forced to move towards each other along the interface where the tangential component of the flux flow velocity is discontinuous. Note that the role of anisotropy in the development of different kinds of instabilities in superconductors was considered also by Gurevich Gurevich (1990, 1992). However, he did not study the problem of the stability of the vortex-antivortex system.

With the above-mentioned physical picture in mind, a simple hydrodynamic model was developed that takes into account the specific features of vortex and antivortex motion in anisotropic superconductors prl . To describe the anisotropic flux motion, a linear relationship between the Lorentz force and the vortex velocity with a symmetric tensor of viscosity was used. The ratio $`\epsilon <1`$ of the principal values of this tensor can be used to characterize the anisotropy. The analysis of the behavior of the vortex-antivortex system has shown that under certain conditions the flat interface separating the regions occupied by vortices and antivortices becomes unstable. The instability develops at relatively small values of the anisotropy parameter $`\epsilon <\epsilon _c1`$. It should be noted that the parameter $`\epsilon `$ describes the anisotropy of the viscosity coefficient, and is in general different from the critical current anisotropy of the superconductor. In order to express $`\epsilon `$ in terms of the current anisotropy one needs to use the real current-voltage characteristics (CVC) of the material. The linear relationship between vortex velocity and the Lorentz force used in Ref. prl  corresponds to having a linear CVC. However, a nonlinear CVC should be used for a more adequate approach to the problem.

The anisotropic power-law CVC in the form

$$J_X=\frac{1}{ϵ}J_c\left(\left|\frac{E_X}{E_0}\right|\right)^{1/m}\mathrm{sign}\left(\frac{E_X}{E_0}\right),$$

$$J_Y=J_c\left(\left|\frac{E_Y}{E_0}\right|\right)^{1/m}\mathrm{sign}\left(\frac{E_Y}{E_0}\right).$$
(1)
was exploited in Ref. jl  for the analysis of the macroturbulent instability. Here $`J_{X,Y}`$ and $`E_{X,Y}`$ are the current density and electric field components, $`J_c`$ is the critical current density defined as the value of $`J_Y`$ at $`E_Y=E_0`$ ($`E_0=1\mu `$V/cm is the usual criterion), $`ϵ<1`$ is the parameter of the current anisotropy, $`X`$ and $`Y`$ directions correspond to those along and across the twin boundaries (principal axes of the anisotropy). Typically, the parameter $`m`$ for YBCO single crystals is 10–20 or larger at temperatures $`T<5060`$ K. As it follows from Ref. jl , the instability occurs if $`m^2ϵ^m<\epsilon _c1`$. As a result, the macroturbulent instability can arise even for relatively low current anisotropy, $`ϵ0.3`$–0.5. The model developed in Refs. prl ; jl  allows one to describe the main features of the macroturbulent instability. In particular, it predicts a finite value of the wave number $`k`$ of the developed perturbations and a temperature window in which the macroturbulence can occur.

Thus, our previous studies prl ; jl  lead us to conclude that the macroturbulent instability arises due to the tangential discontinuity of the hydrodynamic velocity at the vortex-antivortex interface resulting from the guiding effect. Nevertheless, a certain dissatisfaction persisted since a direct experimental confirmation of this physical picture has not been obtained previously. In Ref. Frello et al. (1999) an attempt was made to detect effects of the sample properties (such as sample structure, size and geometry, current carrying capability) on the macroturbulent behavior of the vortex matter. Unfortunately, this study did not reveal direct correlations between the macroturbulence and these properties. A subsequent experimental study allowed us to conclude that the increase of the twin boundary density results in an extension of the temperature window in which the instability is observed prl . This result, although being in favor of the anisotropic origin of the macroturbulence, is insufficient as solid proof. This motivates the present study devoted to a direct experimental demonstration of the nature of the instability. The main idea of this paper is to study the behavior of the flux-antiflux interface in a crystal cut out in such a way that the anisotropy effects would be present near some edges of the sample and absent near others. To realize such an experiment, the sample was shaped into a triangular plate with one edge cut parallel to the twin boundaries. Hence, flux guiding and macroturbulence are not expected for the interface running along this edge, but should be present for the other edges.

The $`\mathrm{YBa}_2\mathrm{Cu}_3\mathrm{O}_{7\delta }`$ single crystals were grown using a technique described in Ref. grown . The crystals were synthesized from CuO, Y2O3, and BaCO3 powders of purity $`99.99`$ %. Powders containing the metallic elements Cu:Ba:Y in the ratio 73:24.5:1.5 were mixed and annealed in flowing oxygen at 1130 K for 4 days. The crystals were grown in a gold crucible, in the temperature range of 1130–1250 K, in the presence of a temperature gradient of 2–4 K/cm with the rate of temperature decrease of about 4 K/hour. This method allows us to produce crystals with dimensions up to $`5\times 5`$ mm2 parallel to the $`ab`$ plane and about 10–20 $`\mu `$m along the $`c`$ axis. The crystals were saturated with oxygen at a temperature of 700 K in an oxygen flow at ambient pressure for four days. Then, several crystals having large domains with aligned twin boundaries were chosen. After a selection of such domains, we prepared two samples and shaped them by laser cutting cut  into a nearly right-angled triangular plate. The polarized light microscope image of one of the samples is shown in Fig. 1. The size of the sample along the hypotenuse is about 1.1 mm. The crystallographic $`ab`$-plane coincides with the sample plane. It is clearly seen that the twin boundaries are directed along the hypotenuse. The twin spacing is approximately 2 $`\mu `$m. The critical temperature of the samples is 91 K and the width of the transition is about 0.3 K.

The study of the magnetic flux penetration and the macroturbulence was carried out by the conventional magnetooptic imaging technique Dorosinskii92 . The image in Fig. 2 demonstrates the distribution of trapped magnetic flux after cooling the sample down to 30 K in an external transverse magnetic field $`H=1`$ kOe, which was subsequently switched off. The brighter regions of the image correspond to higher values of the magnetic induction. The anisotropy of the field distribution is clearly seen, and one can evaluate the critical current density and its anisotropy using this image. The evaluation gives $`J_c`$ about $`10^5`$ A/cm2 for the critical current density along the twin boundaries. The anisotropy parameter (the ratio of the critical current densities across and along twins) $`ϵ`$ can be estimated using the geometrical construction shown in Fig. 2. According to the critical state model and current conservation law, one has

$$ϵ=\frac{\mathrm{sin}\alpha }{\mathrm{sin}\beta }=\frac{OB}{OA},$$

which amounts to 0.35 using the values of $`\alpha `$ and $`\beta `$ seen in the figure. Thus, this sample is suitable for testing the nature of the macroturbulent instability.

In order to search for macroturbulence, the sample was first cooled in a transverse magnetic field $`H`$. Then the field was abruptly reversed and MO images were recorded and analyzed. Various sample temperatures and reverse fields were used. The most pronounced unstable behavior was observed at $`H=1`$ kOe and $`T=30`$ K, and is illustrated by the series of MO images in Fig. 3. The manifestation of instability as seen through the oculars of the microscope can be described as follows. At first, a small-scale and fast ’trembling’ of the interface between flux and antiflux (the dark lines in the images) was observed. It is clearly seen from the images that the magnetic flux frozen in the central part of the sample disappears with time. Unfortunately, we are not able to illustrate this effect by a static photographs. Then, a bending and irregular motion of the interface deep into the sample occurred. However, we could not observe a very distinct fingering of the interface, as found in the classical observations Vlasko-Vlasov et al. (1994); Indenbom et al. (1993); Frello et al. (1999) of the phenomenon. On the other hand, previous studies unpub  have shown that lack of fingering is typical when the lateral dimensions of the sample are comparable to the spatial scale of the turbulent perturbations. Unfortunately, we could not at present produce larger samples with desirable geometry and with a single twin boundary orientation.

The images (a-d) in Fig. 3, obtained at 0.1, 0.2, 0.3 and 10 seconds after the field reversal, show the consecutive stages of the development of the instability. The key point here is to observe the significant difference in the interface geometry, and its motion away from the sample edges as function of time. First, one notes that except for the hypotenuse, the interface elsewhere is very sharply defined, a usual feature of turbulent behavior. Second, along the hypotenuse the interface remains essentially static whereas substantial motion takes place elsewhere, e.g. for the interface along the upper cathetus, where the velocity is estimated to 3 mm/sec at the initial stage of the development of the instability. Note that the fast change of interface position occurs after the field reversal, when the critical profile has been established, and can be interpreted as the development of the instability only. Unstable motion appears clearly also from the short edge in the lower left part of the crystal. Also along the left cathetus the interface moves, although with a slightly smaller velocity. We conclude therefore that we experimentally have found that macroturbulent instability occurs only along edges oriented with some angle $`\theta 0,\pi /2`$ with respect to the twin boundaries, i.e., where the guiding effect leads to the tangential discontinuity of the hydrodynamic vortex velocity. By performing MO imaging at different temperatures we found that the macroturbulent instability exists in the present sample in the temperature window of 15 K$`<T<45`$ K. The effect is well reproducible after several cycling magnetic field and temperature.

Thus, the present study can be considered as a crucial experiment for the ascertainment of the physical nature of the macroturbulent instability in type-II superconductors. The specific anisotropy for $`\mathrm{YBa}_2\mathrm{Cu}_3\mathrm{O}_{7\delta }`$ superconductors provides the guiding effect in the vortex motion. As a result, the discontinuity of the tangential component of the flux-line velocities appear at the vortex-antivortex interface. This leads to the development of the turbulence similar to the case of the classical dynamics of fluids.

We acknowledge C.J. van der Beek for preliminary measurements. This work is supported by INTAS (grant 02–2282), RFBR (grants 03-02-17169a, 03-02-16626a), Russian National Programm on Superconductivity (contract 40.012.1.1.11.46), and the Research Council of Norway.