text:
# Existence of perfect Morse functions on spaces with semi-free circle action.

## 1. Introduction.

It is well known that the classical results of Morse theory  do not directly generalize to the invariant case. In particular, a compact manifold with a compact group action does not necessarily have a Morse-Smale function, that is a Morse function for which stable and unstable manifolds intersect transversely. As a result, in the presence of a group action there is no guarantee of existence of perfect invariant Morse function for which Morse inequalities become equalities making the invariant Morse polynomial of the function equal to the invariant Poincare polynomial of the manifold.

At the same time, there are plenty of examples, many of which appear in symplectic geometry, of manifolds with groups actions which carry perfect invariant Morse functions. As shown by Atiyah and Bott  all compact symplectic manifolds with Hamiltonian torus action are equipped with perfect invariant Morse functions which arise as components of moment maps.

The existence of perfect Morse function is one of the many topological properties of Hamiltonian spaces for which it is natural to ask about generalization to non-Hamiltonian actions. Some of these properties, the Kirwan surjectivity theorem  and Jeffrey-Kirwan localization formula , have been studied by the author . It was shown that Jeffrey-Kirwan localization formula can be extended to the case of equivariantly formal torus actions, while Kirwan surjectivity theorem does not generalize to this case.

This paper, an attempt to generalize the existence of perfect invariant Morse functions to non-Hamiltonian actions, was motivated by the recent result of Hattori  and Tolman-Weitsman  on semi-free circle actions on symplectic manifolds. Tolman and Weitsman showed that every semi-free symplectic circle action on a compact symplectic manifold with finite nonempty fixed point set must be Hamiltonian and hence has a moment map, a perfect invariant Morse function.

Our main theorem generalizes the result to spaces with semi-free action whose equivariant cohomology is $``$-torsion-fee. For the definitions of all the terms used in the statement of the theorem see Section 2.

###### Theorem 1.1.

Let $`M`$ be a compact oriented simply-connected manifold with torsion-free semi-free circle action which has finitely many fixed points. Further assume $`dimM8`$. Then there exists a perfect invariant Morse-Smale function on $`M`$.

While the original motivation for this result comes from the symplectic geometry, the methods of proof are borrowed from the classical Morse theory, namely the ideas used in the proof of $`h`$-cobordism theorem in . The major ingredient in the proof is the new cancellation theorem (Theorem 2.2) which is similar to the The cancellation theorem supplies the tools for eliminating extra critical circles of invariant Morse functions.

The essential idea behind the cancellation theorem is illustrated Figure 1, where a critical circle of index $`1`$ is cancelled by increasing the index of a critical point from $`0`$ to $`2`$. The action of the circle on both pictures in Figure 1 is given by rotation around the vertical axis, while the Morse function is given by projection onto the same axis. In the first picture there are a critical point $`p`$ of index $`0`$ and a critical circle $`s`$ of index $`1`$, while in the second picture $`s`$ is eliminated by increasing the index of $`p`$ to $`2`$.

The paper is organized as follows. In Section 2 we provide basic definitions and notations, and state the main results of the paper. Section 3 contains the proof of existence of Morse-Smale functions on spaces with semi-free circle actions (Theorem 2.1). Section 4 provides the proof of cancellation theorem (Theorem 2.2). The connections between invariant Morse theory and equivariant cohomology are discussed in Section 5. Finally, the last section is concerned with the proof of Theorem 1.1, which boils down to eliminating critical circles using the cancellation theorem.

Let us make a comment about the presentation. Since Morse theory is a vast subject, we can not mention all contributors and refer to all known results. So, to make our presentation comprehensible, we quote mainly one source (the book of Milnor ). To shorten the presentation we often refer to certain statements or proofs in  and indicate the how to change them to produce analogous statements and proofs in the presence of the circle action.

## 2. Definitions and Main Results.

A smooth action of a circle $`S^1`$ on a manifold $`M`$ is called semi-free if the action is free outside the set of fixed points $`M^{S^1}`$. In this paper we always assume that the action of $`S^1`$ on $`M`$ is semi-free and there are finitely many fixed points of the action.

An important property of semi-free actions is that around every isolated fixed point $`p`$, there exists an open neighborhood $`U`$ of $`p`$ and an invariant diffeomorphism $`\varphi `$ between $`U`$ and an invariant open subset of $`^n`$, where $`S^1`$ acts on $`^n`$ with weight $`(1,\mathrm{},1)`$. We call $`(U,\varphi )`$ a standard chart at $`p`$. We will use both complex coordinates $`(z_1,\mathrm{},z_{2n})`$ and real coordinates $`(x_1,y_1,\mathrm{},x_{2n},y_{2n})`$ on $`^n=^{2n}`$ with $`z_i=x_i+\sqrt{1}y_i`$.

Let $`f:M^{2n}`$ be a smooth invariant function. Denote by $`Crit(f)`$ the set of critical points of $`f`$. Let $`Crit_c(f)`$ be the set of connected components of $`Crit(f)`$. Notice that all isolated fixed point of the action must be critical points of $`f`$.

A fixed point $`pM^{S^1}`$ is nondegenerate if the Hessian of $`f`$ at $`p`$ is nondegenerate. An invariant version of the Morse lemma says that for every nondegenerate fixed point there exists a standard chart $`(U,\varphi )`$ at $`p`$, so that on $`U`$

$$f=\varphi ^{}(f(p)|z_1|^2\mathrm{}|z_\lambda |^2+|z_{\lambda +1}|^2+\mathrm{}+|z_n|^2).$$

The chart $`(U,\varphi )`$ is called a standard chart of $`f`$ at $`p`$, the index $`\sigma (p)`$ of $`p`$ is set to be $`2\lambda `$.

A circle orbit $`sCrit(f)`$ will be called *a critical circle of $`f`$*. Choose an invariant neighborhood $`\stackrel{~}{U}`$ of $`s`$ on which $`S^1`$ acts freely and let $`\pi `$ be the map $`\stackrel{~}{U}\stackrel{~}{U}/S^1`$. Then $`s`$ is nondegenerate if the Hessian of $`\pi _{}(f)`$ is nondegenerate at $`s/S^1`$. The Morse lemma states that there exists an invariant neighborhood $`U\stackrel{~}{U}`$ of $`s`$ and coordinates $`(x_1,\mathrm{},x_{2n1})`$ on $`U/S^1`$, such that

$$f=\pi ^{}(f(p)x_1^2\mathrm{}x_\lambda ^2+x_{\lambda +1}^2+\mathrm{}+x_{2n1}^2).$$

We say that $`U`$ together with the coordinates $`x_1,\mathrm{},x_{2n1}`$ is a standard chart of $`f`$ at $`s`$. The index $`\sigma (s)`$ of $`s`$ is defined to be $`\lambda `$.

Define $`f`$ to be an invariant Morse function if each connected component of $`Crit(f)`$ is either a nondegenerate fixed point or a nondegenerate critical circle.

Assume $`f`$ is an invariant Morse function on $`M`$. An invariant vector field $`\xi `$ on $`M`$ is a gradient-like vector field if

1. $`\xi (f)<0`$ on $`MCrit(f)`$,
2. for every nondegenerate critical point $`p`$, there exists a standard chart $`(U,\varphi )`$ of $`f`$ at $`p`$, such that $`\xi `$ on $`U`$ has coordinates

$$(x_1,y_1,\mathrm{},x_\lambda ,y_\lambda ,x_{\lambda +1},y_{\lambda +1},\mathrm{},x_n,y_n).$$
3. for every nondegenerate critical circle $`s`$ there exists a standard chart of $`f`$ at $`s`$, such that the push forward vector field $`\pi _{}(\xi )`$ on $`U/S^1`$ has coordinates

$$(x_1,\mathrm{},x_\lambda ,x_{\lambda +1},\mathrm{},x_{2n1}).$$

A gradient-like vector field $`\xi `$ defines a smooth flow $`\varphi _\xi (t)`$ on $`M`$. For $`qCrit_c(f)`$ define

$$W_q^\pm =\{xM|\underset{t\pm \mathrm{}}{lim}\varphi _\xi (t)q\}$$

The manifold $`W_q^+`$ is the stable manifold of $`q`$, and $`W_q^{}`$ is the unstable manifolds of $`q`$. The tuple $`(f,\xi )`$ is called an invariant Morse-Smale function on $`M`$ if every stable manifold intersects every unstable manifolds transversely.

###### Theorem 2.1.

Every semi-free circle action on a compact manifold with isolated fixed points has an invariant Morse-Smale function.

The key step in the proof of our main result is a new cancellation theorem. To state it, let us introduce some notations. For a subset $`I`$ of $``$ and a submanifold $`N`$ of $`M`$, define $`N_I(f)=f^1(I)N`$. Whenever no confusion may arise, we will drop $`f`$ from the notation and set $`N_I=N_I(f)`$. For example, for $`a`$, $`W_{q,a}^+=W_q^+f^1(a)`$, $`W_{q,a}^{}=W_q^{}f^1((\mathrm{},a])`$, or for $`a<b`$, $`M_{[a,b]}=f^1([a,b])`$.

Assume $`V`$ is an oriented manifold with a free $`S^1`$ action, $`N,N^{}`$ are two submanifolds of $`V`$ which intersect transversely with $`dimN+dimN^{}=dimV+1`$, and $`N`$ and the normal bundle $`\nu (N^{})`$ are oriented. In Section 4 we define the intersection number $`NN^{}`$ by counting the number of circles in $`NN^{}`$ with appropriate signs. Orientations on $`N`$ and $`\nu (N)`$ are compatible with respect to an orientation on $`V`$, if at any point of $`N`$ a positively oriented frame on $`N`$ followed by a positively oriented frame on $`\nu (N)`$ gives a positively oriented frame on $`V`$. If the orientation on $`N`$ and $`\nu (N)`$ as well as on $`N^{}`$ and $`\nu (N^{})`$ are compatible to an orientation on $`V`$, then $`NN^{}=\pm N^{}N`$.

###### Theorem 2.2.

(The cancellation theorem.) Assume the action of $`S^1`$ on a compact manifold $`M`$ is semi-free and $`(f,\xi )`$ is an invariant Morse-Smale function on $`M`$. Assume $`a<b`$ and $`M_{(a,b)}`$ contains one fixed point $`p`$ of index $`\lambda `$ and one critical circle $`s`$ of index $`\lambda +1`$. Let $`f(p)<c<f(s)`$. Suppose $`V=M_c`$ is oriented and $`N=W_{p,c}^+`$, $`\nu (N)`$ as well as $`N^{}=W_{s,c}^{}`$, $`\nu (N^{})`$ are equipped with compatible orientations and $`NN^{}=\pm 1`$. Further assume that either $`dimM8`$, $`M_a/S^1`$ is simply-connected, and $`M_a`$ is connected; or $`\lambda =0`$; or $`\lambda =dimM2`$.

Then there exist a new invariant Morse function $`f^{}`$ and a new gradient-like vector field $`\xi ^{}`$ identical to $`(f,\xi )`$ outside $`M_{(a,b)}`$ such that $`M_{(a,b)}`$ contains no critical circles of $`f^{}`$ and the index of the fixed point $`p`$ is $`\lambda +2`$.

A circle action is *torsion-free* if the equivariant cohomology $`H_{S^1}^{}(M)=H_{S^1}^{}(M,)`$ is torsion-free as a $``$ module. For a torsion-free $`S^1`$ action define its *Poincare polynomial* by

$`𝒫_{S^1}(M)`$ $`=`$ $`{\displaystyle \underset{k_0}{}}dim(H_{S^1}^k(M))t^k.`$
For a fixed point point $`p`$ define $`(p)=\frac{t^{\sigma (p)}}{1t^2}`$, and for a critical circle $`s`$ set $`(s)=t^{\sigma (s)}`$. Define *the Morse polynomials* of an invariant Morse function $`f`$ by

$`_{S^1}(M,f)`$ $`=`$ $`{\displaystyle \underset{qCrit_c(f)}{}}(q).`$
An invariant Morse function is perfect if the Poincare and Morse polynomials are the same $`𝒫_{S^1}(M)=(M,f)`$. We have given all the definitions needed to state Theorem 1.1.

## 3. Existence of invariant Morse-Smale functions

We believe many results of this section are known to the experts in the field (see  for further references). We provide the proofs of these results for completeness.

###### Theorem 3.1.

Every semi-free circle action on a compact manifold with isolated fixed points has an invariant Morse function.

###### Proof.

Let $`M^{S^1}=\{p_1,\mathrm{},p_m\}`$. Around every fixed point $`p_i`$ there exists a standard coordinate chart $`(U_i,\varphi _i)`$. Without loss of generality, we can assume each $`U_i`$ is diffeomorphic to a unit ball $`B_1`$ inside of $`^n`$ and that $`U_i`$’s are pairwise disjoint.

Define $`f=\varphi _i^{}(|z|^2)`$ on every $`U_i`$. We want to extend $`f`$ to $`MU`$ , where $`U=_iU_i`$. The manifold $`X=(MU)/S^1`$ is compact and $`X=(\overline{U})/S^1`$. By \[8, Theorem 2.5\] there exists a Morse function $`h:(X,X)([1,\mathrm{}),1)`$. Denote by $`\pi `$ the projection $`MUX`$. Define $`f=\pi ^{}(h)`$ on $`MU`$. Then $`f`$ is smooth outside of $`\overline{U}`$.

To finish the proof use the following smoothing argument. Choose an invariant tubular neighborhood $`V`$ of $`\overline{U}`$ and identify it with $`(\epsilon ,\epsilon )\times \overline{U}`$. Let $`f^{}`$, $`f^+`$ be two smooth functions on $`V`$, such that $`f^{}(t,x)=f(t,x)`$ for $`(t,x)(\epsilon ,0)\times \overline{U}`$ and $`f^+(t,x)=f(t,x)`$ for $`(t,x)(0,\epsilon )\times \overline{U}`$. Without loss of generality, we can assume $`\frac{f^{}}{t}(t,x)>0`$ and $`\frac{f^+}{t}(t,x)>0`$ on $`V`$ and $`f^+(t,x)>f^{}(t,x)`$ for $`|t|>\epsilon /2`$. Let $`\mu (t)`$ be a smooth positive nondecreasing function, with $`\mu (t)=0`$, for $`t\epsilon `$; $`\mu (t)=1`$ for $`t\epsilon `$; and $`\mu (t)=\frac{1}{2}`$ for $`|t|<\epsilon /2`$. Change $`f`$ to $`\mu f^++(1\mu )f^{}`$ on $`V`$. Then $`f`$ is smooth on $`M`$. An easy computation shows that $`\frac{f}{t}>0`$ on $`V`$ which implies that this construction does not create new critical points of $`f`$. ∎

Every invariant Morse function together with an invariant gradient-like vector field on a manifold with isolated fixed points defines a partial order on $`Crit_c(f)`$ as follows. If $`q_1,q_2Crit_c(f)`$, set $`q_1q_2`$ if $`q_1`$ is in the closure of $`W_{q_2}^{}`$. Complete this relation to satisfy transitivity and hence define a partial order on $`Crit_c(f)`$. A map $`c:Crit_c(f)`$ is said to be order preserving if $`q_1q_2`$ implies $`c(q_1)<c(q_2)`$.

###### Theorem 3.2.

Assume the circle action on $`M`$ is semi-free and has isolated fixed points. Let $`f`$ be an invariant Morse function and $`\xi `$ be its gradient-like vector field on $`M`$, then every order preserving map on $`Crit_c(f)`$ can be extended to an invariant Morse function.

###### Proof.

Throughout the proof $`\xi `$ and the partial order $``$ are fixed. Notice that for every $`qCrit_c(f)`$ there exists an invariant Morse function $`g`$, such that $`g=f`$ outside a small invariant neighborhood $`U`$ of $`q`$, $`g(q)=f(q)+\epsilon `$ for a small enough $`\epsilon `$, and $`\xi `$ is an invariant gradient-like vector field for $`g`$. The function $`g`$ can be defined by $`g=f+\rho `$, where $`\rho `$ is an invariant “bump” function, such that $`\rho =0`$ outside of $`U`$, $`\rho =\epsilon `$ on a compact set $`KU`$ and $`|\xi (\rho )|<|\xi (f)|`$ on $`UK`$.

Hence the theorem follows from the following statement. Let $`f`$ have two critical values in the interval $`(a,b)`$, such that one critical level contains $`\{q_1,\mathrm{},q_k\}Crit_c(f)`$ and the other contains $`\{r_1,\mathrm{},r_m\}Crit_c(f)`$. Moreover, assume non of the $`q_i`$’s are compatible with $`r_j`$’s in the partial order $``$, that is stable and unstable manifolds of $`q_i`$’s and $`r_j`$’s never intersect. Then for any $`a_1,a_2(a,b)`$, there exists a invariant Morse function $`g`$, such that $`\xi `$ is an invariant gradient-like vector field of $`g`$, $`f=g`$ outside $`M_{[a,b]}`$, the set of critical points of $`g`$ is the same as the set of critical points of $`f`$, and $`g(q_i)=a_1`$, $`g(r_j)=a_2`$.

Without the word “invariant” the above statement is \[8, Theorem 4.2\]. This allows to give a proof of this statement by making a few minor changes in the proof of \[8, Theorem 4.2\], mainly by inserting the word “invariant” where necessary. ∎

Let $`S^1`$ act on two manifolds $`M`$ and $`N`$. *An invariant isotopy* between two invariant diffeomorphisms $`h_0,h_1:MN`$ is a smooth map $`h:M\times [0,1]N`$, such that $`h_0(x)=h(x,0)`$, $`h_1(x)=h(x,1)`$ and every $`h_t(x)=h(x,t)`$ is an invariant diffeomorphism. We say that $`h`$ is *an isotopy of identity* if $`M=N`$ and $`h_0`$ is an identity map.

###### Lemma 3.3.

Assume we are given an invariant Morse function $`f`$ on $`M`$ with an invariant gradient-like vector field $`\xi `$, a non-critical level $`M_a=f^1(a)`$, and a diffeomorphism $`h_1:M_aM_a`$ that is invariantly isotopic to the identity. If for $`a<b`$ the interval $`[a,b]`$ contains no critical values, then it is possible to construct a gradient-like vector field $`\overline{\xi }`$, such that $`\xi =\overline{\xi }`$ outside $`M_{[a,b]}`$ and $`\overline{\phi }=h_1\phi `$, where $`\phi `$ and $`\overline{\phi }`$ are the diffeomorphisms $`M_bM_a`$ determined by following the trajectories of $`\xi `$ and $`\overline{\xi }`$ respectively.

###### Proof.

This lemma is the invariant version of \[8, Lemma 4.7\] whose proof can be modified (mostly by inserting the word “invariant”) to provide a proof of the lemma. ∎

* *Proof of Theorem 2.1.* Using Theorem 3.1 choose an invariant Morse function $`f`$ on $`M`$. Pick any invariant riemmannian metric on $`M`$, let $`\nu =grad(f)`$. On canonical charts $`U_i`$ of $`f`$ at every fixed point or critical circle define a vector field $`\mu `$ which is a gradient-like vector field on $`U_i`$. Pick a nonnegative function $`\rho `$ which is zero outside of $`U_i`$ and one in a neighborhood of $`Crit(f)`$. Then $`\xi =\rho \mu +(1\rho )\nu `$ is a gradient-like vector field.

By Theorem 3.2, we can assume that every critical level of $`f`$ contains exactly one fixed point or one critical circle. Let $`c_1<\mathrm{}<c_k`$ be the critical values of $`f`$ and $`q_1,\mathrm{},q_kCrit_c(f)`$ with $`f(q_i)=c_i`$. By induction on $`i`$ we will prove that there exists an invariant gradient-like vector field $`\xi `$ of $`f`$, such that every $`W_{q_j}^{}`$ intersects transversely with every stable manifold for any $`ji`$.

The base of the induction is trivial for $`i=1`$. Assume our induction statement holds for $`i1`$. To prove the theorem it is enough to perturb $`\xi `$ on the preimage of $`(c_{i1},c_i)`$ to guarantee that $`W_{q_i}^{}`$ intersects transversely with all the stable manifolds.

Choose a number $`a`$ between $`c_{i1}`$ and $`c_i`$. There exists an invariant tubular neighborhood $`U`$ of $`W_{q_i,a}^{}`$ inside $`M_a`$ which is diffeomorphic to an $`^k`$ vector bundle $`\pi :VW_{q_i,a}^{}`$. If $`q_i`$ is a critical circle, then $`V`$ can be chosen to be an $`S^1`$-trivial bundle, that is $`U`$ is invariantly diffeomorphic to $`W_{q_i,a}^{}\times ^k`$, with $`S^1`$ acting only on the first component. Let $`P:U^k`$ be the natural projection. Let $`Y_j`$ be the set of critical values of $`P`$ restricted to $`W_{q_j,a}^+U`$ and set $`Y=_jY_j`$. By Sard’s theorem $`Y`$ has measure zero inside $`^k`$. Choose $`v^kY`$. There exists an invariant isotopy of identity $`h_t`$ on $`UW_{q_i,a}^{}\times ^k`$, such that $`h_1(W_{q_i,a}^{}\times 0)=W_{q_i,a}^{}\times v`$ and $`h_t`$ is the identity outside some compact neighborhood $`KU`$ of $`W_{q_i,a}^{}`$. Extend this isotopy to $`M_a`$ by setting it to be identity outside of $`U`$. Then apply Lemma 3.3 to perturb the gradient-vector field $`\xi `$ to guarantee that the induction assumption is satisfied.

If $`q_i`$ is a fixed point, then $`\pi :VW_{q_i,a}^{}`$ is no longer $`S^1`$-trivial. But $`W_{q_i,a}`$ can be covered by finitely many compact invariant sets $`\{K_{\mathrm{}}\}_{\mathrm{}=1}^L`$ such that each $`K_{\mathrm{}}`$ is inside an open invariant set $`W_{\mathrm{}}`$ which invariantly contracts to a circle. Without loss of generality we may assume that $`W_{\mathrm{}}`$’s are invariantly diffeomorphic to $`B_1^{}\times S^1`$ (where $`B_1^{}`$ is an open ball of radius 1 and $`S^1`$ acts only on the second factor) and $`K_{\mathrm{}}`$’s are $`B_{\frac{1}{2}}\times S^1`$ inside $`W_{\mathrm{}}`$. Set $`V_{\mathrm{}}=\pi ^1(W_{\mathrm{}})`$, then the bundle $`V_{\mathrm{}}W_{\mathrm{}}`$ can be trivializes and, in particular, each $`V_{\mathrm{}}`$ is invariantly diffeomorphic to $`W_{\mathrm{}}\times ^k`$ with $`S^1`$ acting only on the first factor.

Let $`P_1`$ be the natural projection from $`V_1`$ to $`^k`$. Assume $`v_1`$ is a regular value for every restriction of $`P_1`$ to $`W_{q_j,a}^+`$. Then construct an isotopy of identity $`h_t^1`$ on $`M_a`$ which is identity outside $`V_1`$ and such that $`h_1^1`$ takes $`K_1\times 0`$ onto $`K_1\times v_1`$. This will guarantee that $`h_1^1(W_{q_i,a}^{})`$ is transverse to every $`W_{q_j,a}^+`$ on $`K_1`$.

To construct an isotopy of identity $`h_t^2`$, choose a trivialization $`h_1^1(V_2)=h_1^1(W_2)\times ^k`$, let $`P_2`$ be the natural projection onto the second factor, and choose $`v_2`$ which is a regular value for every restriction of $`P_2`$ to $`W_{q_j,a}^+`$. Choose $`h_t^2`$, such that it is identity outside of $`h_1^1(V_2)`$ and $`h_1^2`$ takes $`h_1^1(K_2)\times 0`$ onto $`h_1^1(K_2)\times v_2`$. Since $`K_1`$ is compact and transversality is an open condition we can choose $`v_2`$ to be small enough so that $`h_1^2(h_1^1(W_{q_i,a}^{}))`$ is transverse to $`W_{q_j,a}^+`$ on $`K_1`$ Then $`h_1^2(h_1^1(W_{q_i,a}^{}))`$ is transverse to all $`W_{q_j,a}^+`$ on $`K_1K_2`$.

This process can be continued to construct invariant isotopies of identity $`h_t^m`$, such that $`h_1^m(\mathrm{}(h_1^1(W_{q_i,a}^{}))\mathrm{})`$ is transverse to every $`W_{q_j,a}^+`$ on $`_{\mathrm{}=1}^mK_{\mathrm{}}`$. Eventually we will construct $`h_t^1,\mathrm{},h_t^L`$ such that $`h_1^L(\mathrm{}(h_1^1(W_{q_i,a}^{}))\mathrm{})`$ is transverse to every $`W_{q_j,a}^+`$. Repeatedly apply Lemma 3.3 to perturb $`\xi `$ to a new gradient-like vector field to guarantee $`W_{q_i}^{}`$ intersects all stable manifolds transversely.  $`\mathrm{}`$

Minor modifications of the above argument provide a slightly stronger result

###### Theorem 3.4.

Assume a circle action on a compact manifold $`M`$ is semi-free and has isolated fixed points. Then for every Morse function $`f`$ there exists a gradient-like vector filed $`\xi `$ such that $`(f,\xi )`$ is Morse-Smale.

###### Remark 3.5.

As mentioned in the introduction, it is not true that any compact manifold with a circle action has an invariant Morse-Smale function.

## 4. Cancellation Theorems.

The following example is an illustration to the cancellation theorems.

###### Example 4.1.

Let $`S^1`$ act on $`^2=`$ with the weight $`1`$. Consider a function $`f(z)=v(|z|)`$ where $`v(r)`$ is a real valued function which is equal to $`r^2`$ near zero, strictly increases as $`r`$ increases from $`0`$ to $`1`$, equals to $`2rr^2`$ near $`1`$, and strictly decreases as $`r`$ goes from $`1`$ to infinity. Then $`f`$ is an invariant Morse function with a fixed point at the origin of index $`0`$ and a critical circle at the unit circle of index $`1`$. An invariant gradient-like vector field is given by $`(x\rho (|z|),y\rho (|z|))`$ at the point $`z=x+\sqrt{1}y`$, where $`\rho (r)=1`$ near $`0`$, $`\rho (r)<0`$ when $`0<r<1`$, $`\rho >0`$ when $`r>1`$, and $`\rho =\frac{1r}{r}`$ near $`1`$.

Changing $`f`$ to $`2|z|^2`$ and the gradient-like vector field to $`(x,y)`$ cancels the critical circle and increases the index of the origin to $`2`$. See Figure 1. $`\mathrm{}`$

###### Theorem 4.2.

(The preliminary cancellation theorem) Assume $`f`$ is an invariant Morse function on a compact manifold $`M`$ with semi-free circle action and $`\xi `$ is a gradient-like vector field on $`M`$. Assume $`a<b`$ and $`M_{(a,b)}`$ contains a single fixed point $`p`$ of index $`\lambda `$ and a single critical circle $`s`$ of index $`\lambda +1`$. Let $`T=W_p^+W_s^{}`$ be a single disc. Then there exists an invariant Morse function $`f^{}`$ identical to $`f`$ outside $`M_{(a,b)}`$, such that $`M_{(a,b)}`$ contains no critical circles of $`f^{}`$ and the index of the fixed point $`p`$ is $`\lambda +2`$.

###### Proof.

Let $`S^1`$ act on $`^n`$ with the weight $`(1,\mathrm{},1)`$. Define

$$h(z_1,\mathrm{},z_n)=f(p)+(f(s)f(p))v(|z_1|)|z_2|^2\mathrm{}|z_{\lambda +1}|^2+|z_{\lambda +2}|^2+\mathrm{}+|z_n|^2,$$

where $`v`$ is the function from Example 4.1. Moreover, let $`\eta `$ be the vector field given by

$$(x_1\rho (|z_1|),y_1\rho (|z_1|),x_2,y_2,\mathrm{},x_{\lambda +1},y_{\lambda +1},x_{\lambda +2},y_{\lambda +2},\mathrm{},x_n,y_n)),$$

where $`\rho `$ is the function from Example 4.1. Denote by $`\stackrel{~}{p}`$ the origin of $`^n`$ and by $`\stackrel{~}{s}`$ the unit circle inside $`\times 0\times \mathrm{}\times 0`$.

###### Claim 4.3.

There exists an invariant diffeomorphism $`g`$ which maps an invariant neighborhood $`V`$ of the disc $`D=\{(z_1,0,\mathrm{},0);|z_1|1\}`$ onto an invariant neighborhood $`U`$ of $`T`$ with $`g^{}(f)=h`$ and $`g_{}(\eta )=\xi `$.

* *Proof of Claim 4.3.* There exist diffeomorphisms $`g_p`$ and $`g_s`$ from neighborhoods $`V_{\stackrel{~}{p}}`$ of $`\stackrel{~}{p}`$ and $`V_{\stackrel{~}{s}}`$ of $`\stackrel{~}{s}`$ onto neighborhoods $`U_p`$ of $`p`$ and $`U_s`$ of $`s`$ which take $`D`$ onto $`T`$. Let $`\epsilon `$ be small enough so that $`f(p)+\epsilon <f(s)\epsilon `$. Then set $`g`$ equal to $`g_p`$ and to $`g_s`$ outside $`M_{[f(p)+\epsilon ,f(s)\epsilon ]}`$. By following the trajectories of $`\xi `$ and $`\eta `$ the map $`g`$ extends to $`D`$.

Let $`L_{\stackrel{~}{p}}=V_{\stackrel{~}{p},f(p)+\epsilon }`$ (recall our conventions $`V_{\stackrel{~}{p},f(p)+\epsilon }=V_{\stackrel{~}{p}}h^1(f(p)+\epsilon )`$) and $`L_{\stackrel{~}{s}}=V_{\stackrel{~}{s},f(s)\epsilon }`$. Set $`D_{\stackrel{~}{p}}=Dh^1(f(p)+\epsilon )`$ and $`D_{\stackrel{~}{s}}=Dh^1(f(s)\epsilon )`$. By following the trajectories of $`\eta `$ we can define an invariant diffeomorphism $`j_1`$ from a neighborhood $`W_{\stackrel{~}{s}}`$ of $`D_{\stackrel{~}{s}}`$ inside $`L_{\stackrel{~}{s}}`$ onto a neighborhood $`W_{\stackrel{~}{p}}`$ of $`D_{\stackrel{~}{p}}`$ inside $`L_{\stackrel{~}{p}}`$. At the same time, if we apply $`g_s`$, then follow the trajectories of $`\xi `$ and then apply $`g_p^1`$ we get another diffeomorphism $`j_2`$ from a neighborhood $`W_{\stackrel{~}{s}}^{}`$ of $`D_{\stackrel{~}{s}}`$ inside $`L_{\stackrel{~}{s}}`$ onto a neighborhood $`W_{\stackrel{~}{p}}^{}`$ of $`D_{\stackrel{~}{p}}`$ inside $`L_{\stackrel{~}{p}}`$.

The invariant diffeomorphisms $`j_1`$ and $`j_2`$ define diffeomorphisms $`\overline{j}_1`$ and $`\overline{j}_2`$ of $`W_{\stackrel{~}{s}}/S^1`$ to $`W_{\stackrel{~}{p}}/S^1`$ and of $`W_{\stackrel{~}{s}}^{}/S^1`$ to $`W_{\stackrel{~}{p}}^{}/S^1`$. Using \[8, Theorem 5.6\] we can construct an isotopy of identity $`\overline{\psi }_t`$ of a neighborhood $`W/S^1`$ of $`D_{\stackrel{~}{p}}/S^1`$ inside $`L_{\stackrel{~}{p}}/S^1`$ which intertwines $`\overline{j}_1`$ and $`\overline{j}_2`$, that is $`\overline{\psi }_1(\overline{j}_1)=\overline{j}_2`$. Since we can assume $`W/S^1`$ is contractible, there exists an identification $`W=S^1\times W/S^1`$ and hence a lift of $`\overline{\psi }_t`$ to an invariant isotopy $`\psi _t`$ which intertwines $`j_1`$ and $`j_2`$ on $`W`$. Since $`\psi _t`$ is identity outside some compact set the isotopy $`g_p(\psi _t)`$ extends to the whole $`M_{f(p)+\epsilon }`$.

Use Lemma 3.3 to perturb $`\xi `$ on $`M_{[f(p)+\epsilon ,f(s)\epsilon ]}`$ to guarantee that $`j_1=j_2`$ for the newly constructed gradient-vector field. The claim is proved, since $`g`$ extends to an open neighborhood of $`D`$ by following the trajectories of $`\xi `$ and $`\eta `$.  $`\mathrm{}`$

The next step in the proof of Theorem 4.2 is to change $`\xi `$ to $`\xi ^{}`$ inside $`U`$ to guarantee that there is only one critical point of $`\xi ^{}`$ inside $`M_{[a,b]}`$.

By argument identical to the proof of Assertion 1 in the proof of \[8, Theorem 5.4\], there exists an invariant neighborhood $`U^{\prime \prime }`$ of $`T`$ inside an invariant neighborhood $`U^{}`$ of $`T`$ such that $`\overline{U^{}}U`$ and no trajectory of $`\xi `$ enters $`U^{\prime \prime }`$ then exits $`U^{}`$ and then returns to $`U^{\prime \prime }`$.

Change $`\xi `$ to $`\xi ^{}`$, such that $`\xi =\xi ^{}`$ outside of $`U^{\prime \prime }`$, while inside $`U^{\prime \prime }`$

$$\xi ^{}=g_{}(v_1(x_1,\tau ),v_2(y_1,\tau ),x_2,y_2,\mathrm{},x_{\lambda +1},y_{\lambda +1},x_{\lambda +2},y_{\lambda +2},\mathrm{},x_n,y_n)),$$

where $`\tau =|z_2|^2+\mathrm{}+|z_n|^2`$, $`v_1(x_1,0)=x_1`$, $`v_2(y_1,0)=y_1`$. Moreover, $`v_1`$ and $`v_2`$ are chosen such that $`\xi ^{}=\xi `$ outside a compact neighborhood of $`T`$ inside $`U^{\prime \prime }`$. Clearly, $`\xi ^{}`$ has only one critical point, which is $`p`$.

Let us show that there is no trajectory $`\psi (t,x)`$ of $`\xi ^{}`$ through $`x`$ which lies completely inside $`U^{}`$. Let $`x=g(x_1^{},y_1^{},\mathrm{},x_n^{},y_n^{})`$. If one of the coordinates $`x_2^{},y_2^{},\mathrm{},x_n^{},y_n^{}`$ is not zero, then this coordinate of $`\psi (t,x)`$ must increase or decrease exponentially and hence this trajectory eventually exits $`U^{}`$ either as $`t`$ increases or decreases. Otherwise, if only $`x_1`$ or $`y_1`$ are not zero, then again the trajectory will exit $`U^{}`$ as $`t`$ increases, since $`\xi ^{}(x_1,y_1,0,\mathrm{},0)=c(x_1,y_1,0,\mathrm{},0)`$ for some positive $`c`$.

We now show $`\xi ^{}`$ has no periodic trajectories and any trajectory is inside $`W_p^+`$ or $`W_p^{}`$, or connects $`M_b`$ to $`M_a`$ (at this point we forget about $`\xi `$, so that $`W_p^+`$ and $`W_p^{}`$ are the stable and unstable manifolds of $`p`$ of $`\xi ^{}`$). Indeed, if a trajectory of $`\xi ^{}`$ does not intersect $`U^{\prime \prime }`$, it connects $`M_b`$ to $`M_a`$, since it coincides with a trajectory of $`\xi `$. If, on the other hand, a trajectory $`\psi (t,x)`$ of $`\xi ^{}`$ through a point $`x`$ inside $`U^{\prime \prime }`$ intersects $`U^{}`$ and is not inside $`W_p^{}`$ or $`W_p^+`$, then there should be two nonzero coordinates of $`x`$ of indices $`i,j`$ with $`i\lambda +1<j`$. Such a trajectory must exit $`U^{}`$ as $`t`$ increases and as $`t`$ decreases and never return to $`U^{}`$. Hence this trajectory connects $`M_a`$ to $`M_b`$. This finishes the construction of $`\xi ^{}`$.

It remains to construct an invariant Morse function for which $`\xi ^{}`$ is a gradient-like vector field. To do this we will define an invariant Morse function $`f^{}`$ on $`M_{[a,b]}`$ with only one critical point $`p`$ and with $`f^{}(M_a)=a`$, $`f^{}(M_b)=b`$ and $`f(p)=c`$ for $`a<c<b`$. Then set $`f^{}=f`$ outside of $`M_{[a,b]}`$ and, by the smoothing procedure described in the proof of Theorem 3.1, smoothen $`f^{}`$ in a neighborhood of $`M_a`$ and $`M_b`$.

Let $`V`$ be an invariant neighborhood of $`p`$ inside a canonical chart of $`\xi ^{}`$. Choose $`\epsilon `$ with $`a<c\epsilon `$ and $`c+\epsilon <b`$. We can clearly define $`f^{}`$ on $`V_{[c\epsilon ,c+\epsilon ]}`$.

Choose invariant neighborhoods $`V^+,V^{}`$ of $`W_p^+,W_p^{}`$ which are preserved by the flow of $`\xi ^{}`$. Then $`f^{}`$ can be define on $`V_{[c+\epsilon ,b]}^+`$ and $`V_{[a,c\epsilon ]}^{}`$. Using again the smoothing argument $`f^{}`$ can be defined on a certain neighborhood $`W`$ of $`W_p^+W_p^{}`$. Since there are no critical points on $`M_{[a,b]}(W_p^+W_p^{})`$, there exists an invariant function $`g`$ on $`M_{[a,b]}(W_p^+W_p^{})`$ with $`\xi ^{}(g)<0`$, $`g(M_a)=a`$ and $`g(M_b)=b`$.

Let $`\mu `$ be an invariant function on $`M_a`$ which is equal to $`0`$ outside $`M_aV^{}`$ and equal to $`1`$ in a neighborhood of $`M_aW_p^{}`$. By following the trajectories of $`\xi ^{}`$ we get a map $`M_{[a,b]}(W_p^+W_p^{})M_aW_p^{}`$. Pull back $`\mu `$ to a function $`\nu `$ on $`M_{[a,b]}(W_p^+W_p^{})`$, extend it to $`M_{[a,b]}`$ by setting $`\nu =1`$ on $`W_p^+W_p^{}`$. Then the function $`\nu f^{}+(1\nu )g`$ is the invariant Morse function on $`M_{[a,b]}`$ we are looking for. ∎

Let $`S^1`$ act freely on a manifold $`V`$. Assume two invariant submanifolds $`N`$ and $`N^{}`$ of dimensions $`r+1`$ and $`s+1`$ intersect transversely and $`r+s=dimV1`$. Then $`N`$ and $`N^{}`$ intersect along some circles $`s_1,\mathrm{},s_k`$. Assume $`N`$ and the normal bundle $`\nu (N^{})`$ are oriented. At a point $`x_is_i`$ choose a positively oriented frame $`\xi _0,\mathrm{},\xi _r`$ on $`N`$ such that $`\xi _0`$ is the restriction to $`x_i`$ of the infinitesimal vector field associated to the circle action on $`s_i`$. Since $`N`$ and $`N^{}`$ intersect transversely, $`\xi _1,\mathrm{},\xi _r`$ form a basis of the normal bundle to $`N^{}`$ at $`x_i`$. The intersection number of $`N`$ and $`N^{}`$ at $`s_i`$ is defined to be $`+1`$ if $`\xi _1,\mathrm{},\xi _r`$ is a positively oriented basis and $`1`$ otherwise. This definition does not depend on the choice of the point $`x_i`$ inside of $`s_i`$. The intersection number $`NN^{}`$ of $`N`$ and $`N^{}`$ is the sum of all the intersection numbers at the circles $`s_i`$.

If $`V`$ is oriented, then we say that orientations on $`N`$ and on $`\nu (N)`$ are compatible with respect to the orientation on $`V`$ if at any point on $`N`$ a positively oriented frame on $`N`$ followed by a positively oriented frame on $`\nu (N)`$ gives a positively oriented frame on $`V`$. If compatible orientation on $`N`$ and $`\nu (N)`$ as well as on $`N^{}`$ and $`\nu (N^{})`$ are used to define $`NN^{}`$ and $`N^{}N`$ then $`NN^{}=\pm N^{}N`$ depending on parity of $`rs`$.

Before we can prove the cancellation theorem we need two preliminary results:

###### Theorem 4.4.

Let $`N`$ and $`N^{}`$ be smooth closed invariant transversely intersecting submanifolds of dimensions $`r+1`$ and $`s+1`$ in the $`(r+s+1)`$-manifold $`V`$ on which $`S^1`$ acts freely. Suppose $`N`$ and the normal bundle to $`N^{}`$ are oriented. Assume $`r+s5`$, $`s3`$ and, in case $`r=2`$, suppose the inclusion map $`\pi _1((VN^{})/S^1)\pi _1(V/S^1)`$ is injective.

Let $`s_1,s_2NN^{}`$ be circles with opposite intersection numbers. Assume there exist two invariant embeddings of $`S^1\times [0,1]`$ into $`N`$ and into $`N^{}`$ which connect $`s_1`$ to $`s_2`$, such that both embeddings miss $`NN^{}\{s_1,s_2\}`$. The composition of two embeddings provides a map of $`S^1\times S^1`$ into $`V`$. Assume $`S^1\times S^1`$ is invariantly contractible to a circle inside $`V`$.

With these assumptions there exists an invariant isotopy of identity $`h_t`$ on $`V`$, such that $`h_t`$ is identity near $`NN^{}\{s_1,s_2\}`$ and $`h_1(N)N^{}=NN^{}\{s_1,s_2\}`$.

###### Proof.

We deliberately stated this theorem in the form very similar to \[8, Theorem 6.6\]. Actually, \[8, Theorem 6.6\], applied to manifolds $`V/S^1`$, $`N/S^1`$, and $`N^{}/S^1`$ provides an isotopy $`\stackrel{~}{h}_t`$ of $`V/S^1`$ which is identity near $`N/S^1N^{}/S^1\{s_1/S^1,s_2/S^1\}`$ and such that $`\stackrel{~}{h}_1(N/S^1)N^{}/S^1=N/s^1N^{}/S^1\{s_1/S^1,s_2/S^1\}`$. So, it is enough to show that $`\stackrel{~}{h}_t`$ can be lifted to an invariant isotopy $`h_t`$ on $`V`$.

In the proof of \[8, Theorem 6.6\] the constructed isotopy $`\stackrel{~}{h}_t`$ is identity outside some contractible open set $`U`$ in $`V`$. (If $`D`$ is the disc in $`V/S^1`$, whose boundary consists of two arcs connecting $`s_1/S^1`$ to $`s_2/S^1`$, then $`U`$ is a neighborhood of $`D`$.) Set $`h_t`$ to be equal to identity outside of $`\pi ^1(U)`$ (where $`\pi :VV/S^1`$). Choosing an invariant trivialization $`\pi ^1(U)=U\times S^1`$ allows us to lift $`\stackrel{~}{h}_t`$ to $`h_t`$ on $`U`$. ∎

###### Lemma 4.5.

Given a semi-free circle action on a compact connected manifold $`M`$, let $`f`$ be an invariant Morse function on $`M`$ and $`\xi `$ a gradient-like vector field. For regular values $`a<b`$ of $`f`$, suppose $`M_{[a,b]}`$ contains exactly one critical point $`p`$ and $`M_a`$ is connected then

$$\pi _1(M_a/S^1)=\pi _1(M_b/S^1)=\pi _1((M_aW_{p,a}^{})/S^1)=\pi _1((M_bW_{p,b}^+)/S^1).$$

###### Proof.

Since $`p`$ is of even index, $`M_b`$, $`M_aW_{p,a}^{}`$ and $`M_bW_{p,a}^+`$ are connected and it makes sense to talk about their fundamental groups. The trajectories of $`\xi `$ provide an invariant diffeomorphism of $`M_aW_{p,a}^{}`$ and $`M_bW_{p,b}^+`$, in particular, $`\pi _1((M_aW_{p,a}^{})/S^1)=\pi _1((M_bW_{p,b}^+)/S^1).`$

Let $`U`$ be an invariant tubular neighborhood of $`W_{p,a}^{}`$ inside $`M_a`$. Then $`\pi _1(U/S_1)=\pi _1(W_{p,a}^{}/S^1)=1`$, since $`W_{p,a}/S^1`$ is homeomorphic to a complex projective space. Moreover, $`\pi _1(UW_{p,a}^{}/S^1)=1`$, since $`UW_{p,a}^{}/S^1`$ is homotopy equivalent to an even sphere bundle over a complex projective space. Hence, van Kampen’s theorem applied to the covering of $`M_a/S^1`$ by $`(M_aW_{p,a}^{})/S^1`$ and $`U/S^1`$ immediately leads to $`\pi _1(M_a/S^1)=\pi _1((M_aW_{p,a}^{})/S^1)`$. Analogously, we can prove $`\pi _1(M_b/S^1)=\pi _1((M_bW_{p,b}^+)/S^1)`$. ∎

* *Proof of Theorem 2.2.* Taking into account that $`\lambda `$ is even, there are five different cases:

Case 1: $`\lambda =0`$. Then $`N^{}`$ is two copies of a circle and $`NN^{}=\pm 1`$ implies $`NN^{}`$ is just one circle hence Theorem 4.2 applies.

Case 2: $`\lambda =dimM2`$. Then $`N`$ is a circle and Theorem 4.2 applies again.

Case 3: $`dimM4>\lambda 4`$, $`dimM8`$, $`M_a/S^1`$ is simply-connected, $`M_a`$ is connected. Set $`r+1=dimN=dimM\lambda 1`$ and $`s+1=dimN^{}=\lambda +1`$. Then $`r+s=dimM25`$, $`s=\lambda 3`$, and $`r=dimM\lambda 23`$. Lemma 4.5 implies $`\pi _1(M_c/S^1)=1`$, hence Theorem 4.4 applies to this situation. Repeatedly apply Theorem 4.4 to find an invariant homotopy $`h_t`$ of $`M_c`$ to guarantee $`h_1(N)N^{}`$ is a single circle. Then we can apply Lemma 3.3 to find new $`(f^{},\xi ^{})`$ for which $`W_p^+`$ intersect $`W_s^{}`$ along a single disc. Finally we apply the preliminary cancellation theorem to finish this case.

Case 4: $`\lambda =dimM4`$, $`dimM8`$, $`M_a/S^1`$ is simply-connected, $`M_a`$ is connected. Define $`r+1=dimN=dimM\lambda 1=3`$, $`s+1=dimN^{}=\lambda +1`$, so that $`r=2`$, $`s3`$ while $`r+s=dimM25`$. So, to apply Theorem 4.4 and then Theorem 4.2 as in Case 3, it is enough to show $`\pi _1((M_cN^{})/S^1)=\pi _1(M_c/S^1)=1`$. Notice $`\pi _1(M_c/S^1)=1`$ by Lemma 4.5. To show $`\pi _1((M_cN^{})/S^1)=1`$, identify $`N^{}/S^1`$ with the sphere of dimension $`dimM3`$ and then use an argument analogues to the proof of Lemma 4.5.

Case 5: $`\lambda =2,dimM8`$, $`M_a/S^1`$ is simply-connected , $`M_a`$ is connected. Here we interchange the roles of $`N`$ and $`N^{}`$ in Theorem 4.4. Namely, set $`r+1=dimN^{}=3`$ and $`s+1=dimN=dimM3`$. Then $`r=2,`$ $`r+s5`$ and $`s3`$, so to apply Theorem 4.4 and the preliminary cancellation theorem as in Case 3, it is enough to check $`\pi _1((M_cN)/S^1)=\pi _1(M_c/S^1)`$, which immediately follows from Lemma 4.5.  $`\mathrm{}`$

## 5. Equivariant Cohomology and Morse Theory.

This section discusses properties of equivariant cohomology and its connections to Morse theory. Let $`ES^1`$ be a contractible space with a free $`S^1`$ action. (For example, $`ES^1`$ can be the infinite dimensional sphere $`S^{\mathrm{}}`$.) The equivariant cohomology is defined by

$`H_{S^1}^{}(M,)=H^{}((M\times ES^1)/S^1,).`$
We only use cohomology with integer coefficients and write $`H_{S^1}^{}(M)=H_{S^1}^{}(M,)`$.

If a circle action on $`M`$ is free then $`H_{S^1}^{}(M)=H^{}(M/S^1)`$.

The equivariant cohomology of a point with a trivial circle action is equal to the cohomology of the space $`BS^1=ES^1/S^1`$. (If $`ES^1=S^{\mathrm{}}`$, then $`BS^1`$ is the infinite dimensional projective space $`P^{\mathrm{}}=S^{\mathrm{}}/S^1`$.) It is known that $`H_{S^1}^{}(pt)=H^{}(BS^1)`$ is the ring of polynomials in one variable $`[u]`$ where the generator $`u`$ has degree $`2`$.

The map $`Mpt`$ produces the pullback map in equivariant cohomology $`H_{S^1}^{}(pt)H_{S^1}^{}(M)`$ which equips the equivariant cohomology ring with a $`[u]`$-module structure.

A natural inclusion of $`M`$ into $`(M\times ES^1)/S^1`$ gives a map from the equivariant cohomology to the regular cohomology $`\kappa :H_{S^1}^{}(M)H^{}(M).`$

Given an invariant Morse function $`f`$ on $`M`$ and $`a<b`$, the exact sequence of the tuple $`(M_a,M_b)`$ is

(5.1)
$$\mathrm{}H_{S_1}^{}(M_b)H_{S_1}^{}(M_a)\stackrel{\delta }{}H_{S_1}^{+1}(M_b,M_a)H_{S_1}^{+1}(M_b)\mathrm{}$$

To understand this exact sequence (especially the map $`\delta `$) better, let us describe the cohomology $`H_{S_1}^{}(M_b,M_a)`$ in the case when $`M_{(a,b)}`$ contains a single critical point $`p`$ of index $`\lambda `$. By the classical results in invariant Morse theory (see ) we know that

$$H_{S_1}^{}(M_b,M_a)=H_{S^1}^{}(W_{p,a}^{}W_{p,a}^{})=H_{S^1}^{}(D^\lambda ,S^{\lambda 1}),$$

where $`D^\lambda `$ is the unit disc inside $`^{\frac{\lambda }{2}}`$ on which $`S^1`$ acts with the weight $`(1,\mathrm{},1)`$ and $`S^{\lambda 1}=D^\lambda `$. By Thom isomorphism $`H_{S^1}^{}(D^\lambda ,S^{\lambda 1})=H_{S^1}^\lambda (pt)`$. Choosing a generator $`\tau _p`$ of $`H_{S^1}^\lambda (D^\lambda ,S^{\lambda 1})`$ we get a $`[u]`$-module identification

$$H_{S_1}^{}(M_b,M_a)=\tau _pH_{S^1}^{}(pt).$$

We call $`\tau _p`$ *a Thom class of $`p`$*. Notice that choosing $`\tau _p`$ is equivalent to picking an orientation on $`W_p^{}`$.

Similarly, if $`M_{(a,b)}`$ has a single critical circle $`s`$ of index $`\lambda `$ then

$$H_{S^1}^{}(M_b,M_a)=\tau _sH_{S^1}^{}(S^1)=\tau _sH^{}(pt)$$

and $`\tau _sH_{S^1}^\lambda (M_b,M_a)`$ is *a Thom class of $`s`$.*

###### Lemma 5.1.

Assume the action of $`S^1`$ on a compact oriented manifold $`M`$ is semi-free and $`(f,\xi )`$ is an invariant Morse-Smale function on $`M`$. Assume $`a<b`$ and $`M_{(a,b)}`$ contains a critical point $`p`$ of index $`\lambda `$ and a critical circle $`s`$ of index $`\lambda +1`$. Let $`f(p)<c<f(s)`$. Suppose $`M_c`$ is oriented and $`N=W_{p,c}^+`$, $`\nu (N)`$ as well as $`N^{}=W_{s,c}^{}`$, $`\nu (N^{})`$ are equipped with compatible orientations.

Consider the boundary map of the exact sequence of the triple $`(M_b,M_c,M_a)`$

$$\delta :H_{S^1}^{}(M_c,M_a)H_{S^1}^{+1}(M_b,M_c).$$

This map takes $`H_{S^1}^\lambda (M_c,M_a)\tau _p`$ to $`H_{S^1}^{\lambda +1}(M_b,M_c)\tau _s`$. If $`\delta (\tau _p)=c\tau _s`$ then $`NN^{}=\pm c`$.

###### Proof.

Use excision to identify

$$H_{S^1}^{}(M_c,M_a)=H_{S^1}^{}(M_{[a,c]},M_a)$$

and

$$H_{S^1}^{}(M_b,M_c)=H_{S^1}^{}(M_{[c,b]},M_c).$$

The map

$$\kappa :H_{S^1}^{}(M_{[a,c]},M_a)H^{}(M_{[a,c]},M_a)$$

is an isomorphism in degree $`\lambda `$. Moreover, by Poincare duality

$$H^\lambda (M_{[a,c]},M_a)=H_{dimM\lambda }(M_{[a,c]},M_c).$$

Since $`S^1`$ acts freely on $`M_{[c,b]}`$ we have

$$H_{S^1}^{}(M_{[c,b]},M_c)=H^{}(M_{[c,b]}/S^1,M_c/S^1).$$

By Poincare duality

$$H^{\lambda +1}(M_{[c,b]}/S^1,M_c/S^1)H_{dimM\lambda 2}(M_{[c,b]}/S^1,M_b/S^1).$$

Thus, we view $`\delta `$ as a map

$$\delta :H_{dimM\lambda }(M_{[a,c]},M_c)H_{dimM\lambda 2}(M_{[c,b]}/S^1,M_b/S^1).$$

This map has a geometric interpretation. The generator of $`H_{dimM\lambda }(M_{[a,c]},M_c)`$ is given by the cycle $`W_{p,[a,c]}^+`$, then $`\delta `$ sends it to the cycle $`(W_{p,[a,c]}^+)/S^1=W_{p,c}^+/S^1=N/S^1`$ inside the tuple $`(M_{[c,b]}/S^1,M_b/S^1)`$.

\[8, Lemma 7.2\] used in our situation states that the homology class of $`N/S^1`$ is a generator of $`H_{dimM\lambda 2}(M_{[c,b]}/S^1,M_b/S^1)`$ multiplied by $`NN^{}`$ which proves the lemma. ∎

###### Theorem 5.2.

Assume the action of $`S^1`$ on a compact oriented manifold $`M`$ is semi-free and $`(f,\xi )`$ is an invariant Morse-Smale function. For $`a<b`$ suppose $`M_{[a,b]}`$ is connected. Assume the set of critical points in $`M_{(a,b)}`$ consists of critical points $`p_1,\mathrm{},p_k`$ of the same index $`\lambda `$ with $`2\lambda dimM2`$ (or critical circles $`s_1,\mathrm{},s_k`$ of the same index $`\lambda `$ with $`3\lambda dimM2`$). Given a basis $`\tau _1,\mathrm{},\tau _k`$ of $`H_{S_1}^\lambda (M_b,M_a)`$ there exists an invariant Morse-Smale function $`(f^{},\xi ^{})`$ which coincides with $`(f,\xi )`$ outside $`M_{[a,b]}`$, has the same set of critical points as $`(f,\xi )`$ and after choosing the proper orientations on $`W_{p_i}^{}`$ the Thom class of each $`p_i`$ is $`\tau _i`$ (or the Thom class of each $`s_i`$ is $`\tau _i`$).

###### Proof.

Consider the case when $`M_{(a,b)}`$ contains only critical points $`p_1,\mathrm{},p_k`$. Forget for a moment about the circle acting on our manifold and try to prove the theorem for the regular cohomology groups. Then using excision and Poincare duality we can identify

$$H^\lambda (M_b,M_a)=H_{n\lambda }(M_{[a,b]},M_b).$$

Moreover, the Thom classes of the fixed point $`p_i`$ are given by the cycles $`W_{p_i,[a,b]}^+`$. Translating our theorem into a statement about a basis in homology leads to a statement identical to . In particular, there exists a Morse-Smale function $`(\stackrel{~}{f},\stackrel{~}{\xi })`$ on $`M`$ which coincides with $`(f,\xi )`$ outside $`M_{[a,b]}`$ and the Thom classes (in regular cohomology) of $`p_i`$’s are exactly $`\kappa (\tau _i)`$’s

Notice that the map $`\kappa `$ identifies $`H_{S^1}^\lambda (M_b,M_a)`$ with $`H^\lambda (M_b,M_a)`$. So, if we show $`(f^{},\xi ^{})`$ can be chosen invariantly with respect to the circle action, the theorem is proved.

Without loss of generality we may assume $`(\stackrel{~}{f},\stackrel{~}{\xi })`$ coincides with $`(f,\xi )`$ in a neighborhood of every fixed point, this follows from an examination of the proof of \[8, Theorem 7.6\].

Let us average $`(\stackrel{~}{f},\stackrel{~}{\xi })`$ with respect to the circle action to produce invariant function $`f^{}`$ and invariant vector field $`\xi ^{}`$. Then $`(f^{},\xi ^{})`$ is identical to $`(f,\xi )`$ outside of $`M_{[a,b]}`$ and in neighborhoods of the fixed points $`\{p_1,\mathrm{},p_k\}`$. Moreover, it is obvious that $`\xi ^{}(f^{})<0`$ on $`MM^{S^1}`$. Hence $`f^{}`$ is an invariant Morse function and $`\xi ^{}`$ is its invariant gradient-like vector field. Moreover $`\kappa (\tau _{p_i})`$ are the same as for $`(\stackrel{~}{f},\stackrel{~}{\xi })`$. Hence the Thom classes $`\tau _{p_i}`$ form the required basis.

Finally, to make $`(f^{},\xi ^{})`$ into an invariant Morse-Smale function we need to apply Theorem 2.1 and perturb $`\xi ^{}`$ without changing the Thom classes $`\tau _{p_i}`$.

Let us now outline the proof in the case when $`M_{(a,b)}`$ contains only critical circle. Since the circle acts freely on $`M_{[a,b]}`$, we can make an analogous statement on $`M_{[a,b]}/S^1`$ and then using Poincare duality to translate it into a statement in homology. This statement will follow from \[8, Theorem 7.6\], which is proved by constructing a series of isotopies of identity on $`M_a`$ and then changing the vector field according to these isotopies. Inspection of the proof of \[8, Theorem 7.6\] shows that each of these isotopies is identity outside a contractible set and hence can be lifted to $`M_{[a,b]}`$. This adopts the proof of \[8, Theorem 7.6\] to give a proof of our theorem. ∎

## 6. Proof of the main theorem.

###### Lemma 6.1.

Assume a circle action on a compact manifold $`M`$ is torsion-free and has isolated fixed points $`p_1,\mathrm{},p_m`$. Choose invariant neighborhoods $`U_i`$ of $`p_i`$ diffeomorphic to unit balls and set $`U=_iU_i`$. Then the homology groups $`H_{}((MU)/S^1,U/S^1)`$ are $``$-torsion-free.

###### Proof.

By Poincare duality

$$H_{}((MU)/S^1,U/S^1)=H^{dimM1}((MU)/S^1).$$

Since

$$H^{}((MU)/S^1)=H_{S^1}^{}(MU)=H_{S^1}^{}(MM^{S^1}),$$

it is enough to show that the cohomology groups $`H_{S^1}^{}(MM^{S^1})`$ are torsion-free.

Consider the Mayer-Vietoris sequence for $`M=U(MM^{S^1})`$:

$$\mathrm{}H_{S^1}^{}(M)H_{S^1}^{}(U)H_{S^1}^{}(MM^{S^1})H_{S^1}^{}(U(MM^{S^1}))\mathrm{}$$

An easy computation in equivariant cohomology implies the surjectivity of the map

$$_iH_{S^1}^{}(p_i)H_{S^1}^{}(U)H_{S^1}^{}(U(MM^{S^1}))H^{}(U/S^1).$$

Hence the Mayer-Vietoris sequence breaks up into short exact sequences. Since $`H_{S^1}^{}(M)`$ and $`H_{S^1}^{}(U(MM^{S^1}))`$ are torsion-free, the same holds for $`H_{S^1}^{}(MM^{S^1})`$.

An invariant Morse function $`f`$ is *self-indexing* if $`f(q)=\sigma (q)`$ for every $`qCrit_c(f)`$, in particular, the critical values of $`f`$ are between zero and $`dimM`$. For an integer $`k`$, define $`M_k=M_{k+\frac{1}{2}}`$. Then $`H_{S^1}^{}(M_k,M_{k1})`$ is generated as a $`[u]`$ module by the Thom classes of critical points and circles of index $`k`$. Then $`f`$ is perfect on $`M_k`$ if $`𝒫(M_k)=(M_k,f)`$. The exact sequence of the triple $`(M_{k+1},M_k,M_{k1})`$ defines the map

$$\delta _k:H_{S^1}^{}(M_{k1},M_{k2})H_{S^1}^{+1}(M_k,M_{k1})$$

* *Proof of Theorem 1.1.* The proof will use induction on $`k`$ to construct a self-indexing invariant Morse-Smale function $`(f,\xi )`$ on $`M`$, such that

1. $`f`$ is perfect on $`M_k`$,
    2. if $`s`$ is a critical circle of index $`k1`$ then $`\delta _k(\tau _s)=0`$.

Basis of induction for $`k=0`$. Use the notations from Lemma 6.1. Since $`M`$ is simply-connected, it is easy to see using van Kampen theorem that $`(MU)/S^1`$ is simply-connected as well. This together with Lemma 6.1 allow to use \[9, Theorem 6.5\] which implies that there exists a perfect Morse function

$$\stackrel{~}{f}:((MU)/S^1,(U)/S^1)([1,\mathrm{}),1).$$

Lift $`\stackrel{~}{f}`$ to $`f`$ on $`MU`$. As in the proof of Theorem 3.1 extend $`f`$ to $`M`$ by setting $`f=\varphi _i^{}(|z|^2)`$ on $`U_i`$ and smoothing it along $`U`$.

By Theorem 3.4 there exists an invariant gradine-like vector field $`\xi `$, such that $`(f,\xi )`$ is an invariant Morse-Smale function. By Theorem 3.2 we can assume $`f`$ is self-indexing. Conditions (1) and (2) are satisfied by $`f`$, since $`\stackrel{~}{f}`$ is a perfect Morse function.

Induction step for $`k=1`$. Assume $`f`$ satisfies conditions (1) and (2) for $`k=0`$. Let $`p`$ be a fixed point of index $`0`$ such that $`\delta _1(\tau _p)0`$. Then it is easy to see that there exists a critical circle $`s`$ of index $`1`$ such that the closure of the intersection $`W_s^{}W_p^+`$ is a single disc. By Theorem 4.2 we can cancel the critical circle $`s`$ by increasing the index of $`p`$ by $`2`$. We can continue this process until the map $`\delta _1`$ is nontrivial. After this $`(f,\xi )`$ will satisfy (1) and (2) for $`k=1`$.

Induction step for even $`k2`$. If $`k`$ is even and $`(f,\xi )`$ satisfies conditions (1) and (2) for $`k1`$, then $`(f,\xi )`$ satisfies (1) and (2) for $`k`$ as well. Indeed, the second condition does not depend on $`k`$. At the same time, the map $`\delta _k`$ is trivial, by condition (2) and the fact that $`M_{k1}M_{k2}`$ contains no fixed points. This implies that the exact sequence of the pair $`(M_k,M_{k1})`$ splits into short exact sequences proving the perfectness of $`f`$ on $`M_k`$.

Induction step for odd $`k1`$. Assume $`(f,\xi )`$ satisfies (1) and (2) for $`k1`$. Since the map $`\delta _k`$ vanishes on all the Thom classes of critical circles we can assume without loss of generality that there are no critical circles of index $`k1`$ Assume $`p_{i_1},\mathrm{},p_i_{\mathrm{}}`$ are all the fixed point of index $`k1`$ of $`f`$.

Choose a basis $`\tau _1,\mathrm{},\tau _q`$ of the kernel of the map $`\delta _k`$ restricted to $`H^{k1}(M_{k1},M_{k2})`$. Complete it to a basis of $`H^{k1}(M_{k1},M_{k2})`$ by adding $`\tau _{q+1},\mathrm{},\tau _{\mathrm{}}`$. By Theorem 5.2 we can perturb $`(f,\xi )`$ on $`M_{k1}M_{k2}`$ such that $`\tau _{p_i}=\tau _i`$ after the perturbation.

Assume $`s_1,\mathrm{},s_r`$ are the critical circles of $`f`$ of index $`k`$, then their Thom classes form a basis of $`H^k(M_k,M_{k1})`$. The elements $`\stackrel{~}{\tau }_j=\delta _k(\tau _{q+j})`$ of $`H^k(M_k,M_{k1})`$ span the image of $`\delta _k`$. Complete $`\stackrel{~}{\tau }_1,\mathrm{}\stackrel{~}{\tau }_\mathrm{}q`$ to a basis of $`H^k(M_k,M_{k1})`$ by adding $`\stackrel{~}{\tau }_{\mathrm{}q+1},\mathrm{},\stackrel{~}{\tau }_r`$. By Theorem 5.2 we can alter $`(f,\xi )`$ on $`M_kM_{k1}`$ to guarantee $`\tau _{s_i}=\tau _i`$. Apply Lemma 5.1 together with Theorem 2.2 to cancel the critical circles $`s_1,\mathrm{}s_\mathrm{}q`$ by increasing the index of each $`p_{q+i}`$ by $`2`$. This produces a new invariant Morse-Smale function which satisfies (1) and (2) for $`k`$.

The above argument works as long as the assumptions of Theorems 2.2 are satisfied. Checking these assumptions boils down to making sure that if $`f`$ is perfect on $`M_k`$ for $`k>1`$, then $`(f^1(a))/S^1`$ for any regular $`a<k+\frac{1}{2}`$ is simply-connected. It is enough to prove that if the interval $`[a,b]`$ contains exactly one critical value then $`\pi _1(f^1(a)/S^1)=\pi _1(f^1(b)/S^1)`$. This follows from Theorem 3.2, Lemma 4.5 and an analogue of Lemma 4.5 for critical circle instead of fixed point with almost identical proof.  $`\mathrm{}`$

###### Remark 6.2.

The dimension restriction, which appears in this theorem comes from the dimension restrictions in the classical Morse theory. In particular, if $`dimM`$ is either $`4`$ or $`6`$ then \[9, Theorem 6.5\] used in the basis of induction fails.


format: text

text:
# A novel method to create a vortex in a Bose-Einstein condensate

## I Introduction

Alkali atoms become a superfluid upon Bose-Einstein condensation (BEC) . The superfluid properties of the system were considered to be essentially the same as those of superfluid 4He, in spite of the fact that the former is a weakly-coupled system while the latter is coupled strongly. In contrast with 4He, however, alkali atoms have internal degrees of freedom attributed to the hyperfine spin $`𝑭`$ and, accordingly, the order parameter has $`2|F|+1`$ components . The atoms 23Na and 87Rb have $`|F|=1`$, for example, and their order parameters have three components, similarly to the orbital or the spin part of the superfluid 3He.

These degrees of freedom bring about remarkable differences between the BEC of alkali atoms and that of 4He. The hyperfine spin freezes along the direction of the local magnetic field when a BEC is magnetically trapped. If a BEC is trapped optically, on the other hand, these degrees of freedom manifest themselves and various new phenomena, such as the phase separation between the different spin states that have never been seen in superfluid 4He, may be observed.

It was suggested in  and  that a totally new process for formation of a vortex in a BEC of alkali atoms is possible by making use of the hyperfine degrees of freedom to “control” the BEC. Suppose a BEC is confined in a Ioffe-Pritchard trap. Then a vortex state with two units of circulation can be continuously created from the vortex free superfluid state by simply reversing the axial magnetic field $`B_z`$, parallel to the Ioffe bars. This field is created by a set of pinch coils and can be easily controlled. Four groups have already reported the formation of vortices with three independent methods \[7-11\]. Our method is totally different from the previous ones in that the hyperfine spin degrees of freedom have been fully utilized. The present paper is a sequel to . Here, we conduct further investigations on the formation of a vortex by reversing the axial field $`B_z`$. An optical plug along the axis was introduced in  and  to avoid possible Majorana flips near the axis, that may take place when $`B_z`$ passes through zero. It is expected, however, that trap loss due to Majorana flips may not be very significant if the “dangerous point” $`|B|=0`$ is passed fast enough and that considerable amount of the BEC remains in the trap as the result. This process should not be too fast, however, such that the adiabatic condition is still satisfied. It is a very difficult task to introduce a sharply forcused optical plug along the center of the condensate whose radius is of the order of a few microns. Accordingly we expect that experimental realization of our scenario will be much easier without the optical plug. In the present paper, therefore, we analyze our scenario by numerically integrating the multi-component Gross-Pitaevskii equation.

This paper is organized as follows. In Sec. II, we outline the order parameter and the Gross-Pitaevskii equation for an $`|F|=1`$ BEC. In Sec. III, the Gross-Pitaevskii equation is integrated numerically to analyze the time dependence of the order parameter. It will be shown that merely half of the condensate is lost from the trap if the time dependence of the external magnetic field is chosen properly. Sec. IV is devoted to conclusions and discussions. In the Appendix, it is shown that the formation of a vortex in the present scenario may be understood in terms of the Berry phase.

## II Order Parameter and Gross-Pitaevskii Equation of $`|F|=1`$ BEC

Let us briefly summarize the order parameter and the Gross-Pitaevskii equation for a BEC with the hyperfine spin $`F=1`$ to make this paper self-contained. The readers should be referred to  and  for further details.

The order parameter of a BEC with $`|F|=1`$ has three components $`\mathrm{\Psi }_i(i=1,0,+1)`$ with respect to the basis vectors $`|i`$ defined by $`F_z|i=i|i`$. The order parameter $`|\mathrm{\Psi }`$ is then expanded as

$$|\mathrm{\Psi }=\underset{i=0,\pm 1}{}\mathrm{\Psi }_i|i.$$

It turns out, however, that another set of basis vectors $`|a(a=x,y,z)`$, defined by $`F_a|a=0`$, is more convenient for certain purposes. The order parameter is now expressed as

$$|\mathrm{\Psi }=\underset{a=x,y,z}{}\mathrm{\Psi }_a|a.$$

The transformation matrix from $`\{\mathrm{\Psi }_i\}`$ to $`\{\mathrm{\Psi }_a\}`$ is found in .

The most general form of the Hamiltonian for $`|F|=1`$ atoms, that is rotationally invariant except for the Zeeman term, is

$`\widehat{H}\mu \widehat{N}`$ $`=`$ $`{\displaystyle }[\psi _a^{}({\displaystyle \frac{\mathrm{}^2}{2m}}^2\mu )\psi _a+{\displaystyle \frac{g_1}{2}}(\psi _a^{}\psi _a)^2`$ (1)
$`+{\displaystyle \frac{g_2}{2}}|\psi _a\psi _a|^2+i\epsilon _{abc}\omega _{Lc}\psi _a^{}\psi _b]d^3𝒓,`$
where $`\mathrm{}\omega _{La}=\gamma _\mu B_a`$, $`\gamma _\mu \mu _B/2`$ being the gyromagnetic ratio of the atom. The coupling constants are given by

$$g_1=\frac{4\pi \mathrm{}^2}{m}a_2,g_2=\frac{4\pi \mathrm{}^2}{m}\frac{a_0a_2}{3},$$
(2)
where $`a_2=2.75\mathrm{nm}`$ and $`a_0=2.46\mathrm{nm}`$ .

The Heisenberg equation of motion derived from the above Hamiltonian is

$`i\mathrm{}{\displaystyle \frac{\psi _a}{t}}`$ $`=`$ $`[\psi _a,\widehat{H}\mu \widehat{N}]`$ (3)
$`=`$ $`\left({\displaystyle \frac{\mathrm{}^2}{2m}}^2\mu \right)\psi _a+g_1(\psi _b^{}\psi _b)\psi _a`$
$`+g_2(\psi _b\psi _b)\psi _a^{}+i\epsilon _{abc}\omega _{Lc}\psi _b.`$
By taking the expectation value of the above equation in the mean-field approximation, $`\psi \psi \psi \mathrm{\Psi }\mathrm{\Psi }\mathrm{\Psi }`$, where $`\mathrm{\Psi }_a=\psi _a`$, we obtain

$`i\mathrm{}{\displaystyle \frac{\mathrm{\Psi }_a}{t}}`$ $`=`$ $`\left({\displaystyle \frac{\mathrm{}^2}{2m}}^2\mu \right)\mathrm{\Psi }_a+g_1|\mathrm{\Psi }|^2\mathrm{\Psi }_a`$ (4)
$`+g_2(\mathrm{\Psi })^2\mathrm{\Psi }_a^{}+i\epsilon _{abc}\omega _{Lc}\mathrm{\Psi }_b.`$
This is the fundamental equation which we will use in the rest of this paper.

## III Creation of a Vortex

### III.1 Magnetic Fields

Suppose we confine a BEC in a Ioffe-Pritchard trap with a quadrupole magnetic field

$$𝑩_{}(𝒓)=\left(\begin{array}{c}B_{}(r)\mathrm{cos}(\varphi )\\ B_{}(r)\mathrm{sin}(\varphi )\\ 0\end{array}\right)$$
(5)
and a uniform axial field

$$𝑩_z(t)=\left(\begin{array}{c}0\\ 0\\ B_z(t)\end{array}\right).$$
(6)
Here $`(r,\varphi ,z)`$ are the cylindrical coordinates. The magnitude $`B_{}(r)`$ is proportional to $`r`$ near the axis $`r0`$; $`B_{}(r)B^{}r`$, with $`B^{}`$ being a constant. The system is assumed to be uniform along the $`z`$ direction for calculational simplicity. Our analysis should apply to a cigar-shaped system as well.

Suppose we reverse the $`𝑩_z`$ field slowly, while keeping $`𝑩_{}`$ fixed as shown in Fig. 1. It was shown in  that a vortex with two units of circulation will be formed if we start with a vortex-free BEC. In these papers, an optical plug was introduced along the vortex axis to prevent the atoms from escaping from the trap when $`𝑩=𝑩_{}+𝑩_z`$ vanishes at $`r=0,t=T/2`$. Accordingly, the order parameter remains within the weak-field seeking state (WFSS) throughout the scenario.

We suspect, however, that the BEC may be stable even without the optical plug since $`𝑩`$ vanishes only in $`r=0`$ at the time $`t=T/2`$. This will be justified by solving the Gross-Pitaevskii equation numerically below. In contrast with the previous work, we have to take the full degrees of freedom of the order parameter into account since the energies of the three hyperfine states (the strong-field seeking state, the weak-field seeking state and the neutral state) are degenerate when $`𝑩=0`$.

### III.2 Initial State

We first solve the Gross-Pitaevskii equation in the stationary state to find the initial order parameter configuration and the corresponding chemical potential. There is a sufficient gap between the weak-field seeking state and the other states at $`t=0`$ and the BEC may be assumed to be purely in the weak-field seeking state. Let us parametrize the external magnetic field $`𝑩`$ with use of the polar angles $`\alpha `$ and $`\beta `$ as

$$𝑩(r,t)=𝑩_{}(r)+𝑩_z(t)=|𝑩|\left(\begin{array}{c}\mathrm{sin}\beta \mathrm{cos}\alpha \\ \mathrm{sin}\beta \mathrm{sin}\alpha \\ \mathrm{cos}\beta \end{array}\right),$$
(7)
where $`\alpha =\varphi `$ for the quadrupole field and

$$\beta =\mathrm{tan}^1\left[\frac{|𝑩_{}(r)|}{|𝑩_z(t)|}\right].$$
(8)
Since the hyperfine spin $`𝑭`$ is antiparallel with $`𝑩`$, we must have

$$\widehat{𝒍}=\left(\begin{array}{c}\mathrm{sin}\beta \mathrm{cos}\alpha \\ \mathrm{sin}\beta \mathrm{sin}\alpha \\ \mathrm{cos}\beta \end{array}\right),$$
(9)
where $`\widehat{𝒍}`$ is a unit vector parallel to $`𝑭`$, see Fig. 2.

The most general form for the order parameter yielding the above $`\widehat{𝒍}`$ vector is

$$\mathrm{\Psi }_a=\frac{f_0}{\sqrt{2}}e^{i\gamma }\left(\begin{array}{c}\mathrm{cos}\beta \mathrm{cos}\alpha +i\mathrm{sin}\alpha \\ \mathrm{cos}\beta \mathrm{sin}\alpha i\mathrm{cos}\alpha \\ \mathrm{sin}\beta \end{array}\right)f_0v_a,$$
(10)
where $`\{v_a\}`$ represents the “phase”, while $`f_0`$ is the amplitude of the order parameter. In mathematical terms, $`\{v_a\}`$ defines the local $`SO(3)`$ frame or the “triad” of the real orthonormal vectors $`\{\widehat{𝒎},\widehat{𝒏},\widehat{𝒍\}}`$, where

$$v_a=\frac{1}{\sqrt{2}}e^{i\gamma }(\widehat{𝒎}+i\widehat{𝒏})_a,\widehat{𝒍}=\widehat{𝒎}\times \widehat{𝒏}.$$
(11)
It should be noted that the above order parameter takes the same form as that of the orbital part of the superfluid 3He-A.

One may obtain more insight if the order parameter in Eq. (10) is rewritten in the $`\mathrm{\Psi }_i`$ basis as

$$\mathrm{\Psi }_i=f_0e^{i\gamma }\left(\begin{array}{c}\frac{1}{2}e^{i\alpha }(1\mathrm{cos}\beta )\\ \frac{1}{\sqrt{2}}\mathrm{sin}\beta \\ \frac{1}{2}e^{i\alpha }(1+\mathrm{cos}\beta )\end{array}\right).$$
(12)
The angle $`\beta `$ vanishes at $`r=0`$ (note that $`𝑩_{}=0`$ at $`r=0`$), hence we find $`\mathrm{\Psi }_{+1}=\mathrm{\Psi }_0=0`$ while $`\mathrm{\Psi }_1e^{i(\alpha \gamma )}0`$ there. For the order parameter to be smooth at $`r=0`$, we have to choose

$$\gamma =\alpha =\varphi .$$
(13)
Accordingly, the order parameter takes the form

$$\mathrm{\Psi }_a=\frac{f_0}{\sqrt{2}}e^{i\varphi }\left(\begin{array}{c}\mathrm{cos}\beta \mathrm{cos}\varphi i\mathrm{sin}\varphi \\ \mathrm{cos}\beta \mathrm{sin}\varphi i\mathrm{cos}\varphi \\ \mathrm{sin}\beta \end{array}\right)$$
(14)
in the $`\mathrm{\Psi }_a`$ basis and

$$\mathrm{\Psi }_i=\frac{f_0}{2}\left(\begin{array}{c}(1\mathrm{cos}\beta )e^{2i\varphi }\\ \sqrt{2}\mathrm{sin}\beta e^{i\varphi }\\ 1+\mathrm{cos}\beta \end{array}\right)$$
(15)
in the $`\mathrm{\Psi }_i`$ basis. It follows from Eq. (15) that the state with $`\widehat{𝒍}=\widehat{𝒛}(\beta =0)`$ has a vanishing winding number, while that with $`\widehat{𝒍}=\widehat{𝒛}(\beta =\pi )`$ has the winding number $`2`$. Accordingly, the former state may be continuously deformed to the latter state by changing $`\beta `$ from $`0`$ to $`\pi `$ smoothly, resulting in the formation of a vortex with winding number 2 . It is shown in the Appendix that this phase may also be understood in terms of the Berry phase associated with the adiabatic change of the local magnetic field.

The stationary Gross-Pitaevskii equation is given by

$$\frac{^2}{2m}\mathrm{\Psi }_a+g_1|\mathrm{\Psi }|^2\mathrm{\Psi }_a+g_2\mathrm{\Psi }^2\mathrm{\Psi }_a^{}+i\epsilon _{abc}\mathrm{\Psi }_b\omega _{Lc}=\mu \mathrm{\Psi }_a.$$
(16)
By substituting the WFSS order parameter in Eq. (14) into Eq. (16), we obtain

$`{\displaystyle \frac{\mathrm{}^2}{2m}}\left[^2{\displaystyle \frac{\beta ^2}{2}}{\displaystyle \frac{1}{4r^2}}(78\mathrm{cos}\beta +\mathrm{cos}2\beta )\right]f_0`$
$`+\gamma _\mu B(r)f_0+g_1f_0^3=\mu f_0.`$ (17)
Note that there appears an extra term $`\beta ^2`$ that is missing if this BEC is described by a scalar (namely $`U(1)`$) order parameter. This term originates from $`v_a^{}^2v_a`$ and represents the rotation of the local $`SO(3)`$ frame. In ordinary physical settings, however, this term is smaller than the $`B`$-term by a factor of $`\omega /\omega _L10^3`$ and hence its effect may be negligible in the following arguments.

The amplitude of the external magnetic field has an approximately harmonic potential profile near the origin,

$`B(r,t)`$ $`=`$ $`\sqrt{B_{}^2(r)+B_z^2(t)}\sqrt{B^2r^2+B_z^2(t)}`$ (18)
$``$ $`B_z(t)+{\displaystyle \frac{B^2}{2B_z(t)}}r^2.`$
It turns out to be convenient to scale the energies by the energy-level spacing $`\mathrm{}\omega `$ at $`t=0`$ and the lengths by the harmonic-oscillator length $`a_{\mathrm{HO}}`$, where

$`\omega `$ $`=`$ $`B^{}\sqrt{{\displaystyle \frac{\gamma _\mu }{mB_z(0)}}},`$ (19)
$`a_{\mathrm{HO}}`$ $`=`$ $`\sqrt{{\displaystyle \frac{\mathrm{}}{m\omega }}}.`$ (20)
If we take 23Na and substitute $`B_z(0)=1\mathrm{G}`$ and $`B^{}=300\mathrm{G}/\mathrm{cm}`$, we find $`a_{\mathrm{HO}}9.14\times 10^1\mu \mathrm{m}`$ and $`\mathrm{}\omega 3.49\times 10^{24}\mathrm{erg}`$. For the same choice of the parameters, we have $`\omega _L(r=0,t=0)4.40\times 10^6\mathrm{rad}/\mathrm{s}1.330\times 10^3\omega `$. It is reasonable to assume $`\tau 2\pi /\omega _L(r=0,t=0)1.43\mu \mathrm{s}`$ to be the measure of the adiabaticity.

After these scalings, the dimensionless Gross-Pitaevskii equation takes a simpler form

$`{\displaystyle \frac{1}{2}}\stackrel{~}{}^2\stackrel{~}{f}_0`$ $`+`$ $`\left[\stackrel{~}{B}(r)+{\displaystyle \frac{\beta ^2}{4}}+{\displaystyle \frac{1}{8\stackrel{~}{r}^2}}(78\mathrm{cos}\beta +\mathrm{cos}2\beta )\right]\stackrel{~}{f}_0`$ (21)
$`+\stackrel{~}{g}_1\stackrel{~}{f}_0^3=\stackrel{~}{\mu }\stackrel{~}{f}_0,`$
where $`\stackrel{~}{r}=r/a_{\mathrm{HO}},\stackrel{~}{f}_0=f_0a_{\mathrm{HO}}^{3/2},\stackrel{~}{\mu }=\mu /\mathrm{}\omega `$, $`\stackrel{~}{B}=\gamma _\mu B/\mathrm{}\omega `$ and $`\stackrel{~}{g}_1=g_1/a_{\mathrm{HO}}^3\mathrm{}\omega 0.0378`$. A similar scaling for $`g_2`$ yields $`\stackrel{~}{g}_20.00132`$. Note that the singularity at $`\stackrel{~}{r}=0`$ vanishes if $`\beta (\stackrel{~}{r})`$ approaches to 0 fast enough as $`\stackrel{~}{r}0`$. The tildes will be dropped hereafter whenever it does not cause confusion. The eigenvalue $`\mu `$ may be obtained numerically. For 23Na with $`B_z`$ and $`B^{}`$ given above, we find $`\mu \mathrm{}\omega _L(r=0,t=0)=3.66`$, which amounts to $`1.28\times 10^{23}\mathrm{e}rg`$ in dimensional units. Figure 3 shows the corresponding condensate profile $`f_0(r)`$.

### III.3 Time Development

The time development of the condensate wavefunction is obtained by solving the Gross-Pitaevskii Eq. (4) which is written in dimensionless form as

$`i{\displaystyle \frac{\mathrm{\Psi }_a}{t}}`$ $`=`$ $`{\displaystyle \frac{1}{2}}^2\mathrm{\Psi }_a+g_1|\mathrm{\Psi }|^2\mathrm{\Psi }_a`$ (22)
$`+g_2(\mathrm{\Psi })^2\mathrm{\Psi }_a^{}+i\epsilon _{abc}\mathrm{\Psi }_b\omega _{Lc}.`$
The initial condition is

$$\mathrm{\Psi }_a=f_0(r)v_a,$$
(23)
where $`f_0(r)`$ is obtained in the previous subsection and $`v_a`$ is defined in Eq. (10). The condensate cannot remain within the weak-field seeking state during the formation of a vortex and we have to utilize the full degrees of freedom of the order parameter $`\mathrm{\Psi }_a`$. The Gross-Pitaevskii equation has been solved numerically to find the temporal development of the order parameter while $`B_z`$ changes as

$$B_z(t)=B_z(0)\left[1\frac{2t}{T}\right](0tT),$$
(24)
with several choices for the reversing time $`T`$. Adiabaticity is not guaranteed at $`tT/2`$ when the energy gaps among the weak-field seeking state (WFSS), the neutral state (NS) and the strong-field seeking state (SFSS) disappear. We expect, however, that this breakdown of adiabaticity is not very significant to the condensate since it takes place only along the condensate axis for a short period of time.

We project $`\mathrm{\Psi }_a`$ thus obtained to the local WFSS, NS and SFSS by defining the projection operators to the respective states as

$$\begin{array}{c}\mathrm{\Pi }_{\mathrm{Wab}}=v_av_b^{},\mathrm{\Pi }_{\mathrm{Sab}}=u_au_b^{},\\ \mathrm{\Pi }_{\mathrm{Nab}}=\delta _{ab}\mathrm{\Pi }_{\mathrm{Wab}}\mathrm{\Pi }_{\mathrm{Sab}}\end{array}$$
(25)
where

$$v_a=\frac{1}{\sqrt{2}}(\widehat{𝒎}+i\widehat{𝒏})_a,u_a=\frac{1}{\sqrt{2}}(\widehat{𝒎}i\widehat{𝒏})_a$$
(26)
define the local WFSS and SFSS $`SO(3)`$ frames, respectively.

Figures 4, 6, and 8 depict the amplitudes of the wave functions at $`t=0,T/2\tau ,T/2+\tau `$ and $`T`$ for $`T=10\tau ,100\tau `$, and $`1000\tau `$. Figures 5, 7, and 9 show the particle numbers within the trap for the same choices of $`T`$. To simulate the trap loss, we introduced a function

$$h(r)=\frac{1}{2}\left[1\mathrm{tanh}\left(\frac{rr_0}{\lambda }\right)\right],$$
(27)
with $`r_0=30`$ and $`\lambda =2`$. The wave function $`\mathrm{\Psi }_a(r)`$ is multiplied by $`h(r)`$ after each step of the Crank-Nicholson algorithm. The parameter $`r_0`$ roughly corresponds to the trap size, while $`\lambda `$ is taken large enough to prevent the wavefunction being reflected at $`rr_0`$. Thus particles that reach beyond $`rr_0`$ disappear from the trap. The parameters $`r_0`$ and $`\lambda `$ are introduced for purely computational purposes and should not be confused with any realistic experimental settings. As $`tT`$, the condensates in SFSS and NS disappear from the trap and the particle number reaches its equilibrium value. The bottom row of Figs. 4, 6, and 8 shows the wavefunctions after the equilibrium is attained.

Figure 4 shows the behavior of the condensate when $`T=10\tau `$. In this case, $`B_z(t)`$ is reversed so fast that most of the particles remain in the WFSS at $`t=T/2\tau `$ and they are suddenly converted into the SFSS at $`t=T/2+\tau `$. These particles in the SFSS and the NS are eventually lost from the trap as $`t\mathrm{}`$, see Fig. 5.

Figures 6 and 8 show that the behavior of the condensate is qualitatively similar for $`T=100\tau `$ and $`T=1000\tau `$. The condensate is transferred from the WFSS to the SFSS more efficiently at $`t=T/2\tau `$ for $`T=1000\tau `$ which leads to more WFSS components at $`t=T/2+\tau `$ in this case. At a later time $`t>T`$, the condensate is found to oscillate in the trap with the frequency $`\omega `$.

We have also analyzed the case $`T=10000\tau `$ and found no qualitative difference compared to the case $`T=1000\tau `$. There are slightly more of the NS component in the former case at $`t=T/2\tau `$ than the latter case, which leads to less particles in its equilibrium state at $`tT`$ .

It is certainly desirable to have more particles remaining in the trap when a vortex is created. Figure 10 shows the ratio of the final particle number to the initial particle number as a function of the reversing time $`T`$. Note that the final particle number is evaluated when the equilibrium is reached. It is found that a considerable amount of the condensate $`(1/3)`$ is left in the trap for a wide range of the reversing times $`10^2T/\tau 10^4`$.

In summary, our numerical calculations indicate that a large fraction of the BEC remains in the trap when $`B_z`$ is reversed with proper choices of the reversing time $`T`$. Although there remain SFSS and NS components at $`t=T`$, they eventually disappear from the trap at $`tT`$ when the equilibrium is reached. The condensate is converted into a state with two units of circulation. Thus we conclude that a vortex can be created, even in the absence of an optical plug, by simply reversing the axial field $`B_z`$. We expect that this makes the experimental realization of the present scenario much easier than that with an optical plug .

## IV Conclusions and Discussions

We have analyzed a simple scenario of vortex formation in a spinor BEC. An axial magnetic field is slowly reversed while the quadrupole field has been kept fixed in a Ioffe-Pritchard trap, which results in a formation of a vortex with the winding number $`2`$. The spinor degrees of freedom have been fully utilized which renders our scheme much simpler compared with other methods.

Since the vortex thus created has a higher winding number, it is metastable and eventually breaks up to two singly quantized vortices. The lifetime of the metastable state is quite an interesting quantity to evaluate since its magnitude, compared with the field-reversal time $`T`$ and the trap time, will be crucial to determine the ultimate fate of the vortex.

A similar analysis with an $`F=2`$ BEC is under progress and will be published elsewhere.

###### Acknowledgements.

We would like to thank Kazushiga Machida and Tomoya Isoshima for useful discussions. One of the authors (MN) would like to thank partial support by Grant-in-Aid from Ministry of Education, Culture, Sports, Science and Technology, Japan (Project Nos. 11640361 and 13135215). He also thanks Martti M. Salomaa for support and warm hospitality in the Materials Physics Laboratory at Helsinki University of Technology, Finland.

## Appendix A Vortex Formation and Berry Phase

It is shown that the formation of a vortex in our scenario is understood from a slightly different viewpoint. Namely, we show that the phase appearing in the end of the process may be identified with the Berry phase associated with the adiabatic change of the magnetic field.

Let a point on the unit sphere in Fig. 11 (a) denote the hyperfine spin state with $`F=1`$. All the spins near the origin $`r=0`$ have $`F_z1`$ at $`t=0`$ and hence correspond to the points near the south pole. Now the axial field $`B_z`$ monotonically decreases such that eventually all the spins near the origin have $`F_z+1`$ at $`t=T`$ and hence are expressed by the points near the north pole. The path a spin follows on the unit sphere depends on the position of the spin relative to the origin. Figure 11 (b) shows the configuration of four hyperfine spins $`𝑭`$ at $`t=T/2`$, when $`B_z`$ vanishes and $`𝑭`$ is determined by the quadrupole field. The path $`C_1`$ in Fig. 11 (a) shows the trajectory the spin 1 in Fig. 11 (b) follows when $`t`$ is varied from $`0(\beta =0)`$ to $`T(\beta =\pi )`$. Similarly the path $`C_2`$ in Fig. 11 (a) is the trajectory of the spin 2 in Fig. 11 (b), and so on. When the spins 1 and 2 left the south pole at $`t=0`$, they had the common phase factor, while at $`t=T`$ they obtain the relative phase equal to the solid angle subtended by the trajectories $`C_1`$ and $`C_2`$. The shaded area in Fig. 11 (a) shows this area which subtends the solid angle $`\pi `$. Similarly the paths 1 and 3 (1 and 4) subtend the solid angle $`2\pi `$ ($`3\pi `$), resulting in the relative phase $`2\pi (3\pi )`$ between the spins 1 and 3 (1 and 4), respectively, when $`B_z`$ is completely reversed. Accordingly, as one completes a loop surrounding the origin, one measures the phase change of $`4\pi `$ observing that a vortex formation has taken place.