J.

Differential Equations 245 (2008) 692721

www.elsevier.com/locate/jde
Transversality in scalar reactiondiffusion equations
on a circle

Radoslaw Czaja
a,b
, Carlos Rocha
b,
a
Institute of Mathematics, University of Silesia, Bankowa 14, 40-007 Katowice, Poland
b
Centro de Anlise Matemtica, Geometria e Sistemas Dinmicos, Departamento de Matemtica,
Instituto Superior Tcnico, Av. Rovisco Pais, 1049-001 Lisboa, Portugal
Received 1 August 2007; revised 17 January 2008
Available online 6 March 2008
Abstract
We prove that stable and unstable manifolds of hyperbolic periodic orbits for general scalar reaction
diffusion equations on a circle always intersect transversally. The argument also shows that for a periodic
orbit there are no homoclinic connections. The main tool used in the proofs is Matanos zero number theory
dealing with the Sturm nodal properties of the solutions.
2008 Elsevier Inc. All rights reserved.
MSC: primary 35B10; secondary 35B40, 35K57
Keywords: Periodic orbit; Heteroclinic orbit; Transversality; Global attractor; Zero number
1. Introduction
We consider the scalar reactiondiffusion equation of the form
u
t
=u
xx
+f (x, u, u
x
) (1.1)
for one real variable u = u(t, x) on a circle x S
1
=R/2Z. In other words, we consider (1.1)
together with periodic boundary conditions

Partially supported by the Fundao para a Cincia e a Tecnologia through the Program POCI 2010/FEDER and by
the Project PDCT/MAT/56476/2004.
*
Corresponding author.
E-mail addresses: czaja@math.ist.utl.pt (R. Czaja), crocha@math.ist.utl.pt (C. Rocha).
0022-0396/$ see front matter 2008 Elsevier Inc. All rights reserved.
doi:10.1016/j.jde.2008.01.018
R. Czaja, C. Rocha / J. Differential Equations 245 (2008) 692721 693
u(t, 0) =u(t, 2), u
x
(t, 0) =u
x
(t, 2)
and discuss (1.1) with initial condition
u(0, x) =u
0
(x), x S
1
. (1.2)
Belowwe use suitable assumptions on f so that the problem(1.1), (1.2) denes a global semiow
in X

=H
2
(S
1
),
3
4
< < 1, for which there exists a global attractor, i.e. a nonempty compact
invariant set attracting every bounded subset of X

. The existence of global attractors and other

qualitative properties of the dynamical systems generated by reactiondiffusion equations under
various boundary conditions have been extensively considered in the literature. For the interested
reader we mention the following excellent surveys [12,27,28].
It has been shown in [3,20,21] that time periodic solutions may appear in the description
of dynamics of (1.1). In case the function f does not explicitly depend on the x variable, i.e.
f =f (u, u
x
), it was proved (see [3,9] for details) that the global attractor consists exclusively of
equilibria, orbits of periodic solutions of the form
u(t, x) =v(x ct ), t R, x S
1
with some c = 0 (1.3)
(called rotating waves) and heteroclinic orbits connecting the above-mentioned critical elements,
when all are assumed hyperbolic. Moreover, necessary and sufcient conditions for the existence
of heteroclinic orbits between critical elements were established in [9]. However, as it follows
from [31], in case of general x-dependent nonlinearities homoclinic orbits may belong to the
attractor as well and the periodic solutions do not have to be, in general, of the form (1.3). This
happens due to the lack of S
1
-equivariance, which was a crucial property used in [9] to exclude
homoclinic connections.
One of the most important results concerning (1.1) is the PoincarBendixson type theorem
proved by Fiedler and Mallet-Paret in [8, Theorem 1] (see also [22]). It states that if u
0
X

,
3
4
< <1, then either its -limit set (u
0
) consists in precisely one periodic orbit or (v
0
) and
(v
0
) are subsets of the set of all equilibria for any v
0
(u
0
).
In this paper we investigate closely the situation when a bounded orbit from the global at-
tractor connects two hyperbolic periodic orbits. First, we exclude the existence of a homoclinic
connection for a hyperbolic periodic orbit (cf. [23]) in order to nally prove the main result of this
paper stating that the intersection of the global unstable manifold of a hyperbolic periodic orbit

with the local stable manifold of another hyperbolic periodic orbit

+
is always transversal,
i.e.
W
u
(

) W
s
loc
(
+
).
The paper is organized as follows. In Section 2 we formulate the abstract Cauchy problem
for (1.1)(1.2) and using the theory from [14] we solve the problem locally. Further we obtain
a priori and subordination estimates, which ensure that the solutions exist globally in time. The
semiow of global solutions constructed in this way is point dissipative and compact, thus has a
compact global attractor. In Section 3 we examine the properties of the semiow and the evolu-
tion system for the linearization around a given solution. Moreover, we recall the properties of
the zero number of solutions of linear parabolic equations. Section 4 is devoted to the operator
called a period map for a periodic orbit. We describe its spectrum and decompose the phase space
694 R. Czaja, C. Rocha / J. Differential Equations 245 (2008) 692721
according to the spectrum. We also recall the notions of local stable and unstable manifolds of a
hyperbolic periodic orbit and list their properties. In Section 5 we analyze the local stable mani-
fold of a hyperbolic periodic orbit and show that for any u
0
/ from the local stable manifold
of there exists a such that u(t ; u
0
) p(t ; a) tends exponentially to 0 as t and
z(u
0
a) i() +1 +
1 +(1)
i()
2
, (1.4)
where i() denotes the total algebraic multiplicity of eigenvalues of the period map for out-
side the closed unit ball. Similarly, in Section 6 we investigate the global unstable manifold of
a hyperbolic periodic orbit . We prove that for any u
0
/ from the global unstable manifold
there exists a such that u(t ; u
0
) p(t ; a) tends exponentially to 0 as t and
z(u
0
a) i() 1 +
1 +(1)
i()
2
. (1.5)
In Section 7 we combine the estimates (1.4) and (1.5) and nd, in particular, that there is no
homoclinic connection for a hyperbolic periodic orbit. Finally, in Section 8 we follow the ideas
from [6] and introduce ltrations of the phase space with respect to the asymptotic behavior of
solutions for the linearized equation around an orbit connecting two hyperbolic periodic orbits.
A proper choice of the spaces from the ltrations carefully combined with the corresponding zero
number estimates for the functions from these spaces yields the transversality of the intersection
of the stable and unstable manifolds of two hyperbolic periodic orbits. The transversal intersec-
tion of invariant manifolds of critical elements is one of the ingredients for genericity results (cf.
e.g. KupkaSmale theorem) or structural stability theorems (cf. [13, Chapter 10], [24]) in the
theory of dynamical systems. In Section 9 we make some concluding remarks about structural
stability for the semiow generated by (1.1).
Under different boundary conditions many authors have considered problems of the same type
as discussed here. For separated boundary conditions, the results of Henry [15] and Angenent
[1] on the transversality of the stable and unstable manifolds of stationary solutions constitute
obligatory references. A problem of this type has also been considered by Chen, Chen and Hale
in [6] for nonautonomous time periodic equations with f =f (t, x, u) under Dirichlet boundary
conditions. The effect of radial symmetry on the transversality of stable and unstable manifolds of
equilibria for problems dened on symmetric domains in R
n
has been studied by Pol cik in [26].
For special classes of ordinary differential equations on R
n
, Fusco and Oliva have considered the
transversality between stable and unstable manifolds of equilibria and periodic orbits (see [10,
11]). Here we extend the results of [11] realizing the plans sketched by these authors for further
possible extensions.
2. Abstract setting of the problem and existence of the global attractor
Assume that f : S
1
RRR is a C
2
function satisfying the following conditions
there exist 0 <2 and a continuous function k : [0, ) [0, ) such that

f (x, y, z)

k(r)
_
1 + |z|

_
, (x, y, z) S
1
[r, r] R for each r >0, (2.1)
yf (x, y, 0) <0, (x, y) S
1
R, |y| K for some K >0. (2.2)
R. Czaja, C. Rocha / J. Differential Equations 245 (2008) 692721 695
In this paper we are going to use fractional Sobolev spaces of 2-periodic functions H
s
(S
1
),
s > 0, and their properties (cf. [29, Appendix A]). Among others we will frequently use the
Sobolev embedding
H
s
_
S
1
_
C
1
_
S
1
_
if s >
3
2
.
We consider the operator A: L
2
(S
1
) H
2
(S
1
) L
2
(S
1
) given by
Au =u
xx
+u, u H
2
_
S
1
_
.
Since A is a positive denite self-adjoint operator, it is a positive sectorial operator. Henceforth
we consider fractional power spaces
X

=D
_
A

_
, 0,
with norms u
X
= A

u
L
2
(S
1
)
, u X

(cf. [14, Section 1.4]). Note that X

0
= L
2
(S
1
),
X
1
=H
2
(S
1
) and
X

=
_
L
2
_
S
1
_
, H
2
_
S
1
__

=H
2
_
S
1
_
, (0, 1)
(see [35, Section 1.18.10] and [32, Section 3.6.1]). Since H
2
(S
1
) is compactly embedded in
L
2
(S
1
), it follows that A has a compact resolvent.
We rewrite (1.1), (1.2) as an abstract Cauchy problem in X
0
_
u
t
+Au =F(u),
u(0) =u
0
,
(2.3)
where F is the Nemycki operator corresponding to
F(u)(x) =f
_
x, u(x), u
x
(x)
_
+u(x), x S
1
.
For a xed (
3
4
, 1), F takes X

into X
0
and is Lipschitz continuous on bounded subsets of X

.
By the theory presented in [14] it follows that for each u
0
X

there exists a unique local

forward X

solution dened on a maximal interval of existence, i.e.

u C
_
[0,
u
0
), X

_
C
1
_
(0,
u
0
), X
0
_
C
_
(0,
u
0
), X
1
_
and satises (2.3) on [0,
u
0
) in X
0
. Moreover, either
u
0
= or

u
0
< and limsup
t
u
0
_
_
u(t ; u
0
)
_
_
X

=.
Using assumption (2.2) and the maximum principle it follows that if for some R 0 we have
u
0

(S
1
)
K +R, then there exists a positive constant =(K, R) such that
_
_
u(t ; u
0
)
_
_
L

(S
1
)
K +Re
t
, t [0,
u
0
). (2.4)
This implies that each forward X

solution is bounded in L

(S
1
).
696 R. Czaja, C. Rocha / J. Differential Equations 245 (2008) 692721
Observe that by using Youngs inequality we can assume without loss of generality that
1 < <2 in (2.1). Applying (2.4) to (2.1), we obtain
_
_
F
_
u(t ; u
0
)
__
_
X
0
c
_
u
0

(S
1
)
__
1 +
_
_
u(t ; u
0
)
_
_

W
1,2
(S
1
)
_
, t (0,
u
0
). (2.5)
Fix r >max{
1
2
, 2} and let be such that
1
2
_
+
1
r
( 1)
_
< <1.
Then for a chosen

_
1 +
1
r

1
2
2 +
1
r

1
2
,
1

_
such that
r2
(r2)
the following interpolation inequality is satised
_
_
u(t ; u
0
)
_
_
W
1,2
(S
1
)
c

_
_
u(t ; u
0
)
_
_

H
2
(S
1
)
_
_
u(t ; u
0
)
_
_
1
L
r
(S
1
)
, t (0,
u
0
), (2.6)
due to the embedding (cf. [32, Section 3.6.1])
_
L
r
_
S
1
_
, H
2
_
S
1
__

W
1,2
_
S
1
_
.
Since X

= H
2
(S
1
) and L

(S
1
) is continuously embedded in L
r
(S
1
), we obtain from (2.5),
(2.6) and again (2.4) the following subordination condition
_
_
F
_
u(t ; u
0
)
__
_
X
0
c
_
u
0

(S
1
)
__
1 +
_
_
u(t ; u
0
)
_
_

_
, t (0,
u
0
), (2.7)
with <1.
By [7, Theorem 3.1.1] it follows that each forward X

solution of (2.3) exists globally in time

(
u
0
=) and denoting by u(; u
0
) this solution,
S(t )u
0
=u(t ; u
0
), t 0,
denes a C
0
semiow of global forward X

solutions having positive semiorbits of bounded sets

bounded. In fact the above statement holds for X

solutions, since we have proved the existence

of local forward X

solutions and we know that, by denition, they enter X

1
immediately and
for t >0 we may consider them as X

solutions that exist globally in time.

Note that now (2.4) implies that the estimate of solutions in L

(S
1
) is asymptotically inde-
pendent of initial conditions
limsup
t
_
_
u(t ; u
0
)
_
_
L

(S
1
)
K.
Then by [7, Theorem 4.1.1] there exists a constant K
1
>0 such that
limsup
t
_
_
u(t ; u
0
)
_
_
X

K
1
. (2.8)
R. Czaja, C. Rocha / J. Differential Equations 245 (2008) 692721 697
Therefore the semiow {S(t ): t 0} is point dissipative in X

. Note also that S(t ) is a compact

map on X

for each t > 0 by [7, Theorem 3.3.1], since A has a compact resolvent. Thus the
semiow {S(t ): t 0} has a global attractor A in X

. We recall that A is then the union of all

bounded orbits.
3. Properties of the semiow
Fix s R. Let u(; s, ) be the global forward X

solution of the problem

_
u
t
+Au =F(u), t >s,
u(s) =.
(3.1)
Since f is C
2
, it follows from [14, Theorem 3.4.4, Corollary 3.4.6] that the function
(s, ) X

(t, ) u(t ; s, ) X

is continuously differentiable. Moreover, for each xed t s the function

X

u(t ; s, ) X

is also continuously differentiable and, for each X

, its derivative in the -direction given by

w(t ; s, ) =D

u(t ; s, ) X

, t s,
is a unique global forward X

solution of the linear variational problem

_
w
t
+Aw =D
u
F
_
u(t ; s, )
_
w, t >s,
w(s) =.
(3.2)
Taking into account the regularity of X

solutions we see that (3.2) is the abstract equivalent of

_
w
t
=w
xx
+b(t, x)w +d(t, x)w
x
, t >s, x S
1
,
w(s, x) =(x), x S
1
,
(3.3)
where
b(t, x) =f
y
_
x, u(t ; s, )(x), u
x
(t ; s, )(x)
_
, t >s, x S
1
,
d(t, x) =f
z
_
x, u(t ; s, )(x), u
x
(t ; s, )(x)
_
, t >s, x S
1
.
We dene the evolution system
T (t, s) =w(t ; s, ), t s, X

, (3.4)
where w(t ; s, ) is a unique global forward X

solution of (3.2). Note that we have T (t, s) =

D

u(t ; s, ) , so it follows that T (t, 0) = (D

u
0
S(t )u
0
) . Moreover, for t > s the operator
T (t, s) L(X

, X

) is compact in the Hilbert space X

(see [14, Section 7.1]).

Below we prove the injectivity of the semiow {S(t ): t 0} and the injectivity of
{T (t, s): t s}.
698 R. Czaja, C. Rocha / J. Differential Equations 245 (2008) 692721
To show that the semiow is injective in X

suppose that for some u

1
, u
2
X

and some
t
0
>0 we have
S(t
0
)u
1
=S(t
0
)u
2
.
Dene v(t ) =S(t )u
1
S(t )u
2
, t 0. Then we have
_
v
t
+Av =F
_
S(t )u
1
_
F
_
S(t )u
2
_
, t >0,
v(0) =u
1
u
2
.
(3.5)
Moreover, we know that v(t
0
) = 0. Note that A is a positive denite self-adjoint operator in the
Hilbert space X
0
=L
2
(S
1
) and X

X
1
2
. Furthermore,
v C
_
[0, ), X

_
C
1
_
(0, ), X
0
_
C
_
(0, ), X
1
_
and
_
_
F
_
S(t )u
1
_
F
_
S(t )u
2
__
_
X
0
L
_
_
S(t )u
1
S(t )u
2
_
_
X
1
2
=L
_
_
v(t )
_
_
X
1
2
, t [0, ),
where L is a constant depending on
sup
t [0,)
_
_
S(t )u
i
_
_
X

<, i = 1, 2.
By [7, Proposition 7.1.1] (see also [34, Lemmas 6.1, 6.2]) we get
v(t ) = 0, t [0, t
0
].
In particular, we obtain u
1
=u
2
. This proves the injectivity of the semiow.
Suppose now that
T (t
0
, s
0
) = 0
for some t
0
>s
0
and X

. Dene w(t ) =T (t +s
0
, s
0
) , t 0, and choose any T
0
>t
0
s
0
.
Then we have
_
w
t
+Aw =D
u
F
_
u(t +s
0
; s
0
, )
_
w, 0 <t T
0
,
w(0) =.
(3.6)
Moreover, we know that w(t
0
s
0
) = 0. For t [0, T
0
] we estimate
_
_
D
u
F
_
u(t +s
0
; s
0
, )
_
w(t )
_
_
X
0
C
1
_
_
w(t )
_
_
X
0
+C
2
_
_
w(t )
_
_
X
1
2
M
_
_
w(t )
_
_
X
1
2
,
where C
1
and C
2
depend on
sup
(t,x)[0,T
0
]S
1

f
y
_
x, u(t +s
0
; s
0
, )(x), u
x
(t +s
0
; s
0
, )(x)
_

,
sup
(t,x)[0,T
0
]S
1

f
z
_
x, u(t +s
0
; s
0
, )(x), u
x
(t +s
0
; s
0
, )(x)
_

,
R. Czaja, C. Rocha / J. Differential Equations 245 (2008) 692721 699
respectively. Thus the assumptions of [7, Proposition 7.1.1] are fullled again and
w(t ) = 0, t [0, t
0
s
0
].
In particular, we obtain = 0. This proves the injectivity of T (t, s), t s.
Observe also that by the backward uniqueness of the adjoint equation of (3.3) (see [17]) the
adjoint operator T (t, s)

is injective and by [14, Theorem 7.3.3] each operator T (t, s), t s, has
a dense range.
In what follows we are going to use frequently the properties of the zero number of a C
1
func-
tion referring to the Sturm nodal properties of the solutions of (3.7) (see [33]) so successfully
reintroduced by Matano (cf. [19]) as an essential tool for the description of the dynamics of
scalar semilinear parabolic equations. We denote by z() the number of strict sign changes of
a C
1
function : S
1
R. Then, as a consequence of the maximum principle, the zero number
has the following properties.
Lemma 3.1. (See [21, Lemma 3.2], [2].) Let J R be an open interval and v be a nontrivial
classical solution of the linear parabolic equation
v
t
=v
xx
+b(t, x)v +d(t, x)v
x
, t J, x S
1
, (3.7)
where b, b
x
, b
t
and d are bounded on any compact subset of J S
1
, then the zero number of v(t )
has the following properties:
(i) z(v(t )) is nite for any t J,
(ii) z(v(t )) is nonincreasing in t on J,
(iii) z(v(t )) drops strictly at t =t
0
if and only if
S
1
x v(t
0
)(x) R
has a multiple zero.
Observe that the assertions of this lemma hold for the zero number of the difference of two
different solutions for a scalar semilinear parabolic equation.
Lemma 3.2. (See [21, Lemma 3.4].) If u
1
and u
2
are two different X

solutions of (1.1) dened

on an open interval J, then v(t ) = u
1
(t ) u
2
(t ), t J, satises the linear parabolic equation
(3.7) with
b(t, x) =
1
_
0
f
y
_
x, u
1
+(1 )u
2
, (u
1
)
x
+(1 )(u
2
)
x
_
d,
d(t, x) =
1
_
0
f
z
_
x, u
1
+(1 )u
2
, (u
1
)
x
+(1 )(u
2
)
x
_
d,
and the assertions of Lemma 3.1 hold.
700 R. Czaja, C. Rocha / J. Differential Equations 245 (2008) 692721
4. The period map
Consider a periodic orbit with period >0 and choose a periodic point a . Thus
=
_
p(t ): t [0, )
_
,
where p : R X
1
is a periodic solution of (2.3) with p(0) = a. We consider the linear varia-
tional problem (3.2) around p and the corresponding evolution operators T (t, s), t s. In par-
ticular, the operator T

=T (, 0) =D
u
0
S()a is called a period map (cf. [14, Denition 7.2.1])
and the function w(t ) =T (t, 0) satises the linear nonautonomous equation
w
t
=w
xx
+b(t, x)w +d(t, x)w
x
, t >0, x S
1
, (4.1)
with
b(t, x) =f
y
_
x, p(t )(x), p
x
(t )(x)
_
, d(t, x) =f
z
_
x, p(t )(x), p
x
(t )(x)
_
.
Since T

is a bounded compact operator in the Hilbert innite-dimensional space X

, the
spectrum (T

) of T

consists of 0 and a countable number of eigenvalues converging to 0. Each

of these eigenvalues is called a characteristic multiplier and has a nite algebraic multiplicity.
Moreover, if we choose p() instead of a and linearize around the periodic solution
p( + ), then the evolution operators are T ( + t, + s), so the period map is equal to
T ( + , ) = D
u
0
S()p(). Thus, by [14, Lemma 7.2.2], the spectrum of T

= D
u
0
S()a
does not depend on the choice of the periodic point a , but the eigenfunctions do depend
on a. Observe also that 1 is always a characteristic multiplier with the corresponding eigenfunc-
tion p
t
(0) X
1
(cf. [14, Lemma 8.2.2]). If 1 is a simple eigenvalue of T

unique on the unit

circle, we say that is a hyperbolic periodic orbit.
We put the multipliers in a sequence {
j
}
j0
such that they appear according to their alge-
braic multiplicity and are ordered by |
j+1
| |
j
|. It was shown in [3] that for all j 0 we
have |
2j+1
| < |
2j
|. In other words, denoting by E
j
() the real generalized eigenspace of
{
2j1
,
2j
} for j 1 and by E
0
() the real eigenspace corresponding to the isolated eigen-
value
0
, we know that dimE
0
() = 1 and dimE
j
() = 2, j 1. Moreover, [3, Theorem 2.2]
yields that any nonzero E
j
(), j 0, has only simple zeros and z() = 2j.
Now we consider three projections connected with the decomposition of the spectrum of T

=
1
2i
_

(I T

)
1
d, {s, c, u},
where

, {s, c, u}, is a closed regular curve surrounding in mathematically positive sense

and separating from the rest of the spectrum of T

the following subsets of the spectrum of T

s
=
_
(T

): || <1
_
,
c
=
_
(T

): || = 1
_
,
u
=
_
(T

): || >1
_
,
respectively. Note that dimP
u
X

, called the Morse index i(), is nite and equals the total
algebraic multiplicity of multipliers outside the closed unit ball. Similarly dimP
c
X

is nite and
equals the total algebraic multiplicity of multipliers on the unit circle.
R. Czaja, C. Rocha / J. Differential Equations 245 (2008) 692721 701
Observe that X

= P
u
X

P
c
X

P
s
X

and P

, {s, c, u}, are positively invariant

subspaces of T

and
(T

|
P

X
) =

.
Furthermore, the eigenvectors of T

belong to X
1
, so P

X
1
, {c, u}. Moreover, T

maps
bijectively P
u
X

onto P
u
X

and P
c
X

onto P
c
X

.
Assume that is a hyperbolic periodic orbit. Consequently, we have P
c
X

= span{p
t
(0)}.
We consider the Poincar map P
a
for the semiow {S(t )} corresponding to the cross section
a + P
u
X

+ P
s
X

(see [14, Section 8.4], [30, Section 4.1]). Then the spectrum of the tangent
map to P
a
at a is equal to (T

) \ {1} and hence a is a hyperbolic xed point of P

a
. Therefore
is hyperbolic in the sense of [30].
Since a hyperbolic periodic orbit is a normally hyperbolic manifold for {S(t )} (see [30,
Remark 14.3(c)]), it follows from [30, Theorem 14.2, Remark 14.3] (see also [30, Section 6.3])
that the local stable manifold of in a small neighborhood U of dened by
W
s
loc
() =
_
u
0
X

: S(t )u
0
U, t 0
_
is a C
1
submanifold of X

with codimW
s
loc
() =i(), whereas the local unstable manifold of
in U dened by
W
u
loc
() =
_
u
0
X

:
{u
s
}
s0
S(t )u
s
=u
t s
, 0 t s and u
s
U, s 0
_
is a C
1
submanifold of X

with dimW
u
loc
() =i() +1.
Moreover, W
s
loc
() is brated by local strong stable manifolds at each a
W
s
loc
() =
_
a
W
ss
loc
(a)
and W
u
loc
() by local strong unstable manifolds at each a
W
u
loc
() =
_
a
W
su
loc
(a),
where, for sufciently small >0, we have the following characterizations with certain ,

>0
W
ss
loc
(a) =
_
u
0
X

:
_
_
S(t )u
0
S(t )a
_
_
X

< for t 0 and

lim
t
e
t
_
_
S(t )u
0
S(t )a
_
_
X

= 0
_
,
W
su
loc
(a) =
_
u
0
X

:
{u
t
}
t 0
_
_
u
t
S(t )
1
a
_
_
X

< for t 0,
S(r)u
s
=u
rs
for 0 r s and lim
t
e

t
_
_
u
t
S(t )
1
a
_
_
X

= 0
_
.
From [30, Section 15.2] (see also [4]) it follows that for each a , W
ss
loc
(a) is a C
1
submanifold
of X

tangent at a to P
s
X

and W
su
loc
(a) is a C
1
submanifold of X

tangent at a to P
u
X

.
702 R. Czaja, C. Rocha / J. Differential Equations 245 (2008) 692721
5. Local stable manifold of a hyperbolic periodic orbit
In this section we consider a hyperbolic parabolic orbit with period > 0 and show that
for any u
0
W
s
loc
() \ there exists a such that u(t ; u
0
) p(t ; a) tends exponentially to
0 as t and
z(u
0
a) i() +1 +
1 +(1)
i()
2
. (5.1)
Choose u
0
W
s
loc
() \ and let a be such that u
0
W
ss
loc
(a). We consider the corre-
sponding solutions u(t ) = S(t )u
0
and p(t ) = S(t )a of (2.3). Let v(t ) = u(t ) p(t ), t 0, and
note that v satises the nonautonomous linear equation
1
v
t
=v
xx
+

b(t, x)v +

d(t, x)v
x
, t >0, x S
1
, (5.2)
where

b(t, x) =
1
_
0
f
y
_
x, u(t )(x) +(1 )p(t )(x), u
x
(t )(x) +(1 )p
x
(t )(x)
_
d,

d(t, x) =
1
_
0
f
z
_
x, u(t )(x) +(1 )p(t )(x), u
x
(t )(x) +(1 )p
x
(t )(x)
_
d.
We also have with some >0
lim
t
e
t
_
_
v(t )
_
_
X

= 0. (5.3)
We consider the sequence v(n) = u(n) a, n N. Note that u(n) W
ss
loc
(a) for all n N.
Changing the norms to the equivalent ones, if necessary, but keeping the notation, we observe
that
W
ss
loc
(a) =
_
u =a +h
_
P
s
(u a)
_
+P
s
(u a): u B
X
(a, )
_
, (5.4)
where h : B
P
s
X
(0, ) B
P
u
X

P
c
X
(0, ) is a C
1
function such that h(0) = 0 and h

(0) = 0.
Let
= max
_
|
j
|: |
j
| <1
_
.
Then {
j
: |
j
| = } is a spectral set for T

and we denote the corresponding projection in X

by P. If i() = 2N 1, then
2N1
= 1 and
2N
form a spectral set and thus PX

is the
one-dimensional space spanned by the eigenfunction corresponding to
2N
, so PX

E
N
()
and
z() = 2N =i() +1 for PX

\ {0}. (5.5)
1
v(t ) = 0 for all t 0, since u
0
/ .
R. Czaja, C. Rocha / J. Differential Equations 245 (2008) 692721 703
If i() = 2N, then
2N
= 1 and PX

is either E
N+1
() or the one-dimensional space spanned
by the eigenfunction corresponding to
2N+1
. In both cases we have PX

E
N+1
() and
z() = 2N +2 =i() +2 for PX

\ {0}. (5.6)
It can be shown that for each a the set
W
f s
loc
(a) =
_
u
0
X

:
_
_
S(t )u
0
S(t )a
_
_
X

< for t 0 and

lim
t
e
t
_
_
S(t )u
0
S(t )a
_
_
X

= 0
_
for a certain = ( ) > is a C
1
submanifold of X

, tangent at a to (P
s
P)X

. We call
W
f s
loc
(a) the local fast stable manifold at a .
We are going to show that if u
0
W
ss
loc
(a) \ W
f s
loc
(a), then there exists a sequence t
k

such that the normalized vectors u(t
k
; u
0
) p(t
k
; a) tend to some PX

\ {0}. Consequently,
the zero number estimates for elements from PX

\ {0} given in (5.5) and (5.6) will lead to (5.1)

for u
0
W
ss
loc
(a) \ W
f s
loc
(a). We will also show that (5.1) for u
0
W
f s
loc
(a) \ {a} follows from the
previous case and the fact that W
f s
loc
(a) is a submanifold of W
ss
loc
(a) with codimension 1 or 2
within W
ss
loc
(a).
Following [5, Lemma 2.2], we begin by proving that for u
0
W
ss
loc
(a) \ W
f s
loc
(a) the
(P
s
P)X

-coordinate of v(n) tends faster to zero than its PX

-coordinate.
Lemma 5.1. For u
0
W
ss
loc
(a) \ W
f s
loc
(a) we have
(P
s
P)v(n)
X

Pv(n)
X

0 as n . (5.7)
Proof. Note that
W
f s
loc
(a) =
_
u =a +g
_
(P
s
P)(u a)
_
+(P
s
P)(u a), u B
X
(a, )
_
,
where g : B
(P
s
P)X
(0, ) B
(P
u
+P+P
c
)X
(0, ) is C
1
and g(0) = 0, g

(0) = 0, is a subset
of W
ss
loc
(a). Taking into account (5.4) and setting y = P(u a) and z = (P
s
P)(u a) for
u W
ss
loc
(a), we see that
W
f s
loc
(a) =
_
u =a +h(y +z) +y +z W
ss
loc
(a): y =Pg(z), z B
(P
s
P)X
(0, )
_
.
This means that in the coordinates (y, z) for W
ss
loc
(a) the manifold W
f s
loc
(a) is a graph of the
function y =Pg(z).
Consider rst the behavior of the sequence {v(n)} for u
0
W
ss
loc
(a). Denote by

T (t, s) :
X

, t s 0, the linear evolution operator corresponding to (5.2). We know that

U
n
=

T
_
(n +1), n
_
T

0 as n (5.8)
704 R. Czaja, C. Rocha / J. Differential Equations 245 (2008) 692721
in the operator norm of L(X

, X

) (see (4.1), (5.2)). Indeed, v(t ) =

T (t, n), t [n, (n +
1)], with X

, satises
v
t
=v
xx
+

b(t, x)v +

d(t, x)v
x
, t
_
n, (n +1)
_
, x S
1
, v(n) =.
We change the variables v
n
(s) =v(s +n), s [0, ]. Then v
n
satises
_
v
n
s
= v
n
xx
+

b(s +n, x) v
n
+

d(s +n, x) v
n
x
, s (0, ], x S
1
,
v
n
(0) =.
(5.9)
Moreover, for w(s) =T (s, 0), s [0, ], from (4.1) we have
w
s
=w
xx
+b(s, x)w +d(s, x)w
x
, s (0, ], x S
1
, w(0) =.
Dene z
n
(s) = v
n
(s) w(s), s [0, ], and note that it satises
z
n
s
=z
n
xx
+b(s, x)z
n
+d(s, x)z
n
x
+
_

b(s +n, x) b(s, x)

_
v
n
+
_

d(s +n, x) d(s, x)

_
v
n
x
,
with z
n
(0) = 0. If we denote by G(t, ), 0 t , the evolution operator in X
0
for
z
s
=z
xx
+b(s, x)z +d(s, x)z
x
, then we obtain (see [18, (6.1.18), (6.1.19)])
_
_
G(t, )
_
_
X

C
X
, 0 t , X

,
_
_
G(t, )
_
_
X

C
(t )

X
0 , 0 <t , X
0
,
and
z
n
(s) =
s
_
0
G(s, )h
n
() d, 0 s ,
where h
n
() =(

b( +n) b()) v
n
+(

d( +n) d()) v
n
x
. Thus we get
_
_
z
n
(s)
_
_
X

C
s
_
0
1
(s )

_
_
h
n
()
_
_
X
0
d. (5.10)
Moreover, from the variation of constants formula and (5.9) we obtain
_
_
v
n
(s)
_
_
X

c
X
+c
s
_
0
1
(s )

_
_
b() v
n
+d() v
n
x
+
_

b( +n) b()
_
v
n
+
_

d( +n) d()
_
v
n
x
_
_
X
0
d.
Note that by the regularity of f we have

b(, x)

M,

d(, x)

M, [0, ], x S
1
,
R. Czaja, C. Rocha / J. Differential Equations 245 (2008) 692721 705
and

b( +n, x) b(, x)

M,

d( +n, x) d(, x)

M,
for any [0, ], x S
1
and n N. Therefore
_
_
v
n
(s)
_
_
X

c
X
+2Mc c
s
_
0
1
(s )

_
_
v
n
()
_
_
X

d, s [0, ].
From a Volterra type inequality we obtain for L =L(c, c, M, ) >0
_
_
v
n
(s)
_
_
X

L
X
, s [0, ]. (5.11)
Fix >0 and let n
0
N be such that for n n
0
we have for any [0, ], x S
1

b( +n, x) b(, x)

<
(1 )
C cL
1
,

d( +n, x) d(, x)

<
(1 )
C cL
1
.
Hence from (5.10) and (5.11) we get
_
_
z
n
()
_
_
X

(1 )
L
1

_
0
1
( )

_
_
v
n
()
_
_
X

d
X
.
This shows that U
n
0 in L(X

, X

).
Note that by denition v(n) =u(n) a with u(n) W
ss
loc
(a) and
v
_
(n +1)
_
=

T
_
(n +1), n
_
v(n).
Rewriting this equation in coordinates (y, z), we obtain with y
n
= Pv(n) and z
n
= (P
s

P)v(n)
_
y
n+1
=P

T
_
(n +1), n
__
h(y
n
+z
n
) +y
n
+z
n
_
,
z
n+1
=(P
s
P)

T
_
(n +1), n
__
h(y
n
+z
n
) +y
n
+z
n
_
.
Using the denition of U
n
in (5.8) and the properties of projections, our system can be written as
_
y
n+1
=PT

Py
n
+PU
n
_
h(y
n
+z
n
) +y
n
+z
n
_
,
z
n+1
=(P
s
P)T

(P
s
P)z
n
+(P
s
P)U
n
_
h(y
n
+z
n
) +y
n
+z
n
_
.
(5.12)
Finally, we make the change of coordinates y = y Pg(z), z = z, use the fact that in the new
coordinates W
f s
loc
(a) is described by the equation y = 0 and get
_
y
n+1
=PT

P y
n
+G
n
( y
n
, z
n
),
z
n+1
=(P
s
P)T

(P
s
P) z
n
+H
n
( y
n
, z
n
),
(5.13)
where
706 R. Czaja, C. Rocha / J. Differential Equations 245 (2008) 692721
G
n
( y
n
, z
n
) =PU
n
_
h
_
y
n
+Pg( z
n
) + z
n
_
+ y
n
h
_
Pg( z
n
) + z
n
__
,
H
n
( y
n
, z
n
) =(P
s
P)U
n
_
h
_
y
n
+Pg( z
n
) + z
n
_
+ y
n
+Pg( z
n
) + z
n
_
.
Considering the spectra (PT

P) and ((P
s
P)T

(P
s
P)), we see that there exist
0 < r < and 0 < <
r
2
and norms equivalent to the original ones in the spaces PX

and
(P
s
P)X

such that

(P
s
P)T

(P
s
P) z

(P
s
P)X

(r +)||| z|||
(P
s
P)X
, z (P
s
P)X

, (5.14)

PT

P y

PX

( )||| y|||
PX
, y PX

. (5.15)
Indeed, choose 0 <r < so that
lim
n

_
(P
s
P)T

(P
s
P)
_
n

1
n
L((P
s
P)X

,(P
s
P)X

)
<r.
Then we set
||| z|||
(P
s
P)X
=

n=0
r
n
_
_
_
(P
s
P)T

(P
s
P)
_
n
z
_
_
(P
s
P)X

, z (P
s
P)X

.
The estimate (5.14) follows easily. Since
lim
n
_
_
(PT

P)
n
_
_
1
n
L(PX

,PX

)
=
1

,
we can dene
||| y|||
PX
=

n=0
( )
n
_
_
(PT

P)
n
y
_
_
PX

, y PX

.
Then the estimate (5.15) is straightforward.
Choose now (
r+

, 1). Then there exists
0
=
0
(r, , , ) > 0 such that for every
0 < <
0
we have
r ++

<.
Observe that (5.8) and the properties of h and g as well as the fact that
||| y
n
|||
PX
+ ||| z
n
|||
(P
s
P)X
0 as n
imply that for every 0 < <
0
there exists n
0
=n
0
() N such that for any n n
0
we have

G
n
( y
n
, z
n
)

PX

||| y
n
|||
PX
(5.16)
and

H
n
( y
n
, z
n
)

(P
s
P)X

_
||| y
n
|||
PX
+ ||| z
n
|||
(P
s
P)X

_
. (5.17)
R. Czaja, C. Rocha / J. Differential Equations 245 (2008) 692721 707
Assume now that u
0
W
ss
loc
(a) \ W
f s
loc
(a). Then y
n
= 0 for all n N. Applying (5.14), (5.15),
(5.16) and (5.17) to (5.13), we estimate for n n
0
||| z
n+1
|||
(P
s
P)X

||| y
n+1
|||
PX

r ++

||| z
n
|||
(P
s
P)X

||| y
n
|||
PX

+


. (5.18)
Choose (0, 1 ). Therefore, from (5.18) we infer that
if
||| z
n
|||
(P
s
P)X

||| y
n
|||
PX

( )
, then
||| z
n+1
|||
(P
s
P)X

||| y
n+1
|||
PX

( +)
||| z
n
|||
(P
s
P)X

||| y
n
|||
PX

. (5.19)
Fix any >0. Choose 0 < <
0
such that

( )
<. Suppose that for every n n
0
=n
0
()
we have ||| z
n
|||
(P
s
P)X
||| y
n
|||
PX
. Then by (5.19) we get

( )
<
||| z
n
|||
(P
s
P)X

||| y
n
|||
PX

( +)
nn
0
||| z
n
0
|||
(P
s
P)X

||| y
n
0
|||
PX

, n n
0
,
which is a contradiction. Therefore, there exists n
1
n
0
such that ||| z
n
1
|||
(P
s
P)X
<||| y
n
1
|||
PX
.
Hence from (5.18) it follows that for every n n
1
we have
||| z
n
|||
(P
s
P)X

||| y
n
|||
PX

<.
Since >0 was chosen arbitrarily, this shows that
z
n

y
n
Pg(z
n
)
X

0 as n . (5.20)
Since g(0) = 0 and g

(0) = 0, we know that y

n
= 0 for all sufciently large n and
z
n

y
n

z
n

y
n
Pg(z
n
)
X

_
1 +
Pg(z
n
)
X

y
n

_
,
i.e. we have
z
n

y
n

_
1
Pg(z
n
)
X

y
n
Pg(z
n
)
X

z
n

y
n
Pg(z
n
)
X

.
This shows that
z
n

y
n

0 as n ,
or in other words (5.7), which completes the proof.
708 R. Czaja, C. Rocha / J. Differential Equations 245 (2008) 692721
We compute
v(n)
v(n)
X

=
h(P
s
v(n))
v(n)
X

+
P
s
v(n)
v(n)
X

. (5.21)
Observe that
2
lim
n
h(P
s
v(n))
v(n)
X

= lim
n
h(P
s
v(n))
P
s
v(n)
X

P
s
v(n)
X

v(n)
X

= 0, (5.22)
since v(n) 0 as n and h(0) = 0, h

(0) = 0.
Let u
0
W
ss
loc
(a) \ W
f s
loc
(a) and note that for n large enough
P
s
v(n)
v(n)
X

=
(P
s
P)v(n)
Pv(n)
X

Pv(n)
X

v(n)
X

+
Pv(n)
v(n)
X

. (5.23)
Since PX

is nite-dimensional and the sequence

Pv(n)
v(n)
X

is bounded there, we can nd a

subsequence {t
n
k
} {n: n N} and PX

\ {0} such that

lim
k
Pv(t
n
k
)
v(t
n
k
)
X

= (5.24)
and, by (5.21), (5.22), (5.7) and (5.23), we obtain
lim
k
v(t
n
k
)
v(t
n
k
)
X

= lim
k
S(t
n
k
)u
0
a
S(t
n
k
)u
0
a
X

=. (5.25)
Since Lemma 3.2 applies to (5.2), we have for u
0
W
ss
loc
(a) \ W
f s
loc
(a) and k large enough
z(u
0
a) =z
_
v(0)
_
z
_
v(t
n
k
)
_
=z(). (5.26)
Let now u
0
W
f s
loc
(a) \{a}. Since Lemma 3.2 applies to (5.2) and the zero number is bounded
from below, there exists n N large enough so that v(n) = u(n) a has only simple zeros.
Note that u(n) W
f s
loc
(a) and choose u W
ss
loc
(a) \ W
f s
loc
(a) such that
z
_
v(n)
_
=z
_
u(n) a
_
=z( u a).
Therefore, by the above considerations there exists PX

\ {0} such that

z(u
0
a) z
_
v(n)
_
=z( u a) z().
Recalling (5.5) and (5.6), we summarize our considerations in the following
2
P
s
v(n) = 0 for any n N, because otherwise v(n) =h(P
s
v(n)) +P
s
v(n) would be 0.
R. Czaja, C. Rocha / J. Differential Equations 245 (2008) 692721 709
Theorem 5.2. For any u
0
W
s
loc
() \ there exist a and >0 such that
lim
t
e
t
_
_
S(t )u
0
S(t )a
_
_
X

= 0
and, for 2N =z(p
t
(0; a)),
z(u
0
a)
_
i() +1 = 2N if i() = 2N 1,
i() +2 = 2N +2 if i() = 2N.
(5.27)
6. Global unstable manifold of a hyperbolic periodic orbit
Following [14, Theorem 6.1.9], we prove a general result concerning the extension of sub-
manifolds.
Lemma 6.1. Let S(t ) : X

, t 0, be a semiow, which admits a compact global at-

tractor A in X

. Assume that is a subset of A, V is an open subset of an m-dimensional

closed linear subspace E of X

and k : V is a homeomorphism (with endowed with

the induced topology from X

) and its inverse h = k

1
: V belongs to C
1
(V, X

) with
D
v
h(v) L(E, X

) injective for any v V . Moreover, let the semiow S(t ) : X

, t 0,
be injective, belonging to C
1
(X

, X

) and let D
w
S(t )(w) L(X

, X

) be injective for any

t 0 and w . Then each set S(t ) is a C
1
submanifold of X

with dimension m.
Proof. Dene f
t
: V X

by
f
t
(v) =S(t )h(v), v V.
Since S(t )|
A
is a homeomorphism of A onto A, we infer that S(t )|

is a homeomorphism of
onto S(t ) (both equipped with the induced topology from X

). Thus f
t
is a homeomorphism
of V onto S(t ), f
t
C
1
(V, X

) and for any v V we have

D
v
f
t
(v) =D
w
S(t )
_
h(v)
_
D
v
h(v) L
_
E, X

_
is injective.
Moreover, (D
v
f
t
(v))E is an m-dimensional closed linear subspace of X

, so it has a closed
complement in X

. Thus by [30, Corollary B.3.4] f

t
is an injective C
1
immersion (at any point
v V ). Since f
t
is a homeomorphism of V onto S(t ) with the induced topology from X

,
it follows from [30, Proposition B.4.3] that S(t ) is a C
1
submanifold of X

with dimen-
sion m.
In our problem we dene the global unstable manifold of a hyperbolic periodic orbit by
W
u
() =
_
t 0
S(t )W
u
loc
().
Using Lemma 6.1 we infer that this invariant subset of the global attractor A is the union of
C
1
submanifolds of X

. Moreover, we have
W
u
() =
_
t 0
_
a
S(t )W
su
loc
(a),
where again by Lemma 6.1 each S(t )W
su
loc
(a) is a C
1
submanifold of X

.
710 R. Czaja, C. Rocha / J. Differential Equations 245 (2008) 692721
Below we examine the unstable manifold and, for simplicity, we keep the same notation as
in the stable manifold case. The aim here is to show that for any u
0
W
u
() \ there exists
a such that u(t ; u
0
) p(t ; a) tends exponentially to 0 as t and
z(u
0
a) i() 1 +
1 +(1)
i()
2
.
The crucial observation is, similarly to the case of W
s
loc
(), the existence of a sequence
t
k
such that the normalized vectors u(t
k
; u
0
) p(t
k
; a) tend to some P
u
X

\ {0}.
However, the proof is now easier, since W
u
loc
() is a nite-dimensional submanifold of X

.
Choose u
0
W
u
() \ and note that then there exist 0 and a such that
u
0
S()W
su
loc
( a). Let u
0
W
su
loc
( a) and a satisfy u
0
=S() u
0
and a =S() a. We consider
the corresponding backward solutions u(t ) =u(t ; u
0
) and p(t ) = p(t ; a) =p(t ; a) of (2.3).
Let v(t ) =u(t ) p(t ), t 0, and note that v satises the nonautonomous linear equation
3
v
t
=v
xx
+

b(t, x)v +

d(t, x)v
x
, t <0, x S
1
, (6.1)
where

b(t, x) =
1
_
0
f
y
_
x, u(t )(x) +(1 ) p(t )(x), u
x
(t )(x) +(1 ) p
x
(t )(x)
_
d,

d(t, x) =
1
_
0
f
z
_
x, u(t )(x) +(1 ) p(t )(x), u
x
(t )(x) +(1 ) p
x
(t )(x)
_
d.
We also have
lim
t
e

t
_
_
v(t )
_
_
X

= 0. (6.2)
We consider the sequence v(n) = u(n) a, n N. Note that u(n) W
su
loc
( a) for all
n N. Changing the norms to the equivalent ones, if necessary, but keeping the notation, we see
that
W
su
loc
( a) =
_
u = a +h
_
P
u
(u a)
_
+P
u
(u a): u B
X
( a, )
_
, (6.3)
where h : B
P
u
X
(0, ) B
P
s
X

P
c
X
(0, ) is a C
1
function such that h(0) = 0 and h

(0) = 0.
We compute
v(n)
v(n)
X

=
h(P
u
v(n))
v(n)
X

+
P
u
v(n)
v(n)
X

. (6.4)
3
v(t ) = 0 for all t 0, since u
0
/ .
R. Czaja, C. Rocha / J. Differential Equations 245 (2008) 692721 711
Again observe that
4
lim
n
h(P
u
v(n))
v(n)
X

= lim
n
h(P
u
v(n))
P
u
v(n)
X

P
u
v(n)
X

v(n)
X

= 0. (6.5)
Since
P
u
v(n)
v(n)
X

, n N,
is a bounded sequence in a nite-dimensional subspace of X

, there exist a subsequence {t

n
k
}
{n: n N} and P
u
X

\ {0} such that

lim
k
P
u
v(t
n
k
)
v(t
n
k
)
X

= (6.6)
and by (6.4) and (6.5), we obtain
lim
k
v(t
n
k
)
v(t
n
k
)
X

=. (6.7)
If i() = 2N 1, then
2N1
= 1, 2N =z( p
t
(0; a)) =z(p
t
(0; a)) and
z() 2N 2 =i() 1 for P
u
X

\ {0}, (6.8)
whereas if i() = 2N, then
2N
= 1, 2N =z( p
t
(0; a)) =z(p
t
(0; a)) and
z() 2N =i() for P
u
X

\ {0}. (6.9)
Using Lemma 3.2, we have for u
0
W
u
() \ and k large enough
z(u
0
a) z( u
0
a) =z
_
v(0)
_
z
_
v(t
n
k
)
_
=z(). (6.10)
Summarizing the above considerations we obtain
Theorem 6.2. For any u
0
W
u
() \ there exist a and

>0 such that

lim
t
e

t
_
_
u(t ; u
0
) p(t ; a)
_
_
X

= 0
and, for 2N =z(p
t
(0; a)),
z(u
0
a)
_
i() 1 = 2N 2 if i() = 2N 1,
i() = 2N if i() = 2N.
(6.11)
4
P
u
v(n) = 0 for any n N, because otherwise v(n) =h(P
u
v(n)) +P
u
v(n) would be 0.
712 R. Czaja, C. Rocha / J. Differential Equations 245 (2008) 692721
7. Exclusion of a homoclinic connection for a hyperbolic periodic orbit
In this section we will consider two (not necessarily distinct) hyperbolic periodic orbits

and
+
with periods

>0 and
+
>0, respectively. We also assume that there exists a point
u
0

_
W
u
(

) W
s
loc
(
+
)
_
\ (

+
).
Note that if

=
+
, then u
0
is a homoclinic point and the corresponding orbit is a homoclinic
connection for the periodic orbit.
Consequently, to u
0
/

+
there corresponds an X

solution u(; u
0
) of (2.3), which is
dened for all t R, its orbit is bounded in X

(thus belongs to the global attractor A) and there

exist initial data a

together with periodic solutions p

(; a

) of (2.3) such that

lim
t
u(t ; u
0
) p

(t ; a

) = 0 (7.1)
in X

(cf. [14, Theorem 8.2.3]). We also dene N

N so that 2N

=z(p

t
(0; a

)).
In order to combine the estimates (5.27) and (6.11) we observe in the following two lemmas
that there exists some neighborhood of {p
+
(t ; a
+
) p

(t ; a

): t R} in X

consisting of a
nite number of balls such that in a sufciently bigger neighborhood the zero number of functions
is constant.
Lemma 7.1. If

=
+
and a

=a
+
, then
z
_
p
+
(t ; a
+
) p

(t ; a

)
_
= const, t R.
Therefore there exists a nite cover

n
i=1
B
X
(p
+
(t
i
; a
+
) p

(t
i
; a

),
i
) of the set
{p
+
(t ; a
+
) p

(t ; a

): t R} in X

such that the zero number is constant in

n
i=1
B
X
(p
+
(t
i
; a
+
) p

(t
i
; a

), 2
i
).
Proof. Suppose that v(t ) =p
+
(t ; a
+
) p

(t ; a

), t R, has a multiple zero at t =t

0
. Since v
is periodic with period =
+
=

, then by Lemma 3.2 we have

z
_
v(t
0
)
_
=z
_
v(t
0
)
_
>z
_
v(t
0
)
_
,
which is a contradiction.
The second claim follows from the compactness of {p
+
(t ; a
+
) p

(t ; a

): t R} in X

(as
a continuous image of a compact interval), since to each point v of this set there corresponds a
ball B
X
(v, 2
v
) in which the zero number is constant and we can choose a nite subcover from

v
B
X
(v,
v
).
Lemma 7.2. If

=
+
, then we have
z
_
p
+
(t ; a
+
) p

(s; a

)
_
= const, s, t R.
Therefore there exists a nite cover

n
i=1
B
X
(p
+
(t
i
; a
+
) p

(s
i
; a

),
i
) of the set
{p
+
(t ; a
+
) p

(s; a

): s, t R} in X

such that the zero number is constant in

n
i=1
B
X
(p
+
(t
i
; a
+
) p

(s
i
; a

), 2
i
).
R. Czaja, C. Rocha / J. Differential Equations 245 (2008) 692721 713
Proof. Fix R and suppose that v(t ) =p
+
(t ; a
+
) p

(t +; a

), t R, has a multiple zero

at t = t
0
. We consider two cases. If

+

is rational, say

+

=
k
m
for some k, m N, then with
=m
+
=k

we have for any t R

v(t +) =p
+
(t +m
+
; a
+
) p

(t +k

+; a

) =p
+
(t ; a
+
) p

(t +; a

) =v(t ),
i.e. v is periodic with period . Then we have
z
_
v(t
0
)
_
=z
_
v(t
0
)
_
>z
_
v(t
0
)
_
,
which is a contradiction.
Consider now

+

irrational. Note that R t z(v(t )) R as a monotone function has at

most a countable number of points of discontinuity. Therefore we choose t
1
t
0

+
<t
0
such
that v(t
1
) does not have multiple zeros and observe that
z
_
v(t
1
)
_
>z
_
v(t
0
)
_
.
To obtain a contradiction it sufces to nd t
2
>t
0
such that z(v(t
2
)) =z(v(t
1
)). Below we show
that

>0

t
2
>t
0
_
_
_
p
+
(t
2
; a
+
), p

(t
2
+; a

)
_

_
p
+
(t
1
; a
+
), p

(t
1
+; a

)
__
_
X

<,
which implies that v(t
1
) v(t
2
)
C
1
(S
1
)
< and thus z(v(t
1
)) = z(v(t
2
)) for sufciently small
> 0. Fix > 0. Since p
+
and p

are continuous and periodic, the uniform continuity implies

that there exists >0 such that for any points (t, s), (

t , s) R
2
we know that |(t, s) (

t , s)| <
implies
_
_
_
p
+
(t ; a
+
), p

(s +; a

)
_

_
p
+
(

t ; a
+
), p

( s +; a

)
__
_
X

<.
Choose n
0
N such that

n
0
< and set s
0
=
t
0
t
1

+
1. Denoting by [ ] the oor function,
consider the n
0
+1 real positive numbers
_
[s
0
] +1
_

, 2
_
[s
0
] +1
_

, . . . , (n
0
+1)
_
[s
0
] +1
_

and their fractional parts, which are pairwise different, since

+

is irrational. At least two of the

numbers, say m
1

+

> m
2

+

, have to have fractional parts closer than

1
n
0
. Therefore, we know
that m
1
m
2
[s
0
] +1 >s
0
and
(m
1
m
2
)

=l +r,
where l N{0} and 0 <|r| <
1
n
0
.
Hence the distance between the points (t
1
+ (m
1
m
2
)
+
, t
1
+ (m
1
m
2
)
+
) and (t
1
+
(m
1
m
2
)
+
, t
1
+l

) is less than

n
0
<. In conclusion, for t
2
=t
1
+(m
1
m
2
)
+
>t
0
we
have
714 R. Czaja, C. Rocha / J. Differential Equations 245 (2008) 692721
_
_
_
p
+
(t
2
; a
+
), p

(t
2
+; a

)
_

_
p
+
(t
1
; a
+
), p

(t
1
+; a

)
__
_
X

=
_
_
_
p
+
(t
2
; a
+
), p

(t
2
+; a

)
_

_
p
+
_
t
1
+(m
1
m
2
)
+
; a
+
_
, p

(t
1
+l

+; a

)
__
_
X

<.
This ends the proof of the rst assertion.
The second claim follows from the compactness of {p
+
(t ; a
+
) p

(s; a

): s, t R} in X

(as a continuous image of a two-dimensional torus), since to each point v of this set there corre-
sponds a ball B
X
(v, 2
v
) in which the zero number is constant and we choose a nite subcover
from

v
B
X
(v,
v
).
The above lemmas allow us to combine the inequalities (5.27) and (6.11). As a particular
result, we deduce that there is no homoclinic connection for a hyperbolic periodic orbit.
Theorem 7.3. If u
0
(W
u
(

) W
s
loc
(
+
)) \ (

+
) and 2N

=z(p

t
(0; a

)), then
N

N
+
and i(

) i(
+
) +1, (7.2)
which excludes a homoclinic connection for a hyperbolic periodic orbit.
Moreover, if i(
+
) = 2N
+
, then we even have
N

N
+
+1. (7.3)
Proof. Let
0
> 0 be the minimum of
1
, . . . ,
n
from Lemmas 7.1, 7.2. Since (7.1) implies for
large t >0
_
_
u(t ; u
0
) p
+
(t ; a
+
)
_
_
X

<
0
and
_
_
u(t ; u
0
) p

(t ; a

)
_
_
X

<
0
,
we have
z(u
0
a

) z
_
u(t ; u
0
) p
+
(t ; a
+
) +p
+
(t ; a
+
) p

(t ; a

)
_
=z
_
p
+
(t ; a
+
) p

(t ; a

)
_
=z
_
p

(t ; a

) p
+
(t ; a
+
)
_
=z
_
u(t ; u
0
) p

(t ; a

) +p

(t ; a

) p
+
(t ; a
+
)
_
z(u
0
a
+
).
Here we have assumed that a

= a
+
, but if a

= a
+
we have z(u
0
a

) =z(u
0
a
+
) imme-
diately. By Theorem 5.2 we have
z(u
0
a
+
)
_
i(
+
) +1 = 2N
+
if i(
+
) = 2N
+
1,
i(
+
) +2 = 2N
+
+2 if i(
+
) = 2N
+
,
and by Theorem 6.2 we have
z(u
0
a

)
_
i(

) 1 = 2N

2 if i(

) = 2N

1,
i(

) = 2N

if i(

) = 2N

.
This leads straightforward to (7.2) and (7.3).
R. Czaja, C. Rocha / J. Differential Equations 245 (2008) 692721 715
8. Transversal intersection of stable and unstable manifolds of hyperbolic periodic orbits
We are going to show the transversal intersection of stable and unstable manifolds of hyper-
bolic periodic orbits following the approach used for equilibria by M. Chen, X.-Y. Chen and
J.K. Hale in [6] (see also [25]). Assume that
u
0
S()W
u
loc
(

) W
s
loc
(
+
)
with some 0. Our purpose is to show that
T
u
0
S()W
u
loc
(

) +T
u
0
W
s
loc
(
+
) =X

.
Without loss of generality we assume that u
0
/

+
. We consider the linearization of (1.1)
around u(; u
0
)
_
v
t
=v
xx
+

b(t, x)v +

d(t, x)v
x
, t >s, x S
1
,
v(s) =
(8.1)
and the corresponding evolution operators

T (t, s) L(X

, X

), t s. Therefore, we have

T (t, s) = v(t ; s, ). Note that each operator

T (t, s) is injective and its adjoint is also injec-
tive. Let p

(; a

) be periodic solutions with a

such that 2N

=z(p

t
(0; a

)) and
u(t ; u
0
) p

(t ; a

) 0 as t .
First we concentrate on the description of the tangent space to the local stable manifold. To this
end, let us consider the linearization of (1.1) around p
+
(; a
+
)
_
w
+
t
=w
+
xx
+b
+
(t, x)w
+
+d
+
(t, x)w
+
x
, t >s, x S
1
,
w
+
(s) =
and the corresponding evolution operators T
+
(t, s) L(X

, X

), t s. We denote by T
+

+
=
T
+
(
+
, 0) the period map and as in Section 4 we put its multipliers in a sequence {
j
}
j0
such
that they appear according to their algebraic multiplicity and are ordered by |
j
| |
j+1
|.
Since the coefcients of the equations converge to each other, following the part of the proof
of Lemma 5.1 we get U
n
=

T ((n + 1)
+
, n
+
) T
+

+
0 in L(X

, X

). We also have the

formula
v
_
(n +1)
+
_
=

T
_
(n +1)
+
, n
+
_
v(n
+
) =T
+

+
v(n
+
) +U
n
v(n
+
)
and the assumptions (B.1)(B.2) of [6] are satised.
For any X

and any m N we write

(m, ) = limsup
n
_
_
v(n
+
; m
+
, )
_
_
1
n
X

= limsup
n
_
_
T (n
+
, m
+
)
_
_
1
n
X

.
Let be the set of all nonnegative numbers r such that

_
T
+

+
_

_
z C: |z| =r
_
=.
716 R. Czaja, C. Rocha / J. Differential Equations 245 (2008) 692721
We also set r
j
= |
j
|, j 0. For any integer j 0 and m N we dene the spaces
F
+
j
(m) =
_
X

(m, ) r
j
_
.
From [6, Corollary B.3] it follows that for every X

and m N there exists r such that

lim
n
_
_
v(n
+
; m
+
, )
_
_
1
n
X

=r.
Therefore, we have
X

=F
+
0
(m) F
+
1
(m) F
+
2
(m) .
Since it is well known that linear equations like (8.1) do not possess nontrivial solutions
decaying faster than any exponential (see [16]), as in [6, Theorem 3.1] we see that for all = 0
and m N we have

(m, ) >0. In other words, we get

_
j=0
F
+
j
(m) = {0},
because

(m, 0) = 0, m N.
From the asymptotic behavior of the solution v(n
+
; m
+
, ) we are able to characterize
the zero number z() of the initial condition . Assume that
lim
n
_
_
v(n
+
; m
+
, )
_
_
1
n
X

=r
j
.
We have the following two cases. If j is odd and r
j
> r
j+1
, then F
+
j
(m) \ F
+
j+1
(m) and
by [6, Theorems B.2, B.4] there exists Ej+1
2
(
+
),
X
= 1 and a subsequence {t
n
k
}
{n
+
: n m} such that
v(t
n
k
; m
+
, )
v(t
n
k
; m
+
, )
X

.
Therefore, we have for large k N
z() z
_
v(t
n
k
; m
+
, )
_
=z
_
v(t
n
k
; m
+
, )
v(t
n
k
; m
+
, )
X

_
=z() =j +1.
If j is even, then F
+
j
(m) \ F
+
j+1
(m) and by [6, Theorems B.2, B.4] there exists
Ej
2
(
+
),
X
= 1 and a subsequence {t
n
k
} {n
+
: n m} such that
v(t
n
k
; m
+
, )
v(t
n
k
; m
+
, )
X

.
R. Czaja, C. Rocha / J. Differential Equations 245 (2008) 692721 717
Therefore, we have for large k N
z() z
_
v(t
n
k
; m
+
, )
_
=z
_
v(t
n
k
; m
+
, )
v(t
n
k
; m
+
, )
X

_
=z() =j.
Fix m N, F
+
k
(m), = 0 and let j k be such that F
+
j
(m) \ F
+
j+1
(m). Suppose
that k is even. If j is even, then z() j k, whereas if j is odd, then z() j + 1 k.
Suppose now that k is odd. If j is even, then z() j k +1 due to the difference of parity of
k and j. Moreover, if j is odd, then z() j +1 k +1.
Since the local stable manifold W
s
loc
(
+
) of the hyperbolic periodic orbit
+
coincides
locally with the local center-stable manifold W
cs
loc
(a
+
) of a xed point a
+

+
for the map
S(
+
), it follows from [6, Theorem C.4] that
T
u
0
W
s
loc
(
+
) =
_
X

: limsup
n
_
_
v(n
+
; 0, )
_
_
1
n
X

1
_
.
If i(
+
) = 2N
+
, then r
2N
+ =
2N
+ = 1 and by [6, Theorem B.7] for sufciently large
m
0
Nwe see that T
u(m
0

+
;u
0
)
W
s
loc
(
+
) =F
+
2N
+
(m
0
) is isomorphic to cl
X
(span{p
+
t
(0; a
+
)}
E
N
+
+1
(
+
) ). Therefore, z() 2N
+
for T
u(m
0

+
;u
0
)
W
s
loc
(
+
) \ {0} and
codimT
u(m
0

+
;u
0
)
W
s
loc
(
+
) = 2N
+
.
If i(
+
) = 2N
+
1, then r
2N
+
1
=
2N
+
1
= 1 and by [6, Theorem B.7] for suf-
ciently large m
0
N we see that T
u(m
0

+
;u
0
)
W
s
loc
(
+
) = F
+
2N
+
1
(m
0
) is isomorphic to
cl
X
(E
N
+(
+
) E
N
+
+1
(
+
) ). Therefore, z() 2N
+
for T
u(m
0

+
;u
0
)
W
s
loc
(
+
) \
{0} and codimT
u(m
0

+
;u
0
)
W
s
loc
(
+
) = 2N
+
1.
Since the adjoint operator of the evolution operator

T (m
0

+
, 0) is injective (thus

T (m
0

+
, 0) has dense range by [14, Theorem 7.3.3]) and T
u
0
W
s
loc
(
+
) is the preimage of
T
u(m
0

+
;u
0
)
W
s
loc
(
+
) under

T (m
0

+
, 0), we see that if i(
+
) = 2N
+
, then
codimT
u
0
W
s
loc
(
+
) = codimF
+
2N
+
(0) = 2N
+
and z() 2N
+
for T
u
0
W
s
loc
(
+
) \ {0}, whereas if i(
+
) = 2N
+
1, then
codimT
u
0
W
s
loc
(
+
) = codimF
+
2N
+
1
(0) = 2N
+
1
and z() 2N
+
for T
u
0
W
s
loc
(
+
) \ {0}.
In both cases of i(
+
) we now consider r
2N
+
+1
< 1 and the subspace F
+
2N
+
+1
(0) of
T
u
0
W
s
loc
(
+
), which is isomorphic to cl
X
(E
N
+
+1
(
+
) ). Then we have z() 2N
+
+2
for F
+
2N
+
+1
(0) \ {0} and codimF
+
2N
+
+1
(0) = 2N
+
+1.
From the above considerations the following result follows.
Lemma 8.1. We have
z(v) 2N
+
, v T
u
0
W
s
loc
(
+
) \ {0}.
Moreover, there exists a subspace W
+
of T
u
0
W
s
loc
(
+
) such that
z(v) 2N
+
+2, v W
+
\ {0},
and codimW
+
= 2N
+
+1.
718 R. Czaja, C. Rocha / J. Differential Equations 245 (2008) 692721
Using Lemma 8.1 we nally prove the main result of the paper.
Theorem 8.2. The stable and unstable manifolds of two hyperbolic periodic orbits

for the
problem (1.1) have a transversal intersection
W
u
(

) W
s
loc
(
+
),
i.e. if u
0
S()W
u
loc
(

) W
s
loc
(
+
) with some 0, then
T
u
0
S()W
u
loc
(

) +T
u
0
W
s
loc
(
+
) =X

.
Proof. The proof is in the same vein as the proof of Lemma 8.1 and is based on the description
of the tangent space to the global unstable manifold.
First assume i(
+
) = 2N
+
1. Thus we have codimW
s
loc
(
+
) = 2N
+
1. From the
inequality N

N
+
(see Theorem 7.3) we see, in a similar way as in the local sta-
ble manifold case, that for sufciently large m
0
N there exists a subspace F

m
0
,N
+
of
T
u(m
0

;u
0
)
S()W
u
loc
(

) such that
dimF

m
0
,N
+
= dim
_
E
0
(

) E
N
+
1
(

)
_
= 2N
+
1,
z(v) 2N
+
2, v F

m
0
,N
+
\ {0}.
Now note that F

0,N
+
=

T (0, m
0

)F

m
0
,N
+
is a subspace of T
u
0
S()W
u
loc
(

) with
dimF

0,N
+
= dimF

m
0
,N
+
and z(v) 2N
+
2, v F

0,N
+
\ {0},
since the evolution operator

T (,) for the linearized equation around the solution u(; u
0
) is
injective and does not increase the zero number. Thus we have
dimF

0,N
+
= 2N
+
1 = codimW
s
loc
(
+
)
and F

0,N
+
T
u
0
W
s
loc
(
+
) = {0}, since z(v) 2N
+
2 for v F

0,N
+
\ {0} and by Lemma 8.1
we have z(v) 2N
+
for v T
u
0
W
s
loc
(
+
) \ {0}. This proves that
T
u
0
S()W
u
loc
(

) +T
u
0
W
s
loc
(
+
) =X

in this case.
Let now i(
+
) = 2N
+
. Then by Theorem 7.3 we have N

N
+
+ 1 and we see again that
for sufciently large m
0
N there exists a subspace F

m
0
,N
+
of T
u(m
0

;u
0
)
S()W
u
loc
(

) such
that
dimF

m
0
,N
+
= dim
_
E
0
(

) E
N
+(

)
_
= 2N
+
+1,
z(v) 2N
+
, v F

m
0
,N
+
\ {0}.
R. Czaja, C. Rocha / J. Differential Equations 245 (2008) 692721 719
As before, note that F

0,N
+
=T (0, m
0

)F

m
0
,N
+
is a subspace of T
u
0
S()W
u
loc
(

) with
dimF

0,N
+
= dimF

m
0
,N
+
and z(v) 2N
+
, v F

0,N
+
\ {0}.
Thus we get
dimF

0,N
+
= 2N
+
+1 = codimW
+
,
where W
+
is the subspace of T
u
0
W
s
loc
(
+
) given in Lemma 8.1. Moreover, we have
F

0,N
+
W
+
= {0},
since z(v) 2N
+
for v F

0,N
+
\ {0} and z(v) 2N
+
+ 2 for v W
+
\ {0}, by Lemma 8.1.
Therefore, we obtain F

0,N
+
W
+
=X

. This shows that

T
u
0
S()W
u
loc
(

) +T
u
0
W
s
loc
(
+
) =X

also in this case and concludes the proof.

9. Concluding remarks
As pointed out in the introduction, the transversality between stable and unstable manifolds
is one of the main ingredients for the structural stability of the semiow generated by (1.1). Fur-
thermore, from the point of view of applications the discussion of structural stability is essential
for dynamical systems. As concluding remarks we overview here some of the available results
dealing with this topic.
The discussion of structural stability involves the characterization of the semiow on the
global attractor A
f
and its dependence on the nonlinearity f C
2
considered as a parameter.
In this innite-dimensional setting it requires the comparison between different global attractors
using topological equivalence (for a reference see [13]). If A
f
and A
g
denote the global attractors
corresponding to the semiows generated by (1.1) with nonlinearities f and g, respectively, A
f
and A
g
are orbit equivalent, A
f

= A
g
, if there exists a homeomorphism h : A
f
A
g
taking
orbits of (1.1)
f
to orbits of (1.1)
g
preserving the time direction. Then, a global attractor A
f
is structurally stable if there exists a neighborhood N(f ) of f (in the space of C
2
functions
with the adequate topology) such that A
g

= A
f
for all g N(f ). Therefore, a structurally
stable global attractor A
f
is invariant up to a homeomorphism under small perturbations of the
nonlinearity f .
Structural stability is known to hold in the class of MorseSmale semiows (see [24] for
details). The class of semiows considered enjoys a number of properties related to the existence
of global attractors and includes many semiows generated by partial differential equations, like
in our case, and delay or functional differential equations. For completeness we recall that such
a semiow has the MorseSmale property if: (i) the corresponding global attractor A
f
has only
a nite number of equilibria and periodic orbits, which are all hyperbolic, (ii) all the stable and
unstable manifolds of these critical elements are transversal, and (iii) the nonwandering set (f )
(the set of points of A
f
for which any neighborhood U is visited after an arbitrarily large time
T > 0 by an orbit starting in U) contains only the equilibria and the periodic orbits. Property
720 R. Czaja, C. Rocha / J. Differential Equations 245 (2008) 692721
(iii) is expected to hold for (1.1) under condition (i) due to the zero number decay property
and the result [8, Theorem 1] mentioned in the introduction. Therefore, the verication of the
MorseSmale property of A
f
should involve only the conrmation of property (i), which holds
generically in the above space of C
2
functions, and property (ii) regarding the transversality
between stable and unstable manifolds of the critical elements. Here, in view of our transversality
result, it only remains to check transversality for pairs of critical elements where at least one is
an equilibrium.
In restricted classes of nonlinear functions f we are able to exhibit the MorseSmale prop-
erty. In fact, this is the case when f = f (u, u
x
) does not depend explicitly on x. Then, S
1
-
equivariance of (1.1) forces the global attractor A
f
to be invariant under the S
1
-action and
reduces the number of possibilities for the critical elements of the semiow. In the generic situa-
tion, the set of critical elements is composed of a nite set of hyperbolic homogeneous equilibria,
corresponding to the solutions of f (e, 0) = 0, and a nite set of hyperbolic rotating waves as
mentioned in the introduction. From the results in [9] it follows that, in the class of nonlinearities
f =f (u, u
x
), the generic global attractor A
f
is structurally stable.
The situation is quite different in the class of x-dependent nonlinearities f =f (x, u, u
x
). As
pointed out before, the time periodic orbits need not be rotating waves. Furthermore, A
f
may
contain hyperbolic nonhomogeneous equilibria and orbits homoclinic to equilibria. The exis-
tence of these homoclinic orbits follows from a result in [31] asserting that the ow of any planar
vector eld can be realized locally by a ow embedding in a two-dimensional invariant subspace
of (1.1). Therefore, nontransversal intersection between stable and unstable manifolds of equi-
libria actually takes place. Also, the occurrence of nonhomogeneous equilibria is a distinguished
important feature, and their heteroclinic connections need to be analyzed.
Finally, to understand the global geometry of A
f
when structural stability fails, it is important
to consider local bifurcation problems that explore the boundary of the structurally stable set
of global attractors. Here, in view of the result [31, Theorem 2], the set of codimension one
bifurcations for vector elds in the plane should play a role.
In conclusion, all these considerations just show that the geometry of the global attractor
of (1.1), in general, is far from understood.
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