Moser’s theorem with boundary

In the process of constructing a diffeo with a uniformly hyperbolic set with intermediate measure, I came across the following problem which I find interesting in its own right:

Given a C^1 diffeo f:S^1 \rightarrow S^1, when does it extend to a volume preserving diffeo of the unit disc to itself?

Some people suggested me to look into Moser’s theorem for volume forms on compact manifolds, I found it pretty cool, so here it is (taken from Moser’s paper):

Theorem: Given two smooth volume forms \tau, \sigma with same total volume on a compact connected C^\infty manifold M, there exists diffeomorphism \phi: M \rightarrow M s.t. \sigma = \phi^* \tau.

However this does not directly apply to the boundary problem as we are dealing with manifolds (disc) with boundary rather than entire compact manifolds…Hence to make it applicable to the case, I would have to get some kind of ‘relative’ version of the theorem.

The expectation is that this can be done by plugging in the case into Moser’s proof and see if it can be modified.. I’ll update this pose when I got around to do that (hopefully in the next few days)

Okay…I think I have finally figured out how to do this. (with a huge amount of hints and directions from Keith Burns). But temporarily I have to lose one degree of regularity when making the extension (i.e. starting with a C^2 f, extend it to a C^1 volume preserving. But at this point I strongly believe that we can in fact do it with f being C^1. (the regularity is lost when I extended the diffeo locally)

Theorem: Given C^2 diffeomorphism f:S^1 \rightarrow S^1, we can find (Lebesgue) volume preserving diffeomorphism \hat{f}: \mathbb{D} \rightarrow \mathbb{D} that extends f. (where \mathbb{D} is the closed unit disc and S^1 is its boundary)


First we extend the diffeo f:S^1 \rightarrow S^1 to a neignbourhood of S^1 in \mathbb{D}.

Let A = \{ \ r e^{i \theta} \ | \ 1/2 < r \leq 1 \} be the half-open annuals with radius 1/2 and 1.

Let C = \mathbb{R} / 2 \pi \mathbb{Z} \times [0, \infty) be the half-cylinder.

Define \phi: A \rightarrow  C s.t. \phi (r e^{i \theta}) = (\theta, 1/2 - r^2/2)

\phi is a volume preserving diffeo from A to \mathbb{R} / 2 \pi \mathbb{Z} \times [0, 3/8)

Consider h = \phi \circ f \circ \phi^{-1}: \mathbb{R} / 2 \pi \mathbb{Z} \times \{0\} \rightarrow \mathbb{R} / 2 \pi \mathbb{Z} \times \{0\}

(h^{-1})' is continuous hence bounded.

Choose \epsilon < 1/(3 \max_\theta | (h^{-1})' (\theta) | )

Define \hat{h}: \mathbb{R} / 2 \pi \mathbb{Z} \times [0, \epsilon) \rightarrow C s.t.

\hat{h}(\theta, y) = ( \pi_1(h(\theta, 0) ), y |(h^{-1})'(\theta) | )

y |(h^{-1})'(\theta) | <  \epsilon \max_\theta | (h^{-1})'(\theta) |  0 \ \mathbb{R} / 2 \pi \mathbb{Z} \times [0, \delta) \subseteq \hat{h}(\mathbb{R} / 2 \pi \mathbb{Z} \times [0, \epsilon/4)).

Let \epsilon'=1-\sqrt{1-2\epsilon}, \ \delta'=1-\sqrt{1-2\delta}. Let g:N_{\epsilon'}(S^1) \rightarrow A, \ g := \phi^{-1} \circ \hat{h} \circ \phi.

Hence g is volume preserving, g|_{S^1} = f and N_{\delta'}(S^1) \subseteq g(N_{\epsilon'/2}(S^1)).

Hence we have successfully extended f to a neighborhood of S^1 in a volume preserving way.

Now we further extend g|_{N_{\epsilon'/2}(S^1)} to a (non-volume-preserving) diffeo of \mathbb{D} to itself.

This can be done by first take f \times I on C, average it with g by a C^\infty bump function that is 1 on \mathbb{D} \backslash N_{\epsilon'}(S^1) and vanishes on N_{\epsilon'/2}(S^1).

Since both functions preserve vertical segments, taking the resulting map back to A will produce a diffeo except for at the point 0. We may smooth out the map at 0. Call the resulting diffeo \hat{g}: \mathbb{D} \rightarrow \mathbb{D}

Define measure \mu on \mathbb{D} by \mu(B) = \lambda(\hat{g}^{-1}(B)) where B is any Lebesgue measurable set and \lambda is the Lebesgue measure.

Since \hat{g}^{-1} is volume preserving on N_{\delta'}(S^1), hence \mu is equal to \lambda on N_{\delta'}(S^1).

Also we have \mu(\mathbb{D}) = \lambda(\hat{g}^{-1}(\mathbb{D}) = \lambda(\mathbb{D}).

Hence we can apply lemma 2 in Moser’s paper:

Lemma: If two C^r volume forms \mu_1, \ \mu_2 agree on an \epsilon neighbourhood of the boundary of the cube (disc in our case) with the same total volume, then there exists C^r diffeo \psi from the cube (disc) to itself s.t. \psi is identity on the \epsilon neighbourhood of the boundary and \mu_1(\psi(B)) = \mu_2(B) for all measurable set B.

We apply the lemma to \mu and \lambda, obtain \psi.

Hence \lambda(B) = \mu(\psi(B)) = \lambda(\hat{g}^{-1} \circ \psi(B))

\hat{g}^{-1} \circ \psi is a C^1 diffeo that preserved Lebesgue volume, so is its inverse \psi^{-1} \circ \hat{g}.

Let \hat{f} = \psi^{-1} \circ \hat{g}, \ \hat{f}|_{S^1} = \hat{g}|_{S^1} = f.

Hence \hat{f} is a volume preserving extension of f.

Anosov flows

Amie told me today about their new result on perturbation of a volume-preserving Anosov flow in three dimensions. In order to not forget what it’s about, I decided to write a sketch of what I still remember here:

So, you are given a volume preserving Anosov flow in some three-manifold (and since it’s volume preserving and Anosov and three dimensional, of course we have one dimensional stable and unstable manifolds), let \varphi_1: M \rightarrow M be its time-1 map. Consider a C^\infty perturbation of \varphi_1. We are interested in when is the perturbed map still a time-1 map of a flow.

Note that we know partial hyperbolicity is an open property, our perturbed map will still be a partially hyperbolic diffeo. However in general it would no longer be a time 1 map of a flow. It turns out that we can tell whether or not it’s a time-1 map just by looking at the center foliation. (some condition to do with whether some measure on the center is atomic…I can’t recall)

Furthermore this infact don’t have much to do with the fact it’s a perturbation of the Anosov flow: we may start with any volume-preserving partially hyperbolic diffeomorphism in three-manifold M, assuming the diffeo preserves its center foliation (or more generally if it permutes each center leaf peroidically), then it’s time-one map of a flow precisely when their condition on the center foliation holds. Note that the center leaves are automatically preserved if the map was a perturbation of the Anosov flow.

Note that restriction our attention to volume preserving flows is essential in obtaining any of such results since in part it guarantees a dense set of periodic orbits. I’m suppose to check Franks and William’s paper on “Anomolous Anosov Flows” in which they gave many examples of different non-volume-preserving Anosov flows. The question of whether or not it’s possible to classify all Anosov flows (in the sense presented in the paper) is still open.

Types of hyperbolicity

Axiom A

1. Nonwandering set is hyperbolic

2. Periodic points are dense in the nonwandering set


1. All periodic points are hyperbolic

2. For each pair of periodic points p, q of f, the intersection between the stable manifold of $p$ and the unstable manifold of q is transversal

Kupka-Smale theorem

The set of Kupka-Smale diffeomorphisms is residual in \mbox{Diff}^r(M) under C^r topology.


1.Axiom A with only finitely many periodic points (hence \Omega(f) is just the set of periodic points)

2.For each pair of periodic points p, q of f, the intersection between the stable manifold of p and the unstable manifold of q is transversal.


All points are hyperbolic, i.e. there is a splitting of the whole tangent bundle such that under the diffeo, stable directions are exponentially contracted and unstable directions are exponentially expanded.


Morse-Smale \subseteq Axiom A

Morse-Smale \subseteq Kupka-Smale

Anosov \subseteq Axiom A