### Abstract

The theory of the focusing NLS equation under periodic boundary conditions, together with the Floquet spectral theory of its associated Zakharov-Shabat linear operator {Mathematical expression}, is developed in sufficient detail for later use in studies of perturbations of the NLS equation. "Counting lemmas" for the non-selfadjoint operator {Mathematical expression}, are established which control its spectrum and show that all of its eccentricities are finite in number and must reside within a finite disc D in the complex eigenvalue plane. The radius of the disc D is controlled by the H^{1} norm of the potential {Mathematical expression}. For this integrable NLS Hamiltonian system, unstable tori are identified, and Backlund transformations are then used to construct global representations of their stable and unstable manifolds-"whiskered tori" for the NLS pde. The Floquet discriminant {Mathematical expression} is used to introduce a natural sequence of NLS constants of motion, [ {Mathematical expression}, where λ_{c}^{j} denotes the j^{th} critical point of the Floquet discriminant Δ(λ)]. A Taylor series expansion of the constants {Mathematical expression}, with explicit representations of the first and second variations, is then used to study neighborhoods of the whiskered tori. In particular, critical tori with hyperbolic structure are identified through the first and second variations of {Mathematical expression}, which themselves are expressed in terms of quadratic products of eigenfunctions of {Mathematical expression}. The second variation permits identification, within the disc D, of important bifurcations in the spectral configurations of the operator {Mathematical expression}. The constant {Mathematical expression}, as the height of the Floquet discriminant over the critical point λ_{c}^{j}, admits a natural interpretation as a Morse function for NLS isospectral level sets. This Morse interpretation is studied in some detail. It is valid globally for the infinite tail, {Mathematical expression}, which is associated with critical points outside the disc D. Within this disc, the interpretation is only valid locally, with the same obstruction to its global validity as to a global ordering of the spectrum. Nevertheless, this local Morse theory, together with the Backlund representations of the whiskered tori, produces extremely clear pictures of the stratification of NLS invariant sets near these whiskered tori-pictures which are useful in the study of perturbations of NLS. Finally, a natural connection is noted between the constants {Mathematical expression} of the integrable theory and Melnikov functions for the theory of perturbations of the NLS equation. This connection generates a simple, but general, representations of the Melnikov functions.

Original language | English (US) |
---|---|

Pages (from-to) | 175-214 |

Number of pages | 40 |

Journal | Communications in Mathematical Physics |

Volume | 162 |

Issue number | 1 |

DOIs | |

State | Published - Apr 1994 |

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### ASJC Scopus subject areas

- Statistical and Nonlinear Physics
- Physics and Astronomy(all)
- Mathematical Physics

### Cite this

*Communications in Mathematical Physics*,

*162*(1), 175-214. https://doi.org/10.1007/BF02105191

**Morse and Melnikov functions for NLS Pde's.** / Li, Y.; McLaughlin, David W.

Research output: Contribution to journal › Article

*Communications in Mathematical Physics*, vol. 162, no. 1, pp. 175-214. https://doi.org/10.1007/BF02105191

}

TY - JOUR

T1 - Morse and Melnikov functions for NLS Pde's

AU - Li, Y.

AU - McLaughlin, David W.

PY - 1994/4

Y1 - 1994/4

N2 - The theory of the focusing NLS equation under periodic boundary conditions, together with the Floquet spectral theory of its associated Zakharov-Shabat linear operator {Mathematical expression}, is developed in sufficient detail for later use in studies of perturbations of the NLS equation. "Counting lemmas" for the non-selfadjoint operator {Mathematical expression}, are established which control its spectrum and show that all of its eccentricities are finite in number and must reside within a finite disc D in the complex eigenvalue plane. The radius of the disc D is controlled by the H1 norm of the potential {Mathematical expression}. For this integrable NLS Hamiltonian system, unstable tori are identified, and Backlund transformations are then used to construct global representations of their stable and unstable manifolds-"whiskered tori" for the NLS pde. The Floquet discriminant {Mathematical expression} is used to introduce a natural sequence of NLS constants of motion, [ {Mathematical expression}, where λcj denotes the jth critical point of the Floquet discriminant Δ(λ)]. A Taylor series expansion of the constants {Mathematical expression}, with explicit representations of the first and second variations, is then used to study neighborhoods of the whiskered tori. In particular, critical tori with hyperbolic structure are identified through the first and second variations of {Mathematical expression}, which themselves are expressed in terms of quadratic products of eigenfunctions of {Mathematical expression}. The second variation permits identification, within the disc D, of important bifurcations in the spectral configurations of the operator {Mathematical expression}. The constant {Mathematical expression}, as the height of the Floquet discriminant over the critical point λcj, admits a natural interpretation as a Morse function for NLS isospectral level sets. This Morse interpretation is studied in some detail. It is valid globally for the infinite tail, {Mathematical expression}, which is associated with critical points outside the disc D. Within this disc, the interpretation is only valid locally, with the same obstruction to its global validity as to a global ordering of the spectrum. Nevertheless, this local Morse theory, together with the Backlund representations of the whiskered tori, produces extremely clear pictures of the stratification of NLS invariant sets near these whiskered tori-pictures which are useful in the study of perturbations of NLS. Finally, a natural connection is noted between the constants {Mathematical expression} of the integrable theory and Melnikov functions for the theory of perturbations of the NLS equation. This connection generates a simple, but general, representations of the Melnikov functions.

AB - The theory of the focusing NLS equation under periodic boundary conditions, together with the Floquet spectral theory of its associated Zakharov-Shabat linear operator {Mathematical expression}, is developed in sufficient detail for later use in studies of perturbations of the NLS equation. "Counting lemmas" for the non-selfadjoint operator {Mathematical expression}, are established which control its spectrum and show that all of its eccentricities are finite in number and must reside within a finite disc D in the complex eigenvalue plane. The radius of the disc D is controlled by the H1 norm of the potential {Mathematical expression}. For this integrable NLS Hamiltonian system, unstable tori are identified, and Backlund transformations are then used to construct global representations of their stable and unstable manifolds-"whiskered tori" for the NLS pde. The Floquet discriminant {Mathematical expression} is used to introduce a natural sequence of NLS constants of motion, [ {Mathematical expression}, where λcj denotes the jth critical point of the Floquet discriminant Δ(λ)]. A Taylor series expansion of the constants {Mathematical expression}, with explicit representations of the first and second variations, is then used to study neighborhoods of the whiskered tori. In particular, critical tori with hyperbolic structure are identified through the first and second variations of {Mathematical expression}, which themselves are expressed in terms of quadratic products of eigenfunctions of {Mathematical expression}. The second variation permits identification, within the disc D, of important bifurcations in the spectral configurations of the operator {Mathematical expression}. The constant {Mathematical expression}, as the height of the Floquet discriminant over the critical point λcj, admits a natural interpretation as a Morse function for NLS isospectral level sets. This Morse interpretation is studied in some detail. It is valid globally for the infinite tail, {Mathematical expression}, which is associated with critical points outside the disc D. Within this disc, the interpretation is only valid locally, with the same obstruction to its global validity as to a global ordering of the spectrum. Nevertheless, this local Morse theory, together with the Backlund representations of the whiskered tori, produces extremely clear pictures of the stratification of NLS invariant sets near these whiskered tori-pictures which are useful in the study of perturbations of NLS. Finally, a natural connection is noted between the constants {Mathematical expression} of the integrable theory and Melnikov functions for the theory of perturbations of the NLS equation. This connection generates a simple, but general, representations of the Melnikov functions.

UR - http://www.scopus.com/inward/record.url?scp=34249767027&partnerID=8YFLogxK

UR - http://www.scopus.com/inward/citedby.url?scp=34249767027&partnerID=8YFLogxK

U2 - 10.1007/BF02105191

DO - 10.1007/BF02105191

M3 - Article

VL - 162

SP - 175

EP - 214

JO - Communications in Mathematical Physics

JF - Communications in Mathematical Physics

SN - 0010-3616

IS - 1

ER -