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DIFFERENTIAL TOPOLOGY AND THE H-COBORDISM THEOREM

Quinton Westrich

Master of Science in Mathematics Diﬀerential topology is the study of smooth manifolds and smooth maps between manifolds. The h-Cobordism Theorem provides a condition for determining whether two manifolds are diﬀeomorphic. This thesis presents some basic elements of diﬀerential topology and a proof and discussion of the h-Cobordism Theorem.

DIFFERENTIAL TOPOLOGY AND THE H-COBORDISM THEOREM

A Thesis Presented to the Faculty of the Graduate School Tennessee Technological University by Quinton Westrich

In Partial Fulﬁllment of the Requirements for the Degree MASTER OF SCIENCE Mathematics

May 2010

Copyright c Quinton Westrich, 2010 All rights reserved

CERTIFICATE OF APPROVAL OF THESIS

DIFFERENTIAL TOPOLOGY AND THE H-COBORDISM THEOREM by Quinton Westrich

Graduate Advisory Committee:

Alexander Shibakov, Chairperson

date

Andrzej Gutek

date

Jeﬀrey Norden

date

Richard Savage

date

Approved for the Faculty:

Francis Otuonye Associate Vice-President for Research and Graduate Studies

Date iii

DEDICATION

This thesis is dedicated to Indranu Suhendro.

iv

ACKNOWLEDGMENTS

I would like to thank Alexander Shibakov, my thesis advisor, and Connie Hood, my undergraduate mentor.

v

TABLE OF CONTENTS

Page LIST OF TABLES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . LIST OF FIGURES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Chapter 1. INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.1 Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.2 Preliminary Deﬁnitions and Notation 2. SMOOTH MANIFOLDS . . . . . . . . . . . . . 1 1 3 8 8 10 14 16 20 20 22 28 36 36 39 viii ix

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2.1 Diﬀerentiable Structures 2.2 Vector Bundles

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2.3 Whitney’s Imbedding Theorem

2.4 Surgery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3. ALGEBRAIC TOPOLOGY . . . . . . . . . . . . . . . . . . . . .

3.1 The Fundamental Group . . . . . . . . . . . . . . . . . . . . 3.2 Singular Homology and Cohomology 3.3 de Rham Cohomology 4. CRITICAL POINTS 4.1 Basic Deﬁnitions 4.2 Morse’s Lemma . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

vi

vii Chapter 4.3 Sard’s Theorem . . . . . . . . . . . . . . . . . . . . . . . . . Page 45 54 58 58 60 64 78 80 80 85 86 87 89 95

4.4 Approximation Lemmas in Rn . . . . . . . . . . . . . . . . . 5. COBORDISMS AND ANALYSIS 5.1 Basic Deﬁnitions . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . .

5.2 Morse Theory . . . . . . . . . . . . . . . . . . . . . . . . . . 5.3 Elementary Cobordisms . . . . . . . . . . . . . . . . . . . .

5.4 Rearrangement of Cobordisms . . . . . . . . . . . . . . . . . 6. THE h-COBORDISM THEOREM . . . . . . . . . . . . . . . . . . 6.1 Cancellation Theorems . . . . . . . . . . . . . . . . . . . . . 6.2 Proof of the h-Cobordism Theorem . . . . . . . . . . . . . . . . . . . . . . . .

6.3 Applications of the h-Cobordism Theorem REFERENCES

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

APPENDIX: A THEOREM ON QUADRATIC FORMS . . . . . . . . . . . . VITA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

LIST OF TABLES

Table 1.1 Results for the (Smooth) h-Cobordism Theorem in Each Dimension

Page 3

viii

LIST OF FIGURES

Figure 2.1 2.2 2.3 2.4 5.1 5.2 5.3 5.4 The case n = 3, λ = 2. Here ϕ : S1 × B1 → S2 . Surgery of type (2, 1) on S2 . . . . . . . . . . . .

Page 18 18 19 19 59 60 65

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

The case n = 3, λ = 1. Here ϕ : S0 × B2 → S2 . Surgery of type (1, 2) on S2 .

. . . . . . . . . . . . . . . . . . . . .

The Manifold L1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . Level Surfaces of L1 . . . . . . . . . . . . . . . . . . . . . . . . . . A gradient-like vector ﬁeld on a triad (W ; V, V ). . . . . . . . . . . The neighborhoods U, U0 , U1 , U2 in the existence construction are drawn schematically for the triad in Example 6. . . . . . . . . . ˜ Integral curves for X. See [11] p. 147. . . . . . . . . . . . . . . . . V0 , V1 , V , and V− are drawn schematically for a 2-manifold with µ = λ = 1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The left-hand sphere SL and the left-hand disk DL are shown schematically for a 2-manifold with µ = λ = 1. Here ϕL : {−1, 1} × (−1, 1) → V0 . . . . . . . . . . . . . . . . . . . . . . . . The right-hand sphere SR and the right-hand disk DR are shown schematically for a 2-manifold with µ = λ = 1. Here ϕR : (−1, 1) × {−1, 1} → V1 . . . . . . . . . . . . . . . . . . . . . . . . Bounding Curves of L1 ⊂ R2 Bounding Surfaces of L2 ⊂ R3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

66 67

5.5 5.6

71

5.7

72

5.8

73 74 74

5.9 5.10

ix

CHAPTER 1 INTRODUCTION

1.1 Overview

The purpose of this thesis is to sketch a proof of the h-Cobordism Theorem. Along the way, many diverse tools from analysis, algebra, topology, and geometry are implemented. In Chapter 1, preliminary deﬁnitions for multidimensional calculus are given. Also some standard notations for special subsets of Euclidean space which appear frequently in topology are established. Chapter 2 provides an outline of some of the foundational results in diﬀerential topology. The deﬁnition of a manifold is given, followed by the deﬁntion for vector bundles on manifolds. Of fundamental importance in diﬀerential topology is Whitney’s Imbedding Theorem. A simple version is proved. The chapter concludes with a section on surgery on manifolds. It will be shown later (in Chapter 5) that certain cobordisms correspond to surgery on the boundary manifolds. In Chapter 3, an outline of some major ideas and results in algebraic topology are presented. In the ﬁrst section, homotopy and homotopy groups are deﬁned. In the next section, singular homology is presented as well as some of the more general ideas from homological algebra. The Eilenberg-Steenrod Axioms for Homology are presented as a succinct presentation of some foundational properties of homology theories. Chapter 3 closes with the development of de Rham cohomology as an alternative example of a cohomology theory. The deﬁnition of orientation is given here, and is used in the ﬁnal chapter to prove the h-Cobordism Theorem.

1

2 Chapter 4 covers the essential facts about critical points needed in the proof of the h-Cobordism Theorem. Since Morse Theory is the driving force for the analysis of cobordisms, certain facts about critical points are paramount for the proof of the hCobordism Theorem. Morse’s Lemma gives a coordinate system in the neighborhood of a critical point of a map from a manifold to R such that the function is represented in a particularly simple way. Sard’s Theorem says that the set of critical values has measure zero in the codomain. Finally, some approximation lemmas are given which will be used to show the existence of Morse functions in Chapter 5. The main work of this thesis is contained in Chapter 5. Here, the basic definitions of cobordisms are given. Some results of Morse Theory are given and then applied to cobordisms as a means of analyzing them. The notion of a gradient-like vector ﬁeld is introduced. The idea of the proof of the h-Cobordism Theorem is to alter the gradient-like vector ﬁeld on the cobordism so as to cancel irrelevant critical points. The analytical setting for this procedure is developed here. In particular, certain imbedded spheres and disks are identiﬁed which are later used to cancel critical points. The chapter concludes with a theorem which provides for rearranging critical points so that a cobordism can be decomposed into a composition of cobordisms, each with all its critical points on the same level and with the same index. Chapter 6 presents the h-Cobordism Theorem, a sketch of the proof, and some applications of the theorem. An outline of the proof is as follows. First, it is shown that if the intersections of the embedded spheres are suitable, critical points on particular indices can be cancelled or traded. Next, it is shown that, given particular dimensional, homological, and homotopy requirements, it is always possible to make the intersections suitable. Thus, one can always cancel critical points in the middle dimensions. This is where the dimension requirement in the h-Cobordism Theorem

3 Dimension True/False Credit 0, 1, 2 True (trivial or vacuous) 3 True Perelman (2003) 4 ? ? 5 False Donaldson (1987) ≥6 True S.Smale (1962) Table 1.1. Results for the (Smooth) h-Cobordism Theorem in Each Dimension enters. Finally, critical points of indices 0 and 1 are cancelled. Once all the critical points are cancelled, the Morse number of the cobordism is zero, and so it is a product cobordism, i.e. diﬀeomorphic to a boundary manifold times the unit interval. Results of the smooth h-Cobordism Theorem are presented in Table 1.1.

1.2 Preliminary Deﬁnitions and Notation

The purpose of this section is to establish notational conventions and to provide some fundamental deﬁnitions for later reference. The following set notations will be adopted for this thesis:

Rn = {x = (x1 , . . . , xn ) : xi ∈ R, i = 1, . . . , n} Rn = {(x1 , . . . , xn ) ∈ Rn : xn ≥ 0} + I = [0, 1] (unit interval) (n-sphere) (n-disk)

(Euclidean n-space)

(Euclidean half-space)

Sn = {x ∈ Rn+1 : x = 1} Dn = {x ∈ Rn : x ≤ 1} Bn (x) = {y ∈ Rn : x − y < ε} ε

(ε-ball centered at x).

4 Further, Bn (x) = Bn (x) and Bn (0) = Bn so that, for example, ε ε 1 Bn = {x ∈ Rn : x < 1}

(n-ball).

The general linear group of n × n nonsingular matrices will be denoted GL(n). The deﬁnitions and theorems below are standard. Deﬁnition 1. Let U ⊆ Rn be an open set. A function f : U → Rm is diﬀerentiable at x ∈ U if there is a linear transformation λ : Rn → Rm such that ˜ ˜ f (x + h) − f (x) − λ(h)

˜ h→0

lim

˜ h

= 0.

It can be shown that if such a transformation exists, it is unique. This unique linear transformation λ is denoted Df (x) and called the derivative of f at x. In the canonical bases of Rn and Rm , the m × n matrix of Df (x) is called the Jacobian matrix of f at x, and is denoted by J(f (x)). Theorem 1. Let U ⊆ Rn be an open set. If f : U → Rm is diﬀerentiable at x ∈ U , ∂f i then exists for all 1 ≤ i ≤ m and all 1 ≤ j ≤ n. Moreover, ∂xj x ∂f 1 ∂x1 ∂f 2 J(f (x)) = ∂x1 . . . ∂f m ∂x1 ∂f 1 ∂x2 ∂f 2 ∂x2 . . . ∂f m ∂x2 ···

x

x

∂f 1 ∂xn ∂f 2 ∂xn . . . ∂f m ∂xn

x

···

x

x

... ···

x

.

x

x

x

Conversely, f is diﬀerentiable at x if each partial derivative continuous in a neighborhood of x.

∂f i ∂xj

exists and is

x

5 Deﬁnition 2. Let A ⊆ Rn be any subset of Rn . A function f : A → Rm is said to ˜ be diﬀerentiable if there is a neighborhood U of A and an extension f of f such ˜ that f is diﬀerentiable at each point in A. If there is a neighborhood of A for which every partial derivative of order k exists and is continuous, then f is said to be of class C k (A), and one writes f ∈ C k (A). If f ∈ C k (A) for all k ∈ N, f is said to be smooth, and one writes f ∈ C ∞ (A). (Often one omits the A and simply says that f is C k , etc.) If f is smooth and has a smooth inverse, it is called a diﬀeomorphism. The following is a generalization of Taylor’s Theorem for functions of a single variable. It provides a power series representation of a C k function f at a point x, given the value of f and its derivatives up to order k − 1 at some point x0 nearby. This form of Taylor’s Theorem is used to prove Sard’s Theorem below. Theorem 2 (Taylor’s Theorem). Suppose D ⊆ Rn is an open subset of Rn , f : D → R is in C k (D), the points x, x0 ∈ D, and the line segment connecting x and x0 is contained in D, i.e., {tx + (1 − t)x0 : t ∈ I} ⊆ D. Then

n

f (x) = f (x0 ) +

i=1

∂f ∂xi

n

(x −

x0

i

xi ) 0

∂ 2f 1 + 2! i,j=1 ∂xi ∂xj

n

(xi − xi )(xj − xj ) + · · · + 0 0

x0 i

+

1 (k − 1)! i

1 ,...,ik−1 =1

∂ k−1 f ∂xi1 · · · ∂xik−1

**(xi1 − xi1 ) · · · (xik−1 − x0k−1 ) + Rk (x), 0
**

x0

(1.1) where 1 Rk (x) = k! i

n

1 ,...,ik =1

∂kf ∂xi1 · · · ∂xik

**(xi1 − xi1 ) · · · (xik − xik ), 0 0
**

tx+(1−t)x0

(1.2)

for some t ∈ (0, 1).

6 Proof. The idea of the proof is to simply draw a ray from x0 to x and let this ray act as the domain of f , so that f is now a function R → R and the single variable version of Taylor’s Theorem can be applied. Here are the details1 . ˜ ˜ Deﬁne h = x − x0 so that h points from x0 to x. Deﬁne the curve γ : I → Rn ˜ ˜ by γ(t) = x0 + th, where I ⊆ R is the open subset I = {t ∈ R : x0 + th ∈ D}. Note that [0, 1] ⊆ I. Let φ = f ◦ γ : I → R. Since γ is C ∞ and f is C k , it follows that φ is C k . Applying the chain rule to φ gives

n

φ (t) =

i=1

∂f ∂xi

n

n

· γi (t) =

γ(t) i=1

∂f ∂xi

n

hi

γ(t)

d φ (t) = dt . . .

n

i=1

∂f ∂xi

hi

γ(t)

=

i=1

∂ ∂xi

d(f ◦ γ) dt

n

hi =

t i,j=1

∂ 2f ∂xi ∂xj

hi hj

γ(t)

φ (t) =

i=1

(k)

∂ φ(k−1) (t) hi = ∂xi i

n

1 ,...,ik =1

∂kf ∂xi1 · · · ∂xik

hi1 · · · hik .

γ(t)

Now, by Taylor’s Theorem for a single variable, there exists s ∈ (0, 1) such that 1 1 φ (0) + · · · + φ(k−1) (0) + Rk (1), 2! (k − 1)!

φ(1) = φ(0) + φ (0) +

where 1 (k) φ (s). k!

Rk (1) =

**Noting that φ(1) = f (x), φ(0) = f (x0 ), and γ(0) = x0 , we obtain the desired formulas (1.1) and (1.2).
**

1

c.f. [3] pp. 86 and 94

7 The Implicit Function Theorem has been framed in a variety of ways. That herein is similar to the one in [5] pp. 223—225. First, some deﬁnitions are introduced which are needed for the statement of the theorem. Deﬁnition 3. Let U ⊆ Rm be an open set, x ∈ U , and f : U → Rm . If there is a neighborhood V of x such that f |V has a smooth inverse, then f is called a local diﬀeomorphism at x. A local diﬀeomorphism at 0 is a called a local coordinate system at f (0). Theorem 3 (Implicit Function Theorem). Let U ⊆ Rm be an open set, x ∈ U , and f : U → Rm be a smooth map. If rank J(f (x)) = m, then f is a local diﬀeomorphism at x. The theorem below is an immediate consequence of the Implicit Function Theorem. Theorem 4. Let U ⊆ Rm be an open set, x ∈ U , and f : U → Rm be a smooth map. If rank J(f (x)) is constant on a neighborhood of x, then there is a local coordinate system g at x and a local coordinate system h at f (x) such that

h−1 f g(x1 , . . . , xm ) = (x1 , . . . , xk , 0).

This simply says that, given the hypothesis, there are coordinate systems for which f is just a projection Rm → Rk followed by the inclusion Rk → Rn .

CHAPTER 2 SMOOTH MANIFOLDS

Smooth manifolds and smooth maps between manifolds are the objects of study in diﬀerential topology. A manifold is a topological space which locally “looks like” Rn . In Section 2.1 manifolds and smooth maps will be formally introduced along with several other deﬁnitions which provide a foundation for the diﬀerential topology in this thesis. In Section 2.2 an introduction to vector bundles is given. Vector bundles provide additional structure on manifolds and are used here as a tool for the study of the manifolds themselves.

2.1 Diﬀerentiable Structures

Deﬁnition 4. Let V ⊆ Rm and f : V → Rm . We say that f is smooth or diﬀerentiable of class C ∞ if f can be extended to a map g : U → Rm , where V ⊆ U and U is open in Rn , such that the partial derivatives of g of all orders exist and are continuous. Deﬁnition 5. A (topological) manifold is a metric space M for which there is an integer n ≥ 0 such that if x ∈ M , there is a neighborhood U of x such that U is homeomorphic to Rn or Rn . The boundary of M , denoted ∂M , is the set of all + points in M which do not have neighborhoods homeomorphic to Rn . Deﬁnition 6. Suppose U and V are two open subsets of a manifold M and

x : U → x(U ) ⊂ Rn

and

y : V → y(V ) ⊂ Rn

8

9 are two homeomorphisms. Then x and y are called C ∞ -related if the maps

y ◦ x−1 : x(U ∩ V ) → y(U ∩ V ) x ◦ y −1 : y(U ∩ V ) → x(U ∩ V )

are C ∞ . Deﬁnition 7. An atlas for a manifold M is a family of mutually C ∞ -related homeomorphisms whose domains cover M . A particular member (x, U ) of an atlas A is called a chart for the atlas A, or a coordinate system on U . Lemma 1. If A is an atlas of C ∞ -related charts on a manifold M , then A is contained in a unique maximal atlas A for M . Deﬁnition 8. A C ∞ manifold, or diﬀerentiable manifold, or smooth manifold, is a pair (M, A), where A is a maximal atlas for M . Deﬁnition 9. Let (M, A) and (N, B) be two C ∞ manifolds. We say that (M, A) and (N, B) are diﬀeomorphic if there is a bijective function f : M → N , called a diﬀeomorphism, such that

x∈B

⇐⇒

x ◦ f ∈ A.

Deﬁnition 10. Let (M, A) be a diﬀerentiable manifold and N be an open submanifold of M . Then we can deﬁne a diﬀerentiable manifold (N, A ), called a C ∞ submanifold of M , where the atlas A consists of all (x, U ) in A with U ⊂ N . Deﬁnition 11. Let M be a smooth n-manifold and N be a smooth m-manifold. A function f : M → N is called diﬀerentiable if for every coordinate system (x, U ) for M and (y, V ) for N , the map y ◦ f ◦ x−1 : x(U ) ⊆ Rn → Rm is diﬀerentiable.

10 Deﬁnition 12. Let M be a smooth n-manifold and N be a smooth m-manifold. A function f : M → N is called diﬀerentiable at p ∈ M if y ◦ f ◦ x−1 : Rn → Rm is diﬀerentiable at x(p) for coordinate systems (x, U ) and (y, V ) with p ∈ U and f (p) ∈ V . Deﬁnition 13. A function f : M → R is called diﬀerentiable iﬀ f ◦ x−1 is diﬀerentiable for each chart x, i.e. iﬀ it is diﬀerentiable as a map between manifolds with the usual atlas on R (the maximal atlas generated by the identity on R). Lemma 2. We have the following: 1. A function f : Rn → Rm is diﬀerentiable as a map between C ∞ manifolds iﬀ it is diﬀerentiable in the usual sense. 2. A function f : M → Rm is diﬀerentiable iﬀ each f i : M → R is diﬀerentiable. 3. A coordinate system (x, U ) is a diﬀeomorphism from U to x(U ). 4. A function f : M → N is diﬀerentiable iﬀ each y i ◦ f is diﬀerentiable for each coordinate system y of N . 5. A diﬀerentiable function f : M → N is a diﬀeomorphism iﬀ f is bijective and f −1 : N → M is diﬀerentiable.

2.2 Vector Bundles

Deﬁnition 14. An n-dimensional vector bundle (or n-plane bundle) is a 5tuple ξ = (E, π, B, ⊕, ), such that (i) E and B are topological spaces (ii) π : E → B is continuous and surjective (iii) ⊕ :

p∈B

π −1 (p) × π −1 (p) → E is such that ⊕ (π −1 (p) × π −1 (p)) ⊂ π −1 (p) (R × π −1 (p)) ⊂ π −1 (p)

(iv)

: R × E → E is such that

11 (v) ⊕ and make each ﬁbre π −1 (p) into an n-dimensional vector space over R

(vi) For each p ∈ B, there is a neighborhood U of p and a homeomorphism

t : π −1 (U ) → U × Rn

which is also a vector space isomorphism for each π −1 (q) onto {q} × Rn , for all q ∈ U. E is called the total space and B is called the base space. Condition (vi) is called local triviality. Deﬁnition 15. Two vector bundles ξ1 = π1 : E1 → B and ξ2 = π2 : E2 → B are called equivalent, written ξ1 ξ2 , if there is a homeomorphism h : E1 → E2

−1 −1 which takes each ﬁbre π1 (p) isomorphically onto π2 (p). The map h is called an

equivalence. Deﬁnition 16. A bundle map from a vector bundle ξ1 to a vector bundle ξ2 is a pair of continuous maps (f , f ), with f : E1 → E2 and f : B1 → B2 , such that (i) the following diagram commutes

f

E1

π1

/

E2

π2

B1 (ii) for every p ∈ B1 , the map

f

/

B2

−1 −1 −1 f |π1 (p) : π1 (p) → π2 (p)

is linear.

12 Deﬁnition 17. A section of a vector bundle π : E → B is a continuous function s : B → E such that π ◦ s = idB . Deﬁnition 18. Let M be an n-manifold with p ∈ M . A tangent vector at p is an operation Xp which assigns to each diﬀerentiable function f : U → R, where U ⊆ M is a neighborhood of p, a real number, subject to 1. If g is a restriction of f , Xp (g) = Xp (f ). 2. For all α, β ∈ R, Xp (αf + βg) = αXp (f ) + βXp (g). 3. Xp (f · g) = Xp (f ) · g(p) + f (p) · Xp (g), where the dot denotes multiplication in R. Lemma 3. Let (x1 , . . . , xn ) be a coordinate system about p ∈ M and Xp be a tangent vector at p. Then Xp may be written uniquely as a linear combination of the operators ∂ : ∂xi p

n

Xp =

i=1

αi

∂ ∂xi

.

p

Deﬁnition 19. For each p ∈ M , the tangent vectors at p form an n-dimensional n ∂ form a basis for TMp , by Lemma 3). Let vector space TMp (and ∂xi p

i=1

TM =

p∈M

TMp .

Deﬁne π : TM → M as mapping a tangent vector Xp at p to p. Local triviality is provided by the map tU : π −1 (U ) → U × Rn deﬁned as follows. If Xp ∈ π −1 (U ), n ∂ then p ∈ U and Xp = αi for some αi ∈ R and some coordinate system ∂xi p i=1

13 (x1 , . . . , xn ) on U . Set

tU (Xp ) = (p, α1 , . . . , αn ).

A topology on TM is induced by requiring that tU is a homeomorphism. Since

t−1 ◦ tU : (U ∩ V ) × Rn → (U ∩ V ) × Rn V

is a homeomorphism, this topology is unambiguously determined. Also, t is a vector space isomorphism for each ﬁbre π −1 (p) → {p} × Rn . This forms a vector space bundle on M called the tangent bundle. Deﬁnition 20. A section of TM is called a vector ﬁeld on M . (The tangent bundle can be given a smooth manifold structure and so one can also deﬁne smooth vector ﬁelds. See e.g. [11] Ch.3.) Deﬁnition 21. If f : M → N is a smooth map of smooth manifolds, then the diﬀerential of f at p ∈ M is the function

f∗ : TMp → TNf (p)

deﬁned by

(f∗ Xp )(g) = Xp (g ◦ f ),

for each g : N → R. (The diﬀerential f∗ is often written df .) Deﬁnition 22. A 1-parameter group of diﬀeomorphisms of a manifold M is a C ∞ map ϕ : R × M → M such that 1. for each t ∈ R, the map ϕt : M → M deﬁned by ϕt (q) = ϕ(t, q) is a diﬀeomorphism of M onto itself, 2. for all t, s ∈ R, one has ϕt+s = ϕt ◦ ϕs .

14 Given a 1-parameter group ϕ of diﬀeomorphisms of M , a vector ﬁeld X on M generates the group ϕ if every smooth map f : M → R obeys f (ϕh (q)) − f (q) . h→0 h

Xq (f ) = lim

Lemma 4. A smooth vector ﬁeld on M which vanishes outside of a compact set K ⊆ M generates a unique 1-parameter group of diﬀeomorphisms on M . A proof is given in [7] on pp.10-11. In particular, if M is compact, a smooth vector ﬁeld on M generates a unique 1-parameter group ϕ of diﬀeomorphisms on M . Given q ∈ M , a 1-dimensional submanifold of M , called an integral curve, is given by the set {p ∈ M : p = ϕt (q) for some t ∈ R}.

2.3 Whitney’s Imbedding Theorem

Deﬁnition 23. An immersion is a diﬀerentiable map f : M → N such that rank (f ) = dim (M ) at each p ∈ M . Deﬁnition 24. An imbedding is an injective immersion which is a homeomorphism onto its image. Theorem 5. Any compact manifold can be imbedded smoothly into a Euclidean space. Proof. Let M be a compact n-dimensional manifold. Since M is compact, there is a ﬁnite cover {Ui }k which gives a coordinate chart {(Ui , xi )}k for M . There is i=1 i=1 a reﬁnement {Ui }k furnishing a partition of unity {ψi }k subordinate to {Ui }k . i=1 i=1 i=1 Deﬁne the map f : M → Rnk+k by

f = (ψ1 · x1 , ψ1 · x2 , . . . , ψk · xk , ψ1 , . . . , ψk ).

15 Then rank (f ) = n since for each p ∈ M , p is in some Ui so that = ∂ (ψ1 · x1 ) · · · ∂x1 i ∂ (ψ1 · x2 ) · · · ∂x1 i . ... . . ∂ (ψ1 · xn ) · · · ∂x1 i . . . . . . ∂ (ψi · x1 ) · · · ∂x1 i ∂ (ψi · x2 ) · · · ∂x1 i . .. . . . ∂ (ψi · xn ) · · · ∂x1 i . . . . . . ∂ (ψk · xk ) · · · ∂x1 i ∂ (ψ1 ) ··· ∂x1 i . .. . . . ∂ (ψk ) ··· ∂x1 i ∂ (ψ1 · x1 ) ∂xn i ∂ (ψ1 · x2 ) ∂xn i . . . ∂ (ψ1 · xn ) ∂xn i . . . ∂ (ψi · x1 ) ∂xn i ∂ (ψi · x2 ) ∂xn i . . . ∂ (ψi · xn ) ∂xn i . . . ∂ (ψk · xk ) ∂xn i ∂ (ψ1 ) ∂xn i . . . ∂ (ψk ) ∂xn i =

∂ (ψ1 · x1 ) ∂x1 i ∂ (ψ1 · x2 ) ∂x1 i . . . ∂ (ψ1 · xn ) ∂x1 i . . .

··· ··· .. .

··· . . .

∂f α ∂xβ i

1n×n

. . . ∂ (ψk · xk ) ∂x1 i ∂ (ψ1 ) ∂x1 i . . . ∂ (ψk ) ∂x1 i . . . ··· ··· .. .

···

∂ (ψ1 · xn ) n ∂xi . . . . . . . ∂ (ψk · xk ) n ∂xi ∂ (ψ1 ) n ∂xi . . . ∂ (ψk ) n ∂xi

∂ (ψ1 · x1 ) ∂xn i ∂ (ψ1 · x2 ) ∂xn i . . .

So for each p ∈ M , one of the n × n blocks of the Jacobian is the n × n identity matrix. This shows that f is an immersion of M into Rnk+k . It is also easy to see that f is injective. Suppose f (p) = f (q). Then there is a Ui such that p ∈ Ui . Thus ψi (p) = 1. Since f (p) = f (q), one has by the deﬁnition of

16 f that ψi (q) = 1. Thus q ∈ Ui . Now, since f (p) = f (q) it must be the case that

ψi · xi (p) = ψi · xi (q) =⇒ =⇒ =⇒ ψi (p)xi (p) = ψi (q)xi (q) xi (p) = xi (q) p = q,

since xi is injective on Ui . It is therefore seen that f is an imbedding of M into the Euclidean space Rnk+k . Theorem 6 (H. Whitney, 1936). Let f : M → N be a smooth map which is an embedding on a closed subset F ⊆ M and let ε : M → R be a positive continuous ˜ function. If dim N ≥ 2dim M + 1, then there exists an embedding f : M → N ˜ ε-approximating f and such that f |F = f |F .

2.4 Surgery

One way of inducing a topological change on a manifold is achieved by performing “surgery.” In the deﬁnition below and in the rest of this thesis, disjoint union. Deﬁnition 25. Given a manifold V of dimension n − 1 and an embedding denotes

ϕ : Sλ−1 × Bn−λ → V

let χ(V, ϕ) denote the quotient manifold obtained from the disjoint sum

(V

ϕ(Sλ−1 × {0}))

(Bλ × Sn−λ−1 )

17 by identifying ϕ(u, θv) with (θu, v) for each u ∈ Sλ−1 , v ∈ Sn−λ−1 , and θ ∈ (0, 1). If V denotes any manifold diﬀeomorphic to χ(V, ϕ) then we will say that V can be obtained from V by surgery of type (λ, n − λ). Thus, a surgery on an (n−1)-manifold has the eﬀect of removing an embedded sphere of dimension λ − 1 and replacing it by an embedded sphere of dimension n − λ − 1. Example 1 (Surgery of type (2, 1) on S2 ). From the deﬁnition, n = 3, λ = 2, V = S2 . Thus ϕ : S1 × B1 → S2 (see Figure 2.1) and χ(S2 , ϕ) = (S2 ϕ(S1 × {0})) (B2 × S0 )/ {ϕ(u, θv) = (θu, v)} ,

where u ∈ S1 , v ∈ S0 , and θ ∈ (0, 1). The eﬀect of the surgery then is to ﬁrst cut out a 1-sphere from S2 leaving two components, each diﬀeomorphic to B2 . It then glues a diﬀerent pair of B2 ’s to each component so as to create two S2 ’s. See Figure 2.2. Therefore, χ(S2 , ϕ) is diﬀeomorphic to S2 S2 .

Example 2 (Surgery of type (1, 2) on S2 ). We have n = 3, λ = 1, and V = S2 . So ϕ : S0 × B2 → S2 and χ(S2 , ϕ) = (S2 ϕ(S0 × {0})) (B1 × S1 )/ {ϕ(u, θv) = (θu, v)} ,

where u ∈ S0 , v ∈ S1 , and θ ∈ (0, 1). χ(S2 , ϕ) is diﬀeomorphic to a 2-torus T2 . See Figures 2.3 and 2.4.

18

Figure 2.1.

The case n = 3, λ = 2. Here ϕ : S1 × B1 → S2 .

Figure 2.2.

Surgery of type (2, 1) on S2 .

19

Figure 2.3. The case n = 3, λ = 1. Here ϕ : S0 × B2 → S2 .

Figure 2.4.

Surgery of type (1, 2) on S2 .

CHAPTER 3 ALGEBRAIC TOPOLOGY

3.1 The Fundamental Group

Deﬁnition 26. If X and Y are topological spaces, then a homotopy of maps from X to Y is a map F : X ×I → Y . Two maps f0 , f1 : X → Y are said to be homotopic if there exists a homotopy F : X × I → Y such that F (x, 0) = f0 (x) and F (x, 1) = f1 (x) for all x ∈ X. The relation “f is homotopic to g” is an equivalence relation on the set of maps from X to Y and is denoted f g.

Deﬁnition 27. A map f : X → Y is said to be a homotopy equivalence with homotopy inverse g if there is a map g : Y → X such that g ◦ f f ◦g idX and

idY . In this case X and Y are said to have the same homotopy type and Y is used.

the notation X

Deﬁnition 28. A space is said to be contractible if it is homotopy equivalent to the one-point space. Deﬁnition 29. A topological subspace A ⊆ X is called a strong deformation retract of X if there is a homotopy F : X × I → Y (called a deformation) such that: 1. F (x, 0) = x, 2. F (x, 1) ∈ A, 3. F (a, t) = a for all a ∈ A and all t ∈ I. It is just a deformation retract if the last equation is required only for t = 1.

20

21 Deﬁnition 30. If A ⊆ X then a homotopy F : X × I → Y is said to be relative to A (or rel A) if F (a, t) is independent of t for a ∈ A. A homotopy that is rel X is said to be a constant homotopy. Deﬁnition 31. If F : X × I → Y and G : X × I → Y are two homotopies such that F (x, 1) = G(x, 0) for all x, then deﬁne a homotopy F ∗ G : X × I → Y , which is called the concatenation of F and G, by

1 2 1 2

(F ∗ G)(x, t) =

F (x, 2t),

if t ≤ if t ≥

G(x, 2t − 1),

Deﬁnition 32. If F : X × I → Y is a homotopy, then the inverse homotopy of F is F −1 : X × I → Y given by F −1 (x, t) = F (x, 1 − t). If A ⊆ X and B ⊆ Y then maps which carry A into B are denoted (X, A) → (Y, B). Let [X; Y ] denote the set of homotopy classes of maps X → Y , and [X, A; Y, B] denote the set of homotopy classes of maps (X, A) → (Y, B) such that A goes into B during the entire homotopy. If A = {x0 } and B = {y0 } and the points x0 and y0 are understood, one writes simply [X; Y ]∗ instead of [X, {x0 } ; Y, {y0 }]. Deﬁnition 33. Let (X, A) = (S1 , {∗}), where ∗ ∈ S1 . Then if [f ], [g] ∈ [S1 , Y ]∗ , concatenation induces a well-deﬁned product on homotopy classes by

[f ] · [g] = [f ∗ g].

It can be shown that [S 1 , Y ]∗ forms a group under the induced product, where inverses are provided by homotopy classes of homotopy inverses, and the identity is given by the homotopy class of the constant homotopy. This group is called the fundamental

22 group, or Poincar´ group or ﬁrst homotopy group, and is denoted e

π1 (Y, y0 ) = [S1 ; X]∗ .

Deﬁnition 34. A topological space X is said to be arcwise connected if for any two points p, q ∈ X, there exists a map ϕ : I → X with ϕ(0) = p and ϕ(1) = q. Deﬁnition 35. An arcwise connected space X with π1 (X, x0 ) = 1 is called simply connected. A simply connected space is actually independent of the choice of x0 .

3.2 Singular Homology and Cohomology

Deﬁnition 36. The standard n-simplex is the convex set ∆n ⊆ Rn+1 consisting of all (n + 1)-tuples (t0 , . . . , tn ) of real numbers with

ti ≥ 0,

t0 + t1 + · · · + tn = 1.

Any continuous map σ : ∆n → X, where X is a topological space, is called a singular n-simplex in X. The ith face of a singular n-simplex σ : ∆n → X is the singular (n − 1)-simplex

σ ◦ φi : ∆n−1 → X,

where the linear imbedding φi : ∆n−1 → ∆n is deﬁned by

φi (t0 , . . . , ti−1 , ti+1 , . . . , tn ) = (t0 , . . . , ti−1 , 0, ti+1 , . . . , tn ).

23 Deﬁnition 37. A left R-module R G consists of an abelian group G, a ring R, and a mapping R × G → G, denoted by juxtaposition, such that for all a, b ∈ G and r, s ∈ R, 1. (a + b)r = ar + br 2. a(r + s) = ar + as 3. a(r · s) = (ar)s 4. a1 = a. (A right R-module GR is deﬁned symmetrically. See [6] p. 14.) A left R-module

RG

is called free if it has a basis {gi : i ∈ I} ⊆ G, such that every element g ∈ G

can be written uniquely in the form

g=

i∈I

ri gi ,

**where ri ∈ R and all but a ﬁnite number of the ri are 0. (See [6] p. 81.) A homomorphism (R-homomorphism) φ :
**

RG

→

RH

is a group homomorphism of G

into H which satisﬁes the extra condition

φ(rg) = rφ(g),

for all g ∈ G and r ∈ R. (See [6] p. 15–16.) Deﬁnition 38. For each n ≥ 0, the singular chain group Cn (X; R) with coeﬃcients in the commutative ring R is the free (left) R-module having one generator [σ] for each singular n-simplex σ in X. For n < 0, the group Cn (X; R) is deﬁned to be zero. The boundary homomorphism

∂ : Cn (X; R) → Cn−1 (X; R)

24 is deﬁned by

∂[σ] = [σ ◦ φ0 ] − [σ ◦ φ1 ] + − · · · + (−1)n [σ ◦ φn ].

Lemma 5. ∂ ◦ ∂ = 0. Deﬁnition 39. The nth singular homology group Hn (X; R) is the quotient module Zn (X; R)/Bn (X; R), where Zn (X; R) is the kernel of ∂ : Cn (X; R) → Cn−1 (X; R) and Bn (X, R) is the image of ∂ : Cn+1 (X; R) → Cn (X; R). (The “groups” are really left R-modules.) It is useful here to insert a few more purely algebraic constructs in order to deﬁne relative homology later. Deﬁnition 40. A graded group is a collection of abelian groups Ci indexed by the integers. A chain complex is a graded group {Ci } together with a sequence of homomorphisms ∂ : Ci → Ci−1 such that ∂ 2 : Ci → Ci−2 is zero. The operator ∂ is called a boundary operator or diﬀerential. The singular chain groups Cn (X; R) along with the boundary homomorphisms form a chain complex. Deﬁnition 41. If C∗ = ({Ci }, ∂) is a chain complex, then its homology is deﬁned to be the graded group ker ∂ : Cn → Cn−1 . im ∂ : Cn+1 → Cn

Hn (C∗ ) =

Thus, Hn (X) = Hn (C∗ (X)). Deﬁnition 42. If A∗ and B∗ are chain complexes, then a chain map f : A∗ → B∗ is a collection of homomorphisms f : Ai → Bi such that f ◦ ∂ = ∂ ◦ f .

25 Deﬁnition 43. A sequence of groups A −→ B −→ C is called exact if im(i) = ker(j). Theorem 7. A “short” exact sequence 0 → A∗ −→ B∗ −→ C∗ → 0 of chain complexes and chain maps induces a “long” exact sequence

∂ i j∗ ∂ i i j i j

∗ ∗ ∗ ∗ · · · −→ Hn (A∗ ) −→ Hn (B∗ ) −→ Hn (C∗ ) −→ Hn−1 (A∗ ) −→ · · · ,

where ∂∗ c = i−1 ◦ ∂ ◦ j −1 (c) and is called the connecting homomorphism. Deﬁnition 44. Let A ⊆ X be a pair of topological spaces. Then Cn (A; R) is

**a submodule of Cn (X; R) and the inclusion is a chain map. Let Cn (X, A; R) = Cn (X; R)/Cn (A; R). Then
**

i j

0 → C∗ (A) −→ C∗ (X) −→ C∗ (X, A) → 0

is an exact sequence of chain complexes and chain maps. The relative homology of (X, A) is deﬁned to be

Hn (X, A; R) = Hn (C∗ (X, A; R)).

**By the theorem, there is an induced “exact homology sequence of the pair (X, A)”:
**

∂ i j∗ ∂ i

∗ ∗ ∗ ∗ · · · −→ Hn (A) −→ Hn (X) −→ Hn (X, A) −→ Hn−1 (A) −→ · · · .

Deﬁnition 45. A homology theory (on the category of all pairs of topological spaces and continuous maps) is a functor H assigning to each pair (X, A) of spaces,

26 a graded (abelian) group {Hp (X, A)}, and to each map f : (X, A) → (Y, B), homomorphisms f∗ : Hp (X, A) → Hp (Y, B), together with a natural transformation of functors ∂∗ : Hp (X, A) → Hp−1 (A), called the connecting homomorphism (where H∗ (A) is used to denote H∗ (A, ∅), etc.), such that the following ﬁve axioms are satisﬁed: 1. (Homotopy Axiom.)

f

g : (X, A) → (Y, B)

=⇒

f∗ = g∗ : H∗ (X, A) → H∗ (Y, B).

**2. (Exactness Axiom.) For the inclusions i : A → X and j : X → (X, A) the sequence
**

∂ i j∗ ∂ i

∗ ∗ ∗ ∗ · · · −→ Hp (A) −→ Hp (X) −→ Hp (X, A) −→ Hp−1 (A) −→ · · ·

is exact. 3. (Excision Axiom.) Given the pair (X, A) and an open set U ⊆ X such that U ⊆ int(A) then the inclusion k : (X an isomorphism

≈

U, A

U ) → (X, A) induces

k∗ : H∗ (X

U, A

U ) −→ H∗ (X, A).

4. (Dimension Axiom.) For a one-point space P , Hi (P ) = 0 for all i = 0. 5. (Additivity Axiom.) For a topological sum X = phism

α

Xα the homomor-

(iα )∗ :

Hn (Xα ) → Hn (X)

27 is an isomorphism, where iα : Xα → X is the inclusion. Not all important “homology theories” satisfy every axiom above. For examˇ ple, Cech homology fails exactness, and bordism and K-theories fail the dimension axiom [2]. However, singular homology provides a nice example of a homology theory. Theorem 8. Singular homology is a homology theory. The following theorem will be needed in Chapter 6. Theorem 9. If B ⊂ A ⊂ X and ∂∗ : Hi (X, A) → Hi−1 (A, B) is the composition of ∂∗ : Hi (X, A) → Hi−1 (A) with the map Hi−1 (A) → Hi−1 (A, B) induced by inclusion, then the following sequence is exact, where the maps other than ∂∗ come from inclusions:

∂ i j∗ ∂ i

∗ ∗ ∗ ∗ · · · −→ Hp (A, B) −→ Hp (X, B) −→ Hp (X, A) −→ Hp−1 (A, B) −→ · · · .

One can also deﬁne the dual theory to homology: cohomology. Deﬁnition 46. The cochain group C n (X; R) is deﬁned to be the dual module HomR (Cn (X; R), R) consisting of all R-linear maps from Cn (X; R) to R. The value of a cochain c on a chain γ will be denoted by c, γ ∈ R. The coboundary of a cochain c ∈ C n (X; R) is deﬁned to be the cochain δc ∈ C n+1 (X; R) whose value on each (n + 1)-chain α is determined by the identity

δc, α + (−1)n c, ∂α = 0.

Lemma 6. δ ◦ δ = 0. Deﬁnition 47. The nth singular cohomology group H n (X; R) is the quotient module Z n (X; R)/B n (X; R), where Z n (X; R) is the kernel of δ : C n (X; R) → C n+1 (X; R) and B n (X, R) is the image of δ : C n−1 (X; R) → C n (X; R).

28 3.3 de Rham Cohomology

The convention is here adopted that all vector spaces are ﬁnite dimensional over R. Deﬁnition 48. A map

k

ϕ:

i=1

Vi → R,

where the Vi are vector spaces, is called k-linear if it is linear in each argument, i.e., if

v → ϕ(v1 , . . . , vi−1 , v, vi+1 , . . . , vk )

is linear for each choice of v1 , . . . , vi−1 , vi+1 , . . . , vk . Remark 1. The set of all k-linear maps from V k to R forms a vector space and is denoted

T k (V ) = {ϕ : V k → R : ϕ is k-linear}.

So T 1 (V ) = V ∗ and we set T 0 (V ) = R. Deﬁnition 49. An element ϕ ∈ T k (V ) is called alternating if

ϕ(v1 , . . . , vi , . . . , vj , . . . , vk ) = −ϕ(v1 , . . . , vj , . . . , vi , . . . , vk ).

29 Deﬁnition 50. The vector space Λk V of all k-linear alternating forms with real values is

Λk V = {ϕ ∈ T k (V ) : ϕ is alternating}.

Deﬁnition 51. The wedge product, or exterior product, of a k-form and a -form is a (k + )-form:

∧ : Λk V × Λ V → Λk+ V ∧ : (ϕ, ψ) → ϕ ∧ ψ (ϕ ∧ ψ)(v1 , . . . , vk+ ) = 1 sgn (σ)ϕ(vσ(1) , . . . , vσ(k) )ψ(vσ(k+1) , . . . , vσ(k+ ) ) k! ! σ∈S

n

1. If β 1 , . . . , β n is a basis for V ∗ , then a basis of Λk V is given by

β i1 ∧ β i2 ∧ · · · ∧ β ik ,

1 ≤ i1 < i2 < · · · < ik ≤ n,

and therefore n dim Λk V = . k Thus, any p-form can be written in this basis as

ϕ=

i1 <i2 <···<ik

ϕi1 ···ik β i1 ∧ · · · ∧ β ik ,

ϕi1 ···ik ∈ R,

30 or 1 k! i

ϕ=

ϕi1 ···ik β i1 ∧ · · · ∧ β ik ,

1 ,...,ik

ϕi1 ···ik ∈ R.

2. dim Λn V = 1 so any n-form can be written as

ϕ = kβ 1 ∧ · · · ∧ β n .

An orientation of V is the choice of one of the two equivalence classes of Λn V {0}, i.e., some non-zero n-form ϕ modulo a positive factor.

Deﬁnition 52. A section of a vector bundle π : E → B is a continuous function s : B → E such that π ◦ s = idB . If M is a manifold, a section of T M is called a vector ﬁeld on M . Deﬁnition 53. If f : M → R, then the diﬀerential of f is the section of T ∗ M deﬁned by

df (p)(X) = Xp (f ),

for Xp ∈ Tp M.

Remark 2. If p ∈ U , where U is an open subset of a manifold M , and x : U → Rn is a coordinate chart for M , then a basis for Tp (U ) is given by ∂ ∂x1 A vector ﬁeld for T U is given by ∂ ∂x1 ∂ ∂xn

,...,

p

.

p

X(p) =

.

p

31 In this case, for any f : M → R, we have ∂f ∂x1

df (p)(X) =

.

p

In particular, ∂x1 ∂x1

dx1 (p)(X) =

= 1.

p

In general, ∂ ∂xj ∂xi ∂xj

dxi (p)

=

p

= δij ,

p

∗ so that dx1 , . . . , dxn is a basis for Tp U . In particular, we have p p

n

df =

i=1

∂f i dx . ∂xi

Deﬁnition 54. Let k ∈ {0, 1, . . . , n} and M be a smooth manifold. A diﬀerential form of degree k, or k-form for short, is a mapping

ω : M → Λk (T M ),

ϕ : p → ϕp ∈ Λk (Tp M ).

Remark 3. If p ∈ U , where U is an open subset of a manifold M , and x : U → Rn is a coordinate chart for M , dx1 , . . . , dxn , is a basis for Λ1 (Tp U ). Thus, a basis for p p Λk (Tp U ) is

dxi1 ∧ dxi2 ∧ · · · ∧ dxik ,

1 ≤ i1 < i2 < · · · < ik ≤ n.

32 Deﬁnition 55. Let ω give an orientation of M , g be a metric on M , and dxi be an oriented orthonormal basis of T ∗ M = Λ1 (T M ). The Hodge star is the linear isomorphism

∗ : Λk (T M ) → Λn−k (T M ) ∗(dxi1 ∧ · · · ∧ dxik ) = 1 εi ···i η i1 i1 · · · η ik ik dxik+1 ∧ · · · ∧ dxin . (n − k)! 1 n

Deﬁnition 56. The exterior derivative d is the linear map

**d : Λk (T M ) → Λk+1 (T M ) dω = 1 k! i dωi1 ···ik ∧ dxi1 ∧ · · · ∧ dxik
**

1 ,...,ik

1 = k! i,i

1 ,...,ik

∂ dxi ∧ dxi1 ∧ · · · ∧ dxik . ω i i1 ···ik ∂x

1. Although the Hodge star and the exterior derivative were both deﬁned in terms of a coordinate system, they are in fact both independent of the choice of coordinates. 2. Let f : R3 → R. Then ∂f ∂f ∂f dx + dy + dz. ∂x ∂y ∂z

df =

The 1-form df can be identiﬁed with the vector ∂f ∂f ∂f , , ∂x ∂y ∂z

f=

.

33 3. Let ω = ω1 dx + ω2 dy + ω3 dz be a 1-form. Then ∂ω3 ∂ω2 − ∂y ∂z ∂ω3 ∂ω1 − ∂x ∂z ∂ω2 ∂ω1 − ∂x ∂y

dω =

dy∧dz+

dx∧dz+

dx∧dy.

Identifying

dy ∧ dz ↔ x, ˆ

dx ∧ dz ↔ y, ˆ

dx ∧ dy ↔ ˆ, z

we obtain

dω =

× (ω1 , ω2 , ω3 ).

4. Let ω = ω3 dx ∧ dy − ω2 dx ∧ dz + ω1 dy ∧ dz. Then

dω =

· (ω1 , ω2 , ω3 ) dx ∧ dy ∧ dz.

Theorem 10 (Stoke’s Theorem). If M is an oriented n-manifold with boundary ∂M and ω is an (n − 1)-form on M with compact support, then

dω =

M ∂M

ω.

**Deﬁnition 57. The de Rham complex on a manifold M is the graded algebra
**

n

Ω∗ (M ) =

k=0

Λk (T M )

**34 together with the operator d. It gives rise to the exact sequence
**

d d

· · · −→ Λk−1 (T M ) −→ Λk (T M ) −→ Λk+1 (T M ) −→ · · · .

Deﬁnition 58. Forms ω which satisfy dω = 0 are called closed. For each k, we have the vector space

Z k (M ) = {ω ∈ Λk (M ) : ω is closed} = ker{d : Λk (T M ) → Λk+1 (T M )}.

If there exists a (k − 1)-form ϕ such that ω = dϕ, then ω is called exact. The vector space

B k (M ) = {ω ∈ Λk (M ) : ω is exact} = im{d : Λk−1 (T M ) → Λk (T M )}.

Further, we set B 0 (M ) = {0}. Theorem 11. d2 = 0. Proof. Note that d2 = (d : Λk (T M ) → Λk+1 (T M )) ◦ (d : Λk−1 (T M ) → Λk (T M )). Now, 1 k!(k + 1)! i,j,i ∂2 ωi ···i dxj ∧ dxi ∧ dxi1 ∧ · · · ∧ dxip = 0 ∂xj ∂xi 1 k

ddω =

1 ,...,ik

since the partial derivatives commute whereas dxi ∧ dxj = −dxj ∧ dxi . Corollary 1. Every exact form is closed. Corollary 2. B k (M ) is a vector subspace of Z k (M ).

35 Deﬁnition 59. The quotient vector space ker{d : Λk (T M ) → Λk+1 (T M )} im{d : Λk−1 (T M ) → Λk (T M )}

H k (M ) = Z k (M )/B k (M ) =

is called the k-dimensional de Rham cohomology vector space of M . Theorem 12 (Poincar´ Lemma). If M is smoothly contractible to a point p0 ∈ M , e then every closed form ω M is exact. on {0} for k > 0 k n Corollary 3. H (R ) = R for k = 0.

CHAPTER 4 CRITICAL POINTS

The analytical proof of the h-Cobordism Theorem relies heavily on the results of Morse Theory, which provides analytical techniques to study topological properties of manifolds. These techniques are based on the study of critical points of certain maps. These critical points provide information about the local behavior of the manifold. Morse Theory and Smale’s proof of the h-Cobordism Theorem hinge on Sard’s Theorem and Morse’s Lemma. Sard’s Theorem says roughly that the image of the set of critical points is small. Morse’s Lemma provides a nice coordinate system around critical points of certain maps.

4.1 Basic Deﬁnitions

The presentation below is similar to that in [7]. Deﬁnition 60. Let M and N be smooth manifolds and f : M → N a smooth map. A point p ∈ M is a critical point of f if the induced map f∗ : TMp → TNf (p) has rank < n. The set of critical points of f is denoted Σf . In the special case N = R, the real number f (p) is called a critical value of f and a number c ∈ R which is not a critical value of f is called a regular value of f . In terms of coordinates (x1 , . . . , xn ) in a neighborhood U of a critical point p of f : M → R, ∂f ∂x1 ∂f ∂x2 ∂f ∂xn

=

p

= ··· =

p

= 0.

p

36

37 Deﬁnition 61. Let p ∈ M be a critical point of the map f : M → R. If X, Y ∈ TMp , ˜ ˜ then X and Y have extensions to smooth vector ﬁelds X and Y on M . The Hessian of f at p is the symmetric bilinear functional f∗∗ : TMp × TMp → R deﬁned by ˜ ˜ f∗∗ (X, Y ) = Xp (Y (f )).

Lemma 7. The Hessian f∗∗ is well-deﬁned and symmetric. Proof. To see that f∗∗ is symmetric, notice that ˜ ˜ ˜ ˜ f∗∗ (X, Y ) − f∗∗ (Y, X) = Xp (Y (f )) − Yp (X(f )) = [X, Y ]p (f ) = 0,

since the Poisson bracket [X, Y ]p ∈ TMp and f∗ : TMp → T Rf (p) is zero. ˜ ˜ ˜ To see well-deﬁnedness, notice that f∗∗ (X, Y ) = Xp (Y (f )) = X(Y (f )) so ˜ that f∗∗ (X, Y ) is independent of the extension X, and by symmetry f∗∗ (X, Y ) = ˜ ˜ f∗∗ (Y, X) = Y (X(f )) so that f∗∗ (X, Y ) is independent of the extension Y . Let (x1 , . . . , xn ) be a coordinate system on an open set U have coordinates

n

p, and X, Y ∈ TMp

X=

i=1

∂ ai ∂xi

n

and

p

Y =

i=1

bi

∂ ∂xi

.

p

**˜ Then Y has an extension to a vector ﬁeld Y on U given by
**

n

˜ Yq =

i=1

bi (q)

∂ ∂xi

,

q

(q ∈ U )

38 where now bi : U → R is a constant function. In these coordinates, one has ˜ f∗∗ (X, Y ) = X(Y (f )) = ∂ ai ∂xi p i=1 ∂f ∂x1 ∂x1 . . an . ∂f ∂xn ∂x1

n

∂f bj j ∂x j=1 ···

p

n

n

=

i,j=1

ai bj (p) b p 1 . . . bn

p

∂f ∂xi ∂xj

p

= a1 · · ·

... ···

p

∂f ∂x1 ∂xn . . . ∂f ∂xn ∂xn

Thus, the matrix for TMp .

∂ 2f ∂xi ∂xj

**represents f∗∗ with respect to the basis
**

p

∂ ∂x1

,...,

p

∂ ∂xn

p

Deﬁnition 62. Let V be a ﬁnite-dimensional vector space and H : V × V → R a bilinear functional on V . The index of H is the maximal dimension of a subspace of V on which H is negative-deﬁnite. The nullspace of H is the subspace null (H) ⊂ V given by

null (H) = {v ∈ V : H(v, w) = 0 for all w ∈ V }.

Deﬁnition 63. A critical point p of f : M → R is said to be non-degenerate if

dim null f∗∗ = 0.

In terms of coordinates, a critical point is non-degenerate if ∂ 2f ∂xi ∂xj

det

= 0.

p

39 Deﬁnition 64. If p is a critical point for f : M → R, the index of f at p is the index of f∗∗ on TMp .

4.2 Morse’s Lemma

There is now a suitable background to state Morse’s Lemma. However, it is desirable at this stage to present some lemmas and then refer to these in the proof of Morse’s Lemma. Lemma 8. Let V be a convex neighborhood of 0 ∈ Rn and f : V → R be a C ∞ function with f (0) = 0. Then

n

f (x) =

i=1

xi gi (x)

for some suitable C ∞ functions gi : V → R with gi (0) =

∂f . ∂xi 0

**Proof. Let h : Rn+1 → Rn be deﬁned by h(t, x) = tx so that hi (t, x) = txi . Then ˜ f (x) = f (tx)
**

1 n 1 ˜ t=0 1

=

0

∂(f ◦ h) ∂t

1

n

˜ dt =

˜ tx n 0 1 i=1

∂f ∂xi ˜ dt =

=

0 i=1

∂f ∂xi

˜ · xi d t =

˜ tx i=1

xi

0

∂f ∂xi

˜ h(t,x) n

∂hi ∂t

˜ dt

˜ (t,x)

xi gi (x).

i=1

˜ tx

In the ﬁrst equality, f (0) = 0 is used, and, in the second, the Fundamental Theorem of Calculus. In the third, the chain rule has been employed. In the last equality, gi is 1 ∂f ˜ deﬁned as gi (x) = dt. Therefore, i ˜ 0 ∂x tx

1

gi (0) =

0

∂f ∂xi

˜ dt =

0

∂f ∂xi

1

˜ dt =

0 0

∂f ∂xi

.

0

40

**Example 3. Let f : R2 → R be f (x, y) = x3 + y 3 + x2 + xy. Then
**

1

g1 (x, y) =

0

∂f ∂x

1

dt =

(tx,ty) 2 0 1

3(tx)2 + 2(tx) + (ty) dt 1 = x2 + x + y 2

1 = t x + t x + t2 y 2

3 2

t=0

and

1

g2 (x, y) =

0

∂f ∂y

1

dt =

(tx,ty) 0

1 3(ty)2 + (tx) dt = t3 y 2 + t2 x 2

1 t=0

1 = y 2 + x. 2

Therefore, we can write 1 1 f (x, y) = xg1 (x, y) + yg2 (x, y) = x x2 + x + y + y y 2 + x . 2 2 Lemma 9 (Morse). If p is a non-degenerate critical point of f , there is a neighborhood U of p and a coordinate system x : U → Rn such that, for q ∈ U , f (q) = f (p) − (x1 (q))2 − · · · − (xλ (q))2 + (xλ+1 (q))2 + · · · + (xn (q))2 ,

(4.1)

for some λ between 0 and n. Moreover, λ is the index of f at p. ˜ ˜ Proof. Let f (q) = f (q) − f (p). Then f (p) = 0 and p is a nondegenerate critical point ˜ of f . Let y : U1 → Rn be a coordinate chart in a neighborhood U1 of p. Take ˜ y : U2 → Rn to be the coordinate chart on U2 ⊆ U1 , U2 p, given by y(q) = y (q) − y (p). ˜ ˜

˜ ˜ ˜ So y(p) = 0. Now f ◦ y −1 : Rn → R and f ◦ y −1 (0) = f (p) = 0. By Lemma 8, it

**41 follows that there is a neighborhood V1
**

n

0 such that, for x ∈ V1 , ˜ ∂(f ◦ y −1 ) ∂xi ˜ ∂f ∂xi

˜ f ◦ y −1 (x) =

i=1

gi (x)xi

and

gi (0) =

=

0

= 0,

p

**where gi : V1 → R is C ∞ . Applying Lemma 8 again, this time to the gi , there is a neighborhood V2 ⊆ V1 of 0 such that, for x ∈ V2 ,
**

n

gi (x) =

j=1

hij (x)xj

and

hij (0) =

∂gi ∂xj

=

0

˜ ∂ 2 (f ◦ y −1 ) ∂xi ∂xj

0

**for some smooth functions hij on V2 . Altogether, one has
**

n

˜ f ◦ y −1 (x) =

i,j=1

hij (x)xi xj .

**Non-degeneracy of p gives det (hij (0)) = det ˜ ∂ f = 0. ∂xi ∂xj
**

2 p

1 ˜ ˜ ˜ Deﬁne hij (x) = 2 (hij (x) + hji (x)). Then hij = hji and

1 ˜ det hij (0) = (det (hij (x)) + det (hji (x))) = det (hij (0)) = 0. 2 ˜ Modulo a linear change in coordinates (see Appendix A), one has h11 (0) = 0. ˜ ˜ Then by continuity of h11 , there is a neighborhood W1 of 0 such that h11 (x) = 0.

42 Thus, on W1 ,

n

˜ f ◦ y −1 (x) =

i,j=1 n

hij (x)xi xj ˜ hij (x)xi xj

i,j=1 n n

=

˜ = h11 (x)(x1 )2 + 2

i=2

˜ h1i (x)x1 xi +

i,j=2 n

˜ hij (x)xi xj

˜ = h11 (x) (x1 )2 + 2

n ˜ h1i (x) 1 i ˜ hij (x)xi xj xx + ˜ 11 (x) h i,j=2 i=2 2 2 n ˜ n ˜ n h1i (x) i h1i (x) i ˜ 11 (x) x1 + ˜ =h x x − hij (x)xi xj + ˜ ˜ h11 (x) h11 (x) i=2 i=2 i,j=2 n

=±

˜ |h11 (x)| x1 +

i=2

˜ h1i (x) i x ˜ h11 (x)

2

n

˜ − h11 (x)

i=2

˜ h1i (x) i x ˜ h11 (x)

n

2

+

i,j=2

˜ hij (x)xi xj .

**The last two sums are
**

n n

˜ ˜ hij (x)x x − h11 (x)

i j i,j=2 i=2

˜ h1i (x) i x ˜ h11 (x)

2

n

=

i,j=2 n

˜ ˜ hij (x)xi xj − h11 (x)

˜ ˜ h1i (x)h1j (x) i j xx ˜ h2 (x) 11 i,j=2

n

=

i,j=2 n

˜ ˜ h1i (x)h1j (x) i j ˜ hij (x) − xx ˜ h11 (x) ˜ ˜ ˜ ˜ h11 (x)hij (x) − h1i (x)h1j (x) i j xx ˜ h11 (x) C(1,1),(i,j) i j xx, ˜ h11 (x)

=

i,j=2 n

=

i,j=2

43 where C(1,1),(i,j) is the cofactor ˜ h11 (x) = det ˜ hi1 (x) ˜ 1j (x) h . ˜ ij (x) h

C(1,1),(i,j)

**˜ ˜ Since det(hij (0)) = 0, there is a neighborhood where det(hij )(x) = 0. Thus, not every C(1,1),(i,j) = 0. Set
**

n

ψ(x) =

˜ |h11 (x)| x1 +

i=2

˜ h1i (x) i x ˜ h11 (x)

, x2 , . . . , xn

.

**Then ψ : V2 → Rn , ψ(0) = 0, and ∂ψ1 ∂x1 0 J(ψ(0)) = . . . 0 ∂ψ1 ∂x1 ∂ψ1 ∂x2 1 . . . 0 ···
**

0

0

··· .. . ···

∂ψ1 ∂xn 0 0 . . . . 1

So det J(ψ(0)) = 0 iﬀ

= 0. But

0

∂ψ1 ∂ = 1 ∂x ∂x1

n

˜ |h11 (x)|

x1 +

i=2

˜ h1i (x) i x ˜ h11 (x)

+

˜ |h11 (x)| 1 +

∂ ∂x1

˜ h1i (x) ˜ h11 (x)

xi

∂ψ1 ˜ = |h11 (0)| = 0. Therefore det J(ψ(0)) = 0 and so, by the Inverse ∂x1 0 Function Theorem, ψ −1 exists and is C ∞ in a neighborhood W of 0. so that

44 Now, if q ∈ U2 and (ψ ◦ y)(q) = x ∈ W , then ˜ ˜ f (q) = f (p) + f (q) = f (p) + f ◦ y −1 ◦ ψ −1 (x) = f (p) ± [ψ1 (ψ −1 (x))]2 + · · · = f (p) ± (x1 )2 + · · · ,

where the tail of the sum is nonzero for q = p and consists of terms not containing x1 . Continuing this process on each remaining variable (induction) and then reordering coordinates (composing with a non-singular permutation matrix), one obtains a coordinate system around p such that Equation (4.1) holds. It remains to show that λ is the index of f at p. By Equation (4.1),

∂ 2f ∂xi ∂xj

p

0 −2 .. . −2 . = 2 ... 0 2

But this is just the matrix of f∗∗ in the basis

∂ ∂ , . . . , n . This gives a negative 1 ∂x p ∂x p deﬁnite subspace of TMp of dimension λ and a positive deﬁnite subspace of dimension n − λ. Then λ is the maximal dimension since otherwise the negative deﬁnite and

positive deﬁnite subspaces would intersect. Therefore λ is the index of f∗∗ .

45 4.3 Sard’s Theorem

Deﬁnition 65. An n-cube C ⊂ Rn of edge

> 0 is a product

C = I1 × I2 × · · · × In ⊂ Rn

of closed intervals of length ; thus Ij = [aj , aj + ] ⊂ R. The measure (or nmeasure) of C is

µ(C) = µn (C) =

n

.

Deﬁnition 66. A subset A ⊆ Rn has measure zero if for every ε > 0 there exists a family of n-cubes {Cα } such that 1. A ⊆ 2. Cα ,

µ(Cα ) < ε.

A subset A ⊂ M of an n-manifold is said to have measure zero if for every chart (ϕ, U ), the set ϕ(U ∩ A) ⊆ Rn has measure zero. In both cases the notation µ(A) = 0 is used. A fundamental fact about critical points is the following. Theorem 13 (Sard’s Theorem). Let f : M → N be a smooth map of smooth manifolds. Then

µ(f (Σf )) = 0

(in N ).

Proof. Let M be an m-manfold and N an n-manifold. Since manifolds are second countable spaces, one merely needs to show that f (U ∩ Σf ) has measure zero in N ,

46 where (x, U ) is a coordinate chart for M . This is the case if maps f : Rm → Rn have µ(f (Σf )) = 0 since diﬀeomorphisms preserve the measure zero property. If m < n, then f (Rm ) has measure zero in Rn and, thus, so does f (Σf ). Suppose m ≥ n. Divide Σf into three sets

Σf = Σ1 ∪ Σ2 ∪ Σ3

in order to show that each of these has measure zero in Rn . This division occurs as follows: ∂ r fi m ), (p) = 0 n ∂xj1 · · · ∂xjr ∂ r fi p ∈ Σf : (∃i ∈ {1, . . . , n}), (∃r ≥ 2), (p) = 0 ∂xj1 · · · ∂xjr ∂fi p ∈ Σf : (∃i ∈ {1, . . . , n}), (∃j ∈ {1, . . . , m}), (p) = 0 . ∂xj p ∈ Σf : (∀i ∈ {1, . . . , n}), (∀r ≤ ∂fi (p) = 0 for all i, j. ∂xj (Σ2 ∪ Σ3 ). Then all derivatives of all orders are zero at p. Clearly, Σ3 . Then

Σ1 = Σ2 = Σ3 =

To see that Σf = Σ1 ∪ Σ2 ∪ Σ3 , suppose p ∈ Σf Suppose p ∈ Σf then, p ∈ Σ1 .

I. We ﬁrst show that µ(f (Σ1 )) = 0. To show that µ(f (Σ2 ∪ Σ3 )) = 0, we then proceed by induction on m, showing that for each m, f (Σ2 ∪ Σ3 ) has measure zero in Rn for all n ∈ {1, . . . , m}. To see that µ(f (Σ1 )) = 0, notice that we can do a Taylor expansion around each p0 ∈ Σ1 in a neighborhood U ⊆ Rm containing p0 . Let q be the greatest integer less than or equal to

m . n

The idea is to use the fact that the ﬁrst q − 1 terms are

zero since p0 ∈ Σ1 to get a condition on f for points in a neighborhood of the critical point. Here are the details. By Taylor’s theorem, for all p ∈ U and for

**47 each component function fi : Rm → R,
**

m

fi (p) = fi (p0 ) +

j=1

∂fi (p0 )(pj − pj )+ 0 ∂xj + ···+

1 + 2!

m

j1 ,j2

**∂ 2 fi (p0 )(pj1 − pj1 )(pj2 − pj2 ) 0 0 j1 ∂xj2 ∂x =1
**

q

1 + q! where

m

j1 ,...,jq =1

∂xj1

∂ fi j (p0 )(pj1 − pj1 ) · · · (pjq − p0q ) + Rq+1 (p), 0 jq · · · ∂x

1 Rq+1 (p) = (q + 1)! i

m

1 ,...,iq+1

∂ q+1 fi i (tp+(1−t)p0 )(pi1 −pi1 ) · · · (piq+1 −p0q+1 ), 0 i1 · · · ∂xiq+1 ∂x =1

for some t ∈ (0, 1). Thus, for i ∈ {1, . . . , n}, we have

|fi (p) − fi (p0 )| = |Rq+1 (p)| 1 = (q + 1)! i 1 = (q + 1)!

m

1 ,...,iq+1

∂ q+1 fi i (tp + (1 − t)p0 )(pi1 − pi1 ) · · · (piq+1 − p0q+1 ) 0 i1 · · · ∂xiq+1 ∂x =1 ∂ q+1 fi i (˜i )(pi1 − pi1 ) · · · (piq+1 − p0q+1 ) , p 0 i1 · · · ∂xiq+1 ∂x =1

m

i1 ,...,iq+1

48 where we have set pi = tp + (1 − t)p0 . By the Cauchy-Schwarz inequality on the ˜ iq+1 sum, we have

|fi (p) − fi (p0 )| = 1 (q + 1)! 1 (q + 1)! ×

q+1 =1

m

m

iq+1 =1 m

i1 ,...,iq =1 m

∂xi1

**∂ fi i i (˜i )(pi1 − pi1 ) · · · (piq − p0q ) piq+1 − p0q+1 p 0 · · · ∂xiq+1
**

2

q+1

≤

kq+1 =1 i1 ,...,iq =1 m

∂xi1

**∂ fi i (˜i )(pi1 − pi1 ) · · · (piq − p0q ) × p 0 iq ∂xik+1 · · · ∂x
**

2

q+1

p q+1 − p0q+1

m m

2

p − p0 = (q + 1)! p − p0 (q + 1)!

kq+1 =1 i1 ,...,iq m

**∂ q+1 fi i (˜i )(pi1 − pi1 ) · · · (piq − p0q ) p 0 ∂xi1 · · · ∂xiq ∂xik+1 =1
**

2

=

i1 ,...,iq+1 =1 m

∂xi1

∂ fi i (˜i )(pi1 − pi1 ) · · · (piq+1 − p0q+1 ) p 0 iq+1 · · · ∂x

q+1

p − p0 = (q + 1)!

i1 ,...,iq+1

∂ q+1 fi i (˜i )(pi1 − pi1 ) · · · (piq+1 − p0q+1 ) . p 0 i1 · · · ∂xiq+1 ∂x =1

**Repeating this process on the other indices, we obtain p − p0 q+1 |fi (p) − fi (p0 )| ≤ (q + 1)!
**

m

i1 ,...,iq+1

∂ q+1 fi (˜i ) . p ∂xi1 · · · ∂xiq+1 =1

**49 It follows now that
**

n

f (p) − f (p0 ) =

i=1

|fi (p) − fi (p0 )|2

n m 2

p − p0 q+1 ≤ (q + 1)!

i=1 i1 ,...,iq+1

∂ q+1 fi (˜i ) . p ∂xi1 · · · ∂xiq+1 =1

We write this as

f (p) − f (p0 ) ≤ B p − p0

q+1

,

(4.2)

where

n m 2

B=

1 (q + 1)!

i=1 i1 ,...,iq+1 =1

∂xi1

∂ fi (˜i ) p · · · ∂xiq+1

q+1

≥ 0.

Because of the relation (4.2), when we subdivide U into smaller regions, the volume of the smaller regions shrinks faster than the number of regions grows. ˜ Formally, take U ⊆ U to be an m-cube of length λ ∈ R. Let s ∈ N (think s ˜ 1). Divide U into sm m-cubes of length λ . Denote those smaller m-cubes s

which contain points from Σ1 by Ci , where i ∈ {1, . . . , t}. Clearly, t ≤ sm . √ Further, each Ci is contained in a closed ball Bi of radius λ m centered at a s point p0 ∈ Ci ∩ Σ1 . This radius is the distance between the opposite corners of an m-cube of length λ , computed using the Euclidean norm. s Now, for any p ∈ Bi , we have (4.2) so f (p) is in a ball centered at f (p0 ) of radius

q+1

max(B p − p0 ˜

p∈Bi ˜

)≤B

λ√ m s

q+1

.

50

1 1 2

λ/s

2

...

s f

Ci

. . .

Bi

p0 Ci'

f(p0) f(Bi)

s

~ U

λ

n-space

m-space

This ball is then contained in a cube Ci of length twice the radius of the ball (centered at f (p0 )). Thus, the volume of f ( λ√ m s

q+1 n

**Ci ) is no greater than
**

q+1 n

t

no. of Ci

2B

≤s

m

2B

λ√ m s

√ = sm−n(q+1) 2Bλ m

n(q+1)

.

max vol of a cube Ci

If m − n(q + 1) < 0, then the volume of f (

**Ci ) goes to zero as s → ∞. Thus,
**

m n

we have shown that f (Σ1 ) has measure zero in Rm provided q > II. We now show that µ(f (Σ2 ∪ Σ3 )) = 0 by induction on m.

− 1.

(i) Let m = 1. Since we’ve assumed that m ≥ n, we have to show that µ(f (Σ2 ∪Σ3 )) = 0 for all n ≤ 1, i.e., for just n = 1. Then

m −1 n

= 1−1 = 0.

**By I, we have that µ(f (Σ1 )) = 0 in Rn for all q > 0, i.e., all q ∈ {1, . . . , m}. This means that
**

m

µ f

q=1

p ∈ Σf : (∀r ≤ q)

∂rf (p) = 0 ∂tr

= 0.

51 But

m

p ∈ Σf : (∀r ≤ q)

q=1

∂rf (p) = 0 ∂tr ∂rf (p) = 0 ∂tr

=

p ∈ Σf : (∃q ∈ {1, . . . , m})(∀r ≤ q)

and clearly ∂rf (p) = 0 ∂tr

(p ∈ Σf ) =⇒

∃q ∈ {1, . . . , m})(∀r ≤ q)

(take q = 1). So ∂rf (p) = 0 ∂tr

Σf =

p ∈ Σf : (∃q ∈ {1, . . . , m})(∀r ≤ q)

and therefore, µ(f (Σf )) = 0. But Σ2 ∪ Σ3 ⊆ Σf and therefore

µ(f (Σ2 ∪ Σ3 )) = 0.

(ii) Suppose now that µ(f (Σ2 ∪ Σ3 )) = 0 in Rj for all f : Rk → Rj , where k ∈ {1, . . . , m−1} and j ∈ {1, . . . , k}. We’ll show that µ(f (Σ2 ∪Σ3 )) = 0 in Rn for f : Rm → Rn , where n ∈ {1, . . . , m}. We do this by ﬁrst showing that µ(f (Σ2 Σ3 )) = 0 and then that µ(f (Σ3 )) = 0 since Σ2 ∪Σ3 = (Σ2 Σ3 )∪Σ3 implies f (Σ2 ∪ Σ3 ) = f ((Σ2 (a) µ(f (Σ2 Σ3 )) = 0: Σ3 so that f has a nonzero higher order partial derivative Σ3 ) ∪ Σ3 ) = f (Σ2 Σ3 ) ∪ f (Σ3 ).

Let p ∈ Σ2

at p, but all ﬁrst order partials vanish at p. Let r be the smallest

52 integer such that ∂ r fi (p) = 0 ∂xj1 · · · ∂xjr and there is a k ∈ {1, . . . , r − 1} such that ∂ r−1 fi ∂xj1 · · · ∂xjk · · · ∂xjr

(p) = 0,

where the hat over the partial with respect to xjk omits that derivative. Denote the set of all such p ∈ Σ2 Σ3 by Xirk . Since there are only

countably many such Xirk ’s, we only need to show that any given Xirk has µ(f (Xirk )) = 0. Consider the C ∞ map θ : Rm → R deﬁned by ∂ r−1 fi ∂xj1 · · · ∂xjk · · · ∂xjr

θ=

.

Then 0 ∈ R is a regular value of θ, and so θ−1 (0) is a submanifold of Rm with dim θ−1 (0) = dim Rm −dim R = m−1. By the induction hypothesis, µ(f (Σf |θ−1 (0) )) = 0 for all n ∈ {1, . . . , dim θ−1 (0)} = {1, . . . , m−1}. Further, µ(f (Σf |θ−1 (0) )) = 0 for n = m since µ(f (θ−1 (0))) = 0 in Rn = Rm . But Xirk ⊂ θ−1 (0) and so clearly Xirk ⊂ Σf |θ−1 (0) . Thus, µ(f (Xirk )) = 0 and, therefore, µ(f (Σ2 (b) µ(f (Σ3 )) = 0: There exists an open neighborhood U of Σ3 on which, for some i and ∂f i = 0. The Implicit Function Theorem (Theorem 3) provides, j, ∂xj with a possible restriction of U , an open set A × B ⊂ Rm−1 × R and a Σ3 )) = 0.

53 diﬀeomorphism h : A × B → U such that (fi ◦ h)(x1 , . . . , xm−1 , t) = t for (x, t) ∈ A × B. If necessary, reorder coordinates so that fi = fn . Now,

(f |U ◦ h) : A × B ⊂ Rm−1 × R → Rn−1 × R,

f (x, t) = (ut (x), t),

where ut : A → Rn−1 is smooth for each t ∈ B. Now, (x, t) ∈ Σf iﬀ x ∈ Σut . Thus,

Σf ∩ h(A × B) =

t∈B

h(Σut × {t}).

Since dim A = n − 1, the induction hypothesis gives

µn−1 (ut (Σut )) = 0,

where µn−1 denotes Lebesgue measure in Rn−1 . Now, by Fubini’s Theorem,

µn

t∈B

(f ◦ h)(Σut × {t})

=

B

µn−1 (ut (Σut )) dt =

B

0 dt = 0.

Thus, µ(f (Σ3 ∩ U )) = 0. Since µ(f (Σ3 )) ≤ µ(f (Σ3 ∩ U )), this shows that µ(f (Σ3 )) = 0. This completes the induction step. So µ(f (Σ2 ∪ Σ3 )) = 0 in Rj for all f : Rk → Rj , where k ∈ {1, . . . , m − 1} and j ∈ {1, . . . , k} implies µ(f (Σ2 ∪ Σ3 )) = 0 in Rn for f : Rm → Rn , where n ∈ {1, . . . , m}. This proves that µ(f (Σ2 ∪ Σ3 )) = 0.

54 Now, µ(f (Σf )) ≤ µ(f (Σ1 )) + µ(f (Σ2 ∪ Σ3 )) = 0.

4.4 Approximation Lemmas in Rn

Lemma 10 (Morse). If U ⊆ Rn is open and f : U → R is C 2 , then the set of linear mappings L : Rn → R for which the function f + L has degenerate critical points has measure zero in (Rn )∗ ∼ Rn , where (Rn )∗ is the dual space to Rn . = For “almost all” linear mappings L : Rn → R, the function f + L has only nondegenerate critical points. Proof. Consider the manifold U × (Rn )∗ . Then

M = {(x, L) : d(f (x) + L(x)) = 0}

is a submanifold of U × (Rn )∗ . To see this, consider the map

ϕ : U × (Rn )∗ → (R2n )∗

given by

ϕ(x, L) = d(f (x) + L(x)).

Now, for any x ∈ U and L ∈ (Rn )∗ , we have that ϕ(x, L) is a linear map. If the matrix of L in the standard basis is

M(L) = L1 L2 · · ·

Ln ,

then the matrix of ϕ(x, L) is ∂(f + L) ··· ∂x1 x ∂f + L1 · · · ∂x1 x ∂(f + L) ∂(f + L) ··· ∂xn ∂L1 x x ∂f + L n x1 · · · x n ∂xn x ∂(f + L) ∂Ln

M(ϕ(x, L)) = =

x

55 in the standard basis. Thus, the matrix for dϕ(x, L) ∈ HomR (Rn × (Rn )∗ , (R2n )∗ ) ∼ = HomR (R2n , R2n ) in the standard basis (i.e., the Jacobian matrix) is J(ϕ(x, L)) = ∂ ∂xj ∂f ∂xi ∂ ∂Lj ∂f ∂xi + Li

x

+ Li

x

(x,L)

(x,L)

∂ ∂xj ∂ 2f ∂x2 1 . . .

(xi )

(x,L)

··· .. .

x ∂ 2f = ∂x1 ∂xn x 1 . . . 0 f∗∗ 1 = , 1 0

**∂ 2f ∂xn ∂x1 . . . ∂ 2f ∂x2 n 0 . . . 1
**

x

x

··· ··· .. . ···

∂ ∂Lj 1 · · · 0 . .. . . . . . . 0 · · · 1 . 0 · · · 0 . .. . . . . . . 0 ··· 0

(xi )

(x,L)

where each block is n×n. Clearly, dϕ = 0. So every value ϕ(x, L) is a regular value of ϕ. In particular the operator 0 ∈ (R2n )∗ is a regular value and therefore its preimage is a submanifold of U × (Rn )∗ . This means that M = {(x, L) : d(f (x) + L(x)) = 0} is a submanifold of U × (Rn )∗ . Since d(f (x) + L(x)) = df (x) + dL(x) = df (x) + L, we have d(f (x) + L(x)) = 0 iﬀ L = −df (x). Thus, the map

ψ:U →M

given by

ψ : x → (x, −df (x))

56 is a diﬀeomorphism of U onto M . Bijectivity of ψ is clear. Smoothness of ψ can be seen from the fact that ψ is the diagonal product of the identity map with the diﬀerential of f , both of which are smooth. The inverse of ψ is just the projection onto the ﬁrst factor, which is smooth. Further, each (x, L) ∈ M corresponds to a critical point x ∈ U of f + L. This ∂ 2f is singular critical point is degenerate precisely when the Hessian matrix ∂xi ∂xj since ∂ 2 (f + L) (x) ∂xi ∂xj ∂ 2f (x) + ∂xi ∂xj ∂ 2L (x) ∂xi ∂xj ∂ 2f (x) . ∂xi ∂xj

=

=

Consider the projection

π : M → (Rn )∗

given by

π : (x, L) → L.

Since L = −df (x) for L = π(x, L), we have

π ◦ ψ : U → (Rn )∗

given by

π ◦ ψ : x → −df (x)

**and ∂ ∂x1 J((π ◦ ψ)(x)) = ∂ ∂x1 −
**

x

∂f ∂x1 ∂f ∂xn

··· ... ···

∂ ∂xn ∂ ∂xn

. . . −

x

x

x

∂f ∂x1 . . . ∂f − ∂xn −

so that d(π ◦ψ)(x) = −f∗∗ . Thus, π ◦ψ is critical at x ∈ U precisely when the Hessian of f is singular. Thus, (x, L) ∈ M corresponds to a degenerate critical point of f + L exactly when d(π ◦ ψ)(x) = 0. In particular, f + L has a degenerate critical point iﬀ

57 L is a critical value of π ◦ ψ : U → (Rn )∗ ∼ Rn . Since ψ is C 1 and π is C ∞ , we have = that π ◦ ψ is C 1 . By Sard’s Theorem, the image of critical points of π ◦ ψ has measure zero in (Rn )∗ . This proves the lemma. Lemma 11. Let K ⊆ U be a compact subset of an open set U ⊆ Rn . If f : U → Rn is C 2 and has only nondegenerate critical points in K, then there exists a δ > 0 such that if 1. g : U → R is C 2 ∂f ∂g 2. (x) − i (x) < δ for all x ∈ K, all i, j = 1, . . . , n ∂xi ∂x 2 ∂ 2g ∂ f (x) − i j (x) < δ for all x ∈ K, all i, j = 1, . . . , n 3. ∂xi ∂xj ∂x ∂x then g likewise has only nondegenerate critical points in K. Lemma 12. Suppose h : U → U is a diﬀeomorphism of one open subset of Rn onto another and carries the compact set K ⊂ U onto K ⊂ U . Then for any exists δ > 0 such that if f : U → R satisﬁes ∂f (x) < δ ∂xi for all x ∈ K and all i, j = 1, . . . , n, then f ◦ h satisﬁes 1. is smooth on U 2. |f (x)| < δ 3. ∂(f ◦ h) (x) < ∂xi for all x ∈ K and all i, j = 1, . . . , n. 1. |(f ◦ h)(x)| < 2. 3. 4. ∂ 2f (x) < δ ∂xi ∂xj > 0, there

∂ 2 (f ◦ h) (x) < ∂xi ∂xj

CHAPTER 5 COBORDISMS AND ANALYSIS

5.1 Basic Deﬁnitions

Deﬁnition 67. (W ; V0 , V1 ) is a smooth manifold triad if 1. W is a compact smooth n-manifold 2. V0 and V1 are two closed submanifolds of W which are open in ∂W 3. ∂W = V0 V1 .

Deﬁnition 68. Let M0 and M1 be two closed smooth n-manifolds (i.e., M0 , M1 compact, ∂M0 = ∂M1 = ∅). A cobordism c : M0 → M1 is a 5-tuple

c = (W ; V0 , V1 ; h0 , h1 ),

where 1. (W ; V0 , V1 ) is a smooth manifold triad 2. h0 : V0 → M0 is a diﬀeomorphism 3. h1 : V1 → M1 is a diﬀeomorphism. Example 4. Let L1 ⊂ R3 be the set L1 = x ∈ R3 : −1 ≤ −x2 + y 2 + z 2 ≤ 1 and |x| y 2 + z 2 < sinh(1) cosh(1) .

Let

∂L L1 = x ∈ L1 : −x2 + y 2 + z 2 = −1

58

59

Figure 5.1. be the “left boundary” and

The Manifold L1

∂R L1 = x ∈ L1 : −x2 + y 2 + z 2 = +1

be the “right boundary.” Then L1 can be given a smooth manifold structure and ∂L1 = ∂L L1 ∂R L1 . See Figure 5.1.

Deﬁnition 69. Two cobordisms c : M0 → M1 and c : M0 → M1 , where

c = (W ; V0 , V1 ; h0 , h1 )

and

c = (W ; V0 , V1 ; h0 , h1 )

**are equivalent if there exists a diﬀeomorphism g : W → W carrying V0 to V0 and V1 to V1 such that the following diagrams commute: V0 ?
**

g|V0

?? ?? ?? ? ? h0 ? ? ??

M0

/V 0 h0

V1 ?

g|V1

and

?? ?? ?? ? ? h1 ? ? ??

M1

/V 1 h1

60

Figure 5.2.

Level Surfaces of L1

For completeness, it should be mentioned here that cobordisms form a category whose objects are closed manifolds and whose morphisms are equivalence classes of cobordisms. Given a triad (W ; V, V ), one writes W : V → V .

5.2 Morse Theory

Deﬁnition 70. A Morse function on a smooth manifold triad (W ; V0 , V1 ) is a smooth function f : W → [a, b] such that 1. f −1 (a) = V0 and f −1 (b) = V1 2. All the critical points of f are interior (lie in W degenerate. Morse’s Lemma implies that the critical points of a Morse function are isolated. Compactness of W implies that a Morse function has only ﬁnitely many critical points. Example 5. The manifold L1 (see Example 4) has the Morse function f : L1 → [−1, 1] given by f (x, y, z) = −x2 + y 2 + z 2 . Some level surfaces are depicted in Figure 5.2. Notice that f −1 (−1) = ∂L L1 and f −1 (+1) = ∂R L1 , and that 0 ∈ R3 is a nondegenerate critical point of f , of index λ = 1. Deﬁnition 71. The Morse number µ of a smooth manifold triad (W ; V0 , V1 ) is the minimum over all Morse functions f of the number of critical points of f . ∂W ) and are non-

61 The following pages are devoted to showing that every smooth manifold triad possesses a Morse function. Lemma 13. There exists a smooth function f : W → [0, 1] with f −1 (0) = V0 , f −1 (1) = V1 , such that f has no critical point in a neighborhood of ∂W . Proof. Let (h1 , U1 ), . . . , (hk , Uk ) be an atlas for W such that no Ui meets both V0 and V1 , and that if Ui ∩ ∂W = ∅ the coordinate map hi : Ui → Rn carries Ui onto + B1 (0) ∩ Rn . + On each set Ui deﬁne a map

fi : Ui → [0, 1]

as follows. Denote hi (p) = (x1 (p), . . . , xn (p)). If Ui ∩ V0 = ∅, let fi be the map fi (p) = (πn ◦ hi )(p) = xn (p).

If Ui ∩ V1 = ∅, let fi be the map fi (p) = 1 − (πn ◦ hi )(p) = 1 − xn (p).

If Ui ∩ (V0 ∪ V1 ) = ∅, set fi (p) =

1 2

for all p ∈ W . Choose a partition of unity {ϕi }

**subordinate to the cover {Ui } and deﬁne a map
**

k

f : W → [0, 1]

by

f (p) =

i=1

ϕi (p)fi (p),

where fi (p) is understood to have the value 0 outside Ui . Then f is clearly a welldeﬁned smooth map to [0, 1] with f −1 (0) = V0 and f −1 (1) = V1 .

**62 Finally, we verify that df = 0 on ∂W . Suppose q ∈ V0 . Then, for some i, q ∈ Ui and ϕi (q) > 0 (since ∂f = ∂xn
**

i

ϕi (q) = 1). We have

fj

j=1

∂ϕj ∂f1 ∂fi ∂fn + ϕ1 n + · · · + ϕi n + · · · + ϕn n ∂xn ∂x ∂x ∂x

.

(5.1)

Now, fj (q) = 0 for all j = 1, . . . , k. So at q the ﬁrst summand is zero. All the ∂fj ∂fi derivatives (q) = 1 for j = 1, . . . , k. Therefore, ϕi (q) n (q) > 0 and each term n ∂x ∂x ∂f in the sum is non-negative. Thus, (q) = 0. ∂xn Suppose now that q ∈ V1 . Then, for some i, q ∈ Ui and ϕi (q) > 0. We have again Eq. (5.1). Now, fj (q) = 1 for all j = 1, . . . , k. So the ﬁrst sum becomes simply

i

fj

j=1

∂ϕj = ∂xn

i

j=1

∂ϕj ∂ = n ∂x ∂xn

k

ϕj =

j=1

∂ (1) = 0. ∂xn

∂fj ∂fi (q) = −1 for j = 1, . . . , k. Therefore, ϕi (q) n (q) < 0 and n ∂x ∂x ∂f each term in the sum is non-positive. Thus, (q) = 0. ∂xn It follows that df = 0 on ∂W , and hence df = 0 in a neighborhood of ∂W . All the derivatives Let F (M, R) denote the set of smooth real-valued functions on a compact manifold-with-boundary M . In order to construct a topology on F (M, R), ﬁrst, let {(hα , Uα )} be a ﬁnite atlas for M . Take {Cα } to be a compact reﬁnement of {Uα }. Let δ > 0 and deﬁne N (δ) ⊆ F (M, R) to be the set of all g : M → R such that 1. ∀

α x∈hα (Cα )

∀

|(g ◦ h−1 )(x)| < δ α ∂(g ◦ h−1 ) α (x) < δ i ∂x ∂ 2 (g ◦ h−1 ) α (x) < δ. ∂xi ∂xj

2. ∀

α x∈hα (Cα ) i=1,...,n

∀

∀

3. ∀

α x∈hα (Cα ) i,j=1,...,n

∀

∀

63

Take N (δ) as a base of neighborhoods of the zero function. Since F (M, R) can be given the obvious additive group structure, any other function f ∈ F (M, R) can be given a neighborhood basis by taking sets N (f, δ) = f + N (δ) as the basis elements. Therefore, g ∈ N (f, δ) iﬀ 1. ∀

α x∈hα (Cα )

∀

|(f ◦ h−1 )(x) − (g ◦ h−1 )(x)| < δ α α ∂(f ◦ h−1 ) ∂(g ◦ h−1 ) α α (x) − (x) < δ ∂xi ∂xi ∂ 2 (g ◦ h−1 ) ∂ 2 (f ◦ h−1 ) α α (x) − (x) < δ. ∂xi ∂xj ∂xi ∂xj

2. ∀

α x∈hα (Cα ) i=1,...,n

∀

∀

3. ∀

α x∈hα (Cα ) i,j=1,...,n

∀

∀

Lemma 12 in Chapter 4 guarantees that the three properties of N (f, δ) do not depend on the choice of the atlas or the compact reﬁnement. Thus, the sets N (f, δ) form a suitable topological basis for F (M, R). The topology generated by this basis is called the C 2 topology on F (M, R). Theorem 14. If M is a compact manifold without boundary, the Morse functions form an open dense subset of F (M, R) in the C 2 topology. Theorem 15. On any triad (W ; V0 , V1 ), there exists a Morse function. Lemma 14. Let f : W → [0, 1] be a Morse function for the triad (W ; V0 , V1 ) with critical points p1 , . . . , pk . Then f can be approximated by a Morse function g with the same critical points such that g(pi ) = g(pj ) for i = j. Lemma 15. Let f : (W ; V0 , V1 ) → ([0, 1], 0, 1) be a Morse function, and suppose that 0 < c < 1 where c is not a critical value of f . The both f −1 [0, c] and f −1 [c, 1] are smooth manifolds with boundary. Corollary 4. Any cobordism can be expressed as a composition of cobordisms with Morse number 1.

64 5.3 Elementary Cobordisms

Deﬁnition 72. Let f : W → [a, b] be a Morse function for the triad (W n ; V, V ). A vector ﬁeld X on W n is a gradient-like vector ﬁeld for the Morse function f if 1. X(f ) > 0 on W Σf , and p and a coordinate

2. given p ∈ Σf of index λ, there is a neighborhood U

system x : U → Rn given by x = (x, y) = (x1 , . . . , xλ , xλ+1 , . . . , xn ) such that, for q ∈ U ,

f (q) = f (p) − x(q) Xq = −x1 (q) ∂ ∂x1

2

+ y(q)

2

, ∂ ∂xλ

− · · · − xλ (q)

q

q

+ xλ+1 (q)

∂ ∂xλ+1

+ · · · + xn (q)

q

∂ ∂xn

.

q

Example 6. Consider the triad (W ; V, V ) given in Figure 5.3 as a subset of R3 with p = 0. Near p, W is the quadric surface deﬁned implicitly by the equation z = −x2 + y 2 . A Morse function for (W ; V, V ) is f (x, y) = −x2 + y 2 , the projection onto the z-axis. (The coordinates (x, y) near p are formally given by the chart (x, y, z) → (x, y), the projection onto the (x, y)-plane.) Notice that p is a nondegenerate critical point for f . A gradient-like vector ﬁeld for f is ∂ ∂x ∂ ∂y 1 2

Xq = −x(q)

+ y(q)

q

=

q

f.

Lemma 16. For every Morse function f on a triad (W n ; V, V ) there exists a gradientlike vector ﬁeld X.

65

Figure 5.3.

A gradient-like vector ﬁeld on a triad (W ; V, V ).

Proof. Let f be a Morse function on (W n ; V, V ). Such an f exists by Theorem 15. First, suppose f has only one critical point p. By the Morse Lemma (Lemma 9 in Chapter 4) there are coordinates (x, y) = (x1 , . . . , xλ , xλ+1 , . . . , xn ) in a neighborhood U0 of p such that f = f (p) − x Each point p ∈ W

2

+ y

2

throughout U0 .

U0 is not a critical point of f . By the Implicit Function

Theorem (Theorem 3 in Chapter 1) there exist coordinates x1 , . . . , xn in a neighborhood U of p such that f = constant + x1 in U . Let U be a neighborhood of p such that U ⊂ U0 . By the previous paragraph and the fact that W

k

**U0 is compact, there are neighborhoods U1 , . . . , Uk such that Ui ,
**

i=1

1. W

U0 ⊂

2. U ∪ Ui = ∅, i = 1, . . . , k, and 3. Ui has coordinates xi , . . . , xi and f = constant + xi on Ui , i = 1, . . . , k. 1 n 1 On U0 there is a vector ﬁeld whose coordinates are (−x1 , . . . , −xλ , xλ+1 , . . . , xn ), ∂ with coordinates (1, 0, . . . , 0), i = 1, . . . , k. and on Ui there is the vector ﬁeld ∂xi 1 Piece together these vector ﬁelds using a partition of unity subordinate to the cover U0 , U1 , . . . , Uk , obtaining a vector ﬁeld X on W . Then X is the required gradient-like vector ﬁeld for f .

66

Figure 5.4. The neighborhoods U, U0 , U1 , U2 in the existence construction are drawn schematically for the triad in Example 6. If f has more than one critical point, repeat this procedure for each critical point, taking care to make sure the Ui ’s still lie outside of some open neighborhood of each critical point. From now on, the triad (W ; V0 , V1 ) will be identiﬁed with the cobordism (W ; V0 , V1 ; i0 , i1 ), where i0 : V0 → V0 and i1 : V1 → V1 are the identity maps. Deﬁnition 73. A triad (W ; V0 , V1 ) is a said to be a product cobordism if it is diﬀeomorphic to the triad (V0 × [0, 1]; V0 × {0} , V0 × {1}). Theorem 16. If the Morse number µ of the triad (W ; V0 , V1 ) is zero, then (W ; V0 , V1 ) is a product cobordism. Proof. Let f : W → [0, 1] be a Morse function with no critical points. By Lemma 16, there exists a gradient-like vector ﬁeld X for f . Since there are no critical points for f , the map X(f ) : W → R is strictly positive. One obtains a new gradient-like

67

˜ Figure 5.5. Integral curves for X. See [11] p. 147. ˜ vector ﬁeld X by setting 1 X(p) X(f )(p)

˜ X(p) =

˜ for all p ∈ W . Now X(f )(p) = 1 for all p ∈ W . If p ∈ ∂W , then f expressed in some coordinate system x1 , . . . , xn , xn ≥ 0, ˜ ˜ about p extends to a smooth function f : U → R, where U ⊂ Rn is open. Similarly, X expressed in this coordinate system also extends to U ⊂ Rn . Thus, the fundamental existence and uniqueness theorem for ordinary diﬀerential equations applies locally to W (see [11] Ch. 5). ˜ Let ϕ : [a, b] → W be any integral curve for X. Then d ˜ (f ◦ ϕ) = X(f ) = 1. dt Hence, f (ϕ(t)) = t + t0 , where t0 ∈ R is a constant. Making the change of parameter, ψ(s) = ϕ(s − t0 ), we obtain an integral curve which satisﬁes f (ψ(s)) = s. Each integral curve can be extended uniquely over a maximal interval. This interval must be [0, 1] since W is compact. Indeed, integral curves must originate on ˜ V0 and terminate on V1 since ξ(f ) > 0, f (V0 ) = 0, and f (V1 ) = 1. See Figure 5.5.

68 Thus, for each y ∈ W there is a unique maximal integral curve ψy : [0, 1] → W which passes through y and satisﬁes f (ψy (s)) = s. Furthermore, ψy (s) is a smooth function of both variables. (See p. 147 in [11]). The required diﬀeomorphism h : V0 × [0, 1] → W is now given by the formulas

h(y0 , s) = ψy0 (s)

and

h−1 (y) = (ψy (0), f (y)).

Corollary 5 (Collar Neighborhood Theorem). Let W be a compact smooth manifold with boundary. There exists a neighborhood of ∂W (called a collar neighborhood) diﬀeomorphic to ∂W × [0, 1). Deﬁnition 74. A connected, closed submanifold M n−1 ⊂ W n ∂W n is said to be

two-sided if some neighborhood of M n−1 on W n is cut into two components when M n−1 is deleted. Corollary 6 (The Bicollaring Theorem). Suppose that every component of a smooth manifold M of W is compact and two-sided. Then there exists a “bicollar” neighborhood of M in W diﬀeomorphic to M × (−1, 1) in such a way that M corresponds to M × {0}. The collaring and bicollar theorems remain valid without the compactness conditions. Theorem 17. Let (W ; V0 , V1 ) and (W ; V0 , V1 ) be two smooth manifold triads and h : V1 → V1 a diﬀeomorphism. Then there exists a smoothness structure S for W ∪h W compatible with the given structures on W and W . S is unique up to diﬀeomorphism leaving V0 , h(V1 ) = V1 , and V2 ﬁxed.

69 Lemma 17. Let (W ; V0 , V1 ) and (W ; V1 , V2 ) be two smooth manifold triads with Morse functions f , f to [0, 1], [1, 2], respectively. Construct gradient-like vector ﬁelds X and X on W and W , respectively, normalized to unity so that X(f ) = 1 and X (f ) = 1 except in a small neighborhood of each critical point. Given a diﬀeomorphism h : V1 → V1 there is a unique smoothness structure on W ∪h W , compatible with the given structures on W and W , so that f and f piece together to give a smooth function on W ∪h W and X and X piece together to give a smooth vector ﬁeld. Corollary 7. Given the situation in Lemma 17, we have

µ(W ∪h W ; V0 , V2 ) ≤ µ(W ; V0 , V1 ) + µ(W ; V1 , V2 ),

where µ is the Morse number of the triad. The following focuses on cobordisms of Morse number 1. In particular, Deﬁnition 75 below sets up the analytical structure around a critical point to be used for the rest of the thesis. The structure is developed by applying Morse’s Lemma (Lemma 9) to the Morse function, achieving a particularly nice coordinate system around the critical point. Close enough to the critical point, the preimage of a regular value ε2 satisﬁes the equation

− x

2

+ y

2

= ε2 ,

which has the solution

(x, y) = ε(u sinh(t), v cosh(t)),

u ∈ Sλ , v ∈ Sn−λ , t ∈ R,

**70 provided λ ≥ 1 and n − λ ≥ 1. Indeed,
**

λ n

− x

2

+ y

2

=−

i=1

(εui sinh(t))2 +

(εvi cosh(t))2

i=λ+1

2 2 = ε2 [(− sinh2 (t))(u2 + · · · + u2 ) + cosh2 (t)(vλ+1 + · · · + vn )] 1 λ

= ε2 [− sinh2 (t) + cosh2 (t)] = ε2 .

Deﬁnition 75. Let (W ; V, V ) be a smooth manifold triad with a Morse function f : W → R and a gradient-like vector ﬁeld X for f . Suppose p ∈ W is a critical point, and V0 = f −1 (c0 ) and V1 = f −1 (c1 ) are levels such that c0 < f (p) < c1 and that c = f (p) is the only critical value in the interval [c0 , c1 ]. Since X is a gradient-like vector ﬁeld for f , there is a neighborhood U of p in W , and a coordinate diﬀeomorphism g : Bn → U so that 2

2 2

(f ◦ g)(x, y) = c − x

+ y

and so that X has coordinates (−x1 , . . . , −xλ , xλ+1 , . . . , xn ) throughout U , for some 1 ≤ λ ≤ n and some > 0. Here x = (x1 , . . . , xλ ) ∈ Rλ and y = (xλ+1 , . . . , xn ) ∈ Rn−λ . Set

V− = f −1 (c −

2

)

and

V = f −1 (c +

2

).

Assume that

4

2

< min(|c − c0 |, |c − c1 |),

71

Figure 5.6. with µ = λ = 1.

V0 , V1 , V , and V− are drawn schematically for a 2-manifold

so that V− lies between V0 and f −1 (c) and V lies between f −1 (c) and V1 . See Figure 5.6. The characteristic embedding

ϕL : Sλ−1 × Bn−λ → V0

is obtained as follows. First deﬁne an embedding

ϕ : Sλ−1 × Bn−λ → V−

by

ϕ(u, θv) = g( u cosh(θ), v sinh(θ)),

where u ∈ Sλ−1 , v ∈ Sn−λ−1 , and θ ∈ [0, 1). Starting at the point ϕ(u, θv) in V− the integral curve of X is a non-singular curve which leads from ϕ(u, θv) back to some well-deﬁned point ϕL (u, θv) in V0 . Deﬁne the left-hand sphere SL of p in V0 to be the image ϕL (Sλ−1 × {0}). Notice that SL is just the intersection of V0 with

72

Figure 5.7. The left-hand sphere SL and the left-hand disk DL are shown schematically for a 2-manifold with µ = λ = 1. Here ϕL : {−1, 1} × (−1, 1) → V0 . all integral curves of X leading to the critical point p. The left-hand disk DL is a smoothly embedded disk with boundary SL , deﬁned to be the union of the segments of these integral curves beginning in SL and ending at p. See 5.7. Similarly the characteristic embedding

ϕR : Bλ × Sn−λ−1 → V1

is obtained by embedding Bλ × Sn−λ−1 → V by

(θu, v) → g( u sinh(θ), v cosh(θ))

and then translating the image to V1 . The right-hand sphere SR of p in V1 is deﬁned to be ϕR ({0} × Sn−λ−1 ). It is the boundary of the right-hand disk DR , deﬁned as the union of segments of integral curves of X beginning at p and ending in SR . See Figure 5.8.

73

Figure 5.8. The right-hand sphere SR and the right-hand disk DR are shown schematically for a 2-manifold with µ = λ = 1. Here ϕR : (−1, 1) × {−1, 1} → V1 . Deﬁnition 76. An elementary cobordism is a smooth manifold triad (W ; V, V ) possessing a Morse function f with exactly one critical point p. (W ; V, V ) is the index of p with respect to f . An elementary cobordism (W ; V, V ) is not a product cobordism and so by Theorem 16 has a Morse number µ(W ; V, V ) = 1. Also, the index of an elementary cobordism is well-deﬁned. That is, it is independent of the choice of the Morse function f , and hence p. The next two results show that performing surgery corresponds to passing a critical point of index λ of a Morse function on an n-manifold. Theorem 18. If V = χ(V, ϕ) can be obtained from V by surgery of type (λ, n − λ), then there exists an elementary cobordism (W ; V, V ) and a Morse function f : W → R with exactly one critical point, of index λ. The index of

74

Figure 5.9. Bounding 2 Curves of L1 ⊂ R

Figure 5.10. Bounding Surfaces of L2 ⊂ R3 Proof. Let

Lλ = (x, y) ∈ Rλ × Rn−λ : −1 ≤ − x

2

+ y

2

≤ 1 and x

y < (sinh 1)(cosh 1) .

**(See Figures 5.9 and 5.10.) Then Lλ is a diﬀerentiable manifold with two boundaries, given by
**

2 2 2 2

− x

+ y

= −1 and − x

+ y

= 1.

The “left” boundary, − x correspondence

2

+ y

2

= −1, is diﬀeomorphic to Sλ−1 × Bn−λ under the

(u, θv) ↔ (u cosh θ, v sinh θ),

θ ∈ [0, 1), u ∈ Sλ−1 , v ∈ Sn−λ−1 .

**75 The “right” boundary, − x correspondence
**

2

+ y

2

= 1, is diﬀeomorphic to Bλ × Sn−λ−1 under the

(θu, v) ↔ (u sinh θ, v cosh θ),

θ ∈ [0, 1), u ∈ Sλ−1 , v ∈ Sn−λ−1 .

Consider the orthogonal trajectories of the surfaces given by the equations

− x

2

+ y

2

= k,

k ∈ R.

Given a point (x, y), the trajectory which passes through it can be parameterized in the form

t → (t−1 x, ty).

If x = 0, this trajectory is a straight line segment shooting away from the origin; if y = 0, this trajectory is a straight line directed toward the origin. For both x and y nonzero, this trajectory is a hyperbola which starts at some well-deﬁned point (u cosh θ, v sinh θ) on the left boundary of Lλ and is directed toward the corresponding point (u sinh θ, v cosh θ) on the right boundary. Now, construct an n-manifold W = ω(V, ϕ) as follows. Start with the disjoint sum

V

ϕ Sλ−1 × {0}

× D1

Lλ .

For each u ∈ Sλ−1 , v ∈ Sn−λ−1 , θ ∈ (0, 1), and c ∈ D1 , identify the point (ϕ (u, θv) , c) in the ﬁrst summand with the unique point (x, y) ∈ Lλ such that

76 1. − x

2

+ y

2

=c

2. (x, y) lies on the orthogonal trajectory which passes through the point (u cosh θ, v sinh θ). This correspondence deﬁnes a diﬀeomorphism

ϕ Sλ−1 × Bn−λ

{0}

× D1 ←→ Lλ ∩

Rλ

{0} × Rn−λ

{0}

.

So ω(V, ϕ) is a well-deﬁned smooth manifold. This manifold ω(V, ϕ) has two boundaries, each corresponding to the values

c=− x

2

+ y

2

= ±1.

**The left boundary, c = −1, can be identiﬁed with V , letting z ∈ V correspond to (z, −1) ∈ V ϕ Sλ−1 × {0} (u cosh θ, v sinh θ) ∈ L
**

λ

× D1 for z ∈ ϕ Sλ−1 × {0} / for z = ϕ(u, θv).

The right boundary can be identiﬁed with χ(V, ϕ) via the correspondences

z ←→ (z, +1), (θu, v) ←→ (u sinh θ, v cosh θ),

z∈V

ϕ Sλ−1 × {0}

(θu, v) ∈ Bλ × Sn−λ−1 .

**A function f : ω(V, ϕ) → R is deﬁned by: f (z, c) = c f (x, y) = − x for (z, c) ∈ V
**

2

ϕ Sλ−1 × {0}

× D1

+ y

2

for (x, y) ∈ Lλ .

77 Then f is a well-deﬁned Morse function with one critical point, of index λ.

Theorem 19. Let (W ; V, V ) be an elementary cobordism with characteristic embedding ϕL : Sλ−1 × Bn−λ → V . Then (W ; V, V ) is diﬀeomorphic to the triad (ω (V, ϕL ) ; V, χ (V, ϕL )). Theorem 20. Let (W ; V, V ) be an elementary cobordism possessing a Morse function with one critical point, of index λ. Let DL be the left-hand disk associated to a ﬁxed gradient-like vector ﬁeld. Then V ∪ DL is a deformation retract of W . Corollary 8. With (W ; V, V ) an elementary cobordism possessing a Morse function with one critical point, of index λ, and DL the left-hand disk associated to a ﬁxed gradient-like vector ﬁeld, the relative homology groups Z,

Hn (W, V ) ∼ =

n=λ

{0} , otherwise. A generator for Hλ (W, V ) is represented by DL . Proof. By Theorem 20, V ∪ DL is a deformation retract of W . So H∗ (W, V ) ∼ H∗ (V ∪ DL , V ). =

78 Let U = V SL . Then U ⊂ int(V ). By excision, H∗ (V ∪ DL , V ) ∼ H∗ ((V ∪ DL ) =

U, V

U)

= H∗ (DL ∪ SL , SL ) = H∗ (DL , SL ) Z, n=λ ∼ = {0} , otherwise.

5.4 Rearrangement of Cobordisms

From now on c will denote a cobordism rather than an equivalence class of cobordisms. Deﬁnition 77. If a composition cc of two elementary cobordisms is equivalent to a composition dd of two elementary cobordisms such that

index(c) = index(d )

and

index(c ) = index(d)

then we say that the composition cc can be rearranged. We state a theorem which guarantees that, given a Morse function and a gradient-like vector ﬁeld on cc , the composition can be rearranged if SR ∩ SL = ∅. Theorem 21. Let (W ; V0 , V1 ) be a triad with Morse function f having two critical points, p and p . Suppose that for some choice of gradient-like vector ﬁeld X, the compact set Kp of points on trajectories going to or from p is disjoint from the compact

79 set Kp of points on trajectories going to or from p . If f (W ) = [0, 1] and a, a ∈ (0, 1), then there exists a new Morse function g such that 1. X is a gradient-like vector ﬁeld for g, 2. the critical points of g are still p and p , with g(p) = a and g(p ) = a , 3. g agrees with f near V0 ∪ V1 and equals f plus a constant in some neighborhood of p and in some neighborhood of p . Theorem 22 (Rearrangement Theorem). Any cobordism c may be expressed as a composition

c = c0 c1 c2 · · · cn ,

n = dim c,

where each cobordism ci admits a Morse function with only critical points of index i all located on the same level. Corollary 9. Given any Morse function f on a triad (W ; V0 , V1 ), there exists a new ˜ Morse function f , called self-indexing, which has the same set of critical points as f , each with the same index, and which has the properties

1 ˜ 1. f (V0 ) = − 2

˜ 2. f (V1 ) = n +

1 2

˜ 3. f (p) = index(p) for each p ∈ Σf˜.

CHAPTER 6 THE H-COBORDISM THEOREM

6.1 Cancellation Theorems

Deﬁnition 78. Two submanifolds M m , N n ⊂ V v are said to have transverse intersection (or to intersect transversely) if at each point q ∈ M ∩ N the tangent space to V at q is spanned by the vectors tangent to M and the vectors tangent to N . (If m+n < v this is impossible, so transverse intersection simply means M ∩N = ∅.) Theorem 23 (First Cancellation Theorem). If the intersection of SR with SL is transverse and consists of a single point, then the cobordism is a product cobordism. In fact, it is possible to alter the gradient-like vector ﬁeld X on an arbitrarily small neighborhood of the single trajectory T from p to p producing a nowhere zero vector ﬁeld X whose trajectories all proceed from V0 to V1 . Further, X is a gradient-like vector ﬁeld for a Morse function f without critical points that agrees with f near V0 ∪ V1 . Let M1 and M2 be smooth submanifolds of dimensions m1 and m2 in a smooth manifold M of dimension m = m1 +m2 that intersect in points p1 , . . . , pk transversely. Suppose that M1 is oriented and that the normal bundle ν(M2 ) of M2 in M is oriented. At pi choose a positively oriented m1 -frame X1 , . . . , Xm1 of linearly independent vectors spanning TMpi . Since the intersection at pi is transverse, the vectors X1 , . . . , Xm1 represent a basis for the ﬁbre at pi of the normal bundle ν(M2 ). Deﬁnition 79. The intersection number of M1 and M2 at pi is deﬁned to be +1 or −1 according to whether the vectors X1 , . . . , Xm1 represent a positively or

80

81 negatively oriented basis for the ﬁber at pi of ν(M2 ). The intersection number M2 · M1 of M1 and M2 is the sum of the intersection numbers at the points pi . Theorem 24 (Second Cancellation Theorem). Let (W n ; V0 , V1 ) be a triad with a Morse function f having a gradient-like vector ﬁeld X. Suppose p and p are critical points of f with indices λ and λ + 1, respectively. Assume that f (p) <

1 2

< f (p )

and that an orientation has been given to the left-hand sphere SL in V = f −1 ( 1 ) and 2 also to the normal bundle in V of the right-hand sphere SR . Suppose W , V0 , and V1 are simply connected, and λ ≥ 2 and λ + 1 ≤ n − 3. If SR · SL = ±1, then W n is diﬀeomorphic to V0 × [0, 1]. In fact, if SR · SL = ±1, then X can be altered near V so that the right- and left-hand spheres in V intersect in a single point, transversely; and the conclusions of the First Cancellation Theorem (Theorem 23) then apply.

1 It is the case that V = f −1 ( 2 ) is also simply connected. This is a result of

applying Van Kampen’s theorem to get

n−λ π1 (V ) ∼ π1 (DR (p) ∪ V ∪ Dλ+1 (q)), = L

where the restrictions λ ≥ 2 and n − λ ≥ 3 are employed. By Theorem 20, the inclusion

DR (p) ∪ V ∪ DL (q) → W is a homotopy equivalence. So π1 (V ) ∼ π1 (W ) = 1. = Because of Theorem 25 below, the Second Cancellation Theorem is true even with the single dimension restriction n ≥ 6. Theorem 25 (H. Whitney (1944) [13]). Let M and N be closed smooth transversely intersecting submanifolds of dimensions m and n in the smooth (m + n)-manifold V

82 (without boundary). Suppose that M is oriented and that the normal bundle ν(N ) of N in V is oriented. Further, suppose that m + n ≥ 5 and n ≥ 3. In case n = 1 or n = 2, suppose that the inclusion induced map π1 (V into. Let p, q ∈ M ∩ N be points with opposite intersection numbers such that there exists a loop L contractible in V that consists of a smoothly embedded path from p to q in M followed by a smoothly embedded path from q to p in N , where both paths miss (M ∩ N ) {p, q}. N ) → π1 (V ) is one-to-one

With these assumptions, there exists an isotopy ht , t ∈ I, of the identity idV : V → V such that 1. The isotopy ﬁxes idV near (M ∩ N ) 2. h1 (M ) ∩ N = (M ∩ N ) {p, q}. {p, q}

If M and N are connected, n ≥ 2 and V is simply connected, no explicit assumption about the loop L is required. By turning the triad around (reversing f ), one arrives at the following corollary of the Second Cancellation Theorem (Theorem 24). Corollary 10. Theorem 24 is also true when the dimension conditions are replaced by λ ≥ 3 and λ + 1 ≤ n − 2. Deﬁnition 80. Suppose W is a compact oriented smooth n-dimensional manifold. Then ∂W is given a well-deﬁned orientation, called the induced orientation, by saying that an (n − 1)-frame τ1 , . . . , τn−1 of vectors tangent to ∂W at some point p ∈ ∂W is positively oriented if the n-frame ν, τ1 , . . . , τn−1 is positively oriented in T Wp , where ν is any vector at p tangent to W but not to ∂W and pointing out of W (i.e., ν is outward normal to ∂W ).

83 Alternatively, one speciﬁes ∂W ∈ Hn−1 (∂W ) as the induced orientation generator for ∂W , where ∂W is the image of the orientation generator W ∈ Hn (W, ∂W ) for W under the boundary homomorphism Hn (W, ∂W ) → Hn−1 (∂W ) of the exact sequence for the pair (W, ∂W ). Theorem 26. Suppose a cobordism c is represented by the triad (W ; V, V ), f is a Morse function for c, and c = c1 c2 · · · cn , where each cλ is such that f has critical points all on the same level with index λ. Set Wλ = c1 · · · cλ for λ = 0, 1, . . . , n and W−1 = V so that

V = W−1 ⊆ W0 ⊆ W1 ⊆ · · · ⊆ Wn = W.

Deﬁne

Cλ = Hλ (Wλ , Wλ−1 ) ∼ H∗ (Wλ , Wλ−1 ) =

and let ∂ : Cλ → Cλ−1 be the boundary homomorphism for the exact sequence of the triple Wλ−2 ⊆ Wλ−1 ⊆ Wλ (see Theorem 9). Then C∗ = {Cλ , ∂} is a chain complex. That is, ∂ 2 = 0. Moreoever, Hλ (C∗ ) ∼ Hλ (W, V ) for all λ = 0, . . . , n. = Theorem 27 (Poincar´ Duality). If (W ; V, V ) is a smooth manifold triad of dimene sion n and W is oriented, then for λ = 0, . . . , n

Hλ (W, V ) ∼ H n−λ (W, V ). =

Theorem 28 (Basis Theorem). Suppose (W ; V, V ) is a triad of dimension n possessing a Morse function f with all critical points having index λ and lying on the same level. Let X be a gradient-like vector ﬁeld for f . Assume that 2 ≤ λ ≤ n − 2

84 and that W is connected. Then, given any basis for Hλ (W, V ), there exists a Morse function f and a gradient-like vector ﬁeld X for f which agree with f and X in a neighborhood of V ∪ V and are such that f has the same critical points as f , all on the same level, and the left-hand disks for X , when suitably oriented, determine the given basis. Theorem 29 (Product Cobordism Theorem). Suppose (W ; V, V ) is a triad of dimension n ≥ 6 possessing a Morse function with no critical points of indices 0, 1 or n − 1, n. Furthermore, assume that W, V and V are all simply connected (hence orientable) and that H∗ (W, V ) = 0. Then (W ; V, V ) is a product cobordism. Proof. Set c = (W ; V, V ). By the Rearrangement Theorem (Thm. 22), there is a Morse function f such that c = c2 c3 · · · cn−2 , where cλ has critical points all on one level and each with index λ. From Theorem 26, there is a sequence of free abelian groups

∂n−2 ∂n−3 ∂λ+2 ∂ ∂

λ 3 Cn−2 −→ Cn−3 −→ · · · Cλ+2 −→ Cλ −→ · · · −→ C2 .

λ λ Pick a basis z1 , . . . , zkλ for ker ∂λ ⊆ Cλ . H∗ (W, V ) = 0 implies im ∂λ+1 = ker ∂λ .

**Thus, choose bλ , . . . , bλλ−1 ∈ Cλ so that ∂λ (bλ ) = ziλ−1 for i = 1, · · · , kλ−1 . Now 1 i k ziλ
**

kλ i=1

∪ bλ i

kλ−1 i=1

is a basis for Cλ .

Since 2 ≤ λ < λ + 1 ≤ n − 2, the Basis Theorem (Theorem 28) applies. So one can ﬁnd a Morse function f and a gradient-like vector ﬁeld X on c such that the left hand disks DL of cλ and cλ+1 represent the chosen bases for Cλ and Cλ+1 .

λ Let p and q be critical points of cλ and cλ+1 corresponding to z1 and bλ+1 . 1

By increasing f in a neighborhood of p and decreasing f in a neighborhood of q we

85 obtain cλ cλ+1 = cλ cp cq cλ+1 , where cp has only the critical point p and cq has only the critical point q. Let V0 denote the level manifold between cp and cq . Now, cp cq and its two end manifolds are simply connected (c.f. the remarks

λ following Theorem 24). Since ∂(bλ+1 ) = z1 , the spheres SR (p) and SL (q) in V0 have 1

intersection number ±1. By the Second Cancellation Theorem (Theorem 24), cp cq is a product cobordism and f and X can be altered on the interior of cp cq so that f has no critical points there. Repeating this process as many times as possible removes all critical points. Therefore, by Theorem 16, (W ; V, V ) is a product cobordism. Theorem 30. Index 0. If H0 (W, V ) = 0, the critical points of index 0 can be cancelled against an equal number of critical points of index 1. Index 1. Suppose W and V are simply connected and n ≥ 5. If there are no critical points of index 0 one can insert for each index 1 critical point a pair of auxiliary index 2 and index 3 critical points and cancel the index 1 critical points against the auxiliary index 2 critical points. (Thus one “trades” the critical points of index 1 for an equal number of critical points of index 3.)

6.2 Proof of the h-Cobordism Theorem

Theorem 31 (The h-Cobordism Theorem). Suppose the triad (W n ; V, V ) has the properties 1. W , V , and V are simply connected, 2. H∗ (W, V ) = 0, and 3. dim W = n ≥ 6. Then W is diﬀeomorphic to V × [0, 1].

86 First, note that H∗ (W, V ) = 0 is equivalent to the condition H∗ (W, V ) = 0 by Poincar´ Duality (Thm. 27). e Proof. By Corollary 9, there is a self-indexing Morse function f for (W ; V, V ). Theorem 30 kills all critical points of index 0 or 1. Now replace f by −f so that a critical point of index λ for f becomes a critical point of index n − λ for −f . Using Theorem 30 with −f eliminates critical points of indices n and n − 1 for f . Now Theorem 29 gives the result. Theorem 31 gets its name from the deﬁnition below and the remark which follows. Deﬁnition 81. A triad (W ; V, V ) = 0 is an h-cobordism and V is said to be h-cobordant to V if both V and V are deformation retracts of W . Conditions 1 and 2 in Theorem 31 imply that (W ; V, V ) is an h-cobordism. The key result of the thesis is the following corollary of Theorem 31. Corollary 11. Two simply connected closed smooth manifolds of dimensions ≥ 5 that are h-cobordant are diﬀeomorphic.

6.3 Applications of the h-Cobordism Theorem

Proposition 1 (The Generalized Poincar´ Conjecture in Dimensions ≥ 5). If M is e a closed simply-connected smooth n-manifold, n ≥ 5, with the (integral) homology of the n-sphere Sn , then M is homeomorphic to Sn . If n = 5 or 6, M is diﬀeomorphic to Sn . See [9]. Corollary 12. If M is a closed smooth n-manifold, n ≥ 5, which is a homotopy n-sphere (i.e., is of the homotopy type of Sn ), then M is homeomorphic to Sn .

REFERENCES

87

88 [1] G. Birkhoﬀ and S. MacLane, A Survey of Modern Algebra, Macmillan, New York, 3rd Edition, 1965. [2] G. Bredon, Geometry and Topology, Springer-Verlag, New York, 1993. [3] W. Fleming, Functions of Several Variables, Springer-Verlag, New York, 2nd Edition, 1977. [4] M. Hirsch, Diﬀerential Topology, Springer-Verlag, New York, 1976. [5] A. Kosinski, Diﬀerential Manifolds, Dover Publications, Mineola, 1993. [6] J. Lambek, Lectures on Rings and Modules, Blaisdell Publishing, Waltham, 1966. [7] J. Milnor, Morse Theory, Princeton University Press, Princeton, 1963. [8] —–, Lectures on the h-Cobordism Theorem, Princeton University Press, Princeton, 1965. [9] S. Smale, Generalized Poincar´’s Conjecture in Dimensions Greater than Four, e Annals of Math. vol. 74 (1961), pp. 391-406. [10] —–, On the Structure of Manifolds, Amer. J. of Math. vol. 84 (1962), pp. 387-399. [11] M. Spivak, A Comprehensive Introduction to Diﬀerential Geometry, Publish or Perish, Princeton, Vol. 1, 3rd Edition, 2005. [12] H. Whitney, Diﬀerentiable Manifolds, Annals of Math. vol. 37 (1936), pp. 645680. [13] —–, The Self-intersections of a Smooth n-manifold in 2n-space, Annals of Math. vol. 45 (1944), pp. 220-246.

APPENDIX: A THEOREM ON QUADRATIC FORMS

89

90 The lemma of Morse (Lemma 9) takes inspiration from the lemma below about quadratic forms over the real number ﬁeld. It is included here for reference as a simpler version of the proof of Morse’s Lemma. Also, the proof given of Morse’s Lemma refers to the proof below for the process of ensuring that the upper-lefthand entry of the ˜ matrix (hij (x)) is nonzero. Deﬁnition 82. A quadratic function f : Rn → R is a map of the form

n 1 n

f (x , . . . , x ) =

i,j=1

fij xi xj ,

where not all fij = 0, and such that fij = fji for all i, j = 1, . . . , n. Note that any function f : Rn → R of the form

n 1 n

f (x , . . . , x ) =

i,j=1

fij xi xj

1 ˜ can be symmetrized by taking fij = 2 (fij + fji ). Then n

f (x1 , . . . , xn ) =

i,j=1

˜ fij xi xj

˜ ˜ and fij = fji . Lemma 18. For any quadratic function f : Rn → R, there is a nonsingular linear transformation T : Rn → Rn of the variables such that (f ◦ T )(x1 , . . . , xn ) = −(x1 )2 − · · · − (xλ )2 + (xλ+1 )2 + · · · + (xr )2

for some r ≤ n.

91 Moreover, the number λ above is uniquely designated by the quadratic function f . This is Sylvester’s Law of Inertia. See e.g. [1] p.254. Proof. The proof proceeds in two stages. First, it is shown that f can be diagonalized by a suitable transformation. Then the variables are scaled to give the desired form of the theorem. Claim 1: (Diagonalization) There is a nonsingular linear transformation T and constants d1 , . . . , dn ∈ R such that

n

(f ◦ T )(x1 , . . . , xn ) =

i=1

di (xi )2 .

Proof of Claim 1. The proof is by induction. Deﬁne the proposition P (k) to be true iﬀ there exists a nonsingular linear transformation T : Rn → Rn , a quadratic function ˜ f : Rn−k → R, and constants d1 , . . . , dk ∈ R such that

k

(f ◦ T )(x , . . . , x ) =

i=1

1

n

˜ di (xi )2 + f (xk+1 , . . . , xn ).

**P (1) : Case 1. f11 = 0: Deﬁne T by
**

n

T (x , . . . , x ) =

1

n

x −

j=2

1

f1j j 2 x , x , . . . , xn . f11

**92 Then by symmetry of the fij and completing the square
**

n

(f ◦ T )(x) =

i,j=1

fij (T x)i (T x)j

n 1

= f11 x −

j=2

f1j j x f11 f1j j x f11

2

n

n

+2

i=2 2 n

f1i f1i f11

x −

j=2

1

f1j j x f11

n

n

x +

i,j=2

i

fij xi xj

n

= f11 x −

1

n

f1j j x f11

2

+2

i=2 n

x1 −

j=2 n

xi +

i,j=2

fij xi xj

j=2

= f11 x1 −

n

j=2

f1j j x − f11

n

= f11 x1

1 2 2

f1i i x f11 i=2

2

2

+

−

i=2

f1i i x f11

n

fij xi xj

i,j=2

−

i=2 n

f1i i x f11 f1i i x f11

n

+

i,j=2 2 n

fij xi xj

= f11 x

− f11

i=2

+

i,j=2

fij xi xj

= d 1 x1

2

˜ + f (x2 , . . . , xn ),

where

n

˜ f (x2 , . . . , xn ) = −f11

i=2

f1i i x f11

2

n

+

i,j=2

fij xi xj

and

d1 = f11 .

Case 2. f11 = 0: By hypothesis, there is some fk = 0. Subcase i. fkk = 0 for some k > 1. Take S to be the permutation matrix that swaps x1 and xk . Now, similar to Case 1, deﬁne T by

n

T (x1 , . . . , xn ) =

x1 −

j=2

(f ◦ S)1j j 2 x , x , . . . , xn (f ◦ S)11

,

93 where f ◦ S is viewed as a quadratic function so that (f ◦ S)ij are the coeﬃcients in the deﬁnition. (Note that one still has (f ◦ S)ij = (f ◦ S)ji .) Then S ◦ T is the desired map. Subcase ii. fk = 0 where k, k < . Deﬁne S by > 1 and k = . Without loss of generality, assume

S(x1 , . . . , xn ) = (xk , x , x3 , . . . , x1 − x2 , . . . , x1 + x2 , . . . , xn ).

kth

th

Then

(f ◦ S)(x) = 2fk (x1 − x2 )(x1 + x2 ) + other terms not (x1 )2 = 2fk (x1 )2 − 2fk (x2 )2 + other terms not (x1 )2 .

So (f ◦ S)11 = 2fk = 0. To make f ◦ S into a quadratic function, just symmetrize by deﬁning 1 [(f ◦ S)ij + (f ◦ S)ji ] . 2

(f ◦ S)ij =

**Note that (f ◦ S)11 = (f ◦ S)11 = 2fk = 0. Now, similar to Case 1, deﬁne T by T (x1 , . . . , xn ) = x1 −
**

j=2 n

(f ◦ S)1j (f ◦ S)11

xj , x2 , . . . , xn .

The desired transformation is S ◦ T . This ﬁnishes to proof of P (1). To see that P (k) =⇒ P (k + 1), notice that P (k) leaves f with the ﬁrst k variables diagonalized and the last n − k variables as arguments of another quadratic

94 ˜ ˜ function f . Applying P (1) to this new quadratic function f gives P (k + 1). This concludes the diagonalization proof. Claim 2: (Scaling) Suppose f : Rn → R is a quadratic function of the form

n 1 n

f (x , . . . , x ) =

i=1

di (xi )2 .

Then there is a linear transformation T such that

(f ◦ T )(x1 , . . . , xn ) = −(x1 )2 − · · · − (xλ )2 + (xλ+1 )2 + · · · + (xn )2 .

Proof of Claim 2. Set 1 |d1 | 1 |dn |

T (x1 , . . . , xn ) =

x1 , . . . ,

xn .

Then

n

(f ◦ T )(x) =

i=1

di

1 |di |

2

n

x

i

=

i=1

di i 2 (x ) = |di |

n

±(xi )2 .

i=1

Finally, deﬁne S to be the permutation matrix so that all the negative signs are on the ﬁrst variables and the positive signs on the last variables. Then T ◦ S(= S ◦ T ) is the desired transformation.

VITA

Quinton Westrich earned his B.S. degrees in physics and mathematics from Tennessee Technological University in 2008. He has been involved in research in Lie algebra symmetries with J¨rgen Fuchs at Karlstad University in Sweden and u computational astrophysics with Peter G¨gelein at T¨bingen Universit¨t in Germany. o u a He was awarded the Stanley Dolzycki Memorial Scholarship in 2009 and 2010 for this research.

95

- Contrasts between Finite and Infinite Dimensional Spaces and between Normed and Inner Product Spaces
- Lagrangian and Hamiltonian Relativistic Mechanics
- Lie Algebras in Braided Monoidal Categories
- Polynomial Invariant Theory of the Classical Groups
- Young's Natural Representation of S_4
- De Rham Cohomology and a Variational Principle

An overview of differential topology is given in the first half. In the second half, some detailed proofs are provided to supplement Milnor's proof of the h-Cobordism Theorem.

An overview of differential topology is given in the first half. In the second half, some detailed proofs are provided to supplement Milnor's proof of the h-Cobordism Theorem.

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