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Restriction of formal-immersion data has the parametric lifting property

Statement

Assume ACω. Let 0≤k≤m≤n with k<n, and let Nn be boundaryless. A holonomic core datum on Dk is a pair (g,B) with g:Dk→N a smooth immersion and B:Dk×Rm→g∗TN a smooth fibrewise monomorphism whose first k columns are dg in the standard coordinates. Its restriction to Sk−1 retains all m columns, including the outward radial column; on tangent vectors to the sphere it agrees with the derivative of the boundary map. Use the weak smooth topology on all this data. Restriction from holonomic core data to such boundary data is a Serre fibration. The analogous formal restriction retains the base boundary values, the full monomorphism B, and independently the actual radial base derivative C=∂rf; the derivative in tangential boundary directions is already determined by the boundary map. It is also a Serre fibration. On genuine data C=B(r), but for formal data that equality is not imposed. This independent base jet is needed to glue actual smooth base maps, not just their formal bundle columns. For k=0 the boundary is empty.

This is the dimension-qualified first-jet/germ lifting interface. The m−k cocore columns remain derivatives in source directions; they are not parameter directions. A holonomic core datum is realized by an immersion near Dk×{0} in the m-dimensional handle by a local addition applied to its transverse columns. No genuine restriction fibration for an arbitrary codimension-zero pair is asserted. The construction also lifts compact smooth parameter families by finite parameter fragmentation. Parameter-relative versions fix a region where the input boundary homotopy is constant; general finite cubical relative lifting follows from the Serre lifting property.

Facts & Assumptions

Given: Countable choice, k<n, k≤m≤n, a compact cubical parameter space P, initial holonomic core data and a continuous homotopy of its boundary data in the weak smooth topology.

[F1]

Smooth partitions subordinate to parameter covers exist under countable choice (Smooth partitions of unity exist on manifolds). A Serre fibration tests compact disks/cubes (Hurewicz and serre fibrations), with immersion and formal spaces in the weak topology (Space of immersions and space of formal immersions, The weak compact-open C-infinity topology on mapping spaces).

[F2]

Embed N in Euclidean space and take a tubular retraction r. The map ℓ(y,w)=r(y+w) for w∈TyN is defined near the zero section, satisfies ℓ(y,0)=y, and has vertical derivative the identity there. The inverse function theorem applied to (y,w)↦(y,ℓ(y,w)) gives its smooth inverse log⁡y(z) near the diagonal (Every smooth manifold embeds in some finite-dimensional Euclidean space, The Euclidean tubular neighbourhood theorem, The smooth inverse function theorem on manifolds).

[F3]

A formal immersion is a fibrewise monomorphism, and smooth bundle maps are sections of the pulled-back Hom bundle (Formal immersion between smooth manifolds, Bundle maps over f are sections of the pulled-back Hom bundle).

Proof

technique · direct, using the normal-bump construction of Smale's covering-homotopy proof with a compact-frame conditioning estimate
1.1F1F3givenconstruct

First take m=k≥1. Write the boundary homotopy as (bv,av), where av is the outward radial column and dbv supplies the other k−1 directions. There is a continuous, spatially smooth unit normal field uv to their k-plane. To construct it, the initial plane field extends over P×Dk by the initial immersion; contracting this contractible space and transporting a vector in the positive-rank orthogonal complement by successive orthogonal projections gives an initial field. Along the boundary homotopy, use finitely many time intervals on which orthogonal projection from the previous complement into the next is an isomorphism, and normalize after each transport. Such intervals exist uniformly because the boundary parameter space is compact and the plane fields are continuous in their spatial jets. This constructs uv for the entire time interval before choosing any disk lifts. Its spatial derivatives are bounded on every compact parameter piece.

2.1F2step 1.1construct

Fix an interval starting at v0 and its current disk lift g. For x∈Sk−1 put y=bv0(x), Δv=log⁡ybv(x), and Tv=dwℓ(y,Δv). Treat dbv as an operator on TxSk−1; all singular-value bounds use unit vectors in R⊕TxSk−1 and do not choose a global sphere frame. Pull the boundary columns and normal into TyN, writing Av=Tv−1dbv, av∗=Tv−1av, and uv∗=Tv−1uv, then renormalize the last vector and, if needed, project it orthogonally off the first k columns. At v0 the radial column is a0=∂rg(1,x). Choose a smooth linear map Qv close to the identity with Qva0=av∗: the rank-one formula Qv=I+(av∗−a0)⊗a0∗/∥a0∥2 works on a sufficiently short time interval. On a thin inner collar define R(r,x)=log⁡yg(r,x). Thus R(1,x)=0, ∂rR(1,x)=a0, and the logarithm is defined uniformly there.

3.1step 2.1algebrachoose

Here is the rank estimate used below. For every boundary point and time, [av∗,Av] has rank k and uv∗ is unit and normal to its image. Consequently the matrices [av∗+λuv∗1+λ2,Av],λ∈R, have a common positive least singular value c. Indeed replace λ by the compact pair (t,z)=(1,λ)/1+λ2, including its limits (0,±1). The radial column tav∗+zuv∗ has nonzero projection off im⁡Av: its squared normal length is t2∥av,⊥∗∥2+z2, bounded away from zero. Compactness, including unit input vectors, gives c>0. Therefore changing each normalized column by operator norm less than c/3 preserves rank. Choose L>6/c. This estimate includes arbitrarily skew initial frames; no universal numerical angle lemma is needed.

4.1F2step 2.1step 3.1construct

Let r0<r1<1 be sufficiently close to 1. Choose a nondecreasing smooth α which is zero for r≤r1, one near 1, and has ∣α′∣≤C/(1−r0), with C independent of collar width. Choose a smooth bump β which rises from zero between r0 and r1 to L, and equals L(1−α) for r≥r1; thus β=β′=0 near 1, ∣β∣≤L, and ∣β′∣=L∣α′∣ wherever α′≠0. Put M(v,p)=max⁡x∥Δv(p,x)∥. Define on the collar Wv=(I+α(Qv−I))R+αΔv+βM(v,p)uv∗,Gv(r,x)=ℓ(y,Wv(r,x)), and set Gv=g for r≤r0. The formulas paste smoothly because both cutoffs vanish near r0. They give Gv0=g, Gv(1,x)=bv(x), and ∂rGv(1,x)=TvQva0=av. Every coefficient depends continuously on parameters in all spatial derivatives.

5.1F2step 3.1step 4.1algebra

Choose the time step uniformly small in the prescribed boundary homotopy, then the collar uniformly thin for the current compact family of disk lifts. The formula has rank k. After applying the inverse vertical differential dwℓ(y,Wv)−1, its tangential columns equal Av+Ev and its radial column equals av∗+β′Muv∗+ev+α′Δv, where ∥Ev∥ and ∥ev∥ can be made arbitrarily small uniformly. To verify these bounds, differentiate step 4.1. Tangential errors are sums of the differences of the initial collar jets from their boundary jets, R dxQv, βMdxuv∗, and the smooth local-addition coefficient differences at Wv and Δv. The first two tend to zero with collar width; the last two tend to zero with the size of the prescribed boundary change. Radial errors are the initial radial-jet difference, Qv−I times bounded radial jets, and α′(Qv−I)R. Since ∥R∥≤C0(1−r0), the last term is bounded by CC0∥Qv−I∥ independently of collar width. The local-addition vertical differential is invertible near the compact diagonal. Writing λ=β′M, the remaining radial error has norm ∥α′Δv∥≤∣λ∣/L; it vanishes wherever α′=0. Divide the radial column by 1+λ2 and use step 3.1: its last error is at most 1/L<c/6, and all other normalized errors can be made less than c/6. Thus the differential is injective. Outside the collar it is dg.

6.1F1step 5.1construct

The allowed time step in step 5.1 depends only on the prescribed boundary homotopy, the preconstructed normal field and the compact boundary-frame conditioning; it does not depend on the current lift's interior injectivity margin. Its collar width may depend on that lift. Choose a finite uniform time subdivision and repeat steps 2.1–5.1, using the preceding endpoint lift as initial disk data. This produces a lift on all of I, continuous in the weak smooth topology. If the boundary homotopy is constant for a parameter, then Δv=0, Qv=I and M(v,p)=0 there on every interval, so the lift is constant there. When k=1 there are no tangential columns, and the same normalized rank estimate uses the nonzero radial column and its independent normal vector.

7.1F3step 6.1constructalgebra

For m>k, first lift the first k columns by steps 1.1–6.1. The remaining columns are a transversal (m−k)-frame, together with tangential components. Transport the changing tangent and orthogonal normal bundles of the lifted core immersion to fixed bundles by finitely many sufficiently close orthogonal projections; this is possible on the compact already constructed core family. In these fixed bundles the boundary normal-frame homotopy lifts as follows. For nearby frames V0,V1, the operator S=I+(V1−V0)(V0∗V0)−1V0∗ sends V0 to V1 and is close to the identity. Identify the current normal bundles on a thin radial collar with their boundary bundles by orthogonal projection, uniformly invertible by compactness. In these radial identifications extend S over a collar of Sk−1⊂Dk by I+χ(r)(S−I) and act on the current interior normal frame; the operator remains invertible, so the frame stays independent throughout. The boundary normal-frame family is compact, hence finitely many time steps suffice with a uniform bound ∥S−I∥<1/2. Tangential components extend by the constant-along-radii linear collar operator χ(r)B(x). No normal boundary derivatives of these fields are prescribed, so no boundary-jet extension operator is required. The resulting full m columns agree with all prescribed boundary columns.

8.1F1F2F3step 7.1

The formal restriction is proved by the same operator transport. Identify nearby target tangent fibres by projection in the ambient Euclidean embedding. Correct the base map by ℓ and a collar cutoff, retaining its prescribed independent radial derivative C. In logarithm coordinates for the current base map on a collar put R0=log⁡yf, Δ=log⁡yb, T=dwℓ(y,Δ) and K=T−1C−∂rR0(1,x). Replace R0 by R0+χ(r)Δ+(r−1)χ(r)K, with χ=1 near the boundary. This has boundary value Δ and radial derivative T−1C, so after ℓ its actual boundary jet is exactly (b,C). A thin collar keeps its values in the local-addition domain; no derivative rank is required of a formal base map. Extend the boundary monomorphism change by the invertible operators S of step 7.1 acting on the current full interior frame; its rank is preserved without an evolving injectivity-margin assumption. Compact boundary data allow a fixed finite time subdivision; the collar width for base-map correction may vary at the successive stages. These constructions depend continuously in all spatial jets, and give the formal lifting property. Finally a holonomic core datum is realized near the core by ℓ(g(x),∑j>kBj(x)vj); its derivative at v=0 is the full given monomorphism, hence it is an immersion on a compact-family neighbourhood. This proves both cubical restriction assertions and the germ realization.

9.1F1step 6.1step 7.1step 8.1construct∎

Compact smooth parameter lifting follows without assuming a global normal field over the parameter manifold. Choose a finite parameter cover on which the initial normal bundle over the centre of the disk has a frame, and a subordinate finite partition ρi with closed supports inside those sets. Extend each frame over the disk by radial projection transport. For a boundary homotopy b(p,t) perform finitely many segments bi(p,t,s)=b(p,t(∑j<iρj(p)+sρi(p))), 0≤s≤1. At segment i the initial lift is the preceding segment's endpoint, depending on (p,t). Over the closed support of ρi, its normal bundle is trivialized by transporting the initial local frame along the auxiliary t coordinate and the radial disk contraction; those transports start at the original lift when t=0. The preceding proof then lifts this segment on that parameter support. Where ρi=0, the boundary segment is constant and the formula is exactly the initial lift, so the formulas paste to the unchanged family outside the parameter set. Closed support containment and compactness give uniform constants, including along its boundary. Concatenating the finite segments gives a compact-parameter lift of the original homotopy. It is constant on every parameter region where the input homotopy is constant. Formal and transverse-frame transports have the same localization. Thus the compact smooth parameter lifting used in the relative comparisons is supplied as well.

Qualification

For X=[0,1], A=[0,1/4]∪[3/4,1] and N=R, the boundary-component homotopy x+2t on the left and x−2t on the right cannot lift from the identity: the derivative of any whole-interval lift stays positive, while its required final endpoint values are 2 and −1. The positive normal direction used in step 1.1 is absent when k=n. This counterexample excludes the former unrestricted genuine statement.

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