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Separating critical values far from the boundary

Statement

Let W be a compact smooth manifold with boundary and let f:W→R be a Morse function with finitely many critical points, all interior and none in a closed neighbourhood C of ∂W. Then every C∞ neighbourhood of f contains a Morse function g with g=f on C, the same critical points and the same Hessian at each of them, and distinct critical values.

Facts & Assumptions

[F1]

A manifold bump for a compact set inside an open set: Let M be a smooth manifold, let K⊆M be compact, and let W⊆M be open with K⊆W. Then there exists a smooth function ρ:M→[0,1] that equals 1 on an open neighbourhood of K and satisfies supp⁡(ρ)⊆W.

[F3]

Morse functions and excellent Morse functions: Let M be a smooth manifold and let f:M→R be smooth. The function f is a Morse function when every critical point of f is nondegenerate. The function f is an excellent Morse function when it is Morse and any two distinct critical points have distinct critical values.

[A1]

In finitely many relatively compact charts covering a compact regular set, a chosen nonzero coordinate component of df stays bounded away from zero after shrinking the chart. The finitely many coordinate derivatives of any fixed smooth bumps are bounded on the corresponding compact chart cores.

[A2]

For fixed smooth bumps the finite coefficient map into C∞(W) is continuous: each coordinate derivative seminorm is bounded by the sum of absolute coefficients times the finitely many fixed derivative bounds.

Proof

Given: W,f,C and a prescribed C∞ neighbourhood U as in the statement.

1.1F1givenchoose

Choose disjoint relatively compact interior neighbourhoods Ui of the finitely many critical points pi, contained in W∖C, and smaller neighbourhoods Vi with closures in Ui. By [F1], on the boundaryless interior choose bumps ρi equal to one near V‾i with support in Ui, and extend them by zero to W. Set K=W∖⋃iVi, a compact set with no critical point.

2.1A1step 1.1choose

At each point of K, including boundary points, some component of df in a chart is nonzero. Consider all smaller chart neighbourhoods with compact cores on which such a component has absolute value at least a positive number. Their interiors cover K, and compactness selects finitely many. Let m>0 be the least of these finitely many positive bounds, and bound all derivatives of the ρi in these coordinate directions on the compact cores. If K is empty, all bounds are vacuous.

3.1A1A2step 1.1step 2.1chooseconstruct

Choose arbitrarily small λi such that f(pi)+λi are pairwise distinct, g=f+∑iλiρi∈U, and each coordinate derivative change on the finite chart cores is less than m/2. Such coefficients exist because the distinct-value conditions exclude finitely many hyperplanes and [A2] makes all smallness conditions open near zero. On Vi, g=f+λi, preserving the critical points and Hessians; on K one chosen component at every point remains nonzero.

4.1F3step 1.1step 3.1algebra∎

Thus g has exactly the original nondegenerate critical points and has distinct critical values. All bump supports miss C, so g=f on C. With no critical points, use g=f. This proves the assertion without selecting a global metric or silently assuming its choice principle.

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