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Morse cancellation criterion via a unique connecting orbit

Statement

Assume ACω. Let (W;M0,M1) be a compact collared triad with adapted excellent Morse function f and adapted field X, and let a<b be regular values such that the closed slab K=f−1[a,b] is compact and contains exactly two critical points p,q, of indices k and k+1, with a<f(p)<f(q)<b and 0≤k≤n−1. Let v∈(f(p),f(q)) be regular, let Bp⊂f−1(v) be the stable sphere of p and Aq⊂f−1(v) the unstable sphere of q of dimensions n−k−1 and k. If Aq meets Bp transversely in exactly one point, then K is diffeomorphic to La×[a,b] relative to La=f−1(a); equivalently the two critical points, and the k- and (k+1)-handles of the induced presentation, cancel, and the slab is a product. The hypothesis says exactly that there is a single transverse connecting orbit from q to p there is no intermediate critical point in the slab. Here La denotes a level, rather than a sublevel.

Facts & Assumptions

Given: A compact collared triad (W;M0,M1) with adapted excellent Morse function f and adapted field X, regular values a<b with compact slab K=f−1[a,b] containing exactly the critical points p,q of indices k and k+1, regular v∈(f(p),f(q)), and the spheres Bp (stable sphere of p) and Aq (unstable sphere of q) in f−1(v) meeting transversely in exactly one point.

[F1]

Morse function adapted to a cobordism and Downward gradient-like vector fields for a Morse function: adapted means f−1(0)=M0, f−1(1)=M1, critical points interior and nondegenerate, no critical point in a fixed collar; the field is downward gradient-like with df(X)<0 off the critical set and X=(2u,−2v) in Morse charts.

[F2]

Spheres of adjacent critical levels have product neighbourhoods: assume ACω; for consecutive critical levels the crossing sets of the trajectories through the local unstable disk of q and the local stable disk of p are compact embedded spheres Aq,Bp in the regular level f−1(v), with product neighbourhoods, and a trajectory from q to p crosses f−1(v) exactly once, at a point of Aq∩Bp, every such point lying on such a trajectory.

[F3]

A Morse trajectory from one critical point to another fixes the direction of the limiting orbit in the gradient case. Here the trajectories are those of the given downward gradient-like field X; the crossing correspondence in [F2] supplies their limits and identifies them up to time translation. No assertion that X equals a particular metric gradient is required.

[F4]

The fundamental theorem on flows and Regular interval diffeomorphism: integral curves of a smooth field form a smooth local flow, unique through each point; if a closed band f−1([a,b]) is compact and critical-point-free, its normalized flow is a level-preserving diffeomorphism Ma×[a,b]→K.

[F5]

Local morse sublevel pair is a handle pair: in a small Morse chart of index k the change across the critical value is a rounded index-k handle, with the core v=0 and a compact product piece attached along Sk−1×Dn−k.

[F6]

The Axiom of Countable Choice (ACω): ACω is assumed; it is used through the adapted-field and band suppliers.

[F7]

Handle cancellation: under ACω, a consecutive index-k, index-(k+1) pair with one transverse attaching-belt intersection can be deleted relative to the incoming boundary.

Proof

technique · direct
1.1F1F2F4F5F6given

The compact slab is a cobordism from La=f−1(a) to Lb=f−1(b). By [F4] its regular portions are collars; applying [F5] at p and q gives a presentation starting with La×[a,v0] and attaching a k-handle followed by a (k+1)-handle. Their outgoing belt sphere and upper attaching sphere, transported to the regular level v, are exactly Bp and Aq: their local disk factors are the stable and unstable factors in the Morse model, and the intervening regular flow carries those factors and their framings.

2.1F2F3step 1.1given

By [F2], points of Aq∩Bp correspond to the connecting trajectories from q to p, modulo time translation. The single transverse point therefore is exactly the geometric cancellation hypothesis for the two handles in step 1.1. No hypothesis of simple connectivity, high dimension or a Whitney trick is needed.

3.1F4F7step 1.1step 2.1∎

Apply [F7] to that pair. Deleting it leaves the initial collar and the regular collars above it, whose parameters combine to give La×[a,b]; the comparison is relative to La. Thus it is the slab K, rather than the upper sublevel Mb, which is a product cobordism. This is a diffeomorphism assertion, not an assertion that the original f has ceased to have critical points.

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