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Smale's classification of sphere immersions in Euclidean space

Statement

Assume ACω. Let 1≤m≤n, let F=Vm(Rn)≅O(n)/O(n−m) be the Stiefel manifold of orthonormal m-frames, and let E=V(TSm,εn)→Sm be the Stiefel bundle of the section-space proposition. Its sections are the fibrewise-injection part of the formal non-holonomic data, and the projection FImm⁡(Sm,Rn)→Γ(E) forgetting the underlying map and polar-normalizing the fibrewise injection is a homotopy equivalence, so path components of Γ(E) and of FImm⁡(Sm,Rn) agree.

  1. If n≥m+2, then F is simply connected, E admits sections (because TSm⊕εn−m≅εn), and the difference class of the evaluation lemma induces a non-canonical bijection π0Γ(E)≅πm(Vm(Rn))=πm(O(n)/O(n−m)). Since the Smale–Hirsch derivative map is a weak homotopy equivalence, the same set classifies regular homotopy classes of immersions: there is a non-canonical bijection between regular homotopy classes of immersions Sm→Rn and πm(O(n)/O(n−m)), realised by the clutching difference class of the tangent framings.
  2. If n=m+1, then Vm(Rm+1)≅SO(m+1) and the difference class gives a non-canonical bijection πm(SO(m+1))→π0Γ(E)≅π0Imm⁡(Sm,Rm+1); in particular, if πm(SO(m+1))=0 then all immersions Sm→Rm+1 are regularly homotopic.
  3. The instances used on this page: m=1, n=2, where π0Imm⁡(S1,R2)≅Z with the rotation number as invariant; and m=2, n=3, where π2(SO(3))=0 and hence all immersions S2→R3 are regularly homotopic.

Facts & Assumptions

Given: Integers 1≤m≤n, the sphere Sm, the Stiefel bundle E=V(TSm,εn) with fibre Vm(Rn), and the space Γ(E) of its sections.

[F1]

E has fibre Vm(Rn) and its sections are isometric injections. Arbitrary smooth bundle monomorphisms TSm→εn over the identity correspond homeomorphically to sections of M=Mono⁡(TSm,εn), whose section space strongly deformation retracts to Γ(E) by polar normalization. There is an actual homeomorphism FImm⁡(Sm,Rn)≅C∞(Sm,Rn)×Γ(M); contracting the first factor and normalizing the second give a homotopy equivalence to Γ(E) and a bijection of path components. Euclidean formal immersions are homotopy equivalent to Stiefel-bundle sections

[F2]

Evaluation at a basepoint of the section space is a Hurewicz fibration; if the fibre Vm(Rn) is simply connected and Γ(E)≠∅, the difference class gives a non-canonical bijection π0Γ(E)≅πm(Vm(Rn)); if n≥m+1, πm(Vm(Rn))=0 and Γ(E)≠∅, then Γ(E) is path connected. The basepoint evaluation of the Stiefel section space is a fibration

[F3]

Vm(Rn) is path connected for n≥m+1 and simply connected for n≥m+2, and Vm(Rm+1)≅SO(m+1). Stiefel manifolds are connected in positive codimension and simply connected in codimension at least two, Stiefel spaces, Grassmannians, and tautological bundles

[F4]

π2(SO(3))=0. The second homotopy group of SO(3) vanishes

[F5]

For m<n the derivative map D:Imm⁡(Sm,Rn)→FImm⁡(Sm,Rn) is a weak homotopy equivalence, and for compact sources it induces a bijection between regular homotopy classes of immersions and homotopy classes of formal immersions; a weak homotopy equivalence induces a bijection on path components. The Smale–Hirsch immersion theorem, Regular homotopy classes of immersions are formal homotopy classes, Weak homotopy equivalence, Formal immersion between smooth manifolds, Space of immersions and space of formal immersions

[F6]

The normal bundle of the standard sphere Sm⊆Rm+1 is trivial with global frame x↦x (the radial field is nowhere zero and normal, since TxSm=ker⁡d(∣x∣2−1)x), and the tangent-normal identity gives TSm⊕ε1≅εm+1; adding trivial summands gives TSm⊕εn−m≅εn for n≥m+1. Formal immersion gives the tangent normal-bundle identity, Whitney sums of vector bundles, A vector bundle is trivial if and only if it has a global frame, The tangent space of a regular level set is the kernel

[F7]

Vm(Rn)≅O(n)/O(n−m), with O(n−m) embedded as diag⁡(Im,Q); the quotient map takes the first m columns, and SO and O are the special and full orthogonal groups. Stiefel spaces, Grassmannians, and tautological bundles, Orthogonal and special orthogonal Lie groups

[F8]

For m=1, n=2: two formal immersions of S1 into R2 are in the same path component exactly when their winding invariants agree, and π0Γ(E)≅Z by degree. Formal immersions of the circle in the plane are classified by the winding number

Proof

1.1F1F3F6F7algebra

For the quotient identification in [F7], every orthonormal m-frame extends to an orthonormal basis by finite-dimensional Gram–Schmidt. Two matrices have the same first m columns exactly when they differ on the right by diag⁡(Im,Q) with Q∈O(n−m). Thus the first-column map induces a continuous bijection O(n)/O(n−m)→Vm(Rn); it is a homeomorphism because the source is compact and the target Hausdorff. When n≥m+1, [F6] gives TSm⊕εn−m≅εn. Inclusion of the tangent summand is a smooth monomorphism; polar-normalizing it by [F1] gives an isometric section of E, so Γ(E)≠∅.

2.1F1F2F3F5F7step 1.1

Clause 1: if n≥m+2, then by [F3] the fibre Vm(Rn) is simply connected, and Γ(E)≠∅ by step 1.1; hence [F2] gives the non-canonical bijection π0Γ(E)≅πm(Vm(Rn)), the non-canonicity coming from the choice of trivialisation and of the section used to identify the difference classes. Passing to immersions: the derivative map is a weak homotopy equivalence by [F5], so it induces a bijection π0Imm⁡(Sm,Rn)≅π0FImm⁡(Sm,Rn), and [F1] identifies the latter with π0Γ(E); the resulting bijection between regular homotopy classes of immersions and πm(Vm(Rn))=πm(O(n)/O(n−m)) is realised by the clutching difference class of the tangent framings.

2.2F2F3F5F7step 1.1

Clause 2: if n=m+1, then Vm(Rm+1)≅SO(m+1) by [F3], using the unique final normal vector that completes a frame to a positive orthonormal basis. In particular the fibre is path connected, so [F2] and step 1.1 give the surjection πm(F)→π0Γ(E). Its only possible identifications are the evaluation-loop action. Given a loop of evaluated frames et based at e0, write C(e) for the uniquely completed oriented matrix and put At=C(et)C(e0)−1. These matrices define a loop in SO(m+1) with A0=A1=I and Ate0=et. For every section s with s(x0)=e0, the sections st(x)=Ats(x) lift that loop and return to the same section s. Thus every evaluation loop acts trivially on every component of the fixed-value section space. The exact-sequence component map is therefore injective as well as surjective, giving the asserted non-canonical bijection πm(SO(m+1))≅π0Γ(E). By [F5] it also classifies regular homotopy components of immersions; in particular vanishing of this group gives a single component.

3.1F4F5F8step 2.1step 2.2∎

Clause 3: for m=1, n=2, clause 2 applies with SO(2)=S1; the winding invariant of [F8] is a surjection π0Γ(E)→Z that is also injective by the classification of formal immersions of the circle, so π0Γ(E)≅Z and [F5] gives π0Imm⁡(S1,R2)≅Z with the rotation number as invariant. For m=2, n=3, clause 2 applies with V2(R3)≅SO(3) and π2(SO(3))=0 by [F4], so Γ(E) is path connected and all immersions S2→R3 are regularly homotopic. The Smale–Hirsch input carries its countable-choice hypothesis.

Depends on

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