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The Whitney trick in the codimension-two borderline case

Statement

Assume ACω. Let Xm be a smooth manifold without boundary and let Ar,Bs⊆X be closed connected embedded submanifolds meeting transversely with r+s=m, s≥3,m≥5, and suppose A is oriented and the normal bundle of B in X is oriented. If r≤2, assume in addition that inclusion induces an injection π1(X∖B)→π1(X). Let p,q∈A∩B have opposite intersection numbers and suppose there are embedded arcs from p to q in A and from q to p in B, both avoiding A∩B∖{p,q}, whose concatenation is null-homotopic in X (automatic if A,B are connected, r≥2 and X is simply connected). Then there is an isotopy ht of the identity of X, 0≤t≤1, fixing a neighbourhood of A∩B∖{p,q}, such that h1(A) meets B exactly in A∩B∖{p,q}. This is the handle-theoretic borderline of the trick: one sheet may have dimension two, so the other has codimension two provided the other has dimension at least three and the fundamental-group complement condition holds; it is not a consequence of the clean-disk general-position lemma.

Facts & Assumptions

[F1]

Metastable approximation of maps by embeddings. Metastable approximation of maps by embeddings

[F2]

A transverse finite-dimensional evaluation family has transverse slices outside a null parameter set. Parametric transversality

[F3]

A transverse inverse image has dimension equal to source dimension minus target codimension. The transverse preimage theorem

[F4]

Opposite signs in locally oriented sheet collars give compatible adjustable admissible partial boundary frames. Opposite local signs give the compatible Whitney-circle framing

[F5]

Real orthonormal frame spaces with complement rank at least two are simply connected. Real Stiefel spaces with complement rank at least two are simply connected

[F6]

Under Countable Choice, continuous manifold-valued maps smooth near a closed set can be smoothed through a homotopy fixed near that set. Relative Whitney approximation for manifold-valued maps

[F7]

A linear matrix initial-value problem with continuous coefficients has a unique solution on the prescribed compact interval. Linear matrix ODEs have unique global solutions on a fixed interval

[F8]

Jointly smooth finite-dimensional ODE coefficients give smooth local solution dependence on parameters; uniqueness permits composition along a compact solution interval. Smooth dependence of ODE solutions on parameters

[F9]

The Whitney move removes a cancelling pair of intersection points. The Whitney move removes a cancelling pair of intersection points

[F10]

Under Countable Choice every smooth manifold has a proper finite-dimensional Euclidean embedding. The weak Whitney proper embedding theorem

[F11]

Gram–Schmidt orthonormalizes a finite independent list and preserves its successive spans. Gram–Schmidt turns every finite independent list into an orthonormal list with the same successive spans

[F12]

Under Countable Choice smooth partitions of unity subordinate to open covers exist. Smooth partitions of unity exist on manifolds

Proof

Given: The locally oriented r-sheet and oriented normal bundle of the s-sheet, s≥3, m=r+s≥5, opposite signs, a specified nullhomotopic arc loop, and complement injection when r≤2.

1.1givenconstruct

Form Milnor's boundary annulus in complementary corner charts and sheet collars. Along the r-sheet arc choose its inward normal direction and along the s-sheet arc choose the direction in its oriented normal bundle. At the two corners the latter is the first-sheet velocity and its negative respectively, so opposite intersection signs give matching oriented choices. For r=1 the normal direction along the s-sheet is a line: the sign computation is precisely what lets its two endpoint choices agree. This yields a clean embedded annulus whose inner loop λ lies outside both sheets and is nullhomotopic in X.

2.1step 1.1constructalgebraF1F2F3

If r≥3, make a nullhomotopy of λ transverse to B relative to a fixed boundary collar. Its inverse image of B has expected dimension 2−r<0 and is empty, so λ contracts in X∖B. If r=1 or 2, the assumed injectivity of π1(X∖B)→π1(X) gives exactly the same conclusion, since λ already lies in the complement and its ambient class is trivial. Now in X∖B make this disk transverse to A, with fixed collar; its expected incidence dimension 2−s<0 clears A. The relative embedding supplier applies because m≥5=2⋅2+1, preserving the clean collar. Repeat a sufficiently small relative transversality perturbation if necessary after embedding; compact separated-pair estimates preserve embeddedness. Attach the fixed annulus to obtain a clean embedded bigon.

3.1step 2.1constructalgebraF7F8F10F11F12

Choose a smooth metric adapted to the clean sheet collars and the fixed product corners: prescribe orthogonal disk-tangent and sheet-normal blocks along the arcs, extend their positive matrices in charts, and combine extensions agreeing there by [F12]. Embed X in Euclidean space by [F10] and represent the disk-normal bundle by this metric's orthogonal complement to the disk tangent space inside TX. Let P(z) be the Euclidean orthogonal projection onto that smooth subbundle in convex bigon coordinates centered at an interior point. Put Q(t,z)=P(tz) and solve ∂tU=[∂tQ,Q]U, U(0,z)=I, on [0,1] by [F7]. The coefficient K=[∂tQ,Q] is skew symmetric, and differentiating Q2=Q gives [K,Q]=∂tQ. Consequently UTU=I, and uniqueness gives U(t,z)P(0)U(t,z)T=Q(t,z). Transporting a basis at the centre and applying [F11] in the adapted metric gives a full smooth disk-normal frame. Smoothness in z, including local extensions at the corners, follows from [F8] and uniqueness along the compact interval.

4.1step 1.1step 3.1constructF4F5F6F11

Along the r-sheet arc choose an (r−1)-frame E tangent to that sheet and along the other arc normal to the s-sheet. For r≥2, [F4]'s opposite-sign endpoint calculation applies in locally oriented collars; equivalently it uses the given orientation of A and of the normal bundle of B. In the disk frame of step 3.1, E is a loop in Vr−1(Rm−2), with complement rank s−1≥2. By [F5] it fills over the disk; attach its prescribed smooth collar to the filling and apply [F6] relative to a smaller collar to make the filling smooth. For r=1, E is the unique empty frame and no Stiefel assertion is needed. Take its orthogonal complement inside the disk normal bundle and apply the projection transport of step 3.1 followed by [F11] to get a global (s−1)-frame H. On the B arc that subspace is exactly its disk-orthogonal tangent space, so H is tangent to B. Compatible corner values can be attained by multiplying H by a smooth disk-wide SO(s−1) map interpolating their two comparison matrices, constant in the corner collars; finite plane rotations provide such a path. This changes neither its subspace nor its extendibility, and no full boundary-frame class is prescribed. Thus E,H is an admissible extendible frame in every case.

5.1step 4.1constructF9∎

The local model theorem applies to this actual framed bigon with dimensions r,s, requiring no lower bound on r once the frame is given. Apply its auxiliary ambient isotopy to A and keep B fixed. It removes exactly p,q and fixes all other intersection neighbourhoods. This proves the borderline range, including r=1, without treating the codimension-one or codimension-two clearing as ordinary generic avoidance.

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