May Final

Morse theory and the topology of Manifolds
Muneeb Yusufi
Louisiana State University

myusuf1@lsu.edu
April 18, 2017
Muneeb Yusufi (CM Project Presentation) Morse Theory April 18, 2017 1 / 30
Overview
1 Manifolds
2 Morse Theory
3 Handles
4 Topology of the Manifold
5 Morse inequalities
Definitions:
Manifold
A topological space M is an n-dimensional manifold if it is paracompact
and there exists an open cover {U } , I on M such that for every
I , a homeomorphism to some V Rn exists.
Loosely manifolds are topological spaces that look locally like Euclidean
space Rn . Some Examples are as follows:
Rn or any open subset of Rn is a smooth manifold

The unit sphere Sn = (x 0 , x 1 , , xn)| (x i )2 = 1
P
The Real Projective space RPn : is the topological space of lines

passing through the origin 0 in Rn+1 . It is a manifold of dimension n.
A little more precisely it is a space together with a way of identifying it
locally with a Euclidean space which is compatible on overlaps. To
formalize this we need the following notions.
A chart is a pair (U, ) where U is an open set in X and : U Rn is

homeomorphism onto it image. The components of = (x 1 , x 2 , , x n )
are called coordinates.
Given two charts (U1 , 1 ) and (U2 , 2 ) then we get overlap or transition
maps
2 1
1 : 1 (U1 U2 ) 2 (U1 U2 )
1 1
2 : 2 (U1 U2 ) 1 (U1 U2 )
Two charts (U1 , 1 ) and (U2 , 2 ) are called compatible if the overlap
maps are smooth.
An atlas for X is a (non-trivial) collection A = {(U , )| I } of pair

wise compatible charts . Two atlases are equivalent if there their union is
an atlas. An atlas A is called maximal if any other atlas compatible with it
is contained in it.
Smooth Function
A map f : M N between two manifolds M an N of dimensions m and n
is smooth if the composition map:
f 1 : Rm Rn
is smooth(of class C ). for any charts (U, ) for M and (V , ) for N
The following result will be implicitly used throughout the remainder of

the talk:
Lemma
Every smooth map between Manifolds is continuous.
Beyond this point in the remainder of the talk whenever we refer to a

smooth function we fix the space N to be R. This is done so that the
audience can easily follow.
Critical Points and Critical Values
For a particular coordinate system (x 1 , x 2 , , x n ) centered around any
p M, p is called a critical point of f if:
f
x i
(p) = 0; 1 i n
Boundary of a manifold
Let H n Rn denote the upper half plane i.e.
H n = {(x 1 , x 2 , x n )|x n 0}
and we denote
H n = {(x 1 , x 2 , x n )|x n = 0}
A manifold with boundary is a paracompact space, each of whose points

has a neighborhood homeomorphic to an open set in H n . Now we define
the boundary of the manifold , denoted by M as:
M = {p M|(p) H n } for any chart

Hessian of a Smooth map
Let (x 1 , x 2 , , x n ) be local coordinates centered around a point p M
an n-dimensional manifold.Then the Hessian of a smooth map f at p is
denoted as Hf (p) and is defined as the nxn matrix of second order
derivatives :
2
Hf = [ xi x
f
j]
Jacobian of a Coordinate Transformation

Let (x 1 , x 2 , ..., x n ) and (y 1 , y 2 , ..., y n ) be two coordinate systems around a
point p M Then the Jacobian matrix denoted J(p) is the nxn coordinate
change matrix given by
x i
J(p) = [ y j]
Non-Degenerate Critical Points

A critical point p of a smooth map f on a on an n-dimensional manifold
M is called non-degenerate if the Hessian Hf (p) is invertible.
Results
Lemma (Change of Coordinates)

Let f be a real valued, smooth function defined on the n-dim. manifold M
let (x1 , x2 , ..., xn ) and (y1 , y2 , ..., yn ) be two coordinate systems at a critical
point p0 of f with Hessians Hf (p0 ) and Hf0 (p0 ) then:
Hf (p0 ) = J T (p0 )Hf0 (p0 )J(p0 )
Corollary
The degeneracy of a critical point p0 is independent of the choice of
coordinates
Morse Function
A smooth map f on a manifold M is called a Morse function if its every
critical point is non-degenerate
Lemma (Morse)
Let p0 be a non-degenerate critical point of a real valued, smooth function
f defined on the n-dim. manifold M. Then for a particular choice of
coordinate system (x1 , x2 , ..., xn ) we have
f = x12 x22 ... x2 + x2 ... + xn2 + c
where is the index of f at p0 and c = f (p0 ).
Results Contd.
This result implies that we can consider quadratic polynomials in order to

study the local behavior of a function near a non-degenerate critical point.
Corollary (Important)
A Morse function defined on a compact manifold has only finitely many
critical points.
Corollary
Non degenerate critical points are isolated.
Handles
Definition of a Handle
A handle of index k and dimension n is a manifold with boundary which is
diffeomorphic (bi-continuous bijective map) to B k XB nk in Rn , where B k
and B nk denote balls centered about the origin in Euclidean spaces Rk
and Rnk respectively.
Some Examples of Handles are:

In dimension 2 A handle of index 0 or 2 is a disc and a handle of
index 1 is a rectangle.
In dimension 3: A handle of index 0 or 3 is a 3-ball and a handle of
index 1 or 2 is a cylinder.
Attaching Handles to Spaces
Let M a n-dimensional manifold with boundary M 6= 0.We wish to attach

a handle to M. Consider the following map:
: Sk1 XB nk M (1)
such that the image is a smooth embedding in M. Next consider the

disjoint union:
M B k XB nk (2)
`
We define a equivalence relation on (2) st:
(x) (x) x Sk1 XB nk
Finally, the quotient space obtained from (2) and the relation is the
original space with an attached handle of index k
A Pictorial Representation
Figure: Handles attached to a space
Topology of the Manifold
The idea is that by understanding the critical points of a smooth function

on a manifold we can recover the topology of the space.
Theorem
Let f : M R be a smooth function and let p0 be a non-degenerate
critical point with index . If c = f (p0 ), suppose that f 1 ([c , c + ]) is
compact and contains no other critical point other than p0 then the set
M0 := f 1 ((, c + ]) has the same homotopy of f 1 ((, c ])
with a -cell attached
For the case of the compact manifold this can be restated as:
Theorem
Let M be a compact manifold. Then M can be developed from the ball B n
by successively attaching to it finitely many handles of dimension n.
Let f : M R be a smooth function. Then c R we define
Mc = {x M|f (x) c}
Suppose that p is the only non-degenerate critical point of f .

Let a, b R such that a < f (p) < b.
The topological structure of Ma is the same for all a < f (p).

The topological structure of Ma is the same for all b > f (p).
The topological structure of Mb is different from that of Ma .
For a, b R ; a < b, we define the set M[a,b] as follows:
M[a,b] = {x|a f (x) b}
Theorem
If M[a,b] is compact and contains no critical point of f then Ma is
diffeomorphic to Mb .
Theorem
Suppose that M[a,b] is compact and contains exactly one non-degenerate
critical point of f . If the index of the critical point is k then Mb is obtained
from Ma by successively attaching a handle of index k and a collar.
Consider an example f = x 2 y 2 on R2 . The critical point is (0,0) and
the space extends on both sides of the origin. Consider the spaces above
and below the curves
Figure: The space Mb has the same homotopy type as Ma with the attached
handle H
Classical Example: Torus embedded in R 3
Step 1 : Morse function on T2

We are considering the torus depicted in the vertical position.
Consider the height function h : T2 R given by
h(x, y , z) = z (x, y , z) T2
Step 2: Critical points

f has 4 critical points p, q, r , s as shown in the figure
Critical point f in local coordinates Index

p f =c x2
+ + y2 0
q f =c + x2 y2 1
r f =c + x2 y2 1
s f =c x2 y2 2
Table: Critical points of the Height function on T2

Figure: Torus depicting critical points and height function h
Step 3:Level sets of h
If c < 0 < f (p), then Mc is empty.
If f (p) < c < f (q), then Mc is homeomorphic to a 2-cell(disc with

boundary diffeomorphic to a circle).
If f (q) < c < f (r ), then Mc is homeomorphic to a cylinder with 2

boundary components diffeomorphic to a circle
If f (r ) < c < f (s), then Mc is homeomorphic to T2 minus an open

disc with circle as boundary
If f (s) < c, then Mc is the full torus
Figure: Shaded regions show the level sets corresponding to each critical value
Step 4: Building the Torus
We will build the torus by successively attaching handles to the disc
corresponding to each critical point
Figure: Attaching handle of Index 1 corresponding to critical point q
Step 4: Building the Torus contd.
Figure: Attaching handle of Index 1 corresponding to critical point r
Step 4: Building the Torus contd.
Figure: Attaching handle of Index 2 corresponding to critical point s
Morse Inequalities
So far we have seen that the critical points of a compact manifold are
finite. Can we say any thing about the bounds on the critical points of a
given Index.
The Morse Inequalities, which are actually how Morse first formulated his
version of critical point theory, provide bounds on the number of critical
points of a particular index
Betti Numbers
The Betti Number (M) is the rank of the th homology group of M.
Informally, the kth Betti number refers to the number of k-dimensional
holes on a topological surface. The first few Betti numbers have the
following definitions for 0-dimensional, 1-dimensional, and 2-dimensional
simplicial complexes:
0 is the number of connected components
1 is the number of one-dimensional or circular holes
2 is the number of two-dimensional voids or cavities
Examples
S 2 has 0 = 2 = 1 and 1 = 0.
The Torus has 0 = 2 = 1 and 1 = 2.
Morse inequalities
Let C denote the number of critical points of f of index then:
C C1 + C0 1 + 0
Examples:
For S 2 our Morse Inequalities are:
C0 1 C1 C0 1 C2 C1 + C0 2
For the Torus they are:

C0 1 C1 C0 +1 C2 C1 + C0 0
Examples Contd.
Now consider the case that we would like a particular Morse function on a
space. For simplicity lets consider S 2 once again.
Originally S 2 has 2 critical points the north and south pole of index 2
and zero respectively. Now say that we want a Morse function with a
critical point of index 1. Then by using the afore mentioned concepts we
can have two scenarios:
We can smoothly depress down or punch down the top.Using the

height function as used in the case of the torus, we now have a new
critical point of index 1.
We can smoothly punch up from the bottom. Again using the
height function, we now have a new critical point of index 1.
Figure: Using Morse Inequalities to construct Morse functions
The End

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Morse theory and the topology of Manifolds

Louisiana State University

April 18, 2017

4 Topology of the Manifold

Rn or any open subset of Rn is a smooth manifold

The Real Projective space RPn : is the topological space of lines

A chart is a pair (U, ) where U is an open set in X and : U Rn is

An atlas for X is a (non-trivial) collection A = {(U , )| I } of pair

is smooth(of class C ). for any charts (U, ) for M and (V , ) for N

The following result will be implicitly used throughout the remainder of

Beyond this point in the remainder of the talk whenever we refer to a

A manifold with boundary is a paracompact space, each of whose points

M = {p M|(p) H n } for any chart

Jacobian of a Coordinate Transformation

Non-Degenerate Critical Points

Lemma (Change of Coordinates)

Hf (p0 ) = J T (p0 )Hf0 (p0 )J(p0 )

f = x12 x22 ... x2 + x2 ... + xn2 + c

where is the index of f at p0 and c = f (p0 ).

This result implies that we can consider quadratic polynomials in order to

Some Examples of Handles are:

Let M a n-dimensional manifold with boundary M 6= 0.We wish to attach

such that the image is a smooth embedding in M. Next consider the

We define a equivalence relation on (2) st:

(x) (x) x Sk1 XB nk

Figure: Handles attached to a space

The idea is that by understanding the critical points of a smooth function

Suppose that p is the only non-degenerate critical point of f .

The topological structure of Ma is the same for all a < f (p).

M[a,b] = {x|a f (x) b}

Step 1 : Morse function on T2

Step 2: Critical points

Critical point f in local coordinates Index

Table: Critical points of the Height function on T2

If f (p) < c < f (q), then Mc is homeomorphic to a 2-cell(disc with

If f (q) < c < f (r ), then Mc is homeomorphic to a cylinder with 2

If f (r ) < c < f (s), then Mc is homeomorphic to T2 minus an open

If f (s) < c, then Mc is the full torus

Figure: Attaching handle of Index 1 corresponding to critical point q

Figure: Attaching handle of Index 1 corresponding to critical point r

Figure: Attaching handle of Index 2 corresponding to critical point s

For the Torus they are:

We can smoothly depress down or punch down the top.Using the

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