In this paper we introduce "critical surfaces", which are described via a 1-complex whose definition is reminiscent of the curve complex. Our main result is that if the minimal genus common stabilization of a pair of strongly irreducible Heegaard splittings of a 3-manifold is not critical, then the manifold contains an incompressible surface. Conversely, we also show that if a non-Haken 3-manifold admits at most one Heegaard splitting of each genus, then it does not contain a critical Heegaard surface. In the final section we discuss how this work leads to a natural metric on the space of strongly irreducible Heegaard splittings, as well as many new and interesting open questions.
Critical surfaces are defined by Bachman as topological index 2 surfaces, generalizing incompressible surfaces and strongly irreducible surfaces. In this paper we give a condition to obtain critical Heegaard surfaces by amalgamation. As a special case, we obtain critical Heegaard surfaces by boundary stabilization. It gives critical Heegaard surfaces of non-minimal genus, for 3-manifolds which do not admit distinct Heegaard splittings (up to isotopy).
In this paper, we give infinitely many non-Haken hyperbolic genus three 3-manifolds each of which has a finite cover whose induced Heegaard surface from some genus three Heegaard surface of the base manifold is reducible but can be compressed into an incompressible surface. This result supplements [CG] and extends [MMZ].
It is known that there are surface bundles of arbitrarily high genus which have genus two Heegaard splittings. The simplest examples are Seifert fibered spaces with the sphere as a base space, three exceptional fibers and which allow horizontal surfaces. We characterize the monodromy maps of all surface bundles with genus two Heegaard splittings and show that each is the result of integral Dehn surgery in one of these Seifert fibered spaces along loops where the Heegaard surface intersects a horizontal surface. (This type of surgery preserves both the bundle structure and the Heegaard splittin…
Every surface bundle with genus $g$ fiber has a canonical Heegaard splitting of genus $2g+1$. We classify the mapping class groups of such Heegaard splittings in the case when the surface bundle has a sufficiently complicated monodromy map.
We study principal curvatures of fibers and Heegaard surfaces smoothly embedded in hyperbolic 3-manifolds. It is well known that a fiber or a Heegaard surface in a hyperbolic 3-manifold cannot have principal curvatures everywhere less than one in absolute value. We show that given an upper bound on the genus of a minimally embedded fiber or Heegaard surface and a lower bound on the injectivity radius of the hyperbolic 3-manifold, there exists a $δ> 0$ such that the fiber or Heegaard surface must contain a point at which one of the principal curvatures is greater than $1 + δ$ in absolute value.
Let M be a 3-manifold admitting a strongly irreducible Heegaard surface S and f:M \to M an involution. We construct an invariant Heegaard surface for M of genus at most 8 g(S) - 7. As a consequence, given a (possibly branched) double cover π:M \to N we obtain the following bound on the Heegaard genus of N: g(N) \leq 4g(S) - 3. We also get a bound on the complexity of the branch set in terms of g(S). If we assume that M is non-Haken, by Casson and Gordon we may replace g(S) by g(M) in all the statements above.
Critical surfaces can be regarded as topological index 2 minimal surfaces which was introduced by David Bachman. In this paper we give a sufficient condition and a necessary condition for self-amalgamated Heegaard surfaces to be critical.
In this paper, by putting a separating incompressible surface in a 3-manifold into Morse position relative to the height function associated to a strongly irreducible Heegaard splitting, we show that an incompressible subsurface of the Heegaard splitting can be found, by decomposing the 3-manifold along the separating surface. Further if the Heegaard surface is of Hempel distance at least 4, then there is a pair of such subsurfaces on both sides of the given separating surface. This gives a particularly simple hierarchy for the 3-manifold.
Let K be a knot embedded in a Heegaard surface S for a closed orientable 3-manifold M. We define K-stable equivalence between pairs (S, K) and (S', K) in M, and we prove that any two pairs are K-stably equivalent in M if they have the same surface slope.
This paper studies Heegaard splittings of surface bundles via the curve complex of the fibre. The translation distance of the monodromy is the smallest distance it moves any vertex of the curve complex. We prove that the translation distance is bounded above in terms of the genus of any strongly irreducible Heegaard splitting. As a consequence, if a splitting surface has small genus compared to the translation distance of the monodromy, the splitting is standard.
Colding and Gabai have given an effective version of Li's theorem that non-Haken hyperbolic 3-manifolds have finitely many irreducible Heegaard splittings. As a corollary of their work, we show that Haken hyperbolic 3-manifolds have a finite collection of strongly irreducible Heegaard surfaces $S_i$ and incompressible surfaces $K_j$ such that any strongly irreducible Heegaard surface is a Haken sum $S_i + \sum_j n_j K_j$, up to one-sided associates of the Heegaard surfaces.
We show that sub-surfaces of a Heegaard surface for which the relative Hempel distance of the splitting is sufficiently high have to appear in any Heegaard surface of genus bounded by half that distance.
We give a proof of the so-called generalized Waldhausen conjecture, which says that an orientable irreducible atoroidal 3-manifold has only finitely many Heegaard splittings in each genus, up to isotopy. Jaco and Rubinstein have announced a proof of this conjecture using different methods.
Let $M$ be a compact orientable irreducible 3-manifold and $H$ be an unstabilized genus three Heegaard splitting of $M$. In this article, we will define a simplicial complex of weak reducing pairs for $H$ and find several properties of this complex. Using this method, we will prove that an unstabilized Heegaard splitting of genus three is critical in a certain condition. In addition, we will show that the standard genus three Heegaard splitting for $T^3$ and the induced Heegaard splitting of the three component chain exterior by a certain tunnel system are critical as examples of the main theo…
A famous example of Casson and Gordon shows that a Haken 3-manifold can have an infinite family of irreducible Heegaard splittings with different genera. In this paper, we prove that a closed non-Haken 3-manifold has only finitely many irreducible Heegaard splittings, up to isotopy. This is much stronger than the Waldhausen conjecture. Another immediate corollary is that for any irreducible non-Haken 3-manifold M, there is a number N, such that any two Heegaard splittings of M are equivalent after at most N stabilizations.
Kevin Hartshorn showed that if a three-dimensional manifold $M$ admits a Heegaard surface $Σ$ with Hempel distance $d$ then every incompressible surface in $M$ has genus at least $\frac{d}{2}$. Scharlemann-Tomova generalized this, proving that in such a manifold, every other Heegaard surface for $M$ of genus $g' < \frac{d}{2}$ is a stabilization of $Σ$. In the present paper, we show that Hartshorn's bound is sharp and Scharlemann-Tomova's bound is very close to sharp. In particular, for every pair of integers $g \geq 2, d \geq 2$, we construct a three-manifold $M$ with a genus $g$, distance $d…
We present a new and shorter proof of Stocking's result that any strongly irreducible Heegaard surface of a closed orientable triangulated 3-manifold is isotopic to an almost normal surface. We also re-prove a result of Jaco and Rubinstein on normal spheres. Both proofs are based on the "reduction" technique introduced by the author.
We give another proof of a theorem of Scharlemann and Tomova and of a theorem of Hartshorn. The two theorems together say the following. Let M be a compact orientable irreducible 3--manifold and P a Heegaard surface of M. Suppose Q is either an incompressible surface or a strongly irreducible Heegaard surface in M. Then either the Hempel distance d(P) <= 2 genus(Q) or P is isotopic to Q. This theorem can be naturally extended to bicompressible but weakly incompressible surfaces.
Let (V,W;F) be a weakly reducible, unstabilized, genus three Heegaard splitting in an orientable, irreducible 3-manifold M. In this article, we prove that either the disk complex D(F) is contractible or F is critical. Hence, the topological index of F is two if F is topologically minimal.
We address a special case of the Stabilization Problem for Heegaard splittings, establishing an upper bound on the number of stabilizations required to make a Heegaard splitting of a Haken 3-manifold isotopic to an amalgamation along an essential surface. As a consequence we show that for any positive integer $n$ there are 3-manifolds containing an essential torus and a Heegaard splitting such that the torus and splitting surface must intersect in at least $n$ simple closed curves. These give the first examples of lower bounds on the minimum number of curves of intersection between an essentia…
It is shown that for given positive integers g and b, there is a number C(g,b), such that any orientable compact irreducible 3-manifold of Heegaard genus g has at most C(g,b) disjoint, nonparallel incompressible surfaces with first Betti number b_1 < b.
We define a notion of Hempel distance for one-sided Heegaard splittings and show that the existence of alternate surfaces restricts distance for one-sided splittings in a manner similar to Hartshorn's and Scharlemann-Tomova's results for two-sided splittings. We also show that every geometrically compressible one-sided Heegaard surface in a non-Haken 3-manifold is stabilized, and show that the mapping class group of the two-sided Heegaard splitting induced by a high distance one-sided splitting is isomorphic to the fundamental group of the one-sided surface.
We consider a Heegaard splitting M=H_1 \cup_S H_2 of a 3-manifold M having an essential disk D in H_1 and an essential surface F in H_2 with |D \cap F|=1. (We require that boundary of F is in S when H_2 is a compressionbody with non-empty "minus" boundary.) Let F be a genus g surface with n boundary components. From S, we obtain a genus g(S)+2g+n-2 Heegaard splitting M=H'_1 \cup_S' H'_2 by cutting H_2 along F and attaching F \times [0,1] to H_1. As an application, by using a theorem due to Casson and Gordon, we give examples of 3-manifolds having two Heegaard splittings of distinct genera wher…
In this article, we prove that a tunnel number two knot induces a critical Heegaard splitting in its exterior if there are two weak reducing pairs such that each weak reducing pair contains the cocore disk of each tunnel. Moreover, we prove that a connected sum of two 2-bridge knots or more generally that of two $(1,1)$-knots can induce a critical Heegaard splitting in its exterior as the examples of the main theorem. Finally, we give an equivalent condition for a weak reducing pair to be determined by a compressing disk uniquely when the manifold is closed, irreducible and the Heegaard splitt…
A note on reducing spheres for the genus-4 Heegaard surface in the 3-sphere
Hanyang University（汉阳大学）；Keio University（庆应义塾大学）；International Institute for Sustainability with Knotted Chiral Meta Matter (WPI-SKCM 2 ), Hiroshima University（广岛大学扭结手性超材料可持续性国际研究所（WPI-SKCM2））；Jeonbuk National University（全北国立大学）
We expect manifolds obtained by Dehn filling to inherit properties from the knot manifold. To what extent does that hold true for the Heegaard structure? We study four changes to the Heegaard structure that may occur after filling: (1) Heegaard genus decreases, (2) a new Heegaard surface is created, (3) a non-stabilized Heegaard surface destabilizes, and (4) two or more non-isotopic Heegaard surfaces become isotopic. We survey general results that give quite satisfactory restrictions to phenomena (1) and (2) and, in a parallel thread, give a complete classification of when all four phenomena o…
The mapping class group of a Heegaard splitting is the group of automorphisms of the ambient 3-manifold that take the surface onto itself, modulo isotopies that keep the surface on itself. We characterize the mapping classes that restrict to periodic and reducible automorphisms of the surface.
This paper generalizes the definition of a Heegaard splitting to unify Scharlemann and Thomspon's concept of thin position for 3-manifolds, Gabai's thin position for knots, and Rubinstein's almost normal surface theory. This gives generalizations of theorems of Scharlemann, Thompson, Rubinstein, and Stocking. In the final section, we use this machinery to produce an algorithm to determine the bridge number of a knot, provided thin position for the knot coincides with bridge position. We also present several finiteness and algorithmic results about Dehn fillings with "small" Heegaard genus.
Suppose that a three-manifold M contains infinitely many distinct strongly irreducible Heegaard splittings H + nK, obtained by Haken summing the surface H with n copies of the surface K. We show that K is incompressible. All known examples, of manifolds containing infinitely many irreducible Heegaard splittings, are of this form. We also give new examples of such manifolds.
We describe for each postive integer $k$ a 3-manifold with Heegaard surfaces of genus $2k$ and $2k-1$ such that any common stabilization of these two surfaces has genus at least $3k-1$. We also show that for every positive $n$, there is a 3-manifold that has $n$ pairwise non-isotopic Heegaard splittings of the same genus all of which are stabilized.
Haken showed that the Heegaard splittings of reducible 3-manifolds are reducible, that is, a reducing 2-sphere can be found which intersects the Heegaard surface in a single simple closed curve. When the genus of the "interesting" surface increases from zero, more complicated phenomena occur. Kobayashi showed that if a 3-manifold $M^3$ contains an essential torus $T$, then it contains one which can be isotoped to intersect a strongly irreducible Heegaard splitting surface $F$ in a collection of simple closed curves which are essential in $T$ and in $F$. In general there is no global bound on t…
We show that if the monodromy of an open book decomposition has sufficiently high displacement distance, acting on the loop and arc complex for a page, then it is the unique minimal Euler characteristic open book for the manifold. In particular, we show that such an open book induces the unique (up to isotopy) minimal genus Heegaard surface for the manifold, and that this Heegaard surface has cyclic mapping class group.
Let $M_1$ and $M_2$ be orientable irreducible 3--manifolds with connected boundary and suppose $\partial M_1\cong\partial M_2$. Let $M$ be a closed 3--manifold obtained by gluing $M_1$ to $M_2$ along the boundary. We show that if the gluing homeomorphism is sufficiently complicated, then $M$ is not homeomorphic to $S^3$ and all small-genus Heegaard splittings of $M$ are standard in a certain sense. In particular, $g(M)=g(M_1)+g(M_2)-g(\partial M_i)$, where $g(M)$ denotes the Heegaard genus of $M$. This theorem is also true for certain manifolds with multiple boundary components.
We show that given a partially flat angled ideal triangulation for a 3-manifold $M$ with boundary (as defined by Lackenby), there is an algorithm to produce a list of Heegaard splittings for $M$ such that below a given genus $g$, each isotopy class appears exactly once. In particular, this algorithm determines precisely when two almost normal surfaces represent Heegaard splittings that are isotopic in the ambient 3-manifold. A closely related algorithm determines the smallest genus common stabilization of any two Heegaard splittings on the list. The methods, in fact, characterize isotopies bet…
Let M be a compressionbody containing a graph T (with at least one edge) such that \boundary_+ M is parallel to the union of T and \boundary_- M. We extend methods of Hayashi and Shimokawa to classify bridge surfaces for T. The results of this paper are used in later work to show that if a bridge surface for a graph in a 3-manifold is c-weakly reducible then either a degenerate situation occurs or the exterior of the graph contains an essential meridional surface.
Let K' be a hyperbolic knot in S^3 and suppose that some Dehn surgery on K' with distance at least 3 from the meridian yields a 3-manifold M of Heegaard genus 2. We show that if M does not contain an embedded Dyck's surface (the closed non-orientable surface of Euler characteristic -1), then the knot dual to the surgery is either 0-bridge or 1-bridge with respect to a genus 2 Heegaard splitting of M. In the case M does contain an embedded Dyck's surface, we obtain similar results. As a corollary, if M does not contain an incompressible genus 2 surface, then the tunnel number of K' is at most 2…
We use technology from sutured manifold theory and the theory of Heegaard splittings to relate genus reducing crossing changes on knots in S^3 to twists on surfaces arising in circular Heegaard splittings for knot complements. In a separate paper, currently in preparation, we prove that these circular Heegaard splittings may be searched for algorithmically, and together our results imply that an algorithm to detect when two hyperbolic or fibered knots of different genus are related by a crossing change would follow from an algorithm to determine whether two compact oriented surfaces in S^3 are…
We make a detailed study of the Heegaard Floer homology of the product of a closed surface Sigma_g of genus g with S^1. We determine HF^+ for this 3-manifold completely for the spin^c structure having trivial first Chern class, which for g>2 was previously unknown. We show that in this case HF^\infty is closely related to the cohomology of the total space of a certain circle bundle over the Jacobian torus of Sigma_g, and furthermore that HF^+ of a surface times a circle with integral coefficients contains nontrivial 2-torsion whenever g>2. This is the first example known to the authors of tors…
We define a Heegaard-Scharlemann-Thompson (HST) splitting of a 3-manifold M to be a sequence of pairwise-disjoint, embedded surfaces, {F_i}, such that for each odd value of i, F_i is a Heegaard splitting of the submanifold of M cobounded by F_{i-1} and F_{i+1}. Our main result is the following: Suppose M (\neq B^3 or S^3) is an irreducible submanifold of a triangulated 3-manifold, bounded by a normal or almost normal surface, and containing at most one maximal normal 2-sphere. If {F_i} is a strongly irreducible HST splitting of M then we may isotope it so that for each even value of i the surf…
We study the way a strongly irreducible Heegaard surface $Σ$ intersects a knot exterior $X$ embedded in a 3-manifold, and show that if $Σ\cap \partial X$ consists of simple closed curves which are essential in both $Σ$ and $\partial X$, then the intersection $X \cap Σ$ consists of meridional annuli only. As an application we show that when considering two Heegaard surfaces that intersect essentially and spinally (cf. Rubinstein and Shcarlemann) any embedded torus in the union of the two bounds a solid torus.
Let $M$ be a surface sum of 3-manifolds $M_1$ and $M_2$ along a bounded connected surface $F$ and $\partial_i$ be the component of $\partial M_i$ containing $F$. If $M_i$ has a high distance Heegaard splitting, then any minimal Heegaard splitting of $M$ is the amalgamation of those of $M^1, M^2$ and $M^*$, where $M^i=M_i\setminus\partial_i\times I$, and $M^{*}=\partial_1\times I\cup_{F} \partial_2\times I$. Furthermore, once both $\partial_i\setminus F$ are connected, then $g(M) = Min\bigl\{g(M_1)+g(M_2), α\bigr\}$, where $α= g(M_1) + g(M_2) + 1/2(2χ(F) + 2 - χ(\partial_1) - χ(\partial_2)) - M…
Let K be a knot in a closed orientable irreducible 3-manifold M and let P be a Heegaard splitting of the knot complement of genus at least two. Suppose Q is a bridge surface for K. Then either \begin{itemize} \item $d(P)\leq 2-χ(Q-K)$, or \item K can be isotoped to be disjoint from Q so that after the isotopy Q is a Heegaard surface for the knot exterior and is isotopic to a possibly stabilized copy of P. \end{itemize}
A Heegaard splitting which admits a unique pair of disjoint compression disks on distinct sides is said to be keen weakly reducible. This paper provides an construction of keen weakly reducible Heegaard splittings of arbitrary genus except 2. Furthermore, critical Heegaard splittings may yield if we change some conditions.
This paper explores connections between Heegaard genus, minimal surfaces, and pseudo-Anosov monodromies. Fixing a pseudo-Anosov map phi and an integer n, let M_n be the 3-manifold fibered over S^1 with monodromy phi^n. JH Rubinstein showed that for a large enough n every minimal surface of genus at most h in M_n is homotopic into a fiber; as a consequence Rubinstein concludes that every Heegaard surface of genus at most h for M_n is standard, that is, obtained by tubing together two fibers. We prove this result and also discuss related results of Lackenby and Souto.
We construct simple curves from immersed curves in the setting of handlebodies and Heegaard splittings. We define a measure of complexity we call girth for closed curves in a handlebody. We extend this complexity to Heegaard splittings and pose a conjecture about all Heegaard splittings. We prove a test case of this conjecture. Let S be a compact surface embedded in the boundary of a handlebody H. Then the minimum girth over all curves in S can be achieved by a simple closed curve. We also present algorithms to compute the girth of curves and surfaces.
For links with vanishing pairwise linking numbers, the link components bound pairwise disjoint surfaces in $B^{4}$. In this paper, we describe the set of genera of such surfaces in terms of the $h$-function, which is a link invariant from Heegaard Floer homology. In particular, we use the $h$-function to give lower bounds for the 4-genus of the link. For $L$-space links, the $h$-function is explicitly determined by Alexander polynomials of the link and sublinks. We show some $L$-space links where the lower bounds are sharp, and also describe all possible genera of disjoint surfaces bounded by …
We prove that for generic metrics on a 3-sphere, the minimal surface obtained from the min-max procedure of Simon-Smith has index 1. We prove an analogous result for minimal surfaces arising from strongly irreducible Heegaard sweepouts in 3-manifolds. We also confirm a conjecture of Pitts-Rubinstein that a strongly irreducible Heegaard splitting in a hyperbolic three-manifold can either be isotoped to a minimal surface of index at most 1 or else after a neck-pinch is isotopic to a one-sided minimal Heegaard surface.
For a Heegaard surface F in a closed orientable 3-manifold M, H(M,F) = Diff(M)/Diff(M,F) is the space of Heegaard surfaces equivalent to the Heegaard splitting (M,F). Its path components are the isotopy classes of Heegaard splittings equivalent to (M,F). We describe H(M,F) in terms of Diff(M) and the Goeritz group of (M,F). In particular, for hyperbolic M each path component is a classifying space for the Goeritz group, and when the (Hempel) distance of (M,F) is greater than 3, each path component of H(M,F) is contractible. For splittings of genus 0 or 1, we determine the complete homotopy typ…
Let M and M' be simple 3-manifolds, each with connected boundary of genus at least two. Suppose that M and M' are glued via a homeomorphism between their boundaries. Then we show that, provided the gluing homeomorphism is `sufficiently complicated', the Heegaard genus of the amalgamated manifold is completely determined by the Heegaard genus of M and M' and the genus of their common boundary. Here, a homeomorphism is `sufficiently complicated' if it is the composition of a homeomorphism from the boundary of M to some surface S, followed by a sufficiently high power of a pseudo-Anosov on S, fol…
We show that if M is a complete, finite-volume, hyperbolic 3-manifold having exactly one cusp, and if H_1(M;Z_2) has dimension at least 6, then M has volume greater than 5.06. We also show that if M is a closed, orientable hyperbolic 3-manifold such that H_1(M;Z_2) has dimension at least 4, and if the image of the cup product map in H^2(M;Z_2) has dimension at most 1, then M has volume greater than 3.08. The proofs of these geometric results involve new topological results relating the Heegaard genus of a closed Haken manifold M to the Euler characteristic of the kishkes (i.e guts) of the comp…
A Heegaard splitting of an open 3-manifold is the partition of the manifold into two non-compact handlebodies which intersect on their common boundary. This paper proves several non-compact analogues of theorems about compact Heegaard splittings. The main theorem is: if N is a compact, connected, orientable 3-manifold with non-empty boundary, containing no S^2 components, and if M is obtained from N by removing the boundary then any two Heegaard splittings of M are properly ambient isotopic. This is a non-compact analogue of the classifications of splittings of (closed surface) x I and (closed…
The mapping class group of a Heegaard splitting is the group of connected components in the set of automorphisms of the ambient manifold that map the Heegaard surface onto itself. For the genus three Heegaard splitting of the 3-torus, we find an eight element generating set for this group. Six of these generators induce generating elements of the mapping class group of the 3-torus and the remaining two are isotopy trivial in the 3-torus.
We prove (Theorem~1.5) that there exists a constant $Λ> 0$ so that if $M$ is a $(μ,d)$-generic complete hyperbolic 3-manifold of volume $\vol[M] < \infty$ and $Σ\subset M$ is a Heegaard surface of genus $g(Σ) > Λ\vol[M]$, then $d(Σ) \leq 2$, where $d(Σ)$ denotes the distance of $Σ$ as defined by Hempel. The key for the proof of the main result is Theorem~1.8 which is on independent interest. There we prove that if $M$ is a compact 3-manifold that can be triangulated using at most $t$ tetrahedra (possibly with missing or truncated vertices), and $Σ$ is a Heegaard surface for $M$ with $g(Σ) \geq…
We show that the number of genus $g$ embedded minimal surfaces in $\mathbb{S}^3$ tends to infinity as $g\rightarrow\infty$. The surfaces we construct resemble doublings of the Clifford torus with curvature blowing up along torus knots as $g\rightarrow\infty$, and arise from a two-parameter min-max scheme in lens spaces. More generally, by stabilizing and flipping Heegaard foliations we produce index at most $2$ minimal surfaces with controlled topological type in arbitrary Riemannian three-manifolds.
