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GRADUATE STUDIES
I N M AT H E M AT I C S 239
Introduction to
the h-Principle
Second Edition
K. Cieliebak
Y. Eliashberg
N. Mishachev
Introduction to
the h-Principle
Second Edition
GRADUATE STUDIES
I N M AT H E M AT I C S 239
Introduction to
the h-Principle
Second Edition
K. Cieliebak
Y. Eliashberg
N. Mishachev
EDITORIAL COMMITTEE
Matthew Baker
Marco Gualtieri
Gigliola Staffilani (Chair)
Jeff A. Viaclovsky
Rachel Ward
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c 2024 by the American Mathematical Society. All rights reserved.
The American Mathematical Society retains all rights
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10 9 8 7 6 5 4 3 2 1 29 28 27 26 25 24
To
Vladimir Igorevich Arnold
who introduced us to the world of singularities
and
Misha Gromov
who taught us how to get rid of them
Contents
Intrigue 1
vii
viii Contents
The book is significantly expanded for its second edition, and several old
parts are rewritten. The main addition to the original book is Part 3 en-
titled “Singularities and Wrinkling”, which is devoted to the method of
wrinkling and its applications. In particular, we discuss there the construc-
tion of maps with prescribed fold singularities and prove a generalized form
of Igusa’s results about families of functions with generalized Morse critical
points. The main ingredient in the proof is the multivalued holonomic ap-
proximation theorem, which is introduced in the new Chapter 5. We also
added a new chapter (Chapter 10) on foliations, and the “foliated” language
is now used throughout the book. Several other chapters and sections have
been significantly rewritten, including Chapter 3 on holonomic approxima-
tion, Chapter 20 on symplectic and contact embeddings, Section 2.3 on the
Thom Transversality Theorem, and Section 8.1 on natural fibrations.
In the more than 20 years since the first edition of this book, many more
instances of the h-principle were discovered. Especially interesting new man-
ifestations of flexibility phenomenon were found in symplectic and contact
geometry. It became clear to us that it is impossible to address new sym-
plectic geometric applications of the h-principle in the format of the current
book. Hence, we decided to leave the symplectic part of this book mostly as
is and are currently working on a separate book [CEM25] devoted to new
developments in symplectic and contact flexibility.
Throughout the rest of the book we made numerous small changes and
corrections of typos and errors. We are grateful to many readers who over
the years notified us of various typos and errors in the book. We thank
Daniel Álvarez-Gavela, Álvaro del Pino Gómez, and Zehan Hu for their
comments on the manuscript of the current edition.
xiii
Preface to the
First Edition
The classical partial differential relations, mostly rooted in physics, are usu-
ally described by (systems of) equations. Moreover, the corresponding sys-
tems of equations are mostly determined : the number of unknown functions
is equal to the number of equations. Given appropriate boundary condi-
tions, such a differential relation usually has a unique solution. In some
cases this solution can be found using certain analytical methods (potential
theory, Fourier method, and so on).
In differential geometry and topology one often deals with systems of partial
differential equations, as well as partial differential inequalities, which have
infinitely many solutions whatever boundary conditions are imposed. More-
over, sometimes solutions of these differential relations are C 0 -dense in the
corresponding space of functions or mappings. The systems of differential
equations in question are usually (but not necessarily) underdetermined. We
discuss in this book homotopical methods for solving this kind of differen-
tial relations. Any differential relation has an underlying algebraic relation
which one gets by substituting derivatives by new independent variables. A
solution of the corresponding algebraic relation is called a formal solution of
the original differential relation R. Its existence is a necessary condition for
the solvability of R, and it is a natural starting point for exploring R. Then
one can try to deform the formal solution into a genuine solution. We say
that the h-principle holds for a differential relation R if any formal solution
of R can be deformed into a genuine solution.
xv
xvi Preface to the First Edition
The method for proving the h-principle based on the Holonomic Approx-
imation Theorem works well for open manifolds. Applications to closed
manifolds require an additional trick, called microextension. It was first
used by M. Hirsch in [Hi59]. The holonomic approximation method also
works well for differential relations which are not open, but microflexible.
The most interesting applications of this type come from symplectic geom-
etry. These applications are discussed in the third part of the book. For
convenience of the reader the basic notions of symplectic geometry are also
reviewed in that part of the book.
The fourth2 part of the book is devoted to convex integration theory. Gro-
mov’s convex integration theory was treated in great detail by D. Spring
in [Sp98]. In our exposition of convex integration we pursue a different
goal. Rather than considering the sophisticated advanced version of convex
integration presented in [Gr86], we explore only its simple version for first
order differential relations, similar to the first exposition of the theory by
Gromov in [Gr73]. Nevertheless, we prove here practically all the most
interesting corollaries of the theory, including the Nash–Kuiper theorem on
C 1 -isometric embeddings.
Let us list here some available books and survey papers about the h-principle.
Besides Gromov’s book [Gr86], these are Spring’s book [Sp98], Adachi’s
book [Ad93], Haefliger’s paper [Ha71], Poénaru’s paper [Po71], and, most
recently, Geiges’ notes [Ge01].
Acknowledgments. The book was partially written while the second au-
thor visited the Department of Mathematics of Stanford University, and the
first author visited the Mathematical Institute of Leiden University and the
Institute for Advanced Study at Princeton. The authors thank the host
institutions for their hospitality. While writing this book the authors were
partially supported by the National Science Foundation. The first author
also acknowledges the support of The Veblen Fund during his stay at the
IAS.
We are indebted to Ana Cannas da Silva, Hansjorg Geiges, Simon Gober-
stein, Dusa McDuff, and David Spring who read the preliminary version
of this book and corrected numerous misprints and mistakes. We are very
thankful to all the mathematicians who communicated to us their critical
remarks and suggestions.
Examples.
A2. On the other hand, any two immersions S 2 → R3 are regularly homo-
topic; see [Sm58] and Section 4.2. In particular, the standard 2-sphere in
R3 can be inverted outside in through a family of immersions.
1
2 Intrigue
and Chapter 16. For instance, one has the following statement (see Section
16.5):
Let ft : Rn → R be a family of functions parameterized by t in the sphere
S k−1 = ∂D k . Suppose that for each t ∈ S k−1 the function ft has no critical
points and coincides with the coordinate function x1 outside a compact set.
Then the family ft extends to t ∈ D k such that for each t ∈ D k the func-
tion ft has only Morse and birth-death critical points and coincides with the
coordinate function x1 outside a compact set.
All the above statements are examples of the homotopy principle, or the h-
principle. Despite the fact that all these problems are asking for the solution
of certain differential equations or inequalities, they can be reduced to prob-
lems of a purely homotopy theoretic nature which then can be dealt with
using the methods of algebraic topology. For instance, the regular homotopy
classification of immersions S 2 → R3 can be reduced to the computation of
the homotopy group π2 (RP 3 ), which is trivial.
We are teaching in this book how to deal with these problems. In particu-
lar, the three general methods which we describe here will be sufficient to
handle all the above examples, except A3 and C, though we hope that after
studying the book, the reader would be able to solve A3 and C as advanced
exercises.
Another, maybe even more important goal of this book is to teach the reader
how to recognize the problems which may satisfy the h-principle. Of course,
in the most interesting cases this is a very difficult question. As we will
see below there are plenty of open problems where one can neither establish
the h-principle nor find a single instance of rigidity. Nevertheless we are
confident that the reader should develop a pretty good intuition for the
problems which may satisfy the h-principle.
Here are some more examples where the h-principle holds, fails, or is un-
known.
Examples.
E2. On the other hand, the h-principle is wrong for Lagrangian embed-
dings. Indeed, any two Lagrangian embeddings T 2 → C2 are Lagrangian
isotopic [DRGI16], whereas the h-principle would predict the existence of
knotted Lagrangian tori.
T HE Corsair stood out to sea with the transports and the escort in
the morning of June 14th after a thick fog had delayed the
departure for several hours. As finally selected, the ship’s company
consisted of 130 officers and enlisted men. The shifting fortunes of
war were to scatter most of them to other ships and stations during
the long exile overseas, and when the battered yacht came home,
only Commander Porter and Lieutenant McGuire and eighteen of the
crew of this first muster roll were left on board.
Changes were so frequent that from first to last almost three
hundred men served in the Corsair.[1] The ship proved to be a
training school for officers, and made an exceptional record in that
thirteen of her enlisted force and one warrant officer won
commissions during the war, some taking the examinations while on
foreign service and others being sent to Annapolis for the intensive
course of three months and receiving the rank of temporary ensigns
in the regular naval organization. On deck and below, men were
rated as petty officers as rapidly as they displayed aptitude, and few
of the crew failed to advance themselves. The spirit of the ship was
eager and ambitious from the start and drudgery could not dull it.
As a proper man-of-war the Corsair lived a complex and
disciplined programme of duty through the twenty-four hours of the
day. When she steamed past Sandy Hook, outward bound, the
complement included a chief boatswain’s mate, one boatswain’s
mate, six coxswains, seven gunner’s mates, four quartermasters,
nineteen seamen, nineteen ordinary seamen, three electricians, four
radio operators, a carpenter’s mate, two ship-fitters, a boiler maker, a
blacksmith, a chief machinist’s mate, one machinist’s mate, a chief
water tender, two water tenders, four oilers, twenty-one firemen and
coal passers, a chief yeoman, three yeomen, a hospital apprentice, a
bugler, a cabin steward, four ship’s cooks, and eight mess
attendants.
The complete roster of the ship on this famous day of June 14,
1917, was as follows:
Lieutenant Commander T. A. Kittinger, U.S.N. (Commanding)
Lieutenant Commander W. B. Porter, N.R.F. (Executive)
Lieutenant Robert E. Tod, N.R.F. (Navigator)
Lieutenant R. J. McGuire, (JG) N.R.F. (First Lieutenant)
Lieutenant J. K. Hutchison, (JG) N.R.F. (Engineer Officer)
Ensign A. K. Schanze, N.R.F. (Gunnery Officer)
Ensign J. F. W. Gray, N.R.F. (Communications Officer)
Assistant Surgeon E. V. Laub, N.R.F.
Assistant Paymaster J. J. Cunningham, N.R.F.
Machinist W. F. Hawthorn, N.R.F.
Machinist A. V. Mason, N.R.F.
Boatswain R. Budani, N.R.F.
Aguas, I C. F1c.
Ashby, C. N. Sea. 2c.
Balano, F. Sea.
Barko, A. W. G.M. 3c.
Barry, H. A. Sea.
Bayne, C. S. Sea.
Bedford, H. H. F1c.
[2]Benton, E. M. Sea.
Bischoff, H. J. F2c.
Bonsall, T. C. Cox.
Breckel, H. F. Elec. 1cR.
[2]Brillowski, A. J. F2c.
Byram, C. S. F2c.
Carey, N. J. Bugler
[2]Carroll, O. W.T.
Herrman, H. Oiler
Hill, F. C. C.M. 3c.
Hiss, S. W. F1c.
Hollis, L. R. Sea. 2c.
Houtz, E. L. Sea.
Jetter, R. T. Sea.
Jones, R. D. Oiler
[2]Jones, T. W. F1c.
Wallace, E. C.W.T.
Walters, F. Sea. 2c.
Washburn, C. F. Sea. 2c.
Waters, C. W. Yeo. 2c.
Walters, F. Sea 2c.
[2]Wheatcroft, W. A. S.F. 2c.