# Finite Order 𝑞-Invariants of immersions of surfaces into 3-Space

## 1. Introduction

Let $`F`$ be a closed surface. Let $`Imm(F,^3)`$ denote the space of all immersions of $`F`$ into $`^3`$ and let $`I_0Imm(F,^3)`$ denote the space of all generic immersions.

###### Definition 1.1.

A function $`f:I_0/2`$ will be called a “$`q`$-invariant” if whenever $`H_t:F^3`$ ($`0t1`$) is a generic regular homotopy with no quadruple points, then $`f(H_0)=f(H_1)`$.

###### Definition 1.2.

Let $`I_nImm(F,^3)`$ denote the space of all immersions whose unstable self intersection consists of precisely $`n`$ generic quadruple points, and let $`I=_{n=0}^{\mathrm{}}I_n`$.

###### Definition 1.3.

Given a $`q`$-invariant $`f:I_0/2`$ we extend it to $`I`$ as follows: For $`iI_n`$ let $`i_1,\mathrm{},i_{2^n}I_0`$ be the $`2^n`$ generic immersions that may be obtained by slightly deforming $`i`$. Define

$$f(i)=\underset{k=1}{\overset{2^n}{}}f(i_k).$$

For any $`q`$-invariant, we will always assume without mention that it is extended to the whole of $`I`$ as in Definition 1.3.

The following relation clearly holds:

###### Proposition 1.4.

Let $`f`$ be a $`q`$-invariant. Let $`iI_n`$, $`n1`$, and let $`p^3`$ be one of its $`n`$ quadruple points. Then: $`f(i)=f(i_1)+f(i_2)`$ where $`i_1,i_2I_{n1}`$ are the two immersions that may be obtained by slightly deforming $`i`$ in a small neighborhood of $`p`$.

(Or equivalently, since we are in $`/2`$, $`f(i_2)=f(i_1)+f(i)`$.)

###### Definition 1.5.

A $`q`$-invariant $`f`$ will be called “of finite order” if $`f|_{I_n}0`$ for some $`n`$.

The “order” of a finite order $`q`$-invariant $`f`$ is defined as the minimal $`n`$ such that $`f|_{I_{n+1}}0`$.

(Compare our Definitions 1.3 and 1.5 with 2.2 of \[O\].)

An example of a $`q`$-invariant of order 1 is the invariant $`Q`$ which is defined by the property that if $`H_t:F^3`$ ($`0t1`$) is a generic regular homotopy in which $`m`$ quadruple points occur, then $`Q(H_1)=Q(H_0)+mmod2`$. In other words $`Q`$ is defined by the property that $`Q|_{I_1}1`$. It was proved in \[N\] that $`Q`$ indeed exists for any surface $`F`$.

There are $`M=2^{2\chi (F)}`$ regular homotopy classes (i.e. connected components) in $`Imm(F,^3)`$. Given a regular homotopy class $`AImm(F,^3)`$, we may repeat all our definitions with $`A`$ in place of $`Imm(F,^3)`$. Let then $`V_n(A)`$ (respectively $`V_n`$) denote the space of all $`q`$-invariants on $`A`$ (respectively $`Imm(F,^3)`$) of order $`n`$. $`V_n(A)`$ and $`V_n`$ are vector spaces over $`/2`$, and $`V_n=_{\alpha =1}^MV_n(A_\alpha )`$ where $`A_1,\mathrm{},A_M`$ are the regular homotopy classes in $`Imm(F,^3)`$. More precisely, a function $`f:I_0/2`$ is a $`q`$-invariant of order $`n`$ iff for every $`1\alpha M`$, $`f|_{I_0A_\alpha }`$ is a $`q`$-invariant of order $`n`$. And so studying $`q`$-invariants on $`Imm(F,^3)`$ is the same as studying $`q`$-invariants on the various regular homotopy classes.

The purpose of this work is to prove the following:

###### Theorem 1.6.

If $`F`$ is orientable then $`dim(V_n(A)/V_{n1}(A))1`$ for any $`A`$ and $`n`$.

By \[N\] $`dim(V_1(A)/V_0(A))1`$ for any $`A`$ (for all surfaces, not necessarily orientable) and so we get:

###### Corollary 1.7.

If $`F`$ is orientable then $`dim(V_1(A)/V_0(A))=1`$ for any $`A`$.

Since as mentioned, $`V_n=_{\alpha =1}^MV_n(A_\alpha )`$, we get:

###### Corollary 1.8.

If $`F`$ is orientable of genus $`g`$ then $`dim(V_n/V_{n1})2^{2g}`$ for every $`n`$, and $`dim(V_1/V_0)=2^{2g}`$.

## 2. General $`q`$-Invariants

The results in this section will not assume that the $`q`$-invariant $`f`$ is of finite order.

###### Theorem 2.1 (The 10 Term Relation).

Let $`i:F^3`$ be any immersion whose non-stable self intersection consists of one generic quintuple point, and some finite number of generic quadruple points. Let the quintuple point be located at $`p^3`$ and let $`S_1,\mathrm{},S_5`$ be the five sheets passing through $`p`$. Let $`i_k^1`$ and $`i_k^2`$ ($`k=1,\mathrm{},5`$) be the two immersions obtained from $`i`$ by slightly pushing $`S_k`$ away from $`p`$ to either side. Then for any $`q`$-invariant $`f`$:

$$\underset{k=1}{\overset{5}{}}\underset{l=1}{\overset{2}{}}f(i_k^l)=0.$$

###### Proof.

Starting with $`i`$, take $`S_1`$ and push it slightly to one side. Then take $`S_2`$ and push it away on a much smaller scale. What we now have is an immersion $`j`$ where sheets $`S_2,\mathrm{},S_5`$ create a little tetrahedron, and $`S_1`$ passes outside this tetrahedron. We define the following regular homotopy $`H_t:F^3`$ beginning and ending with $`j`$, we describe it in four steps: (a) $`S_1`$ sweeps to the other side of the tetrahedron. In this step four quadruple points occur. (b) $`S_2`$ sweeps across the triple point of sheets $`S_3,S_4,S_5`$. This results in the vanishing of the tetrahedron and its inside-out reappearance. One quadruple point occurs here. (c) $`S_1`$ sweeps back to its place. Four more quadruple points occur. (d) $`S_2`$ sweeps back to its place. One more quadruple point occurs.

All together we have ten quadruple points, and say the $`m`$th quadruple point occurs at time $`t_m`$. It is easy to verify that the ten immersions $`H_{t_1},\mathrm{},H_{t_{10}}`$ are precisely (equivalent to) the ten immersions $`i_k^l`$ ($`l=1,2`$ , $`k=1,\mathrm{},5`$.) Also, $`f(H_{t_m})=f(H_{t_mϵ})+f(H_{t_m+ϵ})`$ and so:

$$\underset{kl}{}f(i_k^l)=\underset{m=1}{\overset{10}{}}f(H_{t_m})=\underset{m=1}{\overset{10}{}}(f(H_{t_mϵ})+f(H_{t_m+ϵ})).$$

But $`f(H_{t_m+ϵ})=f(H_{t_{m+1}ϵ})`$ (where $`m+1`$ means $`(m+1)mod10`$) and so this sum is 0.

###### Proposition 2.2.

Let $`B(1)^3`$ be the unit ball. Let $`D_1(1),\mathrm{},D_4(1)F`$ be four disjoint discs which will each be parameterized as the unit disc, and let $`D(1)=_{k=1}^4D_k(1)`$. Let $`iI`$ and assume $`i^1(B(1))=D(1)`$ and $`i|_{D(1)}`$ maps each $`D_k(1)`$ linearly onto some $`L_kB(1)`$ where $`L_k`$ is a plane through the origin, and $`L_1,\mathrm{},L_4`$ are in general position. Let $`i^{}:D(1)B(1)`$ be an immersion of the same sort as $`i|_{D(1)}`$ but with planes $`L_{}^{}{}_{1}{}^{},\mathrm{},L_{}^{}{}_{4}{}^{}`$.

For $`0r1`$ let $`B(r)B(1)`$ and $`D_k(r)D_k(1)`$ be the ball and discs of radius $`r`$ and let $`D(r)=_{k=1}^4D_k(r)`$.

Then: There exists an immersion $`j:F^3`$ satisfying:

1. $`j`$ is regularly homotopic to $`i`$ via a regular homotopy that fixes $`FD(1)`$.
2. $`j^1(B(\frac{1}{2}))=D(\frac{1}{2})`$
3. $`j|_{D(\frac{1}{2})}=i^{}|_{D(\frac{1}{2})}`$
4. $`f(j)=f(i)`$ for any $`q`$-invariant $`f`$.

###### Proof.

Slightly perturb $`i`$ if necessary so that the eight planes $`L_k,L_{}^{}{}_{k}{}^{}`$ will all be in general position. We define a regular homotopy $`H_t`$ from $`i`$ to an immersion $`\stackrel{~}{i}`$ as follows: Say $`a`$ is the point in $`D_1(1)`$ which is mapped to the origin. Keeping $`a`$ and $`FD_1(1)`$ fixed, we isotope $`D_1(1)`$ within $`B(1)`$ to get $`\stackrel{~}{i}`$ with $`\stackrel{~}{i}^1(B(\frac{7}{8}))=D(\frac{7}{8})`$ and $`\stackrel{~}{i}|_{D_1(\frac{7}{8})}=i^{}|_{D_1(\frac{7}{8})}`$.

Let $`i^1,i^2`$ be the two immersions obtained from $`i`$ by slightly pushing $`D_1(1)`$ off of the origin, and let $`\stackrel{~}{i}^1,\stackrel{~}{i}^2`$ be the corresponding slight deformations of $`\stackrel{~}{i}`$. $`H_t`$ induces regular homotopies $`H_t^l`$ ($`l=1,2`$) from $`i^l`$ to $`\stackrel{~}{i}^l`$, and such that $`H_t^l|_{D_1(1)}`$ avoids the origin.

Now, the only triple point of $`\{L_2,L_3,L_4\}`$ is the origin, and $`H_t^l|_{D_1(1)}`$ is an isotopy which avoids the origin, and so $`H_t^l`$ will have no quadruple point, and so $`f(i^l)=f(\stackrel{~}{i}^l)`$ ($`l=1,2`$). And so (By Proposition 1.4) $`f(i)=f(i^1)+f(i^2)=f(\stackrel{~}{i}^1)+f(\stackrel{~}{i}^2)=f(\stackrel{~}{i})`$.

We now repeat this process in the ball $`B(\frac{7}{8})`$ and with $`D_2(\frac{7}{8})`$, obtaining an immersion $`\stackrel{~}{\stackrel{~}{i}}`$ with $`\stackrel{~}{\stackrel{~}{i}}|_{D_1(\frac{6}{8})D_2(\frac{6}{8})}=i^{}|_{D_1(\frac{6}{8})D_2(\frac{6}{8})}`$. After four iterations we get the desired $`j`$.

## 3. $`q`$-Invariants of Order $`n`$

We now prove the following theorem, which clearly implies Theorem 1.6 (our main theorem):

###### Theorem 3.1.

Assume $`F`$ is orientable and let $`f`$ be a $`q`$-invariant of order $`n`$.

Then for any regular homotopy class $`AImm(F,^3)`$, $`f`$ is constant on $`I_nA`$.

###### Proof.

Let $`iI`$ and $`p^3`$ a quadruple point of $`i`$. A ball $`B^3`$ centered at $`p`$ as in Proposition 2.2, i.e. such that $`i^1(B)`$ is a union of four disjoint discs intersecting in $`B`$ as four planes, will be called “a good neighborhood for $`i`$ at $`p`$.”

For $`iI_n`$ let $`p_1,\mathrm{},p_n^3`$ be the $`n`$ quadruple points of $`i`$ in some order, and let $`B_1,\mathrm{},B_n`$ be disjoint good neighborhoods for $`i`$ at $`p_1,\mathrm{},p_n`$. We define $`\pi _k(i):FB_k`$ as follows: Push each one of the four discs in $`B_k`$ slightly away from $`p_k`$ into the preferred side determined by the orientation of $`F`$. We now have a map that avoids $`p_k`$. Define $`\pi _k(i)`$ as the composition of this map with the radial projection $`^3\{p_k\}B_k`$.

Let $`d_k(i)`$ denote the degree of the map $`\pi _k(i)`$.

Let the symmetric group $`S_n`$ act on $`^n`$ by $`\sigma (a_1,\mathrm{},a_n)=(a_{\sigma (1)},\mathrm{},a_{\sigma (n)})`$, and let $`\stackrel{~}{^n}=^n/S_n`$. Let the class of $`(a_1,\mathrm{},a_n)`$ in $`\stackrel{~}{^n}`$ be denoted by $`[a_1,\mathrm{},a_n]`$. For $`iI_n`$ we define $`d(i)\stackrel{~}{^n}`$ by $`d(i)=[d_1(i),\mathrm{},d_n(i)]`$.

We break our proof into two steps. *Step 1:* If $`i,jI_nA`$ and $`d(i)=d(j)`$ then $`f(i)=f(j)`$. *Step 2:* For any $`(a_1,\mathrm{},a_n)^n`$, there are immersions $`i,jI_nA`$ with $`d(i)=[a_1,a_2,\mathrm{},a_n]`$, $`d(j)=[a_1+1,a_2,\mathrm{},a_n]`$ and $`f(i)=f(j)`$. The theorem clearly follows from these two claims.

*Proof of Step 1:* By composing $`i`$ with an isotopy $`U_t:^3^3`$ we may assume that $`p_1,\mathrm{},p_n^3`$ are the quadruple points of both $`i`$ and $`j`$ and that $`d_k(i)=d_k(j)`$ for each $`1kn`$. Let $`B_1,\mathrm{},B_n`$ be disjoint good neighborhoods for both $`i`$ and $`j`$ at $`p_1,\mathrm{},p_n`$. By composing $`i`$ with an isotopy $`V_t:FF`$ we may further assume that $`i^1(B_k)=j^1(B_k)`$ for every $`k`$. We name the four discs in $`F`$ corresponding to $`p_k`$ by $`D^{kl}`$, $`l=1,\mathrm{},4`$.

Using Proposition 2.2 we may now change $`i`$ such that (for smaller $`B_k`$’s) we will have $`i|_{D^{kl}}=j|_{D^{kl}}`$ for all $`1kn`$ , $`1l4`$. The process of Proposition 2.2 indeed does not change $`d_k(i)`$, since the slightly pushed discs appearing in the definition of $`\pi _k(i)`$ can follow the regular homotopy of Proposition 2.2 and this will induce a homotopy between the corresponding $`\pi _k(i)`$’s.

So we may assume $`i|_{D^{kl}}=j|_{D^{kl}}`$ for all $`1kn`$ , $`1l4`$. We will now show that there exists a regular homotopy from $`i`$ to $`j`$ such that each $`D^{kl}`$ moves only within its image in $`^3`$, and $`F_{kl}D^{kl}`$ moves only within $`^3_kB_k`$. We will then be done since such a regular homotopy cannot change $`f(i)`$. Indeed, no sheet will pass $`p_1,\mathrm{},p_n`$ and so the only singularities that might be relevant are the quadruple points occurring in $`^3_kB_k`$. But whenever such a quadruple point occurs, then we will have $`n+1`$ quadruple points all together, and so since $`f`$ is of order $`n`$, $`f(i)`$ will not change. (Proposition 1.4.)

To show the existence of the above regular homotopy, we construct the following handle decomposition of $`F`$. Our discs $`D^{kl}`$, ($`1kn`$ , $`1l4`$) will be the 0-handles. If $`g`$ is the genus of $`F`$ we will have $`2g+4n1`$ 1-handles as follows: $`2g`$ 1-handles will have both ends glued to $`D^{11}`$ such that $`D^{11}`$ with these $`2g`$ handles will decompose $`F`$ in the standard way. Then choose an ordering of the discs $`D^{kl}`$ with $`D^{11}`$ first, and connect each two consecutive discs with a 1-handle. The complement of the 0- and 1-handles is one disc which will be the unique 2-handle.

We first define our regular homotopy on the union of 0- and 1- handles. Take a 1-handle $`h`$ of the first type. Since $`i`$ and $`j`$ are regularly homotopic, their restrictions to the annulus $`D^{11}h`$ are also regularly homotopic. We can construct such a regular homotopy of $`D^{11}h`$ fixing $`D^{11}`$ and avoiding $`_kB_k`$.

Next consider the 1-handles of the second type. Take the 1-handle $`h`$ connecting $`D^{11}`$ to the second disc in our ordering, call it $`D^{}`$. Then if $`i|_h`$ and $`j|_h`$ are not regularly homotopic relative the gluing of $`h`$ to $`D^{11}D^{}`$, then we perform one full rotation of $`D^{}`$, as to make them regularly homotopic. (This will require a motion of the next 1-handle too.) Again we perform all regular homotopies while avoiding $`_kB_k`$. We can now go along the chain of 1-handles of the second type, and regularly homotope them one by one as we did the first one. At each step we might need to move the next 0-handle and 1-handle, but we never need to change what we have already done.

So far we have constructed the desired regular homotopy on the union of 0- and 1-handles. By \[S\] this regular homotopy may be extended to the whole of $`F`$ (still avoiding $`_kB_k`$.) And so, if we denote our 2-handle by $`D`$, we are left with regularly homotoping $`i|_D`$ to $`j|_D`$ (relative $`D`$.) Since $`d_k(i)=d_k(j)`$ for all $`k`$, these maps are homotopic in $`^3_kB_k`$. By \[S\] they are also regularly homotopic in $`^3_kB_k`$, since the obstruction to that would lie in $`\pi _2(SO_3)=0`$.

*Proof of Step 2:* Take any immersion $`i^{}I_nA`$ with $`d(i^{})=[a_1,\mathrm{},a_n]`$ and let $`p_1,\mathrm{},p_n^3`$ be the quadruple points of $`i^{}`$, ordered such that $`d_k(i^{})=a_k`$, $`1kn`$. (Clearly any $`[a_1,\mathrm{},a_n]\stackrel{~}{^n}`$ may be realized within any regular homotopy class.) Take a disc in $`F`$ which is away from the $`p_k`$’s and start pushing it (i.e. regularly homotoping it) into its preferred side directing it towards $`p_1`$. Avoid any of the $`p_k`$’s on the way, and so the immersion $`i`$ we will get just before arriving at $`p_1`$, will still have $`d_k(i)=a_k`$ for all $`k`$. We then pass $`p_1`$ creating a quintuple point, and continue to the other side arriving at an immersion $`j`$ which is again in $`I_n`$. Clearly $`d_1(j)=a_1+1`$ and $`d_k(j)=a_k`$ for $`k2`$. We will now use Step 1 and the 10 term relation (Theorem 2.1) to show that $`f(i)=f(j)`$. Indeed, let us name the five sheets of our quintuple point by $`S_1,\mathrm{},S_5`$ where $`S_1`$ is the sheet coming from the disc that we pushed into $`p_1`$. Let $`i_m^1`$ ($`m=1,\mathrm{},5`$) denote the immersion obtained by pushing $`S_m`$ into its non-preferred side, and $`i_m^2`$ the immersion obtained by pushing $`S_m`$ into its preferred side. Then $`i=i_1^1`$ and $`j=i_1^2`$. Recall that $`\pi _1(i_m^l)`$ is constructed by pushing all four sheets involved in the quadruple point at $`p_1`$ into their preferred side. And so for each $`1m5`$, $`\pi _1(i_m^1)`$ has one sheet pushed into the non-preferred side and four sheets into the preferred side, and so $`d_1(i_m^1)`$ are all equal to each other. And, for each $`1m5`$, $`\pi _1(i_m^2)`$ has all five sheets pushed into the preferred side and so also $`d_1(i_m^2)`$ are all equal to each other. Clearly all this has no effect on $`d_k`$ for $`k2`$, and so we have $`d(i_m^1)=d(i)`$ and $`d(i_m^2)=d(j)`$ for all $`1m5`$. And so by step 1, $`f(i_m^1)=f(i)`$ and $`f(i_m^2)=f(j)`$ for all $`1m5`$. And so by the 10 term relation, $`0=_{ml}f(i_m^l)=5f(i)+5f(j)=f(i)+f(j)`$ i.e. $`f(i)=f(j)`$.