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Waist inequality for 3-manifolds
with positive scalar curvature

Yevgeny Liokumovich  and  Davi Maximo
Abstract.

We construct singular foliations of compact three-manifolds (M3,h)(M^{3},h) with scalar curvature RhΛ0>0R_{h}\geq\Lambda_{0}>0 by surfaces of controlled area, diameter and genus. This extends Urysohn and waist inequalities of Gromov-Lawson and Marques-Neves.

1. Introduction

Let (M3,h)(M^{3},h) be a compact three-manifold with positive scalar curvature RhΛ0>0R_{h}\geq\Lambda_{0}>0. We will show that MM admits a singular foliation by surfaces of controlled size.

Theorem 1.1.

There exists a Morse function f:Mf:M\rightarrow\mathbb{R}, such that for every xx\in\mathbb{R} and each connected component Σ\Sigma of f1(x)f^{-1}(x) we have

  • (a)

    Area(Σ)112πΛ0\operatorname{Area}(\operatorname{\Sigma})\leq\frac{112\pi}{\Lambda_{0}} if MM is non-orientable and Area(Σ)96πΛ0\operatorname{Area}(\operatorname{\Sigma})\leq\frac{96\pi}{\Lambda_{0}} if MM is orientable;

  • (b)

    diam(Σ)2326πΛ0\operatorname{diam}(\operatorname{\Sigma})\leq\sqrt{\frac{2}{3}}\frac{26\pi}{\sqrt{\Lambda_{0}}};

  • (c)

    genus(Σ)2\operatorname{genus}(\Sigma)\leq 2.

Additionally, if MM is homeomorphic to S3S^{3} or connected sum of S1×S2S^{1}\times S^{2}’s then we can assume genus(Σ)=0\operatorname{genus}(\Sigma)=0.

For the area and genus only we obtain nearly sharp bounds in Theorem 1.3. The diameter diam(Σ)\operatorname{diam}(\operatorname{\Sigma}) is the extrinsic diameter of Σ\operatorname{\Sigma}:

diam(Σ)=sup{distM(x,y)|x,yΣ}\operatorname{diam}(\operatorname{\Sigma})=\sup\{dist_{M}(x,y)|x,y\in\operatorname{\Sigma}\}

We expect that a similar result should hold for foliations with controlled intrinsic diameter.

Existence of a map into a graph with the diameter of fibers bounded by constΛ0\frac{const}{\sqrt{\Lambda_{0}}} was proved in [GL83, Corollary 10.11] and [Gro20b] (see also [CL20b]). For manifolds with Ricg>0Ric_{g}>0 and scalar curvature Rg>2R_{g}>2 Marques and Neves proved a sharp bound on the area of maximal fiber in an optimal Morse foliation of M3M^{3} [MN12]. In [Gro18] Gromov suggested that by combining methods of [GL83] and [MN12] it should be possible to obtain a foliation with control on diameter and area of connected components of the fibers. We show that this is indeed the case.

Note that it is not possible to obtain a version of Theorem 1.1 with area or diameter of the connected component of f1(t)f^{-1}(t) replaced by area or diameter of the whole fiber f1(t)f^{-1}(t). Indeed, one can construct manifolds that are hard to cut by considering Gromov-Lawson connect sums of 33-spheres corresponding to large trees or expander graphs (see [Mon15], [PS19]).

Combining Theorem 1.1 with arguments from [LZ16] we obtain a foliation of MM by 1-cycles of controlled length.

Theorem 1.2.

Let (M3,g)(M^{3},g) be a closed three-manifold with positive scalar curvature RgΛ0>0R_{g}\geq\Lambda_{0}>0. There exists a map f:M2f:M\rightarrow\mathbb{R}^{2}, such that

length(f1(x))4000Λ0\text{\rm length}(f^{-1}(x))\leq\frac{4000}{\sqrt{\Lambda_{0}}}

for all x2x\in\mathbb{R}^{2}.

By applying the min-max arguments (see [Pit76], [NR04]) to the family of curves constructed in the proof of Theorem 1.2 we obtain that MM contains a stationary geodesic net of length bounded by 4000Λ0\frac{4000}{\sqrt{\Lambda_{0}}} .

If we do not require that fibers have controlled diameter, then we can get the following better bounds for the genus and the area using estimate of Marques and Neves for the area of index 11 minimal surface [MN12] (cases (a) and (b) were observed in [Gro20a, 3.13B]).

Theorem 1.3.

Suppose (M,h)(M,h) has positive scalar curvature RhΛ0>0R_{h}\geq\Lambda_{0}>0. For every ε>0\varepsilon>0 the following holds.

  • (a)

    If MM is homeomorphic to S3S^{3} then there exists a Morse function f:Mf:M\rightarrow\mathbb{R}, such that every non-singular fiber f1(t)f^{-1}(t) is a union of 2-spheres of area at most 24πΛ0+ε\frac{24\pi}{\Lambda_{0}}+\varepsilon.

  • (b)

    If MM is homeomorphic to S2×S1S^{2}\times S^{1}, then there exists a Morse function f:MS1f:M\rightarrow S^{1}, such that every non-singular fiber f1(t)f^{-1}(t) is a union of 2-spheres of area at most 24πΛ0+ε\frac{24\pi}{\Lambda_{0}}+\varepsilon.

  • (c)

    More generally, there exists a graph GG and a continuous map f:MGf:M\rightarrow G, such that every fiber f1(t)f^{-1}(t) has genus 2\leq 2 and area 32πΛ0+ε\leq\frac{32\pi}{\Lambda_{0}}+\varepsilon.

Our paper is organized as follows. In section 2, we use the min-max existence theory of minimal surfaces to decompose any closed three-manifold with positive scalar curvature into regions whose boundary components are minimal surfaces of controlled area, diameter and with genus bounded by the Heegaard genus of the prime factors of MM, or, for non-oreitnable prime factors, minimal projective planes. In section 3, we recall some facts about mean curvature flow with surgeries and use them to propagate area bounds from the boundary of such region to a foliation parametrized by a graph. In the same section we prove Theorems 1.3 and 1.2. Finally, in Section 4, we show how to modify such foliation by a cut-and-paste procedure so that we may guarantee, simultaneously, controlled area, genus, and diameter; and show how the main result follows from this.

Acknowledgements We would like to thank the Institute of Advanced Study and Fernando C. Marques for organizing the 2018-2019 Special Year on Variational Methods in Geometry, during which our collaboration started. We are grateful to Misha Gromov for suggesting Theorem 1.3 to us and numerous other valuable suggestions. We are grateful to Robert Haslhofer for useful conversations. We want to thank Zhichao Wang for pointing out mistakes in an earlier version of this paper and for multiple valuable comments. Y.L. was supported by NSERC Discovery grant and NSERC Accelerator Award. D.M. was supported by NSF grant DMS-1737006, DMS-1910496, and a Sloan Fellowship.

2. Minimal surfaces and decomposition of 3-manifolds

2.1. Area and diameter estimates.

We summarize known area and diameter bounds for two-sided minimal surfaces on manifolds of uniformly positive scalar curvature RgΛ0R_{g}\geq\Lambda_{0}.

Theorem 2.1 (Area Estimates).

Let (M3,g)(M^{3},g) be a manifold with scalar curvature RgΛ0>0R_{g}\geq\Lambda_{0}>0 and suppose ΣM\Sigma\subset M is a closed two-sided minimal surface.

  • (a)

    Suppose Σ\Sigma is stable. Then ΣS2\Sigma\cong S^{2} and Area(Σ)8πΛ0\operatorname{Area}(\Sigma)\leq\frac{8\pi}{\Lambda_{0}} or Σ2\Sigma\cong\mathbb{RP}^{2} and Area(Σ)4πΛ0\operatorname{Area}(\Sigma)\leq\frac{4\pi}{\Lambda_{0}}.

  • (b)

    If Σ\Sigma is orientable and has index 1, then |Σ|32πΛ0|\Sigma|\leq\frac{32\pi}{\Lambda_{0}}.

  • (c)

    If Σ\Sigma is a minimal 2-sphere of index 1, then |Σ|24πΛ0|\Sigma|\leq\frac{24\pi}{\Lambda_{0}}.

  • (d)

    If Σ2\Sigma\cong\mathbb{RP}^{2} and has index 11, then |Σ|28πΛ0|\Sigma|\leq\frac{28\pi}{\Lambda_{0}}.

Proof.

For (a)-(c), see [MN12, Proposition A.1]. For (d), consider Gauss’ equation:

Rc(ν,ν)=R2K|A|22.\textrm{Rc}(\nu,\nu)=\frac{R}{2}-K-\frac{|A|^{2}}{2}.

So that:

Λ2|Σ|\displaystyle\frac{\Lambda}{2}|\Sigma| ΣR2=ΣRc(ν,ν)+|A|22+K\displaystyle\leq\int_{\Sigma}\frac{R}{2}=\int_{\Sigma}\textrm{Rc}(\nu,\nu)+\frac{|A|^{2}}{2}+K
ΣK+ΣRc(ν,ν)+|A|2\displaystyle\leq\int_{\Sigma}K+\int_{\Sigma}\textrm{Rc}(\nu,\nu)+{|A|}^{2}
=2πχ(2)+ΣRc(ν,ν)+|A|2.\displaystyle=2\pi\chi(\mathbb{RP}^{2})+\int_{\Sigma}\textrm{Rc}(\nu,\nu)+{|A|}^{2}.

By Yau [Yau87], since Σ\Sigma is two-sided and has index 1:

2Vc(n,Σ)=2infFsupg|gF(Σ)|ΣRc(ν,ν)+|A|2,\displaystyle 2V_{c}(n,\Sigma)=2\inf_{F}\sup_{g}|g\circ F(\Sigma)|\geq\int_{\Sigma}\textrm{Rc}(\nu,\nu)+{|A|}^{2},

where FF is conformal map from Σ\Sigma to nn-sphere SnS^{n} and gg is a conformal automorphism of SnS^{n}.

Finally, by Li-Yau [LY82]: infnVc(n,Σ)=Vc(2)=6π\inf_{n}V_{c}(n,\Sigma)=V_{c}(\mathbb{RP}^{2})=6\pi. Thus:

|Σ|28πΛ.\displaystyle|\Sigma|\leq\frac{28\pi}{\Lambda}.

We will also need a free boundary version of this estimate that can be found in Ambrozio [Amb15].

Theorem 2.2.

Let (M3,g)(M^{3},g) be a manifold with boundary and scalar curvature RgΛ0>0R_{g}\geq\Lambda_{0}>0. Suppose DD is a properly embedded free boundary stable minimal disk whose boundary lies on a mean convex boundary component of M\partial M. Then, Area(D)4πΛ0\operatorname{Area}(D)\leq\frac{4\pi}{\sqrt{\Lambda_{0}}}.

The following estimate follows from [SY83], [GL83, Theorem 10.2], [Gro20b].

Theorem 2.3 (Inradius Estimate).

Let (M3,g)(M^{3},g) be a manifold with scalar curvature RgΛ0>0R_{g}\geq\Lambda_{0}>0 and suppose Σ\Sigma is a two-sided embedded stable minimal surface of MM with boundary Σ\partial\Sigma. Then for all xΣx\in\Sigma the intrinsic distance of Σ\Sigma, dΣd_{\Sigma}, satisfies:

dΣ(x,Σ)232πΛ0d_{\Sigma}(x,\partial\Sigma)\leq\sqrt{\frac{2}{3}}\dfrac{2\pi}{\sqrt{\Lambda_{0}}}
Corollary 2.4 (Diameter Estimate).

Let (M3,g)(M^{3},g) be a manifold with scalar curvature RgΛ0>0R_{g}\geq\Lambda_{0}>0. Suppose Σ\Sigma is a closed embedded two-sided minimal surface on MM.

  • (a)

    If Σ\Sigma is stable, then diamΣ232πΛ0\rm{diam}_{\Sigma}\leq\sqrt{\frac{2}{3}}\frac{2\pi}{\sqrt{\Lambda_{0}}}.

  • (b)

    If Σ\Sigma has index 1, then diamΣ234πΛ0\rm{diam}_{\Sigma}\leq\sqrt{\frac{2}{3}}\frac{4\pi}{\sqrt{\Lambda_{0}}}.

Proof.

Part (a)(a) follows directly from the diameter estimate in (2.3).

Part (b)(b) also follows from (2.3), as in [LZ16, Proposition 2.2]. Indeed, we can pick two points pp and qq at a distance diam(Σ)\operatorname{diam}(\Sigma) and consider a geodesic ball Br(p)B_{r}(p) with r=diam(Σ)2r=\frac{\operatorname{diam}(\Sigma)}{2}. Since Σ\Sigma has index 11 either the connected component of ΣBr(p)\Sigma\setminus\partial B_{r}(p) that contains pp or the connected component that contains qq must be stable. Then the result follows from the estimate for the filling radius. ∎

2.2. Decomposition of 3-manifolds

Throughout this section, suppose M3M^{3} is a closed three-manifold and hh metric on MM of positive scalar curvature RhΛ0>0R_{h}\geq\Lambda_{0}>0. To prove Theorem 1.1, note that we may restrict ourselves to the case when the metric hh is bumpy [Whi17].

We start by cutting M3M^{3} along disjoint closed embedded minimal surfaces to obtain the following decomposition result.

Definition 2.5.

A 3-manifold NN with non-empty boundary is geometrically prime if

  1. (1)

    NN is diffeomorphic to a handlebody with some 3-balls removed;

  2. (2)

    there are no closed embedded minimal surfaces in the interior of NN;

  3. (3)

    there exists a closed connected component Σ\Sigma (that we’ll call “large”) of N\partial N that is either mean convex or minimal of Morse index 11;

  4. (4)

    NΣ\partial N\setminus\Sigma is either empty or a disjoint union of stable minimal 2-spheres.

We will also need to define a non-orientable version of a geometrically prime region.

Definition 2.6.

A 3-manifold NN with non-empty boundary is non-orientable geometrically prime if

  1. (1)

    NN is diffeomorphic to 2×[0,1]\mathbb{RP}^{2}\times[0,1] with some 3-balls removed;

  2. (2)

    there are no closed embedded minimal surfaces in the interior of NN;

  3. (3)

    there exists a closed connected component Σ2\Sigma\cong\mathbb{RP}^{2} (that we’ll call “large”) of N\partial N that is either mean convex or minimal of Morse index 11;

  4. (4)

    NΣ\partial N\setminus\Sigma is a disjoint union of one stable minimal projective plane and stable minimal 2-spheres.

Theorem 2.7 (Decomposition Theorem).

Let M3M^{3} be a closed three-manifold with a bumpy metric hh of scalar curvature Scal(h)Λ>0Scal(h)\geq\Lambda>0. Then, there exist closed embedded disjoint minimal surfaces S1,S2,,SnS_{1},S_{2},\ldots,S_{n} on MM such that:

  • (a)

    genus(Si)2genus(S_{i})\leq 2;

  • (b)

    MSiM\setminus\bigcup S_{i} is a disjoint union of geometrically prime and non-orientable geometrically prime regions.

Proof.

Since the scalar curvature is positive the only orientable two-sided stable minimal surfaces in MM are 2-spheres. Let S11,,Sk11S_{1}^{1},\ldots,S_{k_{1}}^{1} be a maximal collection of pairwise disjoint two-sided stable minimal 2-spheres and projective planes. Since the metric is bumpy the set of such spheres and projective planes is finite (possibly empty).

Each connected component KlK_{l} of Mi=1k1Si1M\setminus\bigcup_{i=1}^{k_{1}}S_{i}^{1} is irreducible, since otherwise we could find a stable minimal sphere in its interior by [MSY82].

First consider orientable components KlK_{l}. By classification of 3-manifolds of positive scalar curvature it follows that each orientable component KlK_{l} is a spherical space form with possibly some balls removed (all the boundary components are stable minimal 2-spheres).

If Kl3K_{l}\cong\mathbb{RP}^{3} with some balls removed, then by [KLS19, Theorem 17] either there is an index 11 minimal Heegaard torus, or there is a stable minimal 2\mathbb{RP}^{2} with stable double cover (note that although [KLS19, Theorem 17] is stated for closed manifolds the proof applies to the case of a manifold with boundary consisting of stable minimal spheres). In the second case we cut KlK_{l} along the minimal stable Sl22S^{2}_{l}\cong\mathbb{RP}^{2} to obtain a 3-sphere with some balls removed and such that all boundary components are stable. Applying min-max argument we obtain an index 11 2-sphere Sl3S^{3}_{l} in the interior of KlSl2K_{l}\setminus S^{2}_{l}.

It follows from Thurston’s Elliptization Conjecture proved by Perelman that every orientable irreducible 3-manifold of positive scalar curvature is a Seifert fiber space with at most 33 exceptional fibers and therefore admits a Heegaard splitting of genus less than or equal to 22 (see [Mor88], [BCZ91]).

Suppose Kl≇3K_{l}\not\cong\mathbb{RP}^{3} is homeomorphic to a spherical space form with some balls removed. We have that the Heegaard genus gKlg_{K_{l}} of KlK_{l} satisfies gKl2g_{K_{l}}\leq 2. By [KLS19, Theorem 17] there exists a minimal surface Sl3KlS^{3}_{l}\subset K_{l} of Morse index 1 that is isotopic to the Heegaard splitting of KlK_{l}.

Now consider non-orientable components. If KlK_{l} is not orientable then it must be homeomorphic to 2×S1\mathbb{RP}^{2}\times S^{1} with some balls removed by [Eps61, Theorem 5.1]. In this case we cut along a maximal collection of disjoint stable and index 1 projective planes and 2-spheres to obtain a collection Kl,jK_{l,j} each homeomorphic to 2×[0,1]\mathbb{RP}^{2}\times[0,1] with some balls removed or S3S^{3} with some balls removed. If Kl,jK_{l,j} is homeomorphic to S3S^{3} with some balls removed, then it is geometrically prime. We claim that if Kl,jK_{l,j} is homeomorphic to 2×[0,1]\mathbb{RP}^{2}\times[0,1] with some balls removed then it is non-orientable geometrically prime. Indeed, if it has an index 11 two-sphere as one of the boundary components, then we can minimize in the isotopy class ([MSY82]) to obtain a stable minimal 2-sphere in the interior. Similarly, if it has two or more index 1 projective planes as boundary components, then we can obtain a stable minimal projective plane in the interior. If all boundary components are stable then by the min-max construction of [KLS19] there exists an index 11 minimal 2\mathbb{RP}^{2} in the interior of Kl,jK_{l,j}. This contradicts maximality of the collection of minimal spheres and projective planes.

Hence, each connected component KK has exactly one boundary component SKS\subset\partial K that is a minimal surface of index 11. We claim that KK now has no minimal surfaces in its interior. Consider a mean convex surface Σ\Sigma obtained by small perturbation of SS to the inside of KK. Then the level set flow applied to Σ\Sigma will either become extinct in finite time or will converge to a disjoint collection of finitely many stable minimal surfaces as tt\rightarrow\infty by the result of White [Whi00]. Since KK is homeomorphic to a handle body or 2×[0,1]\mathbb{RP}^{2}\times[0,1] with some balls removed and we already cut the manifold along a maximal collection of disjoint stable minimal spheres and projective planes we have that the flow converges to KS\partial K\setminus S. By the Maximum Principle [Ilm92] KK has no smooth embedded minimal surfaces in its interior. ∎

In our proof, geometrically prime regions will be decomposed further along stable minimal disks with free boundary along the large components. The following Proposition follows from classical results of Meeks and Yau [MY80, MY82]:

Proposition 2.8.

Suppose NN is a geometrically prime region with large component Σ\Sigma which is mean convex and has genus at least 1. Let γΣ\gamma\subset\Sigma be a non-contractible simple closed curve. Then, there exists a properly embedded free boundary stable minimal disk DD with DΣ\partial D\subset\Sigma homotopic to γ\gamma.

3. Mean curvature flow and tree foliations

The foliation in Theorem 1.1 is constructed using Mean Curvature Flow with surgery with certain modifications to control the diameter. In this section we describe how to construct the foliation of a geometrically prime or non-orientable geometrically prime region with controlled genus and area. In the next section we modify this foliation, so that the diameter is also controlled.

3.1. Mean Curvature Flow with surgery.

We start with an overview of results from the literature. We will adopt the terminology of Haslhofer-Kleiner [HK17] developed for domains of Euclidean space, which was later adapted to mean-convex domains of general three-manifolds by Haslhofer-Ketover [HK19]. Another relevant reference is Brendle-Huisken [BH18].

We recall several definitions and the main results form [HK17, HK19] that we will use. The first important definition is of a smooth α\alpha-Andrews flow, for any α>0\alpha>0. These consist, basically, of smooth families of mean convex domains KtK_{t}, tIt\in I\subset\mathbb{R}, with boundaries Kt\partial K_{t} moving by mean curvature flow and with the property that infKtH4αinj(M)\inf_{\partial K_{t}}H\geq\frac{4\alpha}{inj(M)} and which every point in Kt\partial K_{t} is α\alpha-non-collapsed in the sense of Andrews [And12] (See Definition 7.1, [HK19]).

The whole point of performing surgeries comes from the fact that such smooth α\alpha-Andrews cannot be extended indefinitely in time, as singularities can occur. To avoid those, one looks for regions of high-curvature and seeks to replace them before a singularity can form. To make that statement precise, one defines what it means for KtK_{t} to have a strong δ\delta-neck with center pp and radius ss at time t0It_{0}\in I. Loosely speaking, this means that an appropriate parabolic rescaling of KtK_{t} centered at (p,t0)(p,t_{0}) is δ\delta-close to the evolution of a solid round cylinder in D2×D^{2}\times\mathbb{R} with radius 1 at t=0t=0 (See Definition 7.2, [HK19]). The notion of replacing the final time slice of a strong δ\delta-neck by a pair of standard caps (surgery) can then be defined rigorously, as in the discussion immediately after Definition 7.2 of [HK19].

With the above terminology, we define a (α,δ)(\alpha,\delta)-flow as follows:

Definition 3.1 (Definition 1.3, [HK17]).

An (α,δ)(\alpha,\delta)-flow 𝒦\mathcal{K} is a collection of finitely many smooth α\alpha-Andrews flows {Kti}t[ti1,ti]\{K^{i}_{t}\}_{t\in[t_{i-1},t_{i}]} (i=1,2,,k;t0<t1<<tn)(i=1,2,\ldots,k;t_{0}<t_{1}<\ldots<t_{n}) in MM such that

  • (1)

    for each i=1,,k1i=1,\ldots,k-1, the final time slices of some collection of disjoint strong δ\delta-necks are replaced by pairs of standard caps as described in Definition 2.4 of [HK17], giving some domains KtiKtii:=KtiK^{\sharp}_{t_{i}}\subset K^{i}_{t_{i}}:=K^{-}_{t_{i}}.

  • (2)

    the initial time slice of the next flow, Kti+1:=Kti+K^{i+1}_{t}:=K^{+}_{t_{i}} is obtained from KtiK^{\sharp}_{t_{i}} by discarding some connected components.

  • (3)

    all necks in item (1) have radius ss bounded from above and below by a constants depending on KK.

When the initial data is mean-convex, one can give a more accurate description of the regions where surgery occurs and also the regions which will be discarded after surgery. This is encompassed in the following notion of an (α,δ,)(\mathbb{\alpha},\delta,\mathbb{H})-flow: We say that an (α,δ)(\alpha,\delta)-flow KK is an (α,δ,)(\mathbb{\alpha},\delta,\mathbb{H})-flow if (see Definition 1.17, [HK19])

  1. (1)

    infH4αinj(M)\inf H\geq\frac{4\alpha}{inj(M)}.

  2. (2)

    Besides the neck parameter δ>0\delta>0, we have three curvature-scales Htrig>>H neck>>H thick>>1H_{\textrm{trig}}>>H_{\textrm{ neck}}>>H_{\textrm{ thick}}>>1, to which we refer as the trigger, neck, and thick curvature.

  3. (3)

    HHtrigH\leq H_{\textrm{trig}} everywhere, and surgery and/or discarding occurs precisely at times tt when H=HtrigH=H_{\textrm{trig}} at some point.

  4. (4)

    The collection of necks replaced by caps is a minimal collection of solid δ\delta-necks of curvature HneckH_{\textrm{neck}} which separates the set {HHthick}\{H\leq H_{\textrm{thick}}\} from {HHtrig}\{H\leq H_{\textrm{trig}}\} in KtK^{-}_{t}.

  5. (5)

    The initial condition after a surgery, Kt+K_{t}^{+} is obtained by discarding precisely those connected components with H>HthickH>H_{\textrm{thick}} everywhere.

With the above terminology, we may now state the main existence result for (α,δ,)(\mathbb{\alpha},\delta,\mathbb{H})-flows in [HK19], which, in turn, is an adaptation of the existence theorem in [HK17]:

Theorem 3.2 (Existence Theorem, [HK19, Thm. 7.7]).

Let KN3K\subset N^{3} be a mean convex domain. Then, for every T<T<\infty, choosing δ\delta sufficiently small and Htrig>>Hneck>>Hthick>>1H_{\text{\rm trig}}>>H_{\text{\rm neck}}>>H_{\text{\rm thick}}>>1, there exists an (α,δ,)(\mathbb{\alpha},\delta,\mathbb{H})-flow {Kt}\{K_{t}\}, t[0,T]t\in[0,T] with initial condition K0=KK_{0}=K, for some choice of α=α(K,N,T)\alpha=\alpha(K,N,T).

Next, we have the canonical neighborhood theorem, which gives a description of the regions with high curvature.

Theorem 3.3 (Canonical neighborhood theorem,[HK19, Thm. 7.6]).

For every ε>0\varepsilon>0 there exists Hcan<H_{\text{\rm can}}<\infty such that if 𝒦\mathcal{K} is an (α,δ,)(\mathbb{\alpha},\delta,\mathbb{H})-flow with δ>0\delta>0 small enough and Htrig>>Hneck>>Hthick>>1H_{\text{\rm trig}}>>H_{\text{\rm neck}}>>H_{\text{\rm thick}}>>1, then every spacetime point (p,t)(p,t) with H(p,t)HcanH(p,t)\geq H_{\text{\rm can}} is ε\varepsilon-close to either (a) an ancient α\alpha-Andrews flow in 3\mathbb{R}^{3} or (b) the evolution of a standard cap preceded by the evolution of a round cylinder D¯2×3\overline{D}^{2}\times\mathbb{R}\subset\mathbb{R}^{3}.

A corollary of the canonical neighborhood theorem is the following description of the discarded components by surgeries:

Corollary 3.4.

For ε>0\varepsilon>0 small enough, any (α,δ,)(\mathbb{\alpha},\delta,\mathbb{H})-flow satisfying the hypothesis of Theorem 3.3 has discarded components diffeomorphic to the three-disk D3D^{3} or solid torus D2×S1D^{2}\times S^{1}.

Remark 3.5.

By picking the curvature parameters large enough, we may always ensure that, at the neck scale Hneck1H^{-1}_{\textrm{n}eck}, the ambient space looks as close as we want to Euclidean. In this situation, we may also ensure that there will exist a 2-Lipschitz map from any strong δ\delta-neck to the Euclidean cylinder D2×D^{2}\times\mathbb{R} of radius Hneck1H^{-1}_{\textrm{n}eck}. In addition, as observed in Corollary 8.9 of [BHH] and in [BHH19], each discarded component is either a convex sphere of controlled geometry, a capped-off chain of ε\varepsilon-necks, or an ε\varepsilon-loop. In each case, one may chop them into a collection of spheres, each contained in a small ball that can be mapped to a ball in 3\mathbb{R}^{3} of radius Hneck1H^{-1}_{\textrm{n}eck} by a 2-bilipschitz diffeomorphism.

3.2. Mean Curvature flow in geometrically prime regions

Let NN be a geometrically prime or non-oriented geometrically prime region obtained from Theorem 2.7, and let N=ΣΣ1Σ2Σl\partial N=\Sigma\cup\Sigma_{1}\cup\Sigma_{2}\cup\cdots\cup\Sigma_{l}, where Σ\Sigma is the large component and Σ1,Σ2,,Σl\Sigma_{1},\Sigma_{2},\ldots,\Sigma_{l} are stable minimal spheres or projective planes (note that ll might be zero). Since Σ\Sigma is a two-sided minimal surface of Morse index 1, we may apply a small inward deformation to the inside of NN to obtain a mean convex surface Σ0\Sigma_{0} using the lowest eigenfunction of the stability operator (see proof of Theorem 3.1 in [HK19]). By Theorem 3.2, for T>0T>0, choosing δ<<1\delta<<1 and Htrig>>Hneck>>Hthick>>1H_{\text{\rm trig}}>>H_{\text{\rm neck}}>>H_{\text{\rm thick}}>>1 there will exist a (α,δ,)(\mathbb{\alpha},\delta,\mathbb{H})-flow KtK_{t} with K0=Σ0Σ1Σ2Σl\partial K_{0}=\Sigma_{0}\cup\Sigma_{1}\cup\Sigma_{2}\cup\ldots\cup\Sigma_{l} for which the canonical neighborhood theorem applies. We prove:

Proposition 3.6.

Given ε>0\varepsilon>0, there exists a large T>0T>0 such that, after making δ\delta smaller and HthickH_{\text{\rm thick}} larger if necessary, there exists (α,δ,)(\mathbb{\alpha},\delta,\mathbb{H})-flow KtK_{t} with K0=Σ0Σ1Σ2Σl\partial K_{0}=\Sigma_{0}\cup\Sigma_{1}\cup\Sigma_{2}\cup\ldots\cup\Sigma_{l}, such that

  • (a)

    The final slice KTK_{T} is either empty, if l=0l=0, or consists of smooth connected mean-convex surfaces which lie at distance at most ε\varepsilon from the minimal stable boundaries NΣ\partial N\setminus\Sigma.

  • (b)

    The points of NN which are not in tKt\bigcup_{t}\partial K_{t}, t[0,T]t\in[0,T], are precisely the points belonging to discarded or caped components of the surgery process. In addition, the set

    {xNt[0,T]Kt|d(x,N)ε}\left\{x\in N\setminus\bigcup_{t\in[0,T]}\partial K_{t}~{}\bigg{|}~{}d(x,\partial N)\geq\varepsilon\right\}

    has volume at most ε\varepsilon.

Proof.

Our argument is in the vein of Theorem 8.1 in [HK19]. Let us first consider the case when l=0l=0, that is, N=Σ\partial N=\Sigma. Since there are no closed stable minimal surfaces in the interior of NN, by a result of White [Whi00], the level-set flow must become extinct in finite time, say TT; that is, KT=K_{T}=\emptyset. Because any mean curvature flow with surgery starting at K0K_{0} is also a family of closed sets that is a set-theoretic subsolution for the level-set flow, in the terminology of Ilmanem [Ilm94], and the level-set flow MtM_{t} is the maximal set-theoretic subsolution, we get an a priori bound T<T<\infty for the extinction time of any mean curvature flow with surgeries starting at K0K_{0}. Thus, given ε>0\varepsilon>0, we may select δ<<1\delta<<1 and Htrig>>Hneck>>Hthick>>1H_{\text{\rm trig}}>>H_{\text{\rm neck}}>>H_{\text{\rm thick}}>>1 so that the (α,δ,)(\mathbb{\alpha},\delta,\mathbb{H})-flow KtK_{t} starting at K0=K\partial K_{0}=K will be sufficiently close to the level-set flow in the Hausdorff sense so that all the discarded regions by the flow will have area summing up to at most ε\varepsilon.

Now, we assume l1l\geq 1. We fill in NN by gluing three-disks to the boundaries Σ2,,Σl\Sigma_{2},\ldots,\Sigma_{l} while maintaining their minimality and stability. By doing this we obtain a domain MM with mean-convex boundary M=Σ0\partial M=\Sigma_{0} which contains stable minimal surfaces Σ1,Σ2,,Σl\Sigma_{1},\Sigma_{2},\ldots,\Sigma_{l}, but no other stable minimal surfaces in the region between Σ0\Sigma_{0} and Σ1,Σ2,,Σl\Sigma_{1},\Sigma_{2},\ldots,\Sigma_{l}. Consider the level-set flow ([CGG91, ES91]) {Mt}t0\{M_{t}\}_{t\geq 0} starting at M0=MM_{0}=M and let

M:=t0Mt.M_{\infty}:=\bigcap_{t\geq 0}M_{t}.

By the barrier principle, since Σ1,Σ2,,Σl\Sigma_{1},\Sigma_{2},\ldots,\Sigma_{l} are minimal, they will be contained in MtM_{t} for all t0t\geq 0 and thus in MM_{\infty}. Additionally, by Theorem 11.1 of White [Whi00], MM_{\infty} has finitely many connected components and the boundary of each one of them is a stable minimal surface. Since there is no stable minimal surface in region between of M\partial M, and Σ1,Σ2,,Σl\Sigma_{1},\Sigma_{2},\ldots,\Sigma_{l}, we conclude that

M=Σ1Σ2Σl.\partial M_{\infty}=\Sigma_{1}\cup\Sigma_{2}\cup\cdots\cup\Sigma_{l}.

By the same theorem of White [Whi00], the convergence of Mt\partial M_{t} to M=Σ1Σ2Σl\partial M_{\infty}=\Sigma_{1}\cup\Sigma_{2}\cup\cdots\cup\Sigma_{l} is smooth as tt\nearrow\infty.

Thus, given ε>0\varepsilon>0, we may pick T>0T>0 such that MT\partial M_{T} consists of a union of graphical surfaces on a ε/2\varepsilon/2-neighborhood of M=Σ1Σ2Σl\partial M_{\infty}=\Sigma_{1}\cup\Sigma_{2}\cup\cdots\cup\Sigma_{l}. We consider a sequence of (α,δn,n)(\mathbb{\alpha},\delta_{n},\mathbb{H}_{n})-flows MtnM^{n}_{t} on [0,T][0,T] with initial condition M0n=M=Σ0\partial M^{n}_{0}=\partial M=\Sigma_{0}, δn,\delta_{n},\nearrow\infty and thick curvature thresholds HthicknH^{n}_{\text{\rm thick}}\nearrow\infty.

Since the initial domain is kept fixed and the thick curvatures tend to infinity as nn\rightarrow\infty, by the work of Lauer [Lau13], we have that the above sequence of flows with surgery converge to the level set flow in the Hausdorff sense. Thus, picking nn sufficiently large, we have an (α,δn,n)(\mathbb{\alpha},\delta_{n},\mathbb{H}_{n})-flow that satisfy the desired hypothesis. ∎

3.3. Tree foliations.

To prove Theorem 1.1, it will be convenient to introduce a certain type of foliations of geometrically prime manifolds that are parametrized by a 11-dimensional oriented tree GG. This definition can be suitably extended to general three-manifolds by considering more general graphs, but we will not use such definition and will skip it entirely.

Definition 3.7.

Let GG be an oriented tree with vertices of degree 11, 22 or 33. A family of surfaces {Σt}tG\{\Sigma_{t}\}_{t\in G} is a tree foliation of NN if there exists a continuous map p:NGp:N\rightarrow G and continuous orientation preserving map s:G[0,T]s:G\rightarrow[0,T], such that

  • (a)

    for each xGx\in G surface Σx=p1(x)\Sigma_{x}=p^{-1}(x) is connected;

  • (b)

    s1(0)s^{-1}(0) is the unique vertex vrv_{r}, called the root, of GG of degree 11 that has an edge directed away from it;

  • (c)

    If vv is a vertex of degree 11, then Σv\Sigma_{v} is a point or a connected component of the boundary of NN;

  • (d)

    Let E̊\mathring{E} denote the interior of an edge EE of GG. Then for each edge EE the family {Σt}tE̊\{\Sigma_{t}\}_{t\in\mathring{E}} gives a smooth foliation of p1(E̊)p^{-1}(\mathring{E});

  • (e)

    For each vertex vv of degree d=2d=2 or 33 Σv\Sigma_{v} is a union of a smooth closed connected surface S1S_{1} and a smooth connected surface S2S_{2} with boundary γS1\gamma\subset S_{1}. If EE is an edge adjacent to vv, then away from γ\gamma surfaces Σt\Sigma_{t}, tEt\in E, converge smoothly and graphically to a subset of Σv\Sigma_{v} as tvt\rightarrow v.

We use mean curvature flow with surgery to prove existence of a tree foliation of a geometrically prime 3-manifold with area and genus controlled in terms of area and genus of the large boundary component. Additionally we would like surfaces in the foliation to satisfy certain conditions on their mean curvature.

Definition 3.8.

Let {Σx}xG\{\operatorname{\Sigma}_{x}\}_{x\in G} be a tree foliation of NN with p:NGp:N\rightarrow G, s:G[0,T]s:G\rightarrow[0,T] as in Definition 3.7. We say that the foliation is mean convex on U[0,T]U\subset[0,T] if for every tUt\in U the set (sp)1(t)(s\circ p)^{-1}(t) consists of a disjoint union of smooth mean-convex surfaces with mean curvature vector positively oriented with respect to s:G[0,T]s:G\rightarrow[0,T].

Definition 3.9.

Given any ε>0\varepsilon>0, we will say that a set U[0,T]U\subset[0,T] is ε\varepsilon-small if UU is a union of finitely many disjoint open intervals (ai,bi)(a_{i},b_{i}) and for each ii we have (sp)1([0,bi])Nε((sp)1([0,ai]))(s\circ p)^{-1}([0,b_{i}])\subset N_{\varepsilon}((s\circ p)^{-1}([0,a_{i}])), where Nε()N_{\varepsilon}(\cdot) denotes the tubular neighborhood taken in NN with respect to the metric hh.

The main result of this section is the existence of such foliation on geometrically prime 3-manifolds with the following properties:

Proposition 3.10.

Let NN be a geometrically prime or non-oriented geometrically prime 3-manifold and let Σ\Sigma denote the large boundary component of NN. For every ε>0\varepsilon>0 there exists a tree foliation {Σx}xG\{\Sigma_{x}\}_{x\in G}, such that

  1. (1)

    genus(Σx)genus(Σ)\operatorname{genus}(\Sigma_{x})\leq\operatorname{genus}(\Sigma)

  2. (2)

    Area(Σx)Area(Σ)\operatorname{Area}(\Sigma_{x})\leq\operatorname{Area}(\Sigma)

Moreover, the foliation is mean convex on [0,T]B[0,T]\setminus B for an ε\varepsilon-small set BB.

Remark 3.11.

It should be possible to prove existence of a tree foliation that is mean convex everywhere on [0,T][0,T], except for finitely many points ti[0,T]t_{i}\in[0,T] (corresponding to images of vertices of GG in [0,T][0,T]) using techniques from [BHH19] and [HK19]. However, the weaker version stated above is sufficient for our purposes.

Proof.

We will start by proving slightly weaker version of the proposition: ()(\ast) Given ε>0\varepsilon>0, there exists a tree foliation {Σx}xG\{\Sigma_{x}\}_{x\in G}, such that

  1. (1)

    genus(Σx)genus(Σ)\operatorname{genus}(\Sigma_{x})\leq\operatorname{genus}(\Sigma)

  2. (2)

    Area(Σx)Area(S)+ε\operatorname{Area}(\Sigma_{x})\leq\operatorname{Area}(S)+\varepsilon

which is mean convex on [0,T]B[0,T]\setminus B for an ε\varepsilon-small set BB.

The proof follows essentially by flowing the large component Σ\Sigma of N\partial N by mean curvature flow, which is area-decreasing and does not increase genus (even after surgeries). Because of potential surgeries and components getting discarded, we will need to introduce a procedure to foliate the surgery and discarded regions (without increasing the genus or area by more than ε\varepsilon).

First, let’s set up the mean curvature flow with surgeries. We use the notation and apply the existence results of Section 3.2 on mean curvature flow with surgeries starting at the large component of N\partial N. Let {Kti}\{K^{i}_{t}\}, i=1,,k+1i=1,\ldots,k+1, be the smooth flows that comprise the flow with surgeries KtK_{t} (Definition 3.1) and 0<t1<<tk<Tε0<t_{1}<...<t_{k}<T-\varepsilon the respective surgery times. We may assume ε\varepsilon is sufficiently small and TT is chosen sufficiently large so that KTεN\partial K_{T-\varepsilon}\setminus\partial N is a disjoint union of spheres, each lying in a small tubular neighborhood and being graphical over a stable minimal surface in NΣ\partial N\setminus\Sigma. We may extend the family to the interval [Tε,T][T-\varepsilon,T] by defining a smooth isotopy of each connected component of KTεkN\partial K^{k}_{T-\varepsilon}\setminus\partial N to the corresponding minimal surface Σ1,,Σl\Sigma_{1},\ldots,\Sigma_{l}.

We now give an informal description of how we derive the foliation {Σx}xG\{\Sigma_{x}\}_{x\in G}. First consider t[0,T]t\in[0,T] outside of small neighborhood of surgery times tit_{i}. For each family {Kti}\{\partial K_{t}^{i}\}, we let {Σx}\{\Sigma_{x}\} to be smooth families of connected components of KtiN\partial K_{t}^{i}\setminus\partial N parametrized by a disjoint union of intervals E1i,,EniiE_{1}^{i},...,E_{n_{i}}^{i}. From these intervals we start building edges of the graph GG, which for the moment are disconnected.

At a surgery time, the replacement of a neck with two standard caps occurs in a small ball, where the metric is nearly Euclidean and the neck is close to a standard cylinder. For each such replacement we add a vertex vv to the graph GG and define surface Σv\Sigma_{v} that is equal to the the union of the connected component that contains the neck and a small disc DD in the middle of the neck/cylinder. This process starts connecting the edges of the graph GG corresponding to the intervals E1i,,EniiE_{1}^{i},...,E_{n_{i}}^{i}: we define deformations of the unions of each of the half-cylinders with DD into the corresponding standard cap. Proceeding this way for each neck-caps replacement we obtain the union of connected components of Kti+1\partial K^{i+1}_{t} for some tt slightly larger than tit_{i} and discarded components of Kti\partial K^{i}_{t}. For each connected component of the discarded part we define a tree foliation that ends in a collection of points. This can be done since the discarded part has very small area.

Note that in this procedure, depending on whether the neck-caps surgery disconnects a component of Kti\partial K_{t}^{i}, the vertex vv will be of degree bigger than 1, and potentially great than 3. To account for this and to have only vertices with degree at most 3, we will change the above procedure slightly by hand by gluing only one disk DD at a time for every surgery time where several neck-caps replacements take place. We describe the construction in more detail below.

Let σ>0\sigma>0 be a small constant sufficiently smaller than ε\varepsilon. Define maps pi:Kti+Kti1+σijEjip_{i}:K_{t_{i}}^{+}\setminus K_{t_{i-1}+\sigma}^{i}\rightarrow\bigcup_{j}E^{i}_{j}, so that the fibers {pi1(t)}\{p_{i}^{-1}(t)\}, tEji=[ti1+σ,ti]t\in E^{i}_{j}=[t_{i-1}+\sigma,t_{i}], are a smooth family of connected surfaces evolving by mean curvature flow. The map s:jEji[ti1+σ,ti]s:\bigcup_{j}E^{i}_{j}\longrightarrow[t_{i-1}+\sigma,t_{i}] is defined so that KtiN=(sp)1(t)\partial K_{t}^{i}\setminus\partial N=(s\circ p)^{-1}(t).

It remains to describe the family of surfaces (sp)1(t)(s\circ p)^{-1}(t) for tB=i=1k[ti,ti+σ]t\in B=\bigcup_{i=1}^{k}[t_{i},t_{i}+\sigma], that is, as the family goes through a surgery. These surgeries can be of two types: neck-caps replacements or discarding components.

Vertices corresponding to neck-caps surgeries. We define vertices corresponding to surgeries of the mean curvature flow and the families of surfaces parametrized by neighborhoods of the vertices in the tree GG. Fix a surgery time tit_{i}. Let {Bj}j=1mi\{B_{j}\}_{j=1}^{m_{i}} be the set of disjoint balls so that KtiK^{\sharp}_{t_{i}} is obtained by replacing δ\delta-necks in balls BjB_{j} by pairs of standard caps. Ktii+1K^{i+1}_{t_{i}} is then obtained from KtiK^{\sharp}_{t_{i}} by discarding small connected components.

To ensure the graph GG only has vertices with degree at most 3, we will deal with each BjB_{j} separately. We pick a separation time τi(0,σ2)\tau_{i}\in(0,\frac{\sigma}{2}) sufficiently small so that the evolution of smooth mean curvature flow of KtiK^{i}_{t} and Kti+1K^{i+1}_{t} exists for t[ti,ti+τi]t\in[t_{i},t_{i}+\tau_{i}] and it is graphical over KtiiK^{i}_{t_{i}} and Ktii+1K^{i+1}_{t_{i}}, correspondingly. By Remark 3.5, for each j=1,,mij=1,...,m_{i}, we have maps Φj:Bj3\Phi_{j}:B_{j}\rightarrow\mathbb{R}^{3}, such that:

  1. (1)

    Φj\Phi_{j} is a 22-bilipschitz diffeomorphism onto its image in 3\mathbb{R}^{3};

  2. (2)

    the images of the δ\delta-necks in Φj(KtiBj)\Phi_{j}(\partial K^{i}_{t}\cap B_{j}) are contained in CtjC_{t}^{j}, where CtjC_{t}^{j} is a family of concentric infinite cylinders in 3\mathbb{R}^{3} for t[ti,ti+τi]t\in[t_{i},t_{i}+\tau_{i}];

  3. (3)

    the images of the caps in Φj(Kti+1Bj)\Phi_{j}(\partial K^{i+1}_{t}\cap B_{j}) are contained in Stj,1+Stj,2S_{t}^{j,1}+S^{j,2}_{t}, where Stj,1S^{j,1}_{t} and Stj,2S^{j,2}_{t} are two families of concentric spheres in 3\mathbb{R}^{3} for t[ti,ti+τi]t\in[t_{i},t_{i}+\tau_{i}].

Let ti,j=ti+(j1)τi2mit_{i,j}=t_{i}+\frac{(j-1)\tau_{i}}{2m_{i}}. At ti,1=tit_{i,1}=t_{i}, we focus on the neck replacement taking place in B1B_{1}. Let Γ\Gamma denote the limiting surface of (sp)1(t)(s\circ p)^{-1}(t) as tti,1t\rightarrow t^{-}_{i,1} and let C1=Φ1(ΓB1)C^{1}=\Phi_{1}(\Gamma\cap B_{1}), which is a cylinder by construction (Remark 3.5). Let DD denote a flat disc in 3\mathbb{R}^{3} that is perpendicular to the axis of C1C^{1} and is equidistant from the two boundary curves of C1C^{1}. We define a vertex vi,1v_{i,1} in the tree GG and surface Σvi,1=p1(vi,1)\Sigma_{v_{i,1}}=p^{-1}(v_{i,1}) to be the union of Φ11(D)\Phi_{1}^{-1}(D) and the connected component of Γ\Gamma that intersects B1B_{1}.

The disc DD separates the cylinder C1C^{1} into two components, C11C_{1}^{1} and C21C_{2}^{1}. For t[ti,1,ti,1+τi]t\in[t_{i,1},t_{i,1}+\tau_{i}] and l=1,2l=1,2 we define a family of discs Dtl,1D^{l,1}_{t} with the following properties:

  1. (1)

    Dti,1l,1=Cl1DD^{l,1}_{t_{i,1}}=C^{1}_{l}\cup D;

  2. (2)

    Dtl,1=Stl\partial D^{l,1}_{t}=\partial S^{l}_{t};

  3. (3)

    {Dtl}\{D^{l}_{t}\} is a family of smooth discs foliating the region between Cl1DC^{1}_{l}\cup D and Sti,1+τilS^{l}_{t_{i,1}+\tau_{i}}.

Finally, for t[ti,1,ti,1+τi]=[ti,1,ti,2]t\in[t_{i,1},t_{i,1}+\tau_{i}]=[t_{i,1},t_{i,2}], let Γt\Gamma_{t} denote the evolution by mean curvature flow of the union of one or two connected components of ((sp)1(ti))\partial\left((s\circ p)^{-1}(t_{i})\right) that were obtained from Γ\Gamma by the neck-caps replacement. Then family

(ΓtB1)Φ11(Dt1,1Dt2,1)(\Gamma_{t}\setminus B_{1})\cup\Phi_{1}^{-1}(D^{1,1}_{t}\cup D^{2,1}_{t})

is the desired family of surfaces parametrized by a small neighborhood of vertex vi,1v_{i,1} in the graph GG. For components that belong to the thick part (that is, the part that is not discarded in the MCF with surgery) we extend the family forward in time using MCF until they join up with families parametrized by edges E1i,E2i,,EniiE^{i}_{1},E^{i}_{2},\ldots,E^{i}_{n_{i}}.

We then repeat the above process for t[ti,2,ti,3]t\in[t_{i,2},t_{i,3}] focusing on the neck-caps replacements in B2B_{2} and so on.

Contracting discarded components. As noted in Remark 3.5, the discarded components are either a convex sphere of controlled geometry, a capped-off chain of ε\varepsilon-necks, or an ε\varepsilon-loop and have areas 0\rightarrow 0 as ε0\varepsilon\rightarrow 0.

By coarea inequality we can cover each discarded component SS by balls BlB_{l}, such that BlB_{l} is 22-bilipschitz diffeomorphic to a small ball in 3\mathbb{R}^{3}, and B\partial B intersects SS in a finite union of small loops. We start filling these loops by minimal discs one by one in a way similar to the procedure described above. Eventually, we obtain a collection of disjoint spheres each contained in a small ball BlB_{l}. Then by Lemma [CL20a, Lemma 4.1] there exists a Morse foliation contracting the sphere to a point. The argument in Lemma [CL20a, Lemma 4.1] can be slightly modified to give a tree foliation instead of a Morse foliation.

Finally, observe that the foliation is mean convex on [0,T]B[0,T]\setminus B. Moreover, we may assume that parameters of the (α,δ,)(\mathbb{\alpha},\delta,\mathbb{H})-flow have been chosen so that KtiiNε/2(Ktii1)K_{t_{i}}^{i}\subset N_{\varepsilon/2}(K_{t_{i}}^{i-1}) and so for σ\sigma sufficiently small we have that the set BB is ε\varepsilon-small.

End of the proof. We now show how to finish the argument for Proposition 3.10 from its weaker version ()(\ast). Given a geometrically prime or non-orientable geometrically manifold NN with large component Σ\Sigma, we flow Σ\Sigma by smooth mean curvature flow for a short time [0,t0][0,t_{0}] and, by mean convexity, me may assume:

Area(Σt0)<Area(Σ)α,\operatorname{Area}(\Sigma_{t_{0}})<\operatorname{Area}(\Sigma)-\alpha,

for some small real number α\alpha. We then discard the region of NN bounded by Σ\Sigma and Σt0\Sigma_{t_{0}}, obtaining a new geometrically prime manifold NN^{\prime} with large component Σt0\Sigma_{t_{0}}. Proposition 3.10 then follows by applying its weaker version ()(\ast) to NN^{\prime} with a choice of ε<α\varepsilon<\alpha. ∎

Proof of Theorem 1.3.

By [Whi91] we can make an arbitrary small perturbation to make the metric on MM bumpy. For an arbitrarily small ε>0\varepsilon>0 we will construct a foliation for the perturbed bumpy metric, so that the bounds on the area and diameter in the original metric are worse by at most ε\varepsilon.

When MM is homeomorphic to S3S^{3} we apply Theorem 2.7 to decompose MM into a union of geometrically prime regions that have an index 1 minimal sphere as their large boundary component. From Proposition 3.10 we obtain a tree-foliation of each geometrically prime region by a family of 2-spheres. The areas of these spheres are at most 24πΛ0\frac{24\pi}{\Lambda_{0}} by Theorem 2.1. We can assemble these foliations together to obtain a map f~:MG\tilde{f}:M\rightarrow G. Note that GG must be a tree. Fix a map g:Gg:G\rightarrow\mathbb{R}, such that the restriction of gg to any edge is linear and non-singular. The map f~g\tilde{f}\circ g can then be perturbed to a Morse function from MM to \mathbb{R} with desired properties. The details of this perturbation are postponed until the proof of Theorem 1.1, where it is done in a more general setting.

If MM is homeomorphic to S2×S1S^{2}\times S^{1} we consider manifold MS2×[0,1]M^{\prime}\cong S^{2}\times[0,1] obtained by cutting MM along a minimal sphere that minimizes area in the isotopy class of S2×{0}S^{2}\times\{0\}. Applying Proposition 3.10 as above we obtain a map f~:MG\tilde{f}:M^{\prime}\rightarrow G onto a tree GG with vertices v1v_{1}, v2v_{2} of GG corresponding to two stable boundary spheres of MM^{\prime}. Let g:GS1g:G\rightarrow S^{1} be a map with g(v1)=g(v2)g(v_{1})=g(v_{2}) and such that the restriction of gg to each edge is non-singular. A perturbation of f~g\tilde{f}\circ g then gives the desired Morse function on MM.

Finally, case (c) follows by Proposition 3.10. ∎

Proof of Theorem 1.2.

Let f:MGf:M\rightarrow G be the map from MM to a graph GG from part (c) of Theorem 1.3. Recall that graph GG has vertices of degree at most 33.

Refer to caption
Figure 1. Mapping MM into the neighborhood of graph GG in 2\mathbb{R}^{2}.

Consider a general position smooth immersion of GG in 2\mathbb{R}^{2}. In particular, vertices are disjoint and every edge EE of GG in 2\mathbb{R}^{2} intersects at most finitely many other edges. Moreover, let {UEi}\{U_{E_{i}}\} denote the set of ε\varepsilon-neighborhoods of edges of GG, then for ε>0\varepsilon>0 sufficiently small we may assume that each point x2x\in\mathbb{R}^{2} is contained in at most two distinct UEiU_{E_{i}}, UEkU_{E_{k}} if xx lies at a distance >ε>\varepsilon from the vertices of GG. If xBε(v)x\in B_{\varepsilon}(v) for some vertex vv of GG, then it may lie in at most three sets UEi1,UEi2,UEi3U_{E_{i_{1}}},U_{E_{i_{2}}},U_{E_{i_{3}}} corresponding to edges Ei1,Ei2,Ei3E_{i_{1}},E_{i_{2}},E_{i_{3}} adjacent to the vertex vv.

First we define map FF in the neighborhood of a degree 33 vertex of GG. Let Tv=l1l2l3T_{v}=l_{1}\cup l_{2}\cup l_{3} denote a “tripod”, a union of three arcs emanating from vertex vv to the boundary of ε\varepsilon-neighborhood of GG, each lil_{i} bisecting the angle between two edges of EE (see Fig. 1). Recall from the proof of Theorem 3.10 that f1(v)f^{-1}(v) is a union of a surface Σ\Sigma and a disc Σ1\Sigma_{1} intersecting Σ\Sigma in a closed curve γ\gamma that separates Σ\Sigma, Σγ=Σ2Σ3\Sigma\setminus\gamma=\Sigma_{2}\cup\Sigma_{3}. For each Σi\Sigma_{i} there exists a Morse function fi:Σi[0,1]f_{i}:\Sigma_{i}\rightarrow[0,1] with fi1(0)=γf_{i}^{-1}(0)=\gamma and satisfying

length(fi1(t))CArea(Σi)(genus(Σi)+1)+length(γ)\textrm{length}(f_{i}^{-1}(t))\leq C\sqrt{\operatorname{Area}(\Sigma_{i})(\operatorname{genus}(\Sigma_{i})+1)}+\textrm{length}(\gamma)

for t[0,1]t\in[0,1] ([GAL17]). (Recall from the proof of Theorem 3.10 that the length of curve γ\gamma can be assumed to be arbitrarily small). Hence, we can define map FF from Σ1Σ\Sigma_{1}\cup\Sigma to the tripod TT with the desired length bounds.

In an analogous way we define FF near all other vertices. It remains to define an interpolation that will take values in the neighborhood of each edge. Existence of such an interpolation, with controlled length of pre-images, follows by Proposition 4.3 and Theorem 4.2 from [LZ16].

We now discuss the value of constant CC. Surfaces {f1(x)}\{f^{-1}(x)\} have areas bounded by 32πΛ\frac{32\pi}{\Lambda} and genus 2\leq 2. If we plug that into the estimate from Theorem 4.2 in [LZ16] for parametric sweepouts, keeping in mind that graph GG can have double points in 2\mathbb{R}^{2}, we obtain that the length is bounded by length(F1)70000Λ\textrm{length}(F^{-1})\leq\frac{70000}{\sqrt{\Lambda}}. A better estimate can be obtained if we cut genus 2 surface along short curves and then apply a better bound for the lengths of curves in a sweepout of a surface that is diffeomorphic to a sphere with holes from [Lio14].

We briefly describe how to cut a genus 2 surface Σ\Sigma. First we find a non-contractible curve γ\gamma of length at most 23Area(Σ)\sqrt{\frac{2}{\sqrt{3}}}\sqrt{Area(\Sigma)} ([KS06]). Cutting Σ\Sigma along γ\gamma we obtain either one or two genus 1 surfaces and glue in two spherical caps along γ\gamma each of area length(γ)2/2π\textrm{length}(\gamma)^{2}/2\pi. We then subdivide the resulting surface (or surfaces) using systolic inequality for the torus and slide the subdividing curve (or curves) into the interior of the original surface Σ\Sigma without affecting its length. In the end we obtain one or two surfaces with boundary diffeomorphic to a sphere with holes. Using the bounds from [Lio14] we obtain that there exists a sweepout of Σ\Sigma with curves of length <1000Λ0<\frac{1000}{\sqrt{\Lambda_{0}}}. By Proposition 4.3 [LZ16] we can construct a family of sweepouts for the 1-parameter family of surfaces corresponding to an edge of GG with lengths <2000Λ0<\frac{2000}{\sqrt{\Lambda_{0}}}. Hence, we can take C=4000C=4000. ∎

4. Diameter bounds and the proof of Theorem 1.1

4.1. Diameter bounds for level sets of the distance function.

The proof of Theorem 4.3 will be done in several steps. The starting point is to note that by Theorem 2.1 and Corollary 2.4, all the boundary components of a geometrically prime manifold NN have diameter at most 234πΛ0\sqrt{\frac{2}{3}}\frac{4\pi}{\sqrt{\Lambda}_{0}}, and area at most 32πΛ0\frac{32\pi}{\sqrt{\Lambda_{0}}}. The next step then is to prove that a connected surface SS trapped between two equidistant surfaces of comparable radii, d(x,Σ)[s,s+ρ]d(x,\Sigma)\in\left[s,s+\rho\right] for xSx\in S, has bounded diameter. This follows by a modification of an argument in Gromov-Lawson [GL83, Corollary 10.11].

Lemma 4.1.

Let MM be a geometrically prime or a non-orientable geometrically region with large boundary component Σ\Sigma of diameter DD. Let Ns(Σ)={xM:d(x,Σ)s}N_{s}(\Sigma)=\{x\in M:d(x,\Sigma)\leq s\} and suppose SS is a connected subset of MM with SNs+ρ(Σ)Ns(Σ)S\subset N_{s+\rho}(\Sigma)\setminus N_{s}(\Sigma). Then,

diam(S)max{D+232πΛ0+2ρ,2312πΛ0+2ρ}\operatorname{diam}(S)\leq\max\{D+\sqrt{\frac{2}{3}}\frac{2\pi}{\sqrt{\Lambda_{0}}}+2\rho,\sqrt{\frac{2}{3}}\frac{12\pi}{\sqrt{\Lambda_{0}}}+2\rho\}
Proof.

Assume that s232πΛ0+εs\geq\sqrt{\frac{2}{3}}\frac{2\pi}{\sqrt{\Lambda_{0}}}+\varepsilon^{\prime}. Note that otherwise we have diam(S)D+232πΛ0+2ρ+2ε\operatorname{diam}(S)\leq D+\sqrt{\frac{2}{3}}\frac{2\pi}{\sqrt{\Lambda_{0}}}+2\rho+2\varepsilon^{\prime}. We will show that the conclusions of the lemma hold under this assumption for every small ε>0\varepsilon^{\prime}>0 and hence the lemma follows.

Let x,yx,y be two points in SS. Consider pxp_{x} and pyp_{y} the points in Σ\Sigma closest to xx and yy, respectively, and let γx\gamma_{x} and γy\gamma_{y} denote the corresponding minimizing geodesics. Let γ\gamma denote a curve in SS connecting xx and yy and σ\sigma denote a curve in Σ\Sigma connecting pxp_{x} and pyp_{y}.

Since MM is geometrically prime we have that every closed surface Γ\Gamma in MM is homologous to a cycle in the boundary of MM. Thus, by Poincare-Lefschetz duality if a closed curve zz lies in the interior of MM, then it represents a trivial element of H1(M,M)H_{1}(M,\partial M). Moreover, since all boundary components of MM except for Σ\Sigma are spheres we can choose a filling ZZ of zz with ZzΣ\partial Z-z\subset\Sigma.

Let l=σγxγγyl=\sigma\cup\gamma_{x}\cup\gamma\cup\gamma_{y} and minimize in the class of surfaces filling ll in (M,Σ)(M,\Sigma). We obtain a stable minimal surface QQ with lQl\subset\partial Q and QlΣ\partial Q\setminus l\subset\Sigma.

Choose ε(0,ε)\varepsilon\in(0,\varepsilon^{\prime}) and let ρε=232πΛ0+ε\rho_{\varepsilon}=\sqrt{\frac{2}{3}}\frac{2\pi}{\sqrt{\Lambda_{0}}}+\varepsilon. Consider surface Nsρε(Σ)\partial N_{s-\rho_{\varepsilon}}(\Sigma). Without any loss of generality we may assume that the intersection Nsρε(Σ)Q\partial N_{s-\rho_{\varepsilon}}(\Sigma)\cap Q is transverse. Since the distance from Σ\Sigma is a monotonically increasing function along γx\gamma_{x} and γy\gamma_{y} we have that there is a unique connected arc α\alpha of Nsρε(Σ)Q\partial N_{s-\rho_{\varepsilon}}(\Sigma)\cap Q connecting γx\gamma_{x} to γy\gamma_{y}. Let pp denote the point on α\alpha that lies at an equal distance from γx\gamma_{x} and γy\gamma_{y}.

By Theorem 2.3 we have d(p,Q)232πΛ0d(p,\partial Q)\leq\sqrt{\frac{2}{3}}\frac{2\pi}{\sqrt{\Lambda_{0}}}. Since the distances from pp to γ\gamma and Σ\Sigma are larger than that, it follows that pp lies at a distance at most 232πΛ0\sqrt{\frac{2}{3}}\frac{2\pi}{\sqrt{\Lambda_{0}}} from both γx\gamma_{x} and γy\gamma_{y}. Let x1x_{1} and y1y_{1} denote the closest points to pp on γx\gamma_{x} and γy\gamma_{y} respectively. Since γx\gamma_{x} is a minimizing geodesic we have

d(Σ,x1)+d(x1,p)sρεd(\Sigma,x_{1})+d(x_{1},p)\geq s-\rho_{\varepsilon}

It follows that d(Σ,x1)s234πΛ0+εd(\Sigma,x_{1})\geq s-\sqrt{\frac{2}{3}}\frac{4\pi}{\sqrt{\Lambda_{0}}}+\varepsilon. Hence, d(x1,x)4πΛ0+ρ+εd(x_{1},x)\leq\frac{4\pi}{\sqrt{\Lambda_{0}}}+\rho+\varepsilon and we have the same inequality for y1y_{1} and yy. We conclude that

d(x,y)2312πΛ0+2ρ+2εd(x,y)\leq\sqrt{\frac{2}{3}}\frac{12\pi}{\sqrt{\Lambda_{0}}}+2\rho+2\varepsilon

Since we can choose ε>0\varepsilon>0 to be arbitrarily small this concludes the proof. ∎

4.2. Local tree foliation

We need to modify the mean curvature flow construction from Theorem 3.10 so that we have a diameter bound in addition to area and genus bounds. We do this by cutting surfaces from the tree foliation into smaller pieces and gluing in stable minimal discs.

Lemma 4.2.

Let UMU\subset M be a mean convex region, ΓU\Gamma\subset\partial U be a connected strictly mean convex surface. Let SS be a stable minimal disc with SΓ\partial S\subset\Gamma. For all sufficiently small ε>0\varepsilon>0 there exists a closed set UU^{\prime}, ΓSUU\Gamma\cup S\subset U^{\prime}\subset U homeomorphic to the closure of the ε\varepsilon-neighbourhood Nε(ΓS)¯\overline{N_{\varepsilon}(\Gamma\cup S)}, tree TT and a mean convex tree foliation f:UTf:U^{\prime}\rightarrow T with the following area bounds:

  1. (1)

    if S\partial S is separating in Γ\Gamma, then Area(f1(x))Area(Γ)+Area(S)\operatorname{Area}(f^{-1}(x))\leq\operatorname{Area}(\Gamma)+\operatorname{Area}(S) for all xTx\in T and Area(f1(x))max{Area(Γ1),Area(Γ2)}+Area(S)\operatorname{Area}(f^{-1}(x))\leq\max\{\operatorname{Area}(\Gamma_{1}),\operatorname{Area}(\Gamma_{2})\}+\operatorname{Area}(S) for a terminal vertex xx, where Γi\Gamma_{i}, i=1,2i=1,2, denotes connected components of ΓS\Gamma\setminus\partial S;

  2. (2)

    if S\partial S is non-separating in Γ\Gamma, then Area(f1(x))Area(Γ)+2Area(S)\operatorname{Area}(f^{-1}(x))\leq\operatorname{Area}(\Gamma)+2\operatorname{Area}(S) for all xTx\in T.

Proof.

Let Γ\Gamma correspond to the root vertex of tree TT. To define a tree foliation we start by flowing surface Γ\Gamma by mean curvature flow for some very short time t[0,t1]t\in[0,t_{1}]. For t1t_{1} sufficiently small we have that γ=Γt1S\gamma=\Gamma_{t_{1}}\cap S is a smooth closed curve. Let SSS^{\prime}\subset S be the minimal disc bounded by Γt1S\Gamma_{t_{1}}\cap S and we let Γt1S\Gamma_{t_{1}}\cup S^{\prime} be the surface corresponding to a degree 33 vertex of the parametrization tree. Consider a piecewise smooth immersed surface Γ1\Gamma^{1} obtained from Γt1\Gamma_{t_{1}} by cutting it along γ1\gamma_{1} and gluing in two copies of S1S_{1}^{\prime}. If S\partial S was separating in Γ\Gamma, then Γt1\Gamma_{t_{1}} is the union of two piecewise smooth connected immersed surfaces, otherwise it is one connected immersed surface.

Applying mean curvature flow to Γ1\Gamma^{1} will give us a monotone deformation that immediately makes the surface smooth and mean convex (see [EH91, Theorem 4.2]). If the flow is applied for sufficiently short time we have that that the surfaces are contained in a small tubular neighbourhood of ΓS\Gamma\cup S. The area bound follows by the properties of mean curvature flow. ∎

4.3. Existence of tree foliation with controlled area, genus and diameter.

Theorem 4.3.

Let (N3,h)(N^{3},h) be a geometrically prime or non-orientable geometrically prime 3-manifold of positive scalar curvature RhΛ0>0R_{h}\geq\Lambda_{0}>0. Suppose the large connected component Σ\Sigma of N\partial N is a minimal surface of Morse index 11 and genus g2g\leq 2. Then, there exists a tree foliation {Σx}xG\{\operatorname{\Sigma}_{x}\}_{x\in G} such that for any xGx\in G:

  • (a)

    Σx\Sigma_{x} has genus at most gg;

  • (b)

    Area(Σx)<72πΛ0\operatorname{Area}(\operatorname{\Sigma}_{x})<\frac{72\pi}{{\Lambda_{0}}} if NN is geometrically prime and Area(Σx)<84πΛ0\operatorname{Area}(\operatorname{\Sigma}_{x})<\frac{84\pi}{{\Lambda_{0}}} if NN is non-orientable geometrically prime;

  • (c)

    diam(Σx)2326πΛ0\operatorname{diam}(\operatorname{\Sigma}_{x})\leq\sqrt{\frac{2}{3}}\frac{26\pi}{\sqrt{\Lambda_{0}}}.

Proof.

1. Orientable case. Assume NN is geometrically prime. Suppose Σ\Sigma is a surface of genus gg, 0g20\leq g\leq 2. If g>0g>0, then we start by cutting Σ\Sigma by minimal discs to reduce its genus to 0.

By Proposition 2.8 we can find a free boundary stable minimal disc DD with DΣ\partial D\subset\Sigma. Applying Lemma 4.2 we can define a tree foliation of a small neighbourhood UU^{\prime} of ΣD\Sigma\cup D, so that Σ1=UΣ\Sigma^{1}=\partial U^{\prime}\setminus\Sigma is a surface of genus g1g-1. Performing this procedure at most two times we obtain a mean convex sphere Σ2\Sigma^{2}.

Observe that by the area bounds for free boundary stable minimal discs Theorem 2.2 and Lemma 4.2 we have

Area(Σ2)<32πΛ0+44πΛ048πΛ0.\operatorname{Area}(\Sigma^{2})<\frac{32\pi}{\Lambda_{0}}+4\frac{4\pi}{\Lambda_{0}}\leq\frac{48\pi}{\Lambda_{0}}.

To bound the diameter, suppose x,yΣDx,y\in\Sigma\cup D. It is easy to see that by Theorem 2.3 and Corollary 2.4

dist(x,y)diam(Σ)+234πΛ0238πΛ0dist(x,y)\leq\operatorname{diam}(\Sigma)+\sqrt{\frac{2}{3}}\frac{4\pi}{\sqrt{\Lambda_{0}}}\leq\sqrt{\frac{2}{3}}\frac{8\pi}{\sqrt{\Lambda_{0}}}

Applying this twice we obtain that for δ>0\delta>0 that can be taken to be arbitrarily small for sufficiently small ε\varepsilon we have

diam(Σ2)2312πΛ0+δ\operatorname{diam}(\Sigma^{2})\leq\sqrt{\frac{2}{3}}\frac{12\pi}{\sqrt{\Lambda_{0}}}+\delta

(Recall that diam\operatorname{diam} is the extrinsic diameter.)

Let N~\tilde{N} denote the subset of NN bounded by mean convex sphere Σ2\Sigma^{2} and the union of stable minimal spheres.

Given a subset XN~X\subset\tilde{N} let

D(X)=max{dist(x,Σ2):xX}min{dist(x,Σ2):xX}D(X)=\max\{dist(x,\Sigma^{2}):x\in X\}-\min\{dist(x,\Sigma^{2}):x\in X\}

Pick a minimal covering of N~\tilde{N} by balls ={Bk}\mathcal{B}=\{B_{k}\} of radius π4Λ0\frac{\pi}{4\sqrt{\Lambda_{0}}}. Let NN~N^{\prime}\subset\tilde{N} be a geometrically prime 3-manifold contained in N~\tilde{N} with mean convex sphere Σ\Sigma^{\prime} as the large boundary component and satisfying

  1. (1)

    Area(Σ)Area(Σ2)\operatorname{Area}(\Sigma^{\prime})\leq\operatorname{Area}(\Sigma^{2});

  2. (2)

    D(Σ)<236πΛ02δD(\Sigma^{\prime})<\sqrt{\frac{2}{3}}\frac{6\pi}{\sqrt{\Lambda_{0}}}-2\delta.

We will prove that every NN~N^{\prime}\subset\tilde{N} as above admits a tree foliation, satisfying bounds (a), (b), (c). The proof is by induction on the number of balls in \mathcal{B} necessary to cover NN^{\prime}. Observe that if NN^{\prime} is contained in one ball of the covering, then we can apply Proposition 3.10 to obtain the desired tree foliation of NN^{\prime}.

For a fixed nn\in\mathbb{N} assume that the tree foliation exists for all NN^{\prime} as above that can be covered by at most n1n-1 balls from \mathcal{B}. Fix NN^{\prime} that has a minimal covering by nn balls from \mathcal{B}.

Apply Proposition 3.10 to NN^{\prime} to obtain a tree foliation {Σx}xG\{\Sigma_{x}\}_{x\in G}, with the corresponding maps p:NGp:N\rightarrow G and s:G[0,T]s:G\rightarrow[0,T] with fibers of controlled area. Observe that D~(x)=D(Σx)\tilde{D}(x)=D(\Sigma_{x}) is continuous on the interior of every edge EE of GG. Also, given a vertex vv of GG, an adjacent edge E1E_{1} directed towards vv and adjacent edge E2E_{2} directed away from vv we have

limE2tvD~(t)limE1tvD~(t)+ε,\lim_{E_{2}\ni t\rightarrow v}\tilde{D}(t)\leq\lim_{E_{1}\ni t\rightarrow v}\tilde{D}(t)+\varepsilon,

for an ε(0,δ)\varepsilon\in(0,\delta) that can be chosen to be small. This follows since each vertex in the construction of GG from the proof of Proposition 3.10 corresponds to gluing a very small disc in a cylindrical region. If r<εr<\varepsilon denotes the radius of the disc, then the surface obtained by performing a surgery along the disc will have points that are at most distance rr further away from Σ2\Sigma^{2}.

If D~(G)[0,236πΛ02δ]\tilde{D}(G)\subset[0,\sqrt{\frac{2}{3}}\frac{6\pi}{\sqrt{\Lambda_{0}}}-2\delta], then we can apply Lemma 4.1 with ρ=236πΛ02δ\rho=\sqrt{\frac{2}{3}}\frac{6\pi}{\sqrt{\Lambda_{0}}}-2\delta to obtain

diam(Σx)<2326πΛ0δ\operatorname{diam}(\Sigma_{x})<\sqrt{\frac{2}{3}}\frac{26\pi}{\sqrt{\Lambda_{0}}}-\delta (1)

Thus, without any loss of generality we may assume that D~(x)>236πΛ02δ\tilde{D}(x)>\sqrt{\frac{2}{3}}\frac{6\pi}{\sqrt{\Lambda_{0}}}-2\delta for some xGx\in G. For some δ(ε,2ε)\delta^{\prime}\in(\varepsilon,2\varepsilon) to be picked later, let G1G_{1} denote the connected component of D~1([0,236πΛ02δδ])\tilde{D}^{-1}([0,\sqrt{\frac{2}{3}}\frac{6\pi}{\sqrt{\Lambda_{0}}}-2\delta-\delta^{\prime}]) that contains the root vertex qq of GG. We choose δ\delta^{\prime} so that vertices of GG do not lie in the boundary of G1G_{1}. By construction, we have that Np1(G1)N^{\prime}\setminus p^{-1}(G_{1}) is a disjoint union of geometrically prime 3-manifolds V1,,VkV_{1},...,V_{k} with corresponding large boundary components Γ1,,Γk\Gamma_{1},...,\Gamma_{k}. By Lemma 4.1 the diameters of Σx\Sigma_{x} for xG1x\in G_{1} satisfy bound (1).

Hence, it is enough to prove existence of tree foliations of ViV_{i}, for i=1,,ki=1,...,k, with the desired bound on genus, area and diameter.

Fix ii. By construction we have that D(Γi)=236πΛ02δδD(\Gamma_{i})=\sqrt{\frac{2}{3}}\frac{6\pi}{\sqrt{\Lambda_{0}}}-2\delta-\delta^{\prime}. Let di=dist(Γi,Σ2)d_{i}=dist(\Gamma_{i},\Sigma^{2}) and define γ={xΓi:d(x,Σ2)=r}\gamma=\{x\in\Gamma_{i}:\,\,d(x,\Sigma^{2})=r^{\prime}\}, where r[di+233πΛ0δ,di+233πΛ0]r^{\prime}\in[d_{i}+\sqrt{\frac{2}{3}}\frac{3\pi}{\sqrt{\Lambda_{0}}}-\delta^{\prime},d_{i}+\sqrt{\frac{2}{3}}\frac{3\pi}{\sqrt{\Lambda_{0}}}] is chosen so that γ\gamma is a finite collection of closed curves. Let S=j=1mSjNiS=\cup_{j=1}^{m}S_{j}\subset N_{i} denote the disjoint union of area minimazing discs stable minimal discs with S=γ\partial S=\gamma. By Lemma 4.2 a mean convex tree foliation of a small neighbourood UU of ΓiS\Gamma_{i}\cup S with UΓi=Σl\partial U\setminus\Gamma_{i}=\bigcup\Sigma_{l}.

By Lemma 2.3 for every xSx\in S we have that d(x,γ)232πΛ0d(x,\gamma)\leq\sqrt{\frac{2}{3}}\frac{2\pi}{\sqrt{\Lambda_{0}}}. Hence, by Lemmas 4.2 and 4.1 it follows that each connected component Σl\Sigma_{l} satisfies

Area(Σl)\displaystyle\operatorname{Area}(\Sigma_{l}) Area(Γi)Area(Σ2)\displaystyle\leq\operatorname{Area}(\Gamma_{i})\leq\operatorname{Area}(\Sigma^{2})
D(Σl)<\displaystyle D(\Sigma_{l})< 235πΛ0\displaystyle\sqrt{\frac{2}{3}}\frac{5\pi}{\sqrt{\Lambda_{0}}}
diam(Σl)\displaystyle\operatorname{diam}(\Sigma_{l}) 2324πΛ0\displaystyle\leq\sqrt{\frac{2}{3}}\frac{24\pi}{\sqrt{\Lambda_{0}}}

Let UlViU_{l}\subset V_{i} denote the geometrically prime 3-manifold with large boundary component Σl\Sigma_{l}. We claim that the number of balls from \mathcal{B} necessary to cover UlU_{l} must be smaller than nn. Indeed, by construction there exists a point xΓiUlVix\in\Gamma_{i}\setminus U_{l}\subset V_{i} with dist(x,Ul)>πΛ0δ>π2Λ0dist(x,U_{l})>\frac{\pi}{\sqrt{\Lambda_{0}}}-\delta^{\prime}>\frac{\pi}{2\sqrt{\Lambda_{0}}}. In particular, we can remove a ball BB^{\prime} containing xx from the covering of UlU_{l}. Hence, we can apply the inductive assumption to UlU_{l} to obtain a mean convex tree foliation with the desired diameter bounds. The worst case for the area bound is for surfaces in the foliaiton that correspond to degree 3 vertices with area bounded by 32Area(Σ2)72πΛ0\frac{3}{2}\operatorname{Area}(\Sigma^{2})\leq\frac{72\pi}{{\Lambda_{0}}}.

2. Non-orientable case. Now suppose NN is non-orientable geometrically prime. Our argument is similar to the orientable case. We deform the two-sided index 1 projective plane Σ\Sigma, pushing it to the inside using the first eigenfunction of the Jacobi operator to obtain a mean convex surface Σ2\Sigma^{2}. We pick a minimal covering ={Bk}\mathcal{B}=\{B_{k}\} of NN by balls of radius π4Λ0\frac{\pi}{4\sqrt{\Lambda_{0}}} and prove existence of the desired tree foliation for all non-orientable geometrically prime subset NNN^{\prime}\subset N with two-sided mean convex projective plane Σ\Sigma^{\prime} as the large boundary component satisfying

  1. (1)

    Area(Σ)Area(Σ2)\operatorname{Area}(\Sigma^{\prime})\leq\operatorname{Area}(\Sigma^{2});

  2. (2)

    D(Σ)<236πΛ02δD(\Sigma^{\prime})<\sqrt{\frac{2}{3}}\frac{6\pi}{\sqrt{\Lambda_{0}}}-2\delta.

The proof proceeds by induction on the minimal number of balls in \mathcal{B} necessary to cover NN^{\prime}. For a fixed integer nn assume that the tree foliation exists for all NN^{\prime} that can be covered by at most n1n-1 balls. Fix NN^{\prime} that has a minimal covering by nn balls in \mathcal{B}. As in the orientable case we can define a tree foliation of NN^{\prime} with the desired control on the area, but possibly not on the diameter. Exactly as in the orientable case we can reduce the problem to constructing a foliation with diameter and area bounds of 3-manifolds V1,,VkNV_{1},...,V_{k}\subset N^{\prime} with corresponding large boundary components Γ1,,Γk\Gamma_{1},...,\Gamma_{k} with D(Γi)=236πΛ0δD(\Gamma_{i})=\sqrt{\frac{2}{3}}\frac{6\pi}{\sqrt{\Lambda_{0}}}-\delta^{\prime} and Area(Γi)<Area(Σ)\operatorname{Area}(\Gamma_{i})<\operatorname{Area}(\Sigma). Moreover, it follows from the construction that exactly one of these manifolds (say, V1V_{1}) is non-orientable geometrically prime with Γ12\Gamma_{1}\cong\mathbb{RP}^{2} and all other ViV_{i} are geometrically prime with ΓiS2\Gamma_{i}\cong S^{2}. To define the tree foliation of ViV_{i}, i>1i>1, we proceed as in the orientable case. For V1V_{1} define a collection of simple closed curves γΓ1\gamma\subset\Gamma_{1}, γ={xΓi:d(x,Σ2)=r}\gamma=\{x\in\Gamma_{i}:\,\,d(x,\Sigma^{2})=r^{\prime}\}, where r[d1+233πΛ0δ,d1+233πΛ0]r^{\prime}\in[d_{1}+\sqrt{\frac{2}{3}}\frac{3\pi}{\sqrt{\Lambda_{0}}}-\delta^{\prime},d_{1}+\sqrt{\frac{2}{3}}\frac{3\pi}{\sqrt{\Lambda_{0}}}] and d1=dist(Γ1,Σ2)d_{1}=dist(\Gamma_{1},\Sigma^{2}). Since γ\gamma is separating in Γ1\Gamma_{1} every connected component γj\gamma_{j} of γ\gamma bounds a disc DjD_{j} on one side (and Mobius band on the other side) inside Γ1\Gamma_{1}. Let CjC_{j} denote a stable minimal disc in V1V_{1} obtained by minimizing area in the isotopy class of DjD_{j} inside V1V_{1} with fixed boundary γj\gamma_{j}. Discs CjC_{j} obtained this way will all be disjoint. We apply Lemma 4.2 to define a local tree foliation correponding to successively cutting Γ1\Gamma_{1} by discs CjC_{j}.

In the end we obtain a collection of 2-spheres {Sl}\{S_{l}\} bounding geometrically prime regions and a projective plane Γ1\Gamma_{1}^{\prime} bounding a non-orientable geometrically prime region V1V_{1}^{\prime}. By construction we have that Area(Γ1)Area(Γ1)28πΛ0\operatorname{Area}(\Gamma_{1}^{\prime})\leq\operatorname{Area}(\Gamma_{1})\leq\frac{28\pi}{\Lambda_{0}} and V1V_{1}^{\prime} can be covered by at most (n1)(n-1) balls from collection \mathcal{B}. By inductive assumption we obtain the desired foliation of V1V_{1}^{\prime}. For a sphere SlS_{l} bounding a geometrically prime region WlW_{l} we observe that Area(Sl)<2Area(Γ1)56πΛ0\operatorname{Area}(S_{l})<2\operatorname{Area}(\Gamma_{1})\leq\frac{56\pi}{\Lambda_{0}}. We then apply the argument for the orientable case to define the tree foliation for each WlW_{l}. The worst area bound will be for the case of a degree 33 vertex corresponding to a sphere of area 56πΛ0\leq\frac{56\pi}{\Lambda_{0}} and a minimizing disc with area at most half of that. Hence, we obtain bounds ∎

Proof of Theorems 1.1.

By [Whi91] we may assume that the metric on MM is bumpy. By Theorem 2.7 there exists a collection of minimal surfaces Sk\bigcup S_{k}, so that MSkM\setminus\bigcup S_{k} is a union of geometrically prime or non-orientable geometrically prime manifolds {Ni}\{N_{i}\}. For each ii, the large boundary component Σi\Sigma_{i} of NiN_{i} is an index 11 minimal surface of genus at most gg. We have that gg is bounded by the maximal Heegaard genus of prime manifolds in the prime decomposition of MM, so as explained the proof of Theorem 2.7 we have g2g\leq 2. By Theorem 2.1, Area(Σi)32πΛ0\operatorname{Area}(\Sigma_{i})\leq\frac{32\pi}{\sqrt{\Lambda_{0}}} for orientable components and Area(Σi)28πΛ0\operatorname{Area}(\Sigma_{i})\leq\frac{28\pi}{\sqrt{\Lambda_{0}}} for non-orientable components. Hence, there exists a tree foliation {Σx}xGi\{\Sigma_{x}\}_{x\in G_{i}} of NiN_{i} with bounds on area, diameter and genus as in Theorem 4.3. Let pi:NiGip_{i}:N_{i}\rightarrow G_{i} denote the corresponding maps.

Define graph G=Gi/G=\bigcup G_{i}/\sim, where we identify vertices GivwGjG_{i}\ni v\sim w\in G_{j} if pi1(v)=pj1(w)Np_{i}^{-1}(v)=p_{j}^{-1}(w)\subset N. Define map P:MGP:M\rightarrow G by setting P=piP=p_{i} on the interiors of NiN_{i} and extend the map to Sk\bigcup S_{k}. We have that PP and GG have the following properties:

  1. (1)

    P1(x)P^{-1}(x) has genus at most g2g\leq 2;

  2. (2)

    Area(P1(x))<56πΛ0\operatorname{Area}(P^{-1}(x))<\frac{56\pi}{{\Lambda_{0}}};

  3. (3)

    diam(P1(x))2326πΛ0\operatorname{diam}(P^{-1}(x))\leq\sqrt{\frac{2}{3}}\frac{26\pi}{\sqrt{\Lambda_{0}}}.

  4. (4)

    For each edge EGE\subset G the family {P1(t)}tE̊\{P^{-1}(t)\}_{t\in\mathring{E}} gives a smooth foliation of f1(E̊)f^{-1}(\mathring{E}).

  5. (5)

    GG has vertices of degree 1, 2, or 3, moreover

    • at each vertex of degree 22 or 33, PP satisfies the description from Definition 3.7;

    • at vertices of degree 1, P1(v)P^{-1}(v) is either a point or minimal stable 2M\mathbb{RP}^{2}\subset M. In the first case surfaces P1(t)P^{-1}(t), EtvE\ni t\rightarrow v, are spheres shrinking to a point; in the second case, P1(t)P1(v)P^{-1}(t)\rightarrow P^{-1}(v) is a two-sheeted smooth convergence.

To prove Theorem 1.1 we choose a smooth function s:Gs:G\rightarrow\mathbb{R} in general position. It follows from our construction that we may assume that ss has no critical points in the interiors of the edges of GG. Also, we may assume that local exrema of ss are vertices of degree 11 or 22. Choose a collection of small balls {Bl}\{B_{l}\} in GG, each BlB_{l} centered at a vertex of GG. By general position we may assume that g(Bl1)g(B_{l_{1}}) and g(Bl2)g(B_{l_{2}}) are disjoint for l1l2l_{1}\neq l_{2}.

On MP1(Bl)M\setminus P^{-1}(\bigcup B_{l}) we define function f(x)=sP(x)f(x)=s\circ P(x). Clearly, connected components of f1(x)f^{-1}(x) for xMF1(Bl)x\in M\setminus F^{-1}(\bigcup B_{l}) will satisfy the desired bounds on the area, diameter and genus.

For a ball BlB_{l} around a vertex of degree 11 we have that P1(t)P^{-1}(t), tBlt\in B_{l}, is a parametrization of smooth two-sheeted convergence of spheres to a minimal 2\mathbb{RP}^{2}. By creating a small neck and then opening it we obtain a Morse foliation of P1(Bl)P^{-1}(B_{l}).

For a ball BlB_{l} around a vertex vv of degree 22 or 33 we proceed as follows. Let s1s_{1} denote the boundary point of Bl\partial B_{l} that lies on an edge directed towards vv and s2s_{2} denote the set of one or two points that lie on the edge (or edges) directed away from vv. We define a Morse foliation of the region between P1(s1)P^{-1}(s_{1}) and P1(s2)P^{-1}(s_{2}) using [CL20a, Lemma 4.2]. Recall that P1(v)P^{-1}(v) is a union of two connected smooth surfaces S1S_{1} and S2S_{2}, S2S^{2} diffeomorphic to a disc, with S2S1\partial S_{2}\subset S_{1}. P1(s2)P^{-1}(s_{2}) is diffeomorphic to a surface obtained from S1S_{1} by removing the tubular neighborhood of S2\partial S_{2} and gluing in two copies of S2S_{2}. We can fix a Morse function h:S2[0,1]h:S_{2}\rightarrow[0,1] with h1(0)=S2h^{-1}(0)=\partial S_{2} and h1(1)={p}h^{-1}(1)=\{p\} a point in S2S^{2}, such that hh has exactly one critical point of index 22 (at pp). Using Morse function hh in the construction of foliation from [CL20a, Lemma 4.2] we obtain that the genus of surfaces in the foliation is bounded by genus(S)+13genus(S)+1\leq 3 and the area is at most Area(S1)+2Area(S2)\operatorname{Area}(S_{1})+2\operatorname{Area}(S^{2}). The largest upper bounds for area will correspond to degree 33 vertices that we constructed in the proof Theorem 4.3 with Area(S1)+2Area(S2)<96πΛ0\operatorname{Area}(S_{1})+2\operatorname{Area}(S^{2})<\frac{96\pi}{\Lambda_{0}} for orientable 3-manifolds and <112πΛ0<\frac{112\pi}{\Lambda_{0}} for non-orientable 3-manifolds.

This defines the desired Morse function f:Mf:M\rightarrow\mathbb{R}. ∎

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