Bounds for the genus of a normal surface

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Abstract: This paper gives sharp linear bounds on the genus of a normal surface in a triangulated compact, orientable 3--manifold in terms of the quadrilaterals in its cell decomposition---different bounds arise from varying hypotheses on the surface or triangulation. Two applications of these bounds are given. First, the minimal triangulations of the product of a closed surface and the closed interval are determined. Second, an alternative approach to the realisation problem using normal surface theory is shown to be less powerful than its dual method using subcomplexes of polytopes.


A normal surface \(S\) in a compact triangulated \(3\)-manifold intersects the \(3\)-simplices in a number of triangles and quadrilaterals. Upper bounds for the genus of such surfaces have been obtained as a function of the number of quadrilaterals by \textit{T. Kalelkar} [Proc. Indian Acad. Sci., Math. Sci. 118, No. 2, 227--233 (2008; Zbl 1149.57034)], by \textit{J. Spreer} [Discrete Math. 311, No. 14, 1295--1309 (2011; Zbl 1235.05164)] and by \textit{B. A. Burton} and \textit{M. Ozlen} [Algorithmica 65, No. 4, 772--801 (2013; Zbl 1270.57060)].NEWLINENEWLINENEWLINEThe present authors improve previous bounds, obtaining sharp ones, and utilize results of Burton and Ozlen to bound the smallest genus of an incompressible surface in a \(3\)-manifold in terms of its complexity. Further application characterizes minimal triangulations of the product of a surface with the unit interval.NEWLINENEWLINENEWLINEBelow are some of the inequalities obtained: \(q\) denotes the number of quadrilaterals of \(S\); \(\|S\|\) denotes the Thurston norm of the homology class represented by \(S\); unless otherwise explicitly stated \(M\) is a triangulated, compact, orientable \(3\)-manifold; similarly, unless stated otherwise, \(S\) is a closed, connected, orientable normal surface in \(M\); \(\|S\|\leqslant q\), \(g\leqslant \frac{3}{2}q\).NEWLINENEWLINENEWLINEIf \(M\) is simplicially or minimally triangulated and irreducible, \(g\leqslant \frac{7}{6}q.\)NEWLINENEWLINE NEWLINEIf \(S\) is non-orientable, \(g\leqslant 3q + 1\) and this is sharp.NEWLINENEWLINE NEWLINEIf \(\partial M \neq \emptyset\) and \(S\) has \(b\) boundary components, \(g\leqslant \frac{3}{2}q - (b-1)/2\) and when \(b=2, g=q=1\) this is sharp.NEWLINENEWLINE NEWLINEIf \(S\) is incompressible, \(g\leqslant 1/{2}q\) and this is sharp if \(\partial M \neq \emptyset\) and \(g\geqslant 1 \).NEWLINENEWLINE NEWLINEIf \(M\) has complexity \(c\) and \(S\) is incompressible of minimal genus, \(g \leqslant (2c^2 + 1)(\sqrt6)^c\).











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