Thorpe
.Elementary Topics in
) ,
Differential Geometry
II
. SpringerVerlag
New York Heidelberg Berlin .
J. A. Thorpe
Department of Mathematics
State University of New York
Stony Brook, New York 11794
USA
Editorial Board
P. R. Halmos
Managing Editor
Indiana University
Department of Mathematics
Bloomington, Indiana 47401
USA
F. W. Gehring
University of Michigan
Department of Mathematics
Ann Arbor, Michigan 48104
USA
AMS Subject Classification: 5301
With 126 Figures
Thorpe, John A .
Elementary topics in differential geometry.
(Undergraduate texts in mathematics)
Bibliography: p.
Includes index.
1. Geometry, Differential. I. Title.
QA641.T36 516'.36 7823308
All rights reserved.
No part of this book may be translated or reproduced
in any form without written permission from SpringerVerlag.
1979 by SpringerVerlag New York Inc.
Printed in the United States of America.
9 8 7 6 5 432 1
ISBN 0387903577 SpringerVerlag New York
ISBN 3540903577 SpringerVerlag Berlin Heidelberg
To my patents
whOse love, support, and encouragement
over the years have to a large extent
made the writing of this book possible.
Preface
In the past decade there has been a signjfi.cant change in the freshman/
sophomore mathematics curriculum as taught at many, if nQt most, of our
colleges. This has been broqght about by the introduction of linear algebra
into the curriculUm atthca sophomore level. The advantages of using linear
algebra both u.. .. of diiTerential equations and in the teaching
of multivariate ca1culus by now widely. recognize<l Several textbooks
adoptingtbispoint of view are now available and have been widely adopted.
Students completing the sopbomoreyear now have a fair preliminary under
standing of spaces of many dimensions.
It should be apparent tbatcourses on the junior level should draw upon
and reinforcetbe eonceptsand skills learned during the previous year.
in differential geometry at least, this is usually not the case.
Textbooks directed to students at this level generally restrict attention to
2dimensional,surfaces in 3space rather than to surfaces of arbitrary
dimension. Although. most of the recent books do use linear algebra, it is
only the algebraoC The student's preliminary understanding of higher
dimensions is not .
This book 'develops the geometry of ndimettsional surfaoes in (n + 1)
space. It is designed for a Isemester differential aeometry course at the
juniorsenior level. It draws significantly on the contemporary student's
knowledge oflinear algebra, multivariate calculus, and differential equations,
thereby solidifying the student's understanding of these subjects
h
Indeed,
one of the reasons that a course in differential geometry is so valluable at
this level is that it does tum out students with a thorough understanding
of several variable calculus.
Another reason that differential geometry regularly attracts students is
that it contains ideas which are not only beautiful in themselves but are
vii
viii Preface
basic for both advanced mathematics and theoretical physics. It has been
the author's experience that students taking his course have been more or
less evenly divided between mathematics and physics majors. The approach
adopted in this book, describing surfaces as solution sets of equations,
seems to be especially attractive to physicists.
The book considers from the outset the geometry of orientable hyper
surfaces in [R" + 1, exhibited as inverse images of regular values of smooth
functions. By considering only such hypersurfaces for the first half of the
book, it is possible to move rapidly into interesting global geometry without
getting hung up on the development of sophisticated machinery. Thus, for
example, charts (coordinate patches) are not introduced until after the
initial discussions of geodesics, parallelism, curvature, and convexity. When
charts are introduced, it is as a tool for computation. However, they then
lead the development naturally into the study of focal points and surfaces
of arbitrary codimension.
One of the advantages of treating the geometry of ndimensions from the
outset is that one can then illustrate each concept simultaneously in each
of the low dimensions. Thus, for example, the student's understanding of
the Gauss map and its (spherical) image is aided by the possibility of
studying Idimensional examples, where the spherical image is a subset of
the unit circle.
The main tool used in developing the theory is that of the calculus of
vector fields. This seems to be the most natural tool for studying differential
geometry as well as the one most familiar to undergraduate students of
mathematics and physics. Differential forms are not introduced until fairly
late in the book, and then only as needed for use in integration.
Students who have completed a good 2year calculus sequence including
linear algebra and differential equations should be adequately prepared to
study this book. There are occasional places (e.g., in Chapter 13 on convexity)
where some exposure to the ideas of mathematical analysis would be helpful,
but not essential.
There is probably more material here than can be covered comfortably
in one semester except by students with unusually strong backgrounds.
Chapters 112, 14, 15, 22, and 23 contain the core of basic material which
should be covered in every course. Most instructors will probably also want
to cover at least parts of Chapters 17, 19, and 24.
Preface ix
The interdependence of the chapters is as follows:
A few concepts in the early part of C h ~ p t e r 13 are used in later chapters
but these may be studied, by those skipping Chapter 13, as needed.
Like the author of any textbook, lowe a considerable debt to researchers
and textbook writers who have preceded me and to teachers, colleagues,
and students who have influenced me. While I cannot explicitly acknowledge
all these, I must at least credit M. do Canno and E. Lima whose paper,
Isometric immersions with semidefinite second quadratic forms, Arch. Math.
20 (1969) 173175, inspired the treatment of convex surfaces in Chapter 13,
and S. S. Chern whose paper, A simple intrinsic proof of the GaussBonnet
formula for closed Riemannian manifolds, Ann. of Math. (2) 45 (1944)
747752, inspired the treatment ofthe GaussBonnet theorem in Chapter 21.
In addition, special thanks are due to Wolfgang Meyer whose comments on
the manuscript have been extremely helpful.
Stony Brook, New York
November, 1978
JOHN A. THORPE
Chapter 1
Graphs and Level Sets
Chapter 2
Vector Fields
~ a p t e r 3
The Tangent Space
~ h a p t e r 4
Surfaces
Chapter 5 
Vector Fields on Surfaces; Orientation
Chapter 6
The Gauss Map.
ytmpter 7
Geodesics
Chapter 8
Parallel Transport
Contents
1
6
13
16
23
31
38
45
xi
xii
Chapter 9
?'he Weingarten Map
Chapter 10
of Plane Curves
Chapter 11
Length and Line Integrals
Chapter 12
of Surfaces
Chapter 13
Convex Surfaces
Chapter 14
/parametrized Surfaces
Chapter 15
Aocal Equivalence of Surfaces and Parametrized
Surfaces
Chapter 16
Focal Points
Chapter 17
Surface Area and Volume
Chapter 18
Surfaces
Chapter 19
The Exponential Map
Chapter 20
Surfaces with Boundary
Chapter 21
The GaussBonnet Theorem
Chapter 22
Rigid Motions and Congruence
Contents
53
62
68
82
95
108
121
132
139
156
163
177
190
210
Contents
xiii
Chapter 23
Isometries
220
Chapter 24
Riemannian Metrics
231
Bibliography
245
Notational Index
247
Subject Index
249
1
Associated with each real valued function of several real variables is a collec
tion of sets, called level sets, which are uSerulin'studying qualitative proper
ties of the function. Given a functionf: U . R, where U c:. R" + I, its level sets
are the sets fI(C) defined, for each real number c, by
fI(C) == {(Xb ... , X,,+l) e U:f(xl:; ... , X.+l) == c}.
The number c is caned the height of the level set, andfI(c) is called the level
set at height c. Since fl(C) is the solution set of the equation
f(Xb ... , xa+ . ),c, the level set f:l(C) is often described as "the set
f(Xb ... , X.+l)= c."
The "level set" and "height" termmotops arise from the relation be
tween' the level sets or a function .t.4$ismpQ., The . graph of a function
f: U . R is the subset of R" + 2 defined by
graph(f)= {(Xb . !nX,,+l) e R,,+2,:, (Xb . "' . .J.+ I) e U
andx,,+l ... :
F ore O,'the Iovefset of f at height t Jajusf tile set of aU points in the
domain offoverWbich the graphiSat4istance t(eoeFipre For c < 0,
the setorfat heiabtciSjust tile set of atlfJOmtsin . the domain of funder
which 'the graph lies at" .tan(j':.....c. ,i
For example, thelevelsetsf1(c)ofthefunctionf(x., ... , x,,+b= +
... + xl:.: tlte'emPty f01c< 0, COiISist of. sift .. poinrtthe origin) if c = 0,
and for c 0, circles'<Ie1ltmd at the origin with
radiusJ"C if n 1, cit the origin With radius,'vIc if n= 2, etc
(see Figures 1.1 and 1.2). ..
2
11 (c)
(a): n = 0
graph of
I(xl) = xi
1 Graphs and Level Sets
11 (c) [xi + x ~ = c]
(b):n=l
Figure 1.1 The level sets fl(C) (c> 0) for the function
f(x., ... , x
n
+.) = xi + ... + X;+l'
(a): n = 0 (b):n=l (c): n = 2
Figure 1.2 Level sets for the functionf(x., ... , x
n
+.) = xi + ... + X;+l'
For n = 1, level sets are (at least for nonconstant differentiable functions)
generally curves in 1R2. These curves play the same roles as contour lines on a
topographic map. If we think of the graph off as a land, with local maxima
representing mountain peaks and local minima representing valley bottoms,
then we can construct a topographic map of this land by projecting orthog
onally onto 1R2. Then all points on any given level curve fl(C) correspond
to points on the land which are at exactly height c above" sea level"
(X3 = 0).
Just as contour maps provide an accurate picture of the topography of a
land, so does a knowledge of the level sets and ,their heights accurately
portray the graph of a function. For functions f: 1R2 + IR, study of the level
curves can facilitate the sketching of the graph off. For functionsf: 1R3 + IR,
1 Grapbs and Level Sets 3
the graph lies in 1R
4
, prohibiting sketches and leaving the level sets as the best
tools for studying the behavior of the function.
One way of visualizing the graph of a function f: U+ IR, U C 1R2, given
its level sets, is as follows. Think of a plan", parallel to the (Xh x2)plane,
moving vertically. %en it reaches height c thi&plane, X3 = C, cuts the graph
of f in the translate to this plane of the level set f  1 (c). As plane moves,
these sets generate . the graph off (see . Figure 1.3).
X3 = 2
<a>
<h}
FitUre 1.3 Level Set5.and'sraphs of ftmctiotts f: . R
Z
..... R. The label on each level set
indicates its'heisbt. (x bXZ)  xi +xi (b) A fanction with two local minima.
The same princip1ecan be used to help visualize level sets ofi functions
f: . U R, .. where U c: Rl .. Each plane Xi = constant will cut the level set
fixed} in some subset, usually 8carve.Letiing the plane move, by
changing the selected value of the xtcoordinate,. these subsets will generate
the level set f  l(C) (see Figure 1.4) .
..
4
(a)
{
Xl =  2
X3
(b)
1 Graphs and Level Sets
Xl = 0
Xl
Xl = = t
X I = 0, + = 1
xl =  = t
Figure 1.4 Level sets in as generated by intersections with the planes
Xl = constant. (a) XI + + = 1. (b) XI  + X3 = o.
EXERCISES
In Exercises 1.11.4 sketch typical level curves and the graph of each
function.
1.1. f(Xh X2) = Xl.
1 Graphs and Level Sets
1.2. f(Xh X2) = XI  X2'
1.3. f(Xh X2) = xi  x ~ .
5
1.4. f(Xh X2) == 3r
8
 8r6 + 6r
4
where r2 == xi + x ~ . [Hint: Find and identify the
critical points off as a function of r.J
In exercises 1.51.9 sketch the level setsjl(c), for n = 0, 1, and 2, of each
function at the heights indicated.
1.5. f(Xh X2, ... , X,,+ I) = X,,+ I; C = 1,0, 1,2.
1.6. f(Xh X2, ... , X,,+V
I
) = Oxi + x ~ + ... + X ~ + I ; C == 0, 1,4.
1.7. f(Xh X2, ... , X,,+I) = XI  x ~ '"  X;+I; C = 1,0, 1,2.
1.8 .. f(Xh X2, ... , X,,+I) = xi  x ~ '"  X;+I; C = 1,0, 1.
1.9. f(Xh X2, ... , X,,+ 1) == xi + xi!4 + ... + x!+ d(n + 1)2; C = 1.
1.10. Show that the graph of any function/: R" + R is a level set for some function
F: RII+ 1+ R
2
Vector Fields
The tool which will allow us to study the geometry of level sets is the
calculus of vector fields. In this chapter we develop some of the basic ideas.
A vector at a point p E IR
n
+ 1 is a pair v = (p, v) where v E IR
n
+ 1. Geomet
rically, think of v as the vector v translated so that its tail is at p rather than
at the origin (Figure 2.1). The vectors at p form a vector space IR; + 1 of
v
I,V)
p
Figure 2.1 A vector at p.
dimension n + 1, with addition defined by (p, v) + (p, w) = (p, v + w)
(Figure 2.2) and scalar multiplication by c(p, v) = (p, cv). The set
{(p, VI), ... , (p, v
n
+ I)} is a basis for IR;+ 1 where {VI' ... , v
n
+ I} is any basis for
IR
n
+ 1. The set of all vectors at all points of IR
n
+ 1 can be identified (as a set)
with the Cartesian product IR
n
+ 1 X IR
n
+ 1 = 1R2n + 2. However note that our
rule of addition does not permit the addition of vectors at different points of
IRn+ 1.
Given two vectors (p, v) and (p, w) at p, their dot product is defined, using
the standard dot product on IR
n
+ 1, by (p, v) (p, w) = v .. w. When (p, v) and
6
2 Vector Fields 7
J;?V+W
P
Figure 2.2 Addition of vectors at p.
(p, w) E R:, p e R
3
, the. cross product is also defined, using the standard
crossprodu
ct
on,R\by (P,v)x(P,'w) = (p,V)(w).
Usitt. t:::(p, v) at .p ,and the
anglel1betweetf tWo andw == (p, w) are defined by
1 )1/2
cos (J ==V 11"11
.. i. a function point
of U. a vector at :diatptfb:tt. Thus
',r\ZI..a2 . ';.,.w+ 1 f: '1'
for .. .. are 0 ten most easl y
X. Three typical vector fields
:f'iJute23. ,
( " .
,.... 

.. ...... 
 .. ",
 '_"

,\ t / /
/

....... 7+"', .....
/' I '"
Il\ \
(a): X(P) == (1,01 (b): X(p). p
Fil\U'e2.3 Vector fields on R2: X(P) (p, X(P.
We shall deal in 'this teifmostly with ttitrotiOnl' 8nd vector fields that are
smooth. function f: U "+ R (Uan opent set inR"+j1) is smooth if alljts
partial derivatives of orders exist and are continuous. 1j\ function
f: U"+ is smooth if each component function h:U"+ R (f(P) =
(f1 (p), ... ,h(P. forp E U) is smooth. A vector field X on U is smooth if the
associated function X: U"+ R
n
+ 1 is smooth.
t R.ecall that U c:: R" + 1 is open if for each p e U there is an t > 0 such that q e U
whenever IIq  pil < t.
8
2 Vector Fields
Associated with each smooth function f: U + [R (U open in [Rn + 1) is a
smooth vector field on U called the gradient Vf off, defined by
(
of Of)
(Vf)(p) = p, ; (p), ... , ~ (p) .
uX. uXn+.
We shall see that this vector field plays an important role in the study of the
level sets off
Vector fields often arise in physics as velocity fields of fluid flows. Asso
ciated with such a flow is a family of parametrized curves called flow lines.
These" flow lines" are in fact associated with any smooth vector field and
are important in geometry as well as in physics. In geometry these flow lines
are called" integral curves".
A parametrized curve in [Rn + 1 is a smooth function rl: I + [Rn + 1, where I is
some open interval in [R. By smoothness of such a function is meant that rl is
of the form rl(t) = (Xl(t), ... , X
n
+ l(t)) where each Xi is a smooth real valued
function on I.
The velocity vector at time t (t E I) of the parametrized curve rl: 1+ [Rn+ 1
is the vector at rl( t) defined by
it(t) = ( O t ~ ~ ~ (t) ) = (ot ~ ~ / (t), ... , dX,;; 1 (t) ).
This vector is tangent to the curve rl at rl(t) (see Figure 2.4.). Ifrl(t) represents
~ (t)
Figure 2.4 Velocity vector of a parametrized curve in [R2.
for each t the position at time t of a particle moving in [Rn+ 1 then rl(t)
represents the velocity of this particle at time t.
A parametrized curve rl: I + [Rn+ 1 is said to be an integral curve of the
vector field X on the open set U in [Rn+ 1 if rl(t) E U and ~ ( t ) = X(rl(t)) for
all tEl. Thus rl has the ,property that its velocity vector at each point of
the curve coincides with the value of the vector field at that point (see
Figure 2.5).
Theorem. Let X be a smooth vector field on an open set U C [Rn+. and let
p E U. Then there exists an open interval I containing 0 and an integral curve
rl: 1+ U of X such that
(i) rl(O) = p.
2 Vector Fields
9
Figure 2 ~ 5 An integral curve of a vector field.
(ii) IffJ: 1+u is any other integral curve of X with fJ(O) = p, then 1 c I and
11ft) =rt{t)fOr all t e 1.
Remark. The integral curve (l is called the maximal integral curve of X
through p, or simply the integral curve of X through p.
PROOF. This theorem is a reformulation of the fundamental existence and
uniqueness theorem for solutions of systems offirst order differential equa
tions. 'x, being a smooth vector fietd on' U, bas the form
. X(P) = (p, Xt(P), .", XII+t(P))
where the Xi: U + R are smooth functions onU. A parametrized curve
a: 1 .: R"+ t has the foim .
a(t) = (Xt(t), ... , xlI+t(t))
where the Xi: 1+ Rare smooth.functions on 1. The velocity of a is
ci(t) = ( I t ( t ~ ~ 1 (t ~ ... , dx,;; 1 (t) ).
The requirement that abe an integral curve of X says that ti(t) = X(a(t)), or
dXl
;jt(t) = Xt(Xt(t), ... , x,,+t(t))
(E)
10 2 Vector Fields
This is a system of n + 1 first order ordinary differential equations in
n + 1 unknowns. By the existence theorem for the solutions of such
equations,t there exists an open interval 11 about 0 and a set Xi: I 1 ~ ~ of
smooth functions satisfying this system subject to the initial conditions
Xi(O) = Pi for i E {I, ... , n + I}, where P = (Ph.., Pn+ d Setting Pl(t) =
(X 1 (t), ... , Xn + 1 (t)) for this choice of functions yields an integral curve
Pl: 11 ~ U of X with Pl(O) = p.
By the uniqueness theorem for the solutions of first order ordinary differ
ential equations,t if Xi: 12 ~ ~ is another set of functions satisfying the
system (E) together with the initial conditions Xi(O) = Pi' then Xi(t) = Xi(t)
for all tEll (\ 1
2
In other words, if P2: I 2 ~ U is another integral curve of
X with P2(0) = P then Pl(t) = P2(t) for all tEll (\ 1
2
It follows from this
that there is a unique maximal integral curve (X of X with (X(O) = P (its
domain is the union of the domains of all integral curves of X which map 0
to p) and that if p: 1 ~ U is any other integral curve of X with P(O) = P then
P is simply the restriction of (X to the smaller interval 1. 0
EXAMPLE. Let X be the vector field X(p) = (p, X(p)) where X(Xl' x
2
) =
(X2' xd (Figure 2.3.(c)). A parametrized curve (X(t) = (x
1
(t), X2(t)) is an
integral curve of X if and only if the functions x
1
(t) and X2(t) satisfy the
differential equations
dX2
dt = Xl
The general solution of this pair of equations is
x
1
(t) = C
1
cos t + C
2
sin t
x
2
(t) = C
1
sin t  C
2
cos t.
Thus the integral curve of X through the point (1,0) (with Xl(O) = 1 and
X2(0) = 0) is
(X(t) = (cos t, sin t),
whereas the integral curve through an arbitrary point (a, b) (with x
1
(0) = a
and X2(0) = b) is
P(t) = (a cos t  b sin t, a sin t + b cos t)
(see Figure 2.6).
t See e.g. W. Hurewicz, Lectures on Ordinary Differential Equations, Cambridge, Mass.:
M.I.T. Press (1958), p. 28.
2 Vector Fields
integral curve through (1, 1)
Figure 2.6 Integral curves of the vector field X(Xh X2) = (Xl, X2, X2, Xl).
EXERCISES
2.1. Sketch the following vector fields on R2: X(p) = (p, X(p where
(a) X(p) = (0, 1) (d) X(Xh X2) = (X2' xd
(b) X(p) = p (e) X(Xh X2);::: (2X2' txt>.
(c) X(Xh X2) = (X2, ,Xl)
2.2. Find and sketch the gradient field of each of the following functions:
(a) f(Xh X2) = Xl + X2
(b) f(xtt X2) = xi + x ~
(c) f(Xh X2) = Xl  x ~
(d) f(Xh X2) = (xf xH/4.
2.3. The divergence of af}smooth vector field X on U c R"+I,
X(p) = (p, X I (p), ... , XII + l(P for p e U,
11
is the function div X: U + R defined by div X = ~ ) . ! f (oXi/ox,). Find the
divergence of each of the vector fields in Exercises 2.1 and 2.2.
2.4. Explain why an integral curve of a vector field cannot cross itself as does the
parametrized curve in Figure 2.4.
2.5. Find the integral curve through p = (1, 1) of each of the vector fields in Exer
cise 2.1.
2.6. Find the integral curve through p = (a, b) of each of the vector fields in Exer
cise 2.1.
2.7. A smooth vector field X on an open set U of R"+ I is said to be complete if for
each p e U the maximal integral curve of X through p has domain ,qual to IR.
Determine which of the following vector fields are complete:
(a) X(Xh X2) = (Xh X2, 1,0), U = R2.
(b) X(Xh X2) ;::: (Xh X2, 1,0), U = 1R2  {(O, O)}.
(c) X(Xh X2) = (Xh X2, X2' X I ~ U = 1R2  {(O, O)}.
(d) X(Xh X2) ;::: (Xh X2, 1 + xi, 0), U = R2.
12 2 Vector Fields
2.8. Let U be an open set in IRn+ 1, let p E U, and let X be a smooth vector field on
U. Let rt: 1+ U be the maximal integral curve of X through p. Show that if
p: 1 + U is any integral curve of X, with P(t
o
) = p for some to E 1, then P(t) =
rt(t  to) for all t E 1. [Hint: Verify that if P is defined by P(t) = P(t + to) then P
is an integral curve of X with P(O) = p.]
2.9. Let U be an open set in IR
n
+ 1 and let X be a smooth vector field on U. Suppose
rt: I + U is an integral curve of X with rt(O) = rt(to) for some to E I, to =1= O.
Show that rt is periodic; i.e., show that rt(t + to) = rt(t) for all t such that both t
and t + to E I. [lfint: See Exercise 2.8.]
2.10. Consider the vector field X(Xh X2) = (Xh X2, 1,0) on 1R2. For t E IR and
p E 1R2, let CPt(p) = rtp(t) where rtp is the maximal integral curve of X through p.
(a) Show that, for each t, CPt is a one to one transformation from 1R2 onto itself.
Geometrically, what does this transformation do?
(b) Show that
CPo = identity
CPt1 +t2 = CPt1 0 CPt2 for all t l> t2 E IR
CPt = CPt
1
for all t E IR.
[Thus tl+CPt is a homomorphism from the additive group of real numbers into
the group of one to one transformations of the plane.]
2.11. Repeat Exercise 2.10 for the vector fields
(a) X(Xl> X2) = (Xl> X2' X2, xd
(b) X(Xh X2) = (Xl> X2, Xl> X2)
(c) X(Xh X2) = (Xl> X2, X2, xd
2.12. Let X be any smooth vector field on U, U open in IR"+ 1. Let CPt(p) = rtp(t) where
rtp is the maximal integral curve of X through p. Use the uniqueness ofmtegral
curves to show that CPt1(CP
t
2(P)) = CPt 1 +t2(P) and CPt(p) = cP; 1(p) for all t, th and
t2 for which all terms are defined. [cpt is called the local Iparameter group
associated to X.]
The Tangent Space
3
Letf: U + R be a smOOth function, where U c R"+ 1 is an open set, let c e R
be such is nonempty, and let p efl(c). A vector at p is said to
be tangent to the level set fl{C) if it is a velocity vector of a parametrized
curve in R"+ 1 whose image is containedinfl(c) (see Figure 3.1).
} (c)
(a): n 1 (b): n = 2
Figure 3.1 Tangent vectors to level sets.
Lemma. The gradient off at p efl(c) is orthogonal to all vectors tangent to
fl(c) at p.
PROOF. Each vector tangent to fl(c) at p is of the form ci(t
o
) for some
parametrized curve ex: I R"+ 1 with ex(t
o
) = p and Image ex Cfl(c). But
Image ex c f  1 (c) implies f (ex ( t = c for all tel so, by the chain rule,
o =:t (f 0 ex)(t
o
) = Vf(ex(t
o
" ci(t
o
) = Vf(p) ci(t
o
) 0
13
14 3 The Tangent Space
IfVf(p) = 0, this lemma says nothing. But ifVf(p) =1= 0, it says that the set
of all vectors tangent to fl(C) at p is contained in the ndimensional vector
subspace [Vf (p)]1. of ~ ~ + 1 consisting of all vectors orthogonal to Vf (p). A
point P E ~ n + 1 such that Vf(p) =1= 0 is called a regular point off.
Theorem. Let U be an open set in ~ n + 1 and letf: U ~ ~ be smooth. Let p E U
be a regular point off, and let c = f (p). Then the set of all vectors tangent to
fl(C) at p is equal to [Vf(p)]1..
PROOF. That every vector tangent tofl(C) at p is contained in [Vf(p)]1. was
proven as the lemma above. Thus it suffices to show that, if v = (p, v) E
[Vf(p)]l., then v = a(O) for some parametrized curve (X with Image
(X cfl(C). To construct (x, consider the constant vector field X on U defined
by X(q) = (q, v). From X we can construct another vector field Y by sub
tracting from X the component of X along Vf:
X(q) Vf(q)
Y(q) = X(q)  IIVf(q)11 2 Vf(q).
The vector field Y has domain the open subset of U where Vf =1= O. Since p is
a regular point of f, p is in the domain of Y. Moreover, since X(p) = V E
[Vf(p)]l., Y(p) = X(p). Thus we have obtained a smooth vector field Y such
that Y(q) 1 Vf(q) for all q E domain (Y), and Y(p) = v.
Now let (X be an integral curve of Y through p. Then (X(O) = p,
a(O) = Y((X(O)) = Y(p) = X(p) = v and
:J;; Vf(lX(t)) "/ Vf(lX(t)) / 0
chain since (X is since Y 1 Vf
rule an integral
curve of Y
for all t E domain (x, so thatf((X(t)) = constant. Sincef((X(O)) = f(p) = c, this
means that Image (X c f  1 (c), as required. 0
Thus we see that at each regular point p on a level setfl(c) ofa smooth
function there is a well defined tangent space consisting of all velocity vectors
at p of all parametrized curves infl(c) passing through p, and this tangent
space is precisely [V f(p)]1. (see Figure 3.2).
EXERCISES
3.1. Sketch the level sets fl( 1), f
1
(0), and fl(l) for f(x., ... , x
n
+ 1) = xi +
., . + x ~  X ~ + 1; n = 1, 2. Which points p of these level sets fail to have tangent
spaces equal to [Vf(p)JL?
3 The Tangent Space 15
tangent space
at p
(a): n == 1
(b): n = 2
Figure 3.2 Tangent space at a typical point of the level set where
f(Xh ... , xlI+d = xf + ... + X;+l ..
3.2. Show by example that
(a) The set of vectors tangent at a point p of a level set need not in general be a
vector subspace of R;+ 1. .
(b) The set of vectors tangent at a point p of a level set might be all of R;+ 1.
3.3. Sketch the level set f  1 (0) and typical values Vf (p) of the vector field Vf for
p when
(a) f(Xh X2) = xf +  1
(b) f(Xh X2) = xf   1
(c) f(Xh X2) = xf 
(d) f(Xh X2) = Xl  .
3.4. Let f: U + Rbe a smooth function, where U c R"+ 1 is an open set, and let
IX: 1+ U be a paratnetrized curve. Show thatf 0 IX is constant (i.e., the image of IX
is contained in a level set of f)' if and only if IX is everywhere orthogonal to the
gradient off (i.e., if and only if (t) J.. Vf(IX(t for all tel).
3.5. Let f: U + III be a smooth function and let IX: 1 + U be an integral curve of Vf. .
(a) Show that (d/dt)(f 0 IX)(t) = IIVf(IX(t112 for all tel.
(b) Show that for each to E I, the functionfis increasing faster along IX at IX(to)
then along any other curve passing through a(to) with the same speed (i.e.,
show that if p: 1+ U is such that P(so) = IX(to) for some So E 1 and
IIP(so)11 = 11(to)11 then (d/dt)(f oIX)(to) (d/dt)(f 0 P)(to.
. '
4
Surfaces
A surface of dimension n, or nsurface, in IR
n
+ 1 is a nonempty subset S of
IR
n
+ 1 of the form S = f1(C) where f: U ~ IR, U open in IR
n
+ 1, is a smooth.
function with the property that Vf(p) =1= 0 for all pES. A 1surface in 1R2 is
also called a plane curve. A 2surface in 1R3 is usually called simply a surface.
An nsurface in IR
n
+ 1 is often called a hypersurface, especially when n> 2.
By the theorem of the previous chapter, each nsurface S has at each point
PES a tangent space which is an ndimensional vector subspace of the space
I R ~ + 1 of all vectors at p. This tangent space will be denoted by S p' It is
important to notice that this tangent space S p depends only on the set Sand
is independent of the function f which is used to define S. Indeed, S p is
characterized as the set of all vectors at p which can be obtained as velocity
vectors of parametrized curves in IR
n
+ 1 with images lying completely in S. Iff
is any smooth function such that S = f1(C) for some c E IR and Vf(p) =1= 0
for all PES (by definition of nsurface, there must exist one such a function;
in fact there are many such functions for each nsurface S) then Sp may also
be described as [Vf(p)]L.
EXAMPLE 1. The unit nsphere xi + ... + x; + 1 = 1 is the level set f  1 (1 )
where f(x
h
... , X
n
+ 1) = xi + ... + X;+ 1 (Figure 3.2). It is an nsurface be
cause Vf(x
h
... , X
n
+ d = (Xh ... , X
n
+ h 2Xh ... , 2xn+ 1) is not zero unless
(Xh ... , X
n
+ 1) = (0, ... , 0) so in particular Vf(p) =1= 0 for p E f1(1). [Warn
ing! Beware that for a vector (p, v) E I R ~ + 1 to be zero it is only necessary that
v = 0; thus (Xh ... , X
n
+
h
2Xh ... ,2x
n
+
1
) = o implies 2X1 = ... = 2Xn+1 = 0
so (Xl' ... , X
n
+ 1) = 0.] When n = 1, the unit nsphere is the unit circle.
EXAMPLE 2. For 0 =1= (aI' ... , a
n
+ 1) E IR
n
+ 1 and b E IR, the nplane
a1x1 + ... + an+1xn+1 = b is the level setf1(b) wheref(x
h
... , x
n
+
1
) =
16
4 Surfaces 17
is never zero. A Iplane is usually called a line in 1R1, a 2plane is usually
caned simply a plane in R
3
, and an for n > 2 is sometimes caned a
hyperplane in R"+ 1. Two different values ofb with the same value of
(aI' ... , a,.+d define parallel nplanes (see 4.1).
(a): n = 1
Vj(p)= (p, 1,  2,  3)
(b): n = 2
Figure 4.1 Parallel b = 2, 1,0, 1, where
f(Xh .. " xlI+d =  Xl 2X2  3X3  ...  (n + I)X
II
+I'
EXAMPLE 3. Let I: U + R be a smooth function on U, U open in R". The
graph off,' I
graph(/) = {(Xh ... , xit+d E R"+I: X,,+1 =/(Xb ... , x,,)}
is an nsurface in R"+ 1 since graph (I) = gI(O) where
g(Xl' ... , X,,+ 1) = X,,+1  I(Xh ... , x,,)
18 4 Surfaces
and Vg(Xh ... , X
n
+1) = (Xh ... , Xn+h Of/OXh"" of/oxn, 1) is never
zero.
EXAMPLE 4. Let S be an (n  1)surface in IR
n
, given by S = f1(C), where
f: U IR (U open in IRn) is such that Vf(p) =1= 0 for,all p Ef1(C). Let
g: U
1
IR, where U
1
= U x IR = {(Xh ... , X
n
+1) E IR
n
+
1
: (Xh ... , xn) E U},
be defined by
g(Xh ... , X
n
+ 1) = f(x
h
... , Xn)
Then gl(C) is an nsurface in IR
n
+ 1 because
Vg(x" """' x.+.) = (x., """' x.+., , """' ::',0)
and Of/OXh ... , of/oxn cannot be simultaneously zero when
g(Xh ... , X
n
+ 1) = f(Xh ... , Xn) = c because Vf(Xh"" xn) =F 0 whenever
(Xh ... , xn) E f1(C). The nsurface gl(C) is called the cylinder over S (see
Figure 4.2).
(a): n = 0
Xl
Osphere
in 111
(b): n = I
Xl
Isphere
(unit circle)
in JR.2
Figure 4.2 The cylinder g1(1) over the nsphere: g(X1' ... , X
n
+ d = xi + ... + x;.
EXAMPLE 5. Let C be a curve in 1R2 which lies above the x Iaxis. Thus
C = f1(C) for some f: U IR with Vf(p) =1= 0 for all p E C, where U is
contained in the upper half plane X
2
> O. Define S = g l(C) where
g: U x IR IR by g(Xh X2' X3) = f(Xh + Then S is a 2surface
(Exercise 4.7). Each point p = (a, b) E C generates a circle of points of S,
namely the circle in the plane Xl = a consisting of those points
(Xh X2, X3) E 1R3 such that Xl = a, + = b
2
. S is called the surface of
revolution obtained by rotating the curve C about the X Iaxis (see Figure
4.3).
4 SurfaceS
t9
Figure 4.3 The surface of revolution S obtained by rotating the curve C about the
xlaxis.
lbeorem. Let S be an nsurface in IR"+ 1, S = fl(C) where f: U + IR is such
that Vf(q) =1= Of or all q E S. Suppose g: U + IR is a smooth function and pE S
is an extreme point of g on S; i.e., either g( q) ~ g(p )for all q E S or g( q) ~ g(p)
for all q E S. Then there exists a real number l such that Vg(p) = lVf(p). (The
number l is called a Lagrange multiplier.)
PROOF, The tangent space to S at p is S" = [Vf(P)]l. Hence Si is the 1
dimensional subspace of IR;+ 1 spanned by Vf (P). It follows, then, that
V g(p) = l Vf (P) for some l IR if (and only if) V g(p) E S;; i.e., if (and only if)
Vg(p) v = 0 for all v E S". But each'v E S" is of the form v = ci(t
o
) for some
parametrized curve ex: 1 + S and to E I with ex(to) = p. Since p = ex(t
o
) is an
extreme point of g on S, to is an extreme point of g 0 ex on 1. Hence
0= (f 0 ex)'(t
o
) = Vg(ex(to}} ci(t
o
) = Vg(p) v
for all v E S" and s ~ Vg(p) = lVf(P) for some A., as required.
o
Remark. IfS is compact (closed and boundedt) then every smooth function
g: U + IR attains a maximum on S and a minimum on S. The above theorem .
can then be used to locate candidates for these extreme points. If S is not
compact, there may be no extrema.
EXAMPLE. tet S be the unit circle x ~ + xi = 1 and define g: 1R2 + IR by
g(Xh X2) = a x ~ + 2bx
1
X2 + cxi . where a, b, c E IR (see Figure 4.4). Then
S = fl(l) where f(x
h
X2) = x ~ + xi,
and
t S is closed if R"+ 1  S is open; S is bounded if there exists MeR such that n p ~ < M
for all peS.
20
4 Surfaces
Figure 4.4 Level curves of the function g(Xl' Xl) = axf + 2bxIXl + cxi
(ac  b
l
> 0), The four points where these curves are tangent to the unit circle S
are the extreme points of g on S '.
so Vg(p) = AV!(p) for p = (Xl' X2) E S if and only if
or
J2aXI + 2bx2 = 2AXI
\2bxI + 2CX2 = 2AX2
Thus the extreme points of g on S are eigenvectors of the symmetric matrix
(b ~ ) . Note that if
is an eigenvector of (b ~ ) then
axi + 2bx,x
2
+ cxi = (x, x2 )(: ~ )(::)
= (x,X
2
)l(::) = l(xi + xi) = l
so the eigenvalue A is just g(p), where p = (x h X 2)' Since a 2 x 2 matrix has
only two eigenvalues, these eigenvalues are the maximum and minimum
values of g on the compact set S.
4 Surfaces
21
EXERCISES
4.1. For what values of e is the level set fl(e) an nsurface, where
(a) f(x., ... , X,,+l) = xi + ... + X:+l
(b) f(x., ... , X,,+l) = xi + ... + x:  X:+l
(c) f(x., ... , X,,+l) = Xl Xl ... X,,+l + 1
4.2. Show that the cylinder xl + xi = 1 in Il
3
can be represented as a level set of
each of the following functions:.
(a) f(x., Xl, X3) = xi +
(b) f(x., Xl, X3) == xl  xi
(c) f(x., Xl, X3) = 2xi + 2xi + sin(xt + xU.
4.3. Show that if an nsurface S is represented both asfl(e) and as gl(d) where
Vf(p) =F 0 and Vg(p) =F 0 for all peS, then for each peS, Vf(p) = AVg(p) for
some real number A =F O.
4.4. Sketch the graph of the function /: R
l
.... R given by I(x., Xl)   3xi Xl'
[Hint: First find the level In what region of the plane isf> O? Where
is f < O?] The 2surface graph (f) is called a monkey saddle. (Why?)
4.5. Sketch the cylinders f 1 (0) where
(a) f(x., Xl) == Xl
(b) f(x., Xl, X3) = Xl 
(c) f(x., Xl, X3) = (xt/4) + (xi/9)  1
4.6. Sketch the cylinder e)Ver the graph off(x) = sin x.
4.7. Verify that a surface of revolution (Example S) is a 2surface.
4.8. Sketch the surface of revolution obtained by rotating C about the X Iaxis,
where C is the curve
(a) Xl = 1 (cylinder)
(b) xi + xi = 1, xl> 0 (Isheeted hyperboloid)
(c) xl + (Xl  2)1 = 1 (torus)
4.9. Show that the set S of all unit vectors at all points of Rl forms a 3surface in 1Il4.
[Hint: (Xh Xl, X3, X4) e S if and only if xJ + xl 1.]
4.10. Let S = fl(e) be a 2surface in 1Il
3
which lies in the half space X3 > O. Find a
function g: U .... III (U open in 1Il4) such that gl(e) is the 3surface obtained by
rotating the 2surface S about the (x h xl)plane.
4.11. Let a, b, e e III be such that ae  b
l
> O. Show that the maximum and mini
mum values of the function g(x h Xl) = xi +' on the ellipse axi + 2bx 1 Xl +
ex! = 1 are ofthe form l/Al and l/Al where Al and Al are the eigenvalres ofthe
matrix (:
4.12. Show that the maximum and minimum values of the function
g(Xh ... , X,,+l) = ajjxjxJ on the unit nsphere xi + ... + X:+l = 1,
where (au) is a symmetric n x n matrix of real numbers, are eigenvalues of the
matrix (ajJ).
22 4 Surfaces
4.13. Show that if S is an nsurface in !R"+ 1, g: !R"+ 1 + !R is a smooth function, and
PES is an extreme point of g on S, then the tangent space to the level set of g
through P is equal to Sp, the tangent space to S at p, provided Vg(p) =f. 0 (see
Figure 4.4).
4.14. Let S be an nsurface in !R"+ 1 and let Po E !R"+ 1, Po S. Show that the shortest
line segment from Po to S (if one exists) is perpendicular to S; i.e., show that if
PES is such that IIpo  pII2 ::;; IIpo  qll2 for all q E S then (p, Po  p) 1. Spo
[Hint: Use the Lagrange mUltiplier theorem.] Show also that the same conclu
sion holds for the longest line segment from Po to S (if one exists).
4.15. !R
4
may be viewed as the set of all 2 x 2 matrices with real entries by identifying
the 4tuple (Xl> X2, X3, X4) with the matrix
The subset consisting of those matrices with determinant equal to 1 forms a
group under matrix multiplication, called the special linear group SL(2). Show
that SL(2) is a 3surface in !R
4
4.16. (a) Show that the tangent space SL(2)p to SL(2) (Exercise 4.15) at p = (A ~ ) can
be identified with the set .of all 2 x 2 matrices of trace zero by showing that
[Hint: Show first that if
cx(t) = (Xl(t) X2(t))
X3(t) X4(t)
is a parametrized curve in SL(2) with cx(to) = (A ~ ) then (dxt/dt)
(to) + (dX4/dt)(to) = O. Then use a dimension argument.]
(b) What is the tangent space to SL(2) at q = (! D?
4.17. (a) Show that the set SL(3) of all 3 x 3 real matrices with determinant equal to
1 is an 8surface in !R
9
(b) What is the tangent space to SL(3) at
p = ( ~ ! n?
Vector Fields on Surfaces; 5
Orientation .
A vector field X on an nsurface S c 1R"+ 1 is a function which assigns to each
point pinS a vector X(p)e IR;+ 1 at p.1f X(p) is tangent to S (i.e., X(p) ESp)
for each p_E S, X is said ,to be a tangent vector field on S.IfX(p) is orthogonal
to S (i.e., X(p) E S ~ ) for each PES, X is said to be a normal vector field on S
(see Figure 5.1).
(a)
(b)
Figure 5.1 Vector fields on the Isphere: (a) a tangent vector field, (b) a normal
vector field.
As usual, we shall work almost exclusively with functions _ and vector
fields which are smooth. A function g: S + IR", where S is an ns,rface in
IR
n
+ 1, is smooth if it is the restriction to S of a smooth function g: V + IR"
defined on some open set V in IR
n
+ 1 containing S. Similarly, a vector field X
on S is smooth if it is the restriction to S of a smooth vector field defined on
some open set containing S. Thus, X is smooth if and only if X: S + IR
n
+ 1 is
smooth, where X(p) = (p, X(p)) for all pES.
23
24 5 Vector Fields on Surfaces; Orientation
The following theorem extends to nsurfaces the theorem of Chapter 2 on
the existence and uniqueness of integral curves.
Theorem 1. Let S be an nsurface in IR
n
+ 1, let X be a smooth tangent vector
field on S, and let pES. Then there exists an open interval I containing 0 and a
parametrized curve IX: I + S such that
(i) IX(O) = P
(ii) 1i(t) = X(IX(t)) for all tEl
(iii) If p: 1+ S is any other parametrized curve in S satisfying (i) and (ii), then
1 c I and P(t) = IX(t)for all t E 1.
A parametrized curve IX: 1+ S satisfying condition (ii) is called an inte
gral curve of the tangent vector field X. The unique IX satisfying conditions
(i)(iii) is the maximal integral curve of X through pES.
PROOF. Since X is smooth, there exists an open set V containing S and a
smooth vector field :l on V such that :l(q) = X(q) for all q E S. Letf: U + IR
and c E IR be such that S = f1(C) and Vf(q) =1= 0 for all q E S. Let
W = {q E U n V: Vf(q) =1= O}.
Then W is an open set containing S, and both :l and fare defined on W. Let
Y be the vector field on W, everywhere tangent to the level sets off, defined
by
Y(q) = X(q)  (X(q) . Vf(q)/IIVf(q)11
2
)Vf(q).
Note that Y(q) = X(q) for all q E S. Let IX: I + W be the maximal integral
curve of Y through p. Then IX actually maps I into S because
(f 0 IX)'(t) = Vf(IX(t)) 1i(t) = Vf(IX(t)) Y(IX(t)) = 0,
andf 0 IX(O) = f(p) = c, sof 0 IX(t) = c for all tEl. Conditions (i) and (ii) are
clearly satisfied, and condition (iii) is satisfied because any p: 1+ S satisfy
ing (i) and (ii) is also an integral curve of the vector field Y on W so the
theorem of Chapter 2 applies. 0
Corollary. Let S = f1(C) be an nsurface in IR
n
+ 1, wheref: U + IR is such that
Vf(q) =1= 0 for all q E S, and let X be a smooth vector field on U whose restric
tion to S is a tangent vector field on S. If IX: 1+ U is any integral curve of X
such that IX(t
o
) E S for some to E I, then IX(t) E S for all tEl.
PROOF. Suppose IX(t) S for some tEl, t > to. Let t1 denote the greatest
lower bound of the set
{tEl: t> to and IX(t) S}
Then f(IX(t)) = c for to ~ t < t1 so, by continuity, f(IX(t
1
)) = c; that is,
IX(t
1
) E S. Let p: 1+ S be an integral curve through IX(t
1
) of the restriction of
5 Vector FieldS on Surfaces; Orientation 25
X to S. Then Pis also an integral curve oCx, sending 0 to !X( t 1 as is the curve
& defined by &(t) = (X(t + tl)' By uniqueness of integral curves, (X(t) =
&(t  t
1
) = P(t  t
1
) E S for all t such that t 'tl is in the common domain
of & and p. But this contradicts the facrthat !X(t) S for values of t arbitrarily
close to t
1
Hence (X(t) E S for all tel with t> to. The proof for t < to is
0
A subset S of IR
n
+ 1 is said to be connected if for each pair p, q of points in
S there is a continuous map (X: [a, b] + S, from some closed interval [a, b]
into S, such that (X(a) = p and (X(b) =q. Thus S is connected if each pair of
points inS can be joined bya continuous,but not necessarily smooth, curve
which lies completely inS. Note, for example, that the nsphere (Figure 5.2)
is connected if and only if n 1 (Exercise
(a): n = 0 (b): n = 1 (c): n = 2
Figure 5.2 The nsphere xi + ... + 1 = 1 is connected if and only if n 1.
In this book, we shall deal almost exclusively with connected nsurfaces.
As we shall see in Chapter 15 (see Exetcise any nsurface Sand
any PES, the subset ofSconsisting of all pointsofS which can be joined to
P by a continuous curve in S is itself an n .. surface,and it is connected. Hence
we can study S by studying separately each of these" connected compon
ents" of S.'
'Theorem 1. Let S c: IR
n
+ 1 be a connected nsurface in IR" + 1. Then there exist
on S exactly two smooth unit normal vector fields N 1 and N 2, and N 2 (P) =
N
1
(P)for all pe S.
PROOF. Letf: U + IR and c e IR be such that S = fl(C) and Vf(p) ::/= 0 for all
pES. Then the vector field N 1 on S defined by
Vf(P)
N
1
(p) = I/
V
f(p)/I ' PES
clearly has the required properties, as does the vector field N 2 defined by
N
2
(p) = N
1
(p) for all pES.
To show that these are the only two such vector fields, suppose N3 were
26 5 Vector Fields on Surfaces; Orientation
another. Then, for each PES, N
3
(p) must be a multiple ofN
1
(p) since both
lie in the Idimensional subspace S; c IR;+ 1. Thus
N
3
(p) = g(p)N
1
(p)
where g: S + IR is a smooth function on S (g(p) = N 3 (p) N 1 (p) for pES).
Since N 1 (p) and N 3 (p) are both unit vectors, g(p) = 1 for each pES.
Finally, since g is smooth and S is connected, g must be constant on S (see
Exercise 5.2). Thus either N3 = N1 or N3 = N
2
0
A smooth unit normal vector field on an nsurface S in IR
n
+ lis called an
orientation on S. According to the theorem just proved, each connected
nsurface in IR
n
+ 1 has exactly two orientations. An nsurface together with a
choice of orientation is called an oriented nsurface.
Remark. There are subsets of IR
n
+ 1 which most people would agree should be
called nsurfaces but on which there exist no orientations. An example is the
Mobius band B, the surface in 1R3 obtained by taking a rectangular strip of
paper, twisting one end through 180, and taping the ends together (see
Figure 5.3). That there is no smooth unit normal vector field on B can be
Figure 5.3 The Mobius band.
seen by picking a unit normal vector at some point on the central circle and
trying to extend it continuously to a unit normal vector field along this
circle. After going around the circle once, the normal vector is pointing in
the opposite direction! Since there is no smooth unit normal vector field on
B, B cannot be expressed as a level set f  1 (c) of some smooth function
f: U + IR with Vf(p) =1= 0 for all PES, and hence B is not a 2surface accord
5 Vector Fields on Surfaces; Orientation 27
ing to our definition. B is an example of an unorientable 2surface". Until
Chapter 14, we shall consider only" orientable" nsurfaces in IR"+ 1.
A unit vector in 1 (p E IR
n
+ 1) is called a direction at p: Thus an
orientation on an nsurface S in IRn+ 1 is, by definition, a smooth choice of
normal direction at each point of S.
On a plane curve, an orientation can be used to define a tangent direction
at each point of the curve. The positive tangent direction at the point p of the
oriented plane curve C is the direction obtained 'by rotating the orientation
normal direction atp through an angle of ':''1t/2, where the direction of
positive rotation is counterclockwise (see Figure 5.4).
(a) (b)
Figure 5.4 Orientation on a plane curve: (a) the chosen normal direction at each
point determines (b) a choice of tangent direction at each point.
On a 2 .. surface in 1R
3
, an orientation can be used to define a directibn of
rotation in tangent space at each point of the surface. Given 0 E IR, the
positive Orotation at the point p of the oriented 2 .. surface S is the
transformation S" .... S" defined by = (cos O)v + (sin O)N(p) x v
where N(p) is orientation normal direction atp. Ro is usually
as the" right .. handed rotation about N(P) the angle 0" (see Figure
5.5).
Figure 5.5 Orientation on the 2sphere: at each point the chosen normal direction
determines a sense of positive rotation in the tangent space. The satellite figure is an
, enlarged view of one tangenf space.
28 5 Vector Fields on Surfaces; Orientation
On a 3surface in 1R4, an orientation can be used to define a sense of
"handedness" in the tangent space at each point of the surface. Given an
oriented 3surface S and a point PES, an ordered orthonormal basis
{eh e2' e3} for the tangent space Sp to S at p is said to be righthanded if the
determinant
det(jL)
is positive, where N(p) = (p, N(p)) is the orientation normal direction at p
and ei = (p, ei) for i E {I, 2, 3}; the basis is lefthanded if the determinant is
negative.
On an nsurface in IR
n
+ 1 (n arbitrary), an orientation can be used to
partition the collection of all ordered bases for each tangent space into two
subsets, those consistent with the orientation and those inconsistent with the
orientation. An ordered basis {Vh ... , .v
n
} (not necessarily orthonormal) for
the tangent space Sp at the point p of the oriented nsurface S is said to be
consistent with the orientation N on S if the determinant
det( Vl )
~ ~ )
is positive; the basis is inconsistent with N if the determinant is negative.
Here, as usual, Vi = (p, Vi) and N(p) = (p, N(p)).
EXERCISES
5.1. Show that the unit nsphere XI + ... + x;+ 1 = 1 is connected if n > 1.
5.2. Show that if S is a connected nsurface in IR
n
+ 1 and g: S + IR is smooth and
takes on only the values + 1 and 1, then g is constant. [Hint: Let pES. For
q E S, let IX: [a, b] + S be continuous and such that lX(a) = p, lX(b) = q. Use the
intermediate value theorem on the composition g 0 IX.]
5.3. Show by example that if S is not connected then Theorem 2 ofthis section fails.
5.4. Show that the two orientations on the nsphere XI + ... + x;+ 1 = r2 of radius
r> 0 are given by N
1
(p) = (p, plr) and N
2
(p) = (p, plr).
5.5. IR
n
may be viewed as the nsurface x
n
+ 1 = 0 in IR
n
+ 1. Let N be the orientation
on IR
n
c IR
n
+
1
defined by N(p) = (p,O, ... ,0,1) for each p E IRn. (This N is
called the natural orientation on IRn.) Show that, given this orientation for each
n,
(a) the positive tangent direction at p E 1R1 is the direction (p, 1,0),
(b) the positive 8rotation in I R ~ , p E 1R2, is counterclockwise rotation through
the angle 8, and
5 Vector Fields on Surfaces; Orientation 29
(c) the ordered orthonormal basis {(P, 1,0, 0, (p,O, 1, 0, (p, 0,0, 1,0)}
for R:, p E R
3
, is righthanded.
5.6. Let C be an oriented plane curve and let v be a nonzero vector tangent to Cat
p E C. Show that the basis {v} for C" is consistent with the orientation on C if
and only if the positive tangent direction at p is v/llvil. [Hint: Let 6 denote the
angle measured counterclockwise from (p, 1,0) to the orientation direction
so that N(p) = (p, cos 6, sin 6). Express both v and the positive tangent
direction at p in terms of 6.]
5.7. Recall that the cross product v x l' of two vectors v = (p, V .. V2, V3) and
w = (p, WI. W2, W3) in R: (p E R
3
) is defined by
(a) Show that v x l' is orthogonal to both v and " and that Ilv x I'll ==
Ilvllllwll sin 6, where 6 == cos
1
(v w the angle between v and w.
(b) Show that if u = (p, u., U2, U3) then
u'(VX'W)==vo(wxa)=wo(axv)==I:: :: ::1.
Wl W2 W3
(c) Show that the only,vector x in R: such that 'a' x is equal to the determi
nant above (part b) for all E R: is x == v x w.
5.8. Let S be an orie.nted 2surface in R' and let {v, w} be an ordered basis for the
tangent spaceS, to S at p E S.Show the consistency of {v, w} with the
orientation N of S is equivalent with each of the following conditions:
(a) N(P) (v x 1' 0
(b) == R,(v/llvU for some 6 with 0 < 8 < 1t, where R, is the positive
6rotation in S".
5.9. Let S be an oriented 3surface in R4 and letp e S.
(a) Show that, given vectors v = (p, v) and l' == (p, w) in S", there is a unique
vector v )( l' e S" such that
a (v x 1') == det( : ) (
N(P)
for all a == (p, u) E S", where N(P) == (p, N(P is the orientation direction
at' p.This vector v x l' is the cross product of v and w.
(b) Check that the cross ,product in S" has the following properties:
(i) (v + 1') X X = V X X + l' X x
(ii) v x (1' + x) = v x l' + V X x
(iii) (cv) x l' == c(v x 1')
(iv) v x (cw) == c(v x 1')
(v) V X l' = 1' X V
(vi) a' (v x 1') = V (1' X a) = l' (a .x v)
(vii) v x l' is orthogonal to both v and l'
30 5 Vector Fields on Surfaces; Orientation
(viii) u (v X W) = 0 if and only if {u, v, w} is linearly dependent
(ix) An ordered orthonormal basis {eh e2, e3} for Sp is righthanded if
and only if e3 . (e
1
x e
2
) > O.
5.10. Let S be an oriented nsurface in IR
n
+ 1, with orientation N, and let pES.
(a) Show that an ordered basis for S p is inconsistent with N if and only if it is
consistent with  N.
(b) Suppose {Vh ... , V
n
} is an ordered basis for Sp which is consistent with N
and suppose {Wh"" w
n
} is another ordered basis for Sp. Show that
{w, ... , w
n
} is also consistent with N if and only if the matrix (au), where
Wi = Lj aijVj, has positive determinant. [Hint: Complete each basis to a
basis for IR;+ 1 by adjoining N(p). What is the relationship between (au) and
the two matrices which determine the consistency of the given bases with
N?]
The Gauss Map
6
An oriented nsurface in /Rn+ 1 is more than just an nsurface S, it is an
nsurface S together with a smooth unit normal vector field N on S. The
function N: S + Rn'+ 1 associated with the vector field N by N(p) = (p, N(p) 1
PES, actually maps S into'the unit nsphere S" c w+ 1, since IIN(p)11 = 1 for
all pES. Thus, associated to each oriented nsurface S is a smooth map
N: S + f/', called the Gauss map. N may be thought of as the map which
assigns to each point PES the point in /R"+ 1 obtained by "translating" the
unit normal vector N(p) to the origin (see Figure 6.1).
s
Figure 6.1 The Gauss map of a lsurface in R2.
The image of the Gauss map,
N(S) = {q E f/': q = N(p) for s'ome pES}
is called the spherical image of the oriented nsurface S (see Figure 6.2).
31
32 6 The Gauss Map
(a): n = 1
s
(b): n = 2
Figure 6.2 The spherical image of one sheet of a 2sheeted hyperboloid XI  x ~ 
...  x;+ 1 = 4, Xl > 0, oriented by N =  Vf111Vf11 where f(xt. ... , x,,+ d =
XI  x ~  ...  x;+ l'
The spherical image of an oriented nsurface S records the set of direc
tions which occur as normal directions to S. Hence its size is a measure of
how much the surface curves around in !R"+ 1. For an nplane, which doesn't
curve around at all, the spherical image is a single point. If an nsurface is
compact (closed and bounded) then it must curve all the way around: the
spherical image will be all of 5". Although we do not yet have enough
machinery to prove this theorem in full generality, we can already prove an
important special case, namely the case in which S is a level set of a smooth
function defined on all of !R" + 1.
Theorem. Let S be a compact connected oriented nsurface in !R"+ 1 exhibited
as a level setf1(c) of a smoothfunctionf: !R,,+1 +!R with Vf(p) =1= Ofor all
pES. Then the Gauss map maps S onto the unit sphete 5".
6 The Gauss Map 33
PROOF. The idea ofthe proof is as follows. Given v e S', consider the nplane
If. By moving this nplane far enough in the vdirection, it will have null
intersection with S. Bringing it back in until it just touches S at some point p,
it will be tangent there (see Figure 6.3). Hence at this point, N(p) = v. If
Figure 6.3 The Gauss map of a compact oriented nsurface is onto.
N(P) =  v, then N(q) = v where q is obtained similarly, by moving the
nplane in from the opposite direction.
More precisely, consider the function g: R
II
+ 1 + R defined by g(p) =
p. v; i.e., g(Xh ... , x,,+d = alxl + ... + all+lx,,+lwhere
v = (ab .. , Q,,+l)'
The level sets of g are the nplanes parallel toff. Since S is cOmpact, the
restriction to S of the function gattains its maximum and its minimum, say
at p and q respectively. By the Lagrange multiplier theorem (Chapter 4),
(p, v) = Vg(p)= lVf(P) = ljIV!(P)UN(P)
for some l e R. Hence v and N(p)are multiples of one another. Since both
have unit length, it follows that N(P) = v. Similarly, N(q) = v.
It remains only to check that N(q) + N(p).For this, it suffices to con
struct a continuous function ~ : [a, b] + RII+ 1, differentiable at a and b, such
that
(i) IX(a)= p, IX(b) = q, ix(a) = (p, v), &(b) = (q, v ~ and
(ii) IX(t) S for a < t <b.
For then, by (i), if N = VJ7IIV/II,
(1
0
IXY(a) = Vf(IX(a Ii(a)
= /lVf(p)IIN(p) (p, v) = IIVf(P)"N(p) v
and similarly
(f 0 IX)'(b) = IIVf(q)IIN(q) v
34 6 The Gauss Map
so the derivative (! 0 /X)' has the same sign at both endpoints. If
N =  V.fiIIV!II, the same conclusion holds. Thus, if N(p) were equal to
N(q) (= v)thenfo /X would either be increasing at both end points or be
decreasing at both end points. Since! 0 /X(a) =! 0 /X(b) = c, this would imply
that there exist tl and t2 between a and b with! 0 /X(td > c and! 0 /X(t2) < c.
But then, by the intermediate value theorem, there would exist t 3 between t 1
and t2 such that! 0 /X(t3) = c, contradicting (ii).
To construct /x, enclose S in the interior of a large sphere S 1. This is
possible since S is compact. Set (see Figure 6.4) /Xl(t) = P + tv (0 ~ t ~ ad,
Image (Xl
Image (X2
Figure 6.4 N{q) = N{p).
where al is such that /Xl(ad E Sb and set /X2(t) = q  tv (0 ~ t ~ a2), where
a2 is such that /X2(a2) E S 1. Let /X3: [bb b
2
] ~ S 1 be such that /X3(bd = /Xl (al)
and /X3(b
2
) = /X2(a2). Such an /X3 exists because the nsphere S 1 is connected
for n ~ 1. Then the function /X defined by
l
/Xl(t)
/X(t) = /X
3
(t + b
l
 ad
/X2(al + a2 + b
2
 b
l
 t)
(0 ~ t ~ ad
(al ~ t ~ al + b
2
 bd
(al + b
2
 b
l
~ t
~ al + a2 + b
2
 bd
has the required properties, where a = 0, b = al + a2 + b
2
 b
l
. Continuity
and condition (i) are easy to check, and condition (ii) is satisfied because
(1) /Xl (t) S for t > 0 since (g 0 /Xd'(t) = Vg(/Xl(t)) 1Xl(t) = v v > 0 so g
is increasing along /X b and the maximum value of g on S is attained at
/Xl(O) = p;
(2) /X
2
(t) S for t> 0 since (g 0 /X2)'(t) = v . (v) < 0 so g is decreasing
along /X2' and the minimum value of g on S is attained at /X2(0) = q; and
(3) /X3(t) S for t E [bl, b
2
] since /X3(t) E SI and SI n S = 0. 0
Remark. Some insight into the general case of this theorem can be gained
6 The Gauss Map 35
from the following intuitive argument. Suppose S is compact and connected.
Then S divides A" + 1 into two parts, a part inside S and a part outside S.
Let S = fl(C) wheref: U .. R. Then, for small enough e> 0, the level set
fl(C + e) will be an nsurface S+ gotten by pushing each point of Sa
short distance out from S along Vf(see Figure 6.5).
"'!..1
v+ =f , (c+e)
s+ =f
1
(c+ e)
S ==/1 (c)
S_=fl(ce)
Figure 6.5 Given a compact connected nsurface S = the nearby level sets
fl(C  a) andfl(c + a) are slightly inside and slightly outside S.
(Possibly,f
1
(c + e) might also contain some points far away from S but we
can ignore such points in the present argument.) Similarly, for small enough
e > 0, the level set f  1 (c  e) will be an nsuIface S _ on the other side of S,
gotten by pushing each point of S a short distance out along  VI Denoting
by V the set of points between S_ and S+, by V+ the set of points in
/R"+ 1  V which lie on the same side of SasS + , and by V_ the set
in IR" + 1  V which lie on the other side of S, we can define 1: IR" + 1 R by
I
f(P) for P E V
1(P) = c + e for P E V+
C  e for P E V_ .
Then 1 is continuous on R"+ 1, smooth on the open set V about S, and
11(C) = S. The above proof can now be applied, wfthfreplaced everywhere
by J, to show that the Gauss map is onto.
EXERCISES
In Exercises 6.16.5, describe the spherical image, when n = 1 and when
n = 2, of the given nsurface, oriented by VPIIVfll where f is the function
defined by the left hand side of each equation.
6.1. The cylinder xi + ... + X;+l = 1.
6.2. The cone xl + xi + ... + X;+l = 0, Xl > O.
6.3. The sphere xl + xi + ... + X;+l = r2 (r > 0).
6.4. The paraboloid Xl + xi + ... + X;+l = O.
36 6 The Gauss Map
6.5. The 1sheeted hyperboloid
(xUa
2
) + x ~ + ... + X;+l = 1 (a> 0).
What happens to the spherical image when a + oo? When a + O?
6.6. Show that the spherical image of an nsurface with orientation N is the
reflection through the origin of the spherical image of the same nsurface with
orientation  N.
6.7. Let a = (at. ... , an+d E !R
n
+
l
, a =1= O. Show that the spherical image of an n
surface S is contained in the nplane al Xl + ... + a
n
+ 1 X
n
+ 1 = 0 if and only if
for every PES there is an open interval I about 0 such that p + ta E S for all
tEl. [Hint: For the "only if" part, apply the corollary to Theorem 1, Chapter
5, to the constant vector field X(q) = (q, a).]
6.8. Show that if the spherical image of a connected nsurface S is a single point then
S is part or all of an nplane. [Hint: First show, by applying the corollary to
Theorem 1, Chapter 5, to the constant vector fields W(q) = (q, w), where w 1. v,
{v} = N(S), that if B is an open ball which is contained in U and PES n B then
H nBc: S where H is the nplane {x E !R
n
+ l: x v = p v}. Then show that if
0:: [a, b] + S is continuous and o:(t) E B for tl :S t :S t2 then o:(tl) v = 0:(t2) v
by showing that if, e.g., o:(tl)' v < 0:(t2) v then S contains the open set
{x E B: o:(td v < x v < 0:(t2) v}, which is impossible (why?).]
6.9. Let S = fl(C), wheref: !R
n
+ 1 + R is a smooth function such that Vf(p) =1= 0 for
all pES. Suppose 0:: !R + !Rn+l is a parametrized curve which is nowhere tan
gent to S (i.e., Vf(o:(t)) ~ ( t ) =1= 0 for all t with o:(t) E S; see Figure 6.6).
Figure 6.6 The curve 0: must cross the compact nsurface S an even number of times.
6 The Gauss Map
37
(a) Show that aJ each pair of consecutive crossings of S by , the direction of
the orientation V/IIIV/il on S reverses relative to the direction of tX [Le.,
show that if, tX(t
1
) E S and tX(t
2
) E S, where t1 < tl, and tX(t) , S for
t1 < t < t2, then V/(tX(t
1
)) ~ ( t 1 ) > 0 if and only if V/(tX(tl)) ~ ( t l ) < 0.]
(b) Show that if S is compact and tX goes to 00 in both directions [Le.,
lim, ...  GO IItX(t)1I = lim, ... + GO IItX(t)1I = 00] then tX crosses S an even number of
times.
6.10. Let S be a compact nsurface in R"+ 1. A point P E R"+ 1  S is outside S if there
exists a continuous map tX: [0, 00) + R"+ 1  S such that tX(O) = P and
lim, ... GO IItX(t)1I == 00. Let ~ ( S ) denote the set of all points outside S.
(a) Show that if fJ: [a, b] + R"+ 1  S is continuous and fJ(a) E ~ ( S ) then fJ(t) E
~ ( S ) for all t E [a, b].
(b) Show that ~ ( S ) is a connected open subset of R"+1.
7
Geodesics
Geodesics are curves in nsurfaces which play the same role as do straight
lines in IRn. Before formulating a precise definition, we must introduce the
process of differentiation of vector fields and functions defined along pa
rametrized curves. In order to allow the possibility that such vector fields and
functions may take on different values at a point where a parametrized curve
crosses itself, it is convenient to regard these fields and functions to be
defined on the parameter interval rather than on the image of the curve.
A vector field X along the parametrized curve oc f IR
n
+ 1 is a function
which assigns to each t E f a vector X{t) at (X{t); i.e., X{t) E
1
for all t E f.
A function f along (X is simply a function f: f IR. Thus, for example, the
velocity IX of the parametrized curve (X: f IR
n
+ 1 is a vector field along (X
(Figure 7.1); its length II IX II : f IR, defined by II IX II (t) = IIIX{t)II for all t E f, is a
function along (x. II IX II is called the speed of (x.
Figure 7.1 The velocity field along a parametrized curve rl. Note that rl(t
1
) = rl(t2)
does not imply that =
38
7 Geodesics 39
Vector fields and functions along parametrized curves frequently occur as
restrictions. Thus if X is a vectOr field on U, where U is an open subset of
!R"+ t containing Image ex, then X 0 ex is a vector field along ex. Similarly f 0 ex
is a function along ex whenever f: U + IR, where U::> Image ex.
Each vector field X along ex is of the form
X(t) = (ex(t), Xt(t), ... , X,,+t(t))
where each component Xi is a function along ex. X is smooth if each Xi: I + !R
is smooth. The derivative of a smooth vector field X along ex is the vector field
X along ex defined by
V( ) ( dX t ( dX n+ 1 ( )
At = ex(t), dt ... , ;tt t).
X(t) measures the rate of change of the vector part (Xt(t), ... , X,,+t(t)) of
X(t) along ex. Thus, for example, the acceleration eX of a parametrized curve ex
is the vector field along ex obtained by differentiating the velocity field eX
[eX = (&)] (see Figure 7.2).
a (to)
The acceleration Ci(to) is the derivative at to ofthe velocity vector
It is easy to check (Exercise 7.4) that differentiation of vector fields along
parametrized curves has the following properties. For X and Y smooth
vector: fields along the parametrized curve ex: 1+ /R"+ t andfa smooth func
tion along ex,
(i) (X + Y) = X + Y
(ii) (IX) = !'X + fX
(iii) (X V)' = i: Y + X Y
where X + Y, fX, and X Y are defined along ex by
(X + Y)(t) = X(t) + Y(t)
(fX)(t) = f(t)X(t)
(X Y)(t) = X(t) Y(t)
for all tEl.
40 7 Geodesics
A geodesic in an nsurface S c IR
n
+ 1 is a parametrized curve a: I S
whose acceleration is everywhere orthogonal to S; that is, &(t) E S;(t) for all
tEl. Thus a geodesic is a curve in S which always goes" straight ahead" in
the surface. Its acceleration serves only to keep it in the surface. It has no
component of acceleration tangent to the surface.
Note that geodesics have constant speed, because a(t) E Srz(t) and
&(t) E S;(t) for all tEl implies that
:t IIa(t)II2 = :t (a(t) a(t)) = 2a(t) . &(t) = o.
EXAMPLE 1. If an nsurface S contains a straight line segment a(t) = p + tv
(t E I) then that segment is a geodesic in S. Indeed, &(t) = 0 for all tEl so in
particular &(t) .1 Srz(t) for all tEl ..
EXAMPLE 2. For each a, b, c, dE IR, the parametrized curve a(t) =
(cos(at + b), sin(at + b), ct + d) is a geodesic in the cylinder xi + = 1 in
1R
3
, because .
&(t) = (a(t), a
2
cos (at + b), _a
2
sin(at + b), 0) = a
2
N(a(t))
for all t E IR (see Figure 7.3).
Image CI. x3
Image CI.
(a) (b) (c)
Figure 7.3 Geodesics = (cos(at + b), sin(at + b), ct + d) in the cylinder
xi + = 1. (a) a = 0, (b) c = 0, a 1= 0, c 1= 0.
EXAMPLE 3. For each pair of orthogonal unit vectors {e
1
, e2} in 1R3 and each
a E IR, the great circle (or point if a = 0) a(t) = (cos at)e
1
+ (sin at)e2 is a
geodesic in the 2sphere xi + + = 1 in because &(t) = (a(t),
 a
2
a(t)) = a
2
N(a(t)) for all t E IR (see Figure 7.4).
Intuitively, it seems clear that given any point p in an nsurface S and any
initial velocity v at p (v ESp) there should be a geodesic in S passing through
7 Geodesics 41
Figure 7.4 Great circles are geodesics in the 2sphere.
p with initial velocity v. After a l ~ a 'racing car travelling on S, passing
through p with velocity v, should be able to continue travelling "straight
ahead" on S at constant speed Ilvll, thereby tracing out a geodesic in S. The
following theorem shows that this is the case, and that the geodesic with
these properties is essentially unique.
Theorem. ut S be an nsurface in !R"+ 1, let pES, and let v e S p' Then there
exists an open . interval I containing 0 and a geodesic a: 1+ S such that
(i) a(O) = p and eX(O) = v.
(ii) If p: 1 + S is any other geodesic in S with P(O) = p and /J(O) = v, then
1 cJ and P(t) = a(t)for all t e'1.
. Remark. The geodesic a is called the maximal geodesic in S passing through
p with initial velocity v.
PIlOOF. S = f  ~ (c) for some c E IR and some smooth function f: U + IR (U
open in 1R"+
1
) with Vf(p) + 0 for all pES. Since Vf(p) + 0 for all pin some
open set containing S, we may assume (by shrinking U if necessary) that
Vf(p) + 0 for all p E U. Set N = VflIIVfll.
By definition, a parametrized curve a: I + S is a geodesic of S if and only
if its acceleration is everywhere perpendicular to S; that is, if and only if a( t)
is a multiple of N(a(t for all tEl:
ti(t) = g(t)N(a(t
for all tEl, where g: 1+ IR. Taking the dot product of both sides of this
equation with N(a(t we find
g = Ci N 0 a = (a N 0 a)'  a N. ~ a
= a . N ~ ex,
since eX N oa = O. Thus a: I + S is a geodesic if and only if it satisfies the
differential equation
(G) ji + (a N ~ a)(N 0 a) = O.
42
7 Geodesics
This is a second order differential equation in (x. (If we write (X(t) =
(Xl (t), ... , X
n
+ 1 (t)), this vector differential equation becomes the system of
second order differential equations
d
2
x. n+l oN. dx.dx
k
d
2' + L N
i
(Xl, ... , ... , xn+d
d
J

d
= 0
t j,k=l uX
k
t t
where the N
j
(j E {l, ... , n + l}) are the components ofN.) By the existence
theorem for the solutions of such equations, t there exists an open interval 11
about 0 and a solution /31: 1 1 U of this differential equation satisfying the
initial conditions /31(0) = P and Pl(O) = v (that is, satisfying Xi(O) = Pi and
(dXi/dt)(O) = Vi for i E {l, ... , n + l}, where P = (Pb ... , Pn+ d and
v = (p, Vl' ... , V
n
+ 1))' Moreover, this solution is unique in the sense that if
/32: 12 U is another solution of (G), with /32(0) = P and P2(O) = v, then
/31 (t) = /32(t) for all tEll (l 1
2
, It follows that there exists a maximal open
interval 1 (I is the union of the domains of all solutions to (G) which map 0
into P and have initial velocity v) and a unique solution (X: 1 U of (G)
satisfying (X(O) = P and a(O) = v. Furthermore, if /3: I U is any solution of
(G) with /3(0) = P and P(O) = v then I eland /3 is the restriction of (X to I.
To complete the proof, it remains only to show that the solution (X to (G)
is actually a curve in S. For, if so, it must be a geodesic since it satisfies the
geodesic equation (G), and the rest of the theorem follows from the uni
queness statements above.
To see that (X is in fact a curve in S, note first that for every solution
(X: 1 U of (G), a . N 0 (X = O. Indeed,
(a . N 0 (X)' = & N 0 (X + a . N ; (X = 0
by (G), so a . N 0 (X is constant along (x, and
(a N 0 (X)(O) = v . N(p) = 0
since v ESp and N (p) .1 S p' It follows then that
(f 0 (X)'(t) = Vf((X(t)) a(t) = IIVf((X(t))IIN((X(t)) . a(t) = 0
for all tEl so f 0 (X is constant, and f((X(O)) = f(p) = c so f((X(t)) = c for all
tEl; that is, Image (X cfl(C) = S. 0
It follows from the theorem just proved that each maximal geodesic on
the unit 2sphere in 1R
3
(Example 3) is either a great circle (parametrized by a
constant speed parametrization) or is constant ((X(t) = P for all t, some p)
since such a curve can be found through each point p with any given initial
velocity. Similarly, each maximal geodesic on the cylinder xi + = 1 in 1R3
(Example 2) is either a vertical line, a horizontal circle, a helix (spiral), or is
constant.
t See e.g. W. Hurewicz, Lectures on Ordinary Differential Equations, Cambridge, Mass.: MIT
Press (1958), pp. 3233. See also Exercise 9.15.
7 Geodesics
43
EXERCISES
7.1. Find the velocity, the acceleration, and the speed of each of the following
parametrized curves:
(a) IX(t) = (t, t
2
)
(b) IX(t) = (cos t, sin t)
(c) IX(t) = (cos 3t, sin 3t)
(d) IX(t) = (cos t, sin t, t)
(e) a(t) = (cos t, sin t, 2 cos t, 2 sin t).
7.2. Show that if IX: 1+ 1R"+ 1 is a parametrized curve with speed then
Ci(t) .1 a(t) for all tel.
,
7.3. Let IX: 1+ 1R"+ 1 be a parametrized curve with a(t) =1= 0 for all tel. Show that
there exists a unit speed reparametrization P of IX; i.e., show that there exists an
interval J and a smooth function h: J + I (onto) such that h' > 0 and such that
P = IX 0 h has unit speed. [Hint: Set h = S1 where s(t) = Ila(t)11 dt for some
to E I.]
7.4. Let X and Y be smooth vector fields along the parametrized curve IX: 1+ 1R"+ 1
and let I: I + IR be a smooth function along IX. Verify that
(a) (X + Y) = X + Y
(b) (Ix) = !'X + IX
(c) (X, Y)' = X . Y + X . Y.
7.5. Let S denote ihe cylinder xf + xi = r2 of radius r > 0 in R3. Show that IX is a
geodesic of S if and only if IX is of the form
IX(t) = (r cos (at + b), r sin(at + b), ct + d)
for some a, b, c, d E R.
7.6. Show that a parametrized curve IX in the unit nsphere xf + ... + x:+ 1 = 1 is a
geodesic if and only if it is of the form
IX(t) = (cos,at)el + (sin at)e2
for some orthogonal pair of unit vectors {el' e2} in 1R"+ 1 and some a E R. (For
a =1= 0, these curVes are" great circles" on the nsphere.)
7.7. Show that if IX: I + S is a geodesic in an nsurface S and if P = IX 0 h is a repar
ametrization of IX(h: i + I) then P is a geodesic in S if and only if there exist
a, b E R with a> 0 such that h(t) = at + b for all t E 1.
7.8. Let C be a plane curve in the upper half plane X2 > 0 and let S be the surface of
revolution obtained by rotating C about the xlaxis (see Example 5, Chapter 4).
Let IX: 1+ C, IX(t) = (Xl(t), X2(t)), be a constant speed parametrized in C.
F or each 8 E IR, define CXs: I + S by I
IX6(t)= X2(t) cos 8, X2(t) sin 8)
and, for each tel, define P,: IR + S by the same formula:
Pt(8) = X2{t) cos 8, X2(t) sin 8).
44
7 Geodesics
meridians parallels profile curve C
Figure 7.5 Geodesics on a surface of revolution: all meridians are geodesics; a
parallel is a geodesic if it cuts the" profile curve" C at a point where the slope of Cis
zero.
The curves ex6 are called meridians of S, and the circles Pt are parallels of S (see
Figure 7.5).
(a) Show that meridians and parallels always meet orthogonally; i.e.,
~ ( t ) . Pt(8) = 0 for all tEl, 8 E R
(b) Show that each meridian ClfI is a geodesic of S. [Hint: Note that { ~ ( t ) , Pt(8)}
spans SI" where p = ex6(t). Hence it suffices to check that a6(t) is perpendicu
lar to both ~ ( t ) and Pt(8).]
(c) Show that a parallel Pt is a geodesic of S if and only ifthe slope X2(t)/X'I(t)
of the tangent line to C at ex(t) is zero.
7.9. Let S be an nsurface in /Rn + I, let v ESp, PES, and let ex: I + S be the maximal
geodesic in S with initial velocity v. Show that the maximal geodesic P in S with
initial velocity cv (c E /R) is given by the forqlula P(t) = ex(ct).
7.10. Let S be an nsurface in /Rn+l, let PES, let v ESp, and let ex: I +S be the
maximal geodesic in S passing through p with velocity v. Show that if p: 1+ S
is any geodesic in S with P(to) = p and P(to) = v for some to E 1 then P(t) =
ex(t  to) for all tEl.
7.11. Let S be an nsurface in /Rn + I and let p: I + S be a geodesic in S with P( to) =
P(O) and P(to) = P(O) for some to E I, to =1= O. Show that P is periodic by show
ing that P(t + to) = P(t) for all t such that both t and t + to E I. [Hint: Use
Exercise 7.10.]
7.12. An nsurface S in /Rn+ I is said to be geodesically complete if every maximal
geodesic in S has domain IR. Which of the following nsurfaces are geodesicalll
complete?
(a) The nsphere xi + ... + x;+ I = 1.
(b) The nsphere with the north pole deleted: xi + ... + X;+I = 1, Xn+1 =1= 1.
(c) The cone xi + x ~  x ~ = 0, X3 > 0 in /R
3
(d) The cylinder xi + x ~ = 1 in /R
3
(e) The cylinder in /R3 with a straight line deleted: xi + x ~ = 1, XI =1= 1.
,e.
Parallel Transport
8
A vector field X along a parametrized curve ex: I + S in an nsurface S is
tangent to S along ex if X(t) E S(t) for all tEl. The derivative X of such a
vector field . is, however, generally not tangent to S. W ~ can, nevertheless,
obtain a vector field tangent to S by projecting X{t) orthogonally onto Sri(t)
for each tEl (see Figure 8.1). This process of differentiating and then
X(t)
N(oc(t)) /
L
1P\/s.(t)
_ X ' ( ~ )
Figure 8.1 The covariant derivative X'(t) is the orthogonal projection onto the
tangent space of the ordinary derivative X(t).
projecting onto the tangent space to S defines an operation with the same
properties as differentiation, except that now differentiation of vector fields
tangent to S yields vector fields tangent to S. This operation is called covar
iant differentiation.
Let S be an nsurface inlR
n
+ 1, let ex: 1+ S be a.parametrized culve in S,
and let X be a smooth vector field tangent to S along ex. The covariant
derivative of X is the vector field X' tangent to S along ex defined by
X'{t) = X{t)  [X{t) N{ex{t))]N{ex{t)),
45
46 8 Parallel Transport
where N is an orientation on S. Note that X'(t) is independent of the choice
of N since replacing N by  N has no effect on the above formula.
It is easy to check that covariant differentiation has the following proper
ties: for X and Y smooth vector fields tangent to S along a parameterized
curve ex: I + Sand f a smooth function along ex,
(i)
(ii)
(iii)
(X + V)' = X' + Y'
(fX)' = f'X + fX'
(X V)' = X' Y + X V'.
These properties follow immediately from the corresponding properties of
ordinary differentiation. For example, the following computation verifies
(iii):
(X . V)' = X . Y + X Y
= [X' + (X . N 0 ex)N 0 ex] . Y + X . [V' + (Y N 0 ex)N 0 ex]
= X' Y + X' V',
since N is perpendicular to S and X and Yare tangent to S.
Intuitively, the covariant derivative X' measures the rate of change of X
along ex as seen from the surface S (by ignoring the component of X normal
to S). Note that a parametrized curve ex: I + S is a geodesic in S if and only if
its covariant acceleration ( ~ ) ' is zero along ex.
The covariant derivative leads naturally to a concept of parallelism on an
nsurface. In IR
n
+ 1, vectors v = (p, V) E IR; + 1 and w = (q, w) E I R ~ + 1 are said
to be Euclidean parallel if v = w (see Figure 8.2(a)). A vector field X along a
I !
p
(a) (b)
Figure 8.2 Euclidean parallelism in IR
2
: (a) parallel vectors; (b) a parallel vector
field.
parametrized curve ex: I + IR
n
+ 1 is Euclidean parallel if X(t.) = X(t
2
) for all
t
1
, t2 E I, where X(t) = (ex(t), X(t)) for tEl (see Figure 8.2(b)). Thus X is
Euclidean parallel along ex if and only if X = o.
Given an nsurface S in IRn + 1 and a parametrized curve ex: I + S, a
smooth vector field X tangent to S along ex is said to be LeviCivita parallel,
or simply parallel, if X' = O. Intuitively, X is parallel along ex if X is a constant
vector field along ex, as seen from S.
8 Parallel Transport
Note that LeviCivita parallelism has the following properties:
(i) If X is parallel along ex, then X has constant length, since
~ IIXI1
2
= ~ (X X) = 2X' X = O.
dt dt
47
(ii) If X and Yare two parallel vector fields along ex, then X Y is constant
along ex, since
(X V)' = X' Y + X Y' = O.
(iii) If X and Yare parallel along ex, then the angle cosI(X Y/IIXIIIIYII)
between X and Y is constant along ex, since X Y, IIXII, and IIYII are each
constant along ex.
(iv) If X and Yare parallel along ex then so are X + Y and eX, for all e E IR.
(v) The velocity vector field along a parametrized curve ex in S is parallel if
and only if ex is a geodesic.
Theorem 1. Let S be an nsurface in IR
n
+ I, let ex: I + S be a parametrized curve
in S, let to E I, and let v E S(to)' Then there exists a unique vector field V,
tangent to S along ex, which is parallel ~ n d has V(t
o
) = v.
PROOF. We require a vector field V tangent to S along ex satisfying V' = O.
But
V' = V" (V . N 0 ex)N 0 ex
= V  [(V N 0 ex)'  V N ~ ex]N 0 ex
= V + (V N ~ ex)N 0 ex
so V' = 0 if and only if V satisfies the differential equation
(P)
This is a first order differential. equation in V. (If we write V(t) = (ex(t),
VI (t), ... , v,. + I (t)), this vector differential equation becomes the system of
first order differentia1 equations
dV: n+ I
d '+ L (N
i
0 ex)(Njo ex)'J.) = 0
t j= I
where the N
j
U E {I, ... , n + I}) are the components ofN.) By the existence
and uniqueness theorem for solutions of first order differential eqljlations,
there exists a unique vector field V along ~ satisfying equation (P) tbgether
with the initial condition V(t
o
) = v (that is, satisfying Yt(t
o
) = Vi for
i E {I, ... , n + I}, where v = (ex(to), Vb ... , v
n
+ d). The existence and
uniqueness theorem does not guarantee, however, that V is tangent to S
along ex.
48
8 Parallel Transport
To see that V is indeed tangent to S, simply note that, by (P),
(V N 0 ex)' = V . N 0 ex + V N ~ ex
= [  (V N ~ ex)N 0 ex] N 0 ex + V N ~ ex
=  V N ~ ex + V . N ~ ex = 0,
so V N 0 ex is constant along ex and, since (V N 0 ex)(t
o
) = v N(ex(to)) = 0,
this constant must be zero. Finally, this vector field V, tangent to S along ex,
is parallel because it satisfies equation (P). 0
Remark. We have implicitly assumed in the above proof that the solution
V of (P) satisfying V(t
o
) = v is defined on the whole interval] and not just on
some smaller interval containing to . That this is indeed the case can be seen
from the following argument. Suppose 1 c] is the maximal interval on
which there exists a solution V of (P) satisfying V(t
o
) = v. If 1 =1= ], there
exists an endpoint b of 1 with bE]. Let {t
i
} be a sequence in 1 with
limi .... oo ti = b. Since IIVII is constant on 1, IIV(ti)11 ~ Ilvll for all i, so the
sequence {V(ti)} of vector parts of {V(ti)} takes values in a compact set, the
sphere of radius Ilvll about the origin in IR
n
+ 1. It follows that {V(ti)} must
have a convergent subsequence {V(tik)}' Let w = limk .... oo V(t
ik
), and let W be
a solution of (P), on some interval J containing b, with W(b) = (ex(b), w).
Then W  V is also a solution of (P), on 1 n J, and in particular IIW  VII is
constant on 1 n J. But
lim II W(t
ik
)  V(t
ik
)II = Ilw  wll = 0
k .... oo
so IIW  VII = 0 on J n 1; that is, W = Von J n 1. Hence the vector field
on ] u 1 which is equal to V on ] and to W on 1 extends V to a solution of
(P) on an interval larger than 1, contradicting the maximality of 1. Hence
1 = ], as claimed.
Corollary. Let S be a 2surface in 1R3 and let ex: ]+ S be a geodesic in S with
& #= O. Then a vector field X tangent to S along ex is parallel along ex if and
only if both IIXII and the angle between X and & are constant along ex (see
Figure 8.3).
Figure 8.3 LeviCivita parallel vector fields along geodesics in the 2sphere.
8 Parallel Transport
49
PROOF. The "only if" statement is immediate from properties (i) and (iii)
above. So suppose both IIXliand the angle (J between X and are constant
along cx, Let to E I and let v E S(to) be a unit vector orthogonal to Let V
be the unique parallel vector field along a such that V(t
o
) = v. Then IIVII = 1
and V = along cx so V(t)} is an orthogonal hasis for Srz(t) , for each
tel. In particular, 'there exist smooth functions f, g: 1+ IR such that
X ::;:: ff!. + gV. Since
cos (J = X = fllcilllllXII
and
IIXII
2
= + g2,
the constancy of (J, "XII, and along cximplies thatfand g are constant
along cx. Hence X is parallel along ex, by property (iv) above. 0
Parallelism can be used to transport tangent vectors from one point of an
nsurface to another. Given two points pand q in an nsurface S, a par
ametrizedcurve in Sfrom p to q is a smooth mapa: [a, b] + S, from a closed
interval [a, b] into S, with cx(a) = p and cx(b) = q. By smoothness of a map cx
defined on a closed interval we mean that cx is the restriction to [a, b] of a
smooth map from some open interval containing [a, b] into S. Each par
ametrized curve cx: [a, b] + S from p to q determines a map P rz: S P + Sf by
Prz(v) = V(b)
where, for v ESp, V is the uniqueparaUel vector field along cx with V(a) = v.
Prz(v) is called the parallel transport (or parallel translate) of v along cx to q.
EXAMPLE. For (J E IR, let ex,: [0, x] + 52 be the parametrized curve in
the unit 2sphere 52, from the north pole p = (0, 0, 1) to the south pole
q = (0, 0,  1 defined by
cx,(t) = (cos (J sin t, sin (J sin t, cos t).
Thus, for each (J, cx, is half of a great circle on 52 (see Figure 8.4). Let
v = (p, 1, 0, 0) E Since CX
o
is a geodesic in 52, a vector field tangent to 52
along CX
o
will be paranel if and only if it has constant length and keeps
constant angle with The one with initial value v is
Vo(t) = (cos (JPo(t)  (sin (J)N(a,(t)) )(
where N is the outward orientation on 52. Hence
Prz/l(V) = Vo(x)
= (cos (J)(q, cos (J, sin (J, 0)  (sin (J)(q, sin (J, cos (J,O)
=  (q, cos 2(J, sin 2(J,0).
50
Image 0(0
Image a
n
l4
Image a
ni2
Pal4 (v)
8 Parallel Transport
Figure 8.4 Parallel transport along geodesics in the 2sphere.
Note that parallel transport from p to q is path dependent; that is, if ex and
fJ are two parametrized curves in S from p to q and v ESp, then, in g e n e r a ~
PCl(v) =1= Pp(v).
Tangent vectors v ESp, PES, may also be transported along piecewise
smooth curves in S. A piecewise smooth parametrized curve ex in S is a contin
uous map ex: [a, b] + S such that the restriction of ex to [tb ti+ d is smooth
for each i E {O, 1, ... , k}, where a = to < tl < ... < t
k
+ 1 = b (see Figure 8.5).
Figure 8.5 A piecewise smooth curve rt in a 2surface.
The parallel transport of v E SCl(a) along ex to ex(b) is obtained by transporting v
along ex to ex(t
l
) to get VI E SCl(tl) , then transporting VI along ex to ex(t2) to get
V2 E SCl(t2) , and so on, finally obtaining PCl(v) by transporting Vk E SCl(tk) along
ex to ex(b).
Theorem 2. Let S be an nsurface in IR
n
+ 1, let p, q E S, and let ex be a piecewise
smooth parametrized curve from p to q. Then parallel transport Pcl: Sp + Sq
8 Parallel Transport Sl
along ex is a vector space isomorphism which preserves dot products; that is,
(i) PIX is a linear map
(ii) P is one to one and onto
(iii) P(v) P(w) = v w for all v, WE Sp.
PROOF. Property (i) is an immediate consequence of the fact that if V and W
are parallel vector fields along a parametrized curve in S, then so are V + W
and cV, for all c E IR. Similarly, property (iii) follows from the fact that if V
and Ware parallel then V W is constant. Finally, the kernel (null space) of
PIX is zero because IIP(v)/I = 0 implies IIvll = 0, by so PIX is a one to one
linear map from one ndimensional vector space to another. But all such
maps are onto. 0
EXERCISES .
8.1. Let S be an nsurface in.R"+ 1, I ..... S be a parametrized curve, and let X and
Y be vector fields tangent to S along Verify that
(a) '(X + Y)' = X' + Y', and
(b) (IX)' =!'X + IX',
for all smooth functions I along
8.2. Let S be an nplane alXl + ... + a;'+lx.+l == b in R"+I, let p, q E S, and let
v = (p, v) ESp. Show that is any parametrized curve in S from p to q then
PII(v) = (q, v). Conclude that, in an nplane, parallel transport is path
independent. .
8.3. Let [0, x] ..... 52 be the half great circle in 52, running from the north pole
p = (0, 0, 1) to the south pole q = (0, 0, defined by = (sin t,O, cos t).
Show that, for v == (p, Vb Vl' 0) E PII(l') = (q, Vb V2, 0). [Hint: Check this
first when v = (p, 1, 0, .0) and when v = (p, 0, 1, 0); then use the linearity of P II']
8.4. Let p be a point in the 2sphere 52 and let v and w E be such that == Ilwll
Show that there is a piecewise smooth parametrized [a, b] ..... 52, with
= = p, such that p.(l') = w. [Hint: Consider closed curves with
&(a) ,,;,. v, which form geodesic triangles with .l p for t in the "middle
segment" of [a, b].]
8.5. I ..... R"+ 1 be a parametrized curve with E SIn S 2 for all tel, where
S 1 and S 2 are two nsurfaces in R"+ 1. Suppose X is a vector field along which is
tangent both to SI and to
(a) Show by example that X may be parallel along viewed as a curve in S 1 but
not parallel along viewed as a curve in S 2' I
(b) Show that if S 1 is tangent to S 2 along. (that is,(S 1)11(0 = (S 2)1I(t) for all tel)
then X is parallel along in S 1 if and only if X is parallel along in S 2 .
(c) Show that, if S 1 and S i. arensurfaces which are tangent along a par
ametrized curve I ..... S 1 n S 2, then is a geodesic in S 1 if and only if is a
geodesic in S 2 .
52 8 Parallel Transport
8.6. Let 8 be an nsurface and let ct: 1+8 be a parametrized curve in 8. Let p: 1+ 8
be defined by p = ct 0 h where h: 1+ I is a smooth function with h'(t) =1= 0 for all
t E 1. Show that a vector field X tangent to 8 along ct is parallel if and only if
X 0 h is parallel along p. Conclude that parallel transport from p E 8 to q E 8
along a parametrized curve ct in 8 is the same as parallel transport from p to q
along any reparametrization of ct, and that parallel transport from q to p along
ct 0 h, where h( t) =  t, is the inverse of parallel transport from p to q along ct.
8.7. Let 8 be an nsurface in [Rn+l, let p E 8, and let G
p
denote the group of non
singular linear transformations from 8 p to itself. Let
Hp = {T E Gp: T= P(I. for some piecewise smooth ct: [a, b] + 8 with
ct(a) = ct(b) = pl.
Show that H p is a subgroup of G p by showing that
(i) for each pair of piecewise smooth curves ct and pin 8 from p to p there is a
piecewise smooth curve '}' from p to p such that
P y = P poP (I.' and
(ii) for each ct in 8 from p to p there is a p in 8 from p to p such that P p = P; 1.
(The subgroup Hp is called the holonomy group of 8 at p.)
8.8. Let ct: I + 8 be a unit speed curve in an nsurface 8, and let X be a smooth vector
field, tangent to 8 along ct, which is everywhere orthogonal to ct (X(t)) . &(t) = 0
for all t E 1). Define the Fermi derivative X' of X by
X'(t) = X'(t)  [X'(t) &(t)]&(t).
(a) Show that if X and Yare smooth vector fields along ct which are tangent to 8
and orthogonal to ct then
(i) (X + V)' = X' + Y'
(ii) (fX)' =!'X + fX' for all smooth functions f along ct, and
(iii) (X . V)' = X' . Y + X . Y'.
(b) Show that if a E I and v E 8(1.(a) is orthogonal to then there exists a
unique vector field V along ct, tangent to 8 and orthogonal to ct, such that
V' = 0 and V(a) = v. (V is said to be Fermi parallel along ct.)
(c) For ct: [a, b] + 8 a parametrized curve in 8 and v E 8(1.(a), with v 1. &(0), let
F(I.(v) = V(b) where V is as in part b). Show that F(I. is a vector space isomor
phism from onto where &(t)l. is the orthogonal complement of
&(t) in 8(1.(t). Also show that F(I. preserves dot products. (F(I.(v) is the Fermi
transport of v along ct to ct(b).)
The Weingarten Map
9
We shall now consider the local behavior of curvature on an nsurface. The
way in which an n:surface curves around in w+ 1 is measured by the way the
normal direction changes as we move from point to point on the surface. In
order to measure the rate of cbange of the normal direction, we need to be
able to differentiate vector fields on nsurf'aces.
Recall that, given a smooth function / defined on an open set U in R" + 1
and a vector v E R;+ 1, P E U, the derivative of/with respect to, is the real
number
V
v
/= (/0 a)'(t
o
)
where a: 1+ U is any parametrized curve in U with ti(to) = v. Note that,
although the curve a appears in the formuladefinins Vv f, the value of the
derivative does not depend on the choice of a. Indeed, by the chain rule,
Vv / = (/0 a)'(t
o
) = Vf(a(t
o
(to) = V/(P) v.
This formula, expressinl Vv/in terms or the gradient off, shows that the
value of V v / is independent of the choice of C\JI'Ve a passinl through p with
velocity v. It is frequently the most useful formula to use in computations.
This formula also shows that the (unction which sends v into V v / is a linear
map from R: + 1 to R; that is,
V
v
+./= Vv/ + V.I
for all v, WE R;+1 and C E R.
53
54 9 The Weingarten Map
Note that V v f depends on the magnitude of v as well as on the direction
ofv. The formula V 2v f = 2V v f, for example, expresses the fact that if we move
twice as fast through p, the observed rate of change off will double.
When Ilvll = 1, the derivative Vv fis called the directional derivative offat
p in the direction v.
Given an nsurface S in !R
n
+ 1 and a smooth functionf: S + !R, its deriva
tive with respect to a vector v tangent to S is defined similarly, by
Vvf= (f 0 (X)'(t
o
)
where (X: 1+ S is any parametrized curve in S with ti(t
o
) = v. Note that the
value of V v f is independent of the curve (X in S passing through p with
velocity v, since
Vv f = (J 0 (X)'(t
o
) = VJ((X(t
o
)) ti(t
o
) = VJ(p) v
whereJ: U + !R is any smooth function, defined on an open set U containing
S, whose restriction to S is f It also follows from this last formula that the
function which sends v into V v f is a linear map from S p to !R.
The derivative of a smooth vector field X on an open set U in !R
n
+ 1 with
respect to a vector v E ! R ~ + 1, P E U, is defined by
VvX = (X ~ (X)(t
o
)
where (X; 1+ U is any parametrized curve in U such that ti(t
o
) = v. For X a
smooth vector field on an nsurface S in !R
n
+ 1 and va vector tangent to Sat
PES, the derivative V vX is defined by the same formula, where now (X is
required to be a parametrized curve in S with ti(t
o
) = v. Note that, in both
situations, VvX E ! R ~ + 1 and that
V vX = ((X(t
o
), (Xl 0 (X )'(t
o
), ... , (X n+ 1 0 (X )'(t
o
))
= (p, VvX
h
.. , V
v
X
n
+
1
)
where theX
i
are the components ofX. In particular, the value ofVvX does
not depend on the choice of (X.
It is easy to check (Exercise 9.4) that differentiation of vector fields has the
following properties:
(i) Vv(X + Y) = VvX + VvY
(ii) Vv(fX) = (Vvf)X(p) + f(p)(VvX)
(iii) Vv(X' Y) = (VvX) Y(p) + X(p) (VvY)
for all smooth vector fields X and Y on U (or on S) and all smooth functions
f: U + !R (or f: S + !R). Here, the sum X + Y of two vector fields X and Y is
the vector field defined by (X + Y)(q) = X(q) + Y(q), the product of a func
tionf and a vector field X is the vector field defined by (fX)(q) = j;(q)X(q),
and the dot product of vector fields X and Y is the function defined by
(X Y)(q) = X(q) Y(q), for all q E U (or for all q E S). Moreover, for each
smooth vector field X, the function which sends v into V vX is a linear map,
9 The Weingarten Map
55
from IR:+ 1 into IR:+ 1 if X is a vector field on an open set U, and from Sp into
IR:+ 1 if X is a vector field on an nsurface S.
Note that the derivative V vX of a tangent vector field X on an nsurface S
with respect to a vector v tangent to S at PES will not in general be tangent
to S. In later chapters we will find it useful to consider the tangential com
ponentDvX of VvX:
DvX = VvX  (VvX N(p))N(p),
where N is an orientation on S. DvX is called the covariant derivative of the
tangent vector field X with respect to v E Sp. Note that DvX = (X 0 a)'(t
o
)
where a: I ..... S is any parametrized curve in S with a(to) = v. Covariant
differentiation has the same properties ((i)(iii) above, with V replaced by D)
as ordinary differentiation (see Exercise 9.5). Moreover, for each smooth
tangent vector field X on S, the function which sends v into DvX is a linear
map from Sp into Sp.
We are now ready to study the rate of change of the normal direction N
on an oriented nsurface S in jR" + 1. Note that, for PES and v ESp, the
derivative VvN is tangent to S (i.e., VvN 1.. N(P)) since
0= V
v
(1) = Vv(N N)= (VvN) N(p) + N(p) (VvN)
= 2(V
v
N) N(p).
The linear map Lp: S p + S p defined by.
Lp(v) = VvN
is called the Weingarten map of S at p. The geometric meaning of Lp can be
seen from the formula
VvN = (N ; a)(t
o
)
where a: I ..... S is any parametrized curve in S with ~ ( t o ) = v: Lp(v) measures
(up to sign) the rate of change of N (i.e., the turning of N since N has
constant length) as one passes through palong any such curve a. Since the
tangent space S(J(t) to Sat a(t) is just [N(a(t))J1., the tangent space turns as the
normal N turns and so Lp(v) can be interpreted as a measure of the turning
of the tangent space as one passes through p along a (see Figure 9.1). Thus
Lp contains information about the shape of S; for this reason Lp is
sometimes called the shape operator of S at p.
For computational purposes, it is important to note that Lp(v) can be
obtained from the formula
Lp(v) = VvN = (p, VvN
h
.. , VvN,.+d
= (p, VN
1
(p) v, ... , VN,.+l(P) v),
where N is any smooth vector field defined on an open set U containing S
with ~ ( q ) = N(q) for all q E S. Note that ~ ( q ) need not be a unit vector for
56
9 The Weingarten Map
Figure 9.1 The Weingarten map. Lp(v) =  (N ~ 1X)(to) measures the turning of the
normal, hence the turning of the tangent space, as one passes through p along the
curve IX.
q S. When f: U + IR is such that S = fl(C) for some C E IR and N(q) =
Vf(q)/IIVf(q)11 for all q E S, it is natural to take N = VJ7IIVfll. Sometimes,
however, another choice of N is more convenient, as the following example
shows.
EXAMPLE. Let S be the nsphere xi + ... + x;+ 1 = r2 of radius r > 0,
oriented by the inward unit normal vector field N:
N(q) = (q, q/llqll) = (q, q/r)
for q E S. Setting N(q) = (q,  q/r) for q E IR
n
+ 1 (i.e.,
we have, for PES and v ESp,
Lp(v) = VvN = (p, VvN
h
... , V
v
N
n
+
1
)
= _ (p, V y ( _ x,' ), ... , V y ( _ x.; 1 ) )
But, for each i E {1, ... , n + 1},
VvXi = Vxi(p) v = (p,O, ... ,1, ... ,0) (p, Vh , V
n
+l) = Vi
so
9 The Weingarten Map 57
Thus the Weingarten map of the nsphere of radius r is simply multiplication
by l/r. Note however the dependence on the choice of orientation: if S is
oriented by the  N, the Weingarten map will be multipli
cation by  l/r.
The following two theorems exhibit important properties of the We ingar .
ten map.
Theorem 1. Let S be an nsurface in /R"+ 1, oriented by the unit normal vector
field N. Let PES and v ESp. Thenfor every parametrized curve ex: 1 + S, with
&(t
o
) = v for some to E I,
ii(t
o
) N(p) = Lp(v) v.
This theorem says that the normal component ci(t
o
) N(P) of acceleration
is the same for. all parametrized curves (l in S passing through p with velocity
v. In particular, if the normal component of acceleration is nonzero for
some curve (l with a(t
o
) = v toen it is nonzero for all curves in S passing
through p with the same velocity (see Figure 9.2). This component ofacceler
s
Lp(')'
t _______
Figure 9.2 All parametrized curves in S passing through p with the same velocity
will necessarily have. the same normal component of acceleration at p. In the figure,
a(tt} = P(tl) = a(h) = v; fJ is a geodesic.
ation is forced on every such curve in S by the shape of S at p and, according
to' the above formula, it can be computed directly from the value of the
Weingarten map L" on v.
Note that when ex is a geodesic, its only component of accelel;"ation is
normal to the surface, and this acceleration is forced on ex by the shaPe of the
surface.
For S the nsphere of radius r, the computation in the example above
shows that every unit speed curve ex in Shas normal component of accelera
tionpointing inward with'magnitude l/r.
58
9 The Weingarten Map
PROOF OF THEOREM 1. Since (X is a parametrized curve in S, ti( t) E S(J(t) =
[N((X(t))].l for all t E J; i.e., ti . (N 0 (X) = 0 along (x. Hence
0= [ti (N 0 (X)]'(t
o
)
= (i(t
o
) (N 0 (X)(t
o
) + ti(t
o
) (N (X)(t
o
)
= (i(t
o
) N((X(t
o
)) + v VvN
= (i(t
o
) N(p)  v . Lp(v)
so (i(t
o
) N(p) = Lp(v) v as claimed.
Theorem 2. The Weingarten map Lp is selfadjoint; that is,
Lp(v) W = v Lp(w)
for all v, WE Sp.
o
PROOF. Let f: U ..... IR (U open in IR
n
+ I) be such that S = fI(C) for some
c E IR and such that N(p) = Vf(p)/IIVf(p)11 for all pES. Then
L.(v) W = (V.N) W = V'(II;j'II) W
=  [V'(II;fll)Vf(P)+ IIV)(p)11 V.(V!)]. W
= V'(II;fll)Vf(P). W IIV)(p)11 [V.(Vf)) w.
Since Vf(p) W = 0, the first term drops out. Thus
1
Lp(v) W =  IIVf(p)11 [Vv(Vf)] W
1 (Of of )
= IIVf(p)11 p, Vv ox
I
' , Vv OXn+1 W
= IIV)(P)II (P. v ... V(a::'J(P) + W
1 ( n+ I 02f n+ I 02f )
=  IIVf( )11 P,.L a . a (p)Vi,.,.L a . a (P)Vi W
P 1= I Xl Xl 1= I Xl Xn+ I
1 n+ I 02f
IIVf(p)11 i. I OXi OX
j
(P)ViWj'
where v = (p, Vh , Vn+l) and W = (p, WI' , Wn+l)'
The same computation, with v and W interchanged, shows that
1 n+ I 02f
Lp(w) v =  IIVf(p)11 OXi OX
j
(P)WiVj.
9 The Weingarten Map 59
Since 02f10Xi OXj = 02f10Xj OXi for all (i, j), we can finally conclude that
1 1I+1
0
2j
Lp(v) W =  IIVj(p)11 OXi OXj (P)viWj
1 n+1 02j
IIVj(p)11 i, 1 OXj OXi (P)viWj
1 n+l 0
2
/
IIVj( )11 . (P)wjVi = Lp(w) V. 0
P l,j=1 UXj uXi
EXERCISES
9.1. Compute Vvf wheref: R"+l+R and v e R;+l, p e R"+
I
, are given by
(a) f(Xh X2) = + v = (1,0, 2, 1)
(b) f(Xh X2) =  v = (1, 1, cos 8, sin 8)
(c) f(Xh X2, X3) = Xl X2 xL v = (1, 1, 1, a, b, c)
(d) f(q) = q q, v = (p, v)
(n = 1)
(n = 1)
(n = 2)
(arbitrary n).
9.2. Let U be an open set in R"+ 1 and letf: U + R be a smooth function. Show that
if e, = (p,0, ... , 1, ... , 0) where p eU and the 1 is in the (i + 1)ih (i spots
after the p), then V.
I
f = (bflox,)(P).
9.3. Compute VvX where v e R;+l, p e R"+
I
, and X are given by
(a) X(Xh X2) = (Xh X2, Xl X2, V = (1, 0, 0, 1) (n = 1)
(b) X(Xh X2) = (Xl', X2, X2, Xl), v = (cos 8, sin 8, sin 8, cos 8) (n = 1)
(c) X(q) = (q, 2q), v = (0, ... ,0, 1, ... , 1) , (arbitrary n).
9.4. Verify that differentiation of vector fields has the properties (i)(iii) as stated on
page 54.
9.5. Show that covariant differentiation of vector fields has the following proper
ties: for peS and v e S"
(i) Dv(X + V) = DvX + DvV ,
(ii) Dv(fX) = (Vv f)X(p) + f(p)DvX
(iii) V v(X V) = (DvX) Y(p) + X(p) (Dv V)
for all smooth tangent vector fields X and V on S and all smooth functions
f:S+R.
9.6. Suppose X is a smooth unit vector field on an nsurface S in R"+ I; i.e.,
IIX(q)1I = 1 for all q e S. Show that VvX.J.. X(p) for all ve S" peS. Show
further that, if X is a unit tangent vector field on S, then DvX .J.. X(p
9.7. A smooth tangent vector field X on an nsurface S is said to be a geodesic vector
field, or geodesic flow, if all integral curves of X are geodesics of S.
(a) Show that a smooth tangent vector field X on S is a geodesic field if and
only if = 0 for all peS.
(b) Describe a geodesic flow on a 2surface of revolution in R3.
60
9 The Weingarten
9.8. Compute the Weingarten map for
(a) the hyperplane al Xl + ... + a
n
+ 1 x
n
+ 1 = b [(al"'" a
n
+ d # (0, ... ,0)]
(b) the circular cylinder xi + = a
2
in (a + 0)
(Choose your own orientations).
9.9. Show that if S is an nsurface and N is a unit normal vector field on S, then the
Weingarten map of S oriented by  N is the negative of the Weingarten
map of S oriented by N.
9.10. Let V be a finite dimensional vector space with inner product (dot product).
Let L: V + V be a linear map.
(a) Show that there exists a unique linear map L*: V + V such that
L*(v) W = v L(w) for all v, WE V. [Hint: Choose an orthonormal basis
{eb ... , en} for Vand compute L*(ej) for each i]. (L* is the adjoint of L.)
(b) Show that the matrix for L* relative to an orthonormal basis for V is the
transpose of the matrix for L relative to that basis. Conclude that L is
selfadjoint (L* = L) if and only if the matrix for L relative to any orthonor
mal basis for V is symmetric.
9.11. Let S =fl(C) be an nsurface in oriented by V.I7IIVfll. Suppose PES is
such that Vf(p)/IIVf(p)11 = e
n
+ h where ej = (p, 0, ... , 1, ... , 0) with the 1 in the
(i + 1 )th spot (i spots after the p) for i E {1, ... , n + 1}. Show that the matrix for
Lp with respect to the basis {eh e2, "', en} for Sp is
9.12. Let S be an nsurface in 1, oriented by the unit normal vector field N.
Suppose X and Yare smooth tangent vector fields on S.
(a) Show that
(VX(p)Y) . N(p) = (Vy(p)X) . N(p)
for all pES. [Hint: Show that both sides are equal to Lp(X(p)) Y(p).]
(b) Conclude that the vector field [X, Y] defined on S by [X, Y](p)
= VX(p)Y  VY(p)X is everywhere tangent to S. ([X, Y] is called the Lie
bracket of the vector fields X and Y.)
9.13. The derivative at p E U (U open in l) of a smooth map F: U + 1 is the
linear transformation F' (p ): + 1 + + 1 such that for every e > 0 there exists
a b > 0 guaranteeing that
IIF(p + v)  F(p)  F'(p)(v)ll/llvll < e whenever Ilvll < b.
Show that if X: U + + 1 is smooth and X is the vector field on U given by
X(q) = (q, X(q)) for all q E U then the derivative of X with respect to a vector
v = (p, v) E 1, where p E U, can be computed from the formula
VvX = (p, [X'(p)](v)).
9 The Weingarten Map 61
9.14. Show that the. Weingarten map at a point p of an nsurface S in R"+1 is
essentiany equal to the negative of the derivative at p of the Gauss map of S by
showing that
L,,(p, v) == (p, [N'(p)](v))
for (p, v) E S", where N: U + R"+ 1 is any smooth function, defined on an open
set U containing S, whose restrictionto S is the Gauss map N of S. [For the
definition of the derivative, ~ Exercise 9.13.]
9.15. Let I: U + iii, S == I  1 (c), and N == VII II VI ~ be as in the proof of the theorem of
Chapter 7. Let X be the vector field on U x R" + 1 defined by
X(w) == X(q, w) == (q, w, w, (w V.N)N(q))
where N(q) is the vector part ofN(q) (N(q).== (q, N(q)). For each parametrized
curve : 1 + U, define the natural lift of to be the parametrized curve
: 1 + U X R
IJ
+ 1 given by (t) == (t).
(a) Suppose : 1+ S. Show that is a geodesic of S ifand only if its natural lift
is an integral curve ofX. [Hint: Show that (t) == X(i(t for an tel ifand
only if satisfies the geodesic equation ( G ~ ] Conclude that if : 1 ..... S and
fJ: 1+ S are geodesics in S with (0) = fJ(O) and (0) = IJ(O) then (t) == fJ(t)
for all tel n 1. .
(b) Given, II: (p, v) E U x R" + 1, let fJ: I + U x R" + 1 be the intearal curve of
X through . Then fJ(t}lsd the form fl(t),. (fJl(t), fJl(t)WherefJl: 1+ U
and fJl: I ..... R"+ 1. Show that if, e Sand' e S, then fJ 1 is a geodesic of S
passing thrOUlh, with initial velodty [Hint: First check thatfJl satisfies
the geodesic equation (G), then proceed as in the proof.of the theorem of
Chapter 7 to verify that fJl actually maps limo S.]
Remark. Exercise 9.15 verifies the existence and uniqueness ofa maximal geodesic
IX in S with initial conditions (0) = , and (C}) = Y using only the existence and
uniqueness theorem for integral curves of vector fields. The introduction of the
natural Jift of a curve is the geometric aruilope of the substitution u, = dx,fdt
which reduces the 2nd order differential system
d1x, + L N oNJtE:J.dx
t
= 0
dt" 'ox" dtdt
(in n + 1 variables Xi) to the first order differential system
dXi
fit=u,.
I
(in 2n + 2 variables Xi and u,). This first order system ,of differential equations isjust
the ditTerential equation for the integral curves of X in U x R
IJ
+
1
c: R"r+". The
vector field X is called a geodesic spray.
10
Curvature of Plane Curves
Let C = fl(C), where f: U + IR, be a plane curve i ~ the open set U c 1R2,
oriented by N = VflIIVfll. Then, for each P E C, the Weingarten map Lp is a
linear transformation on the Idimensional space C p' Since every linear
transformation from a Idimensional space to itself is mUltiplication by a
real number, there exists, for each P E C, a real number K(p) such that
Lp(v) = K(p)V for all v E C
p
.
K(p) is called the curvature of C at p.
If v is any nonzero vector tangent to the plane curve C at p E C then
Lp(v) v = K(p)llvI1
2
so the curvature of C at p is given by the formula
K(p) = Lp(v) v/llvl12.
In particular, if IX: I + C is any parametrized curve in C with ci(t) =1= 0 for all
tEl then, by Theorem 1 of Chapter 9,
( ( ))
= Lp(ci(t)) ci(t) = cx(t) N(IX(t))
K IX t 11&(t)112 11&(t)112
If IX is a unit speed parametrized curve in C, this formula reduces to
, K(IX(t)) = Ci(t) N(IX(t)).
Thus the curvature of C at p E C measures the normal component of acceler
ation of any unit speed parametrized curve in C passing through p.
Note in particular the significance of the sign of K(P): if K(p) > 0 then the
curve at p is turning toward its normal N(p), and if K(p) < 0 the curve is
turning away from N(p) (see Figure 10.1).
62
10 Curvature of Curves 63
Figure 10.1 The curvature of C is positive at points where C is bending toward its
normal and is negative where C is bending away from its normal.
One way to compute the curvature of a plane curve is to use the formula
K 0 IX = (tX N 0 1X)/lltiI1
2
(or the equivalent formula in Exercise 10.1), where IX
is any parametrized curve in C; whose velocity is nowhere zero. If such an IX is
oriented consistently with the orientation on C, it is called a local parametri
zation of C.
Given an oriented plane curve C and a point p E C, a parametrization of a
segment of C containing p is a parametrized curve IX: 1 + C which
(i) is regular; i.e., has tift) =1= 0 for all t E 1,
(ii) is oriented consistently with C; i.e., is such that for each t E 1 the basis
{tift)} for Ca(t) is consistent with the orientation N of C, and
(iii) has p E Image IX.
If IX is onto; i.e.,.if a(1) = C, a is called a global parametrization of C. In
general, a is called a local parametrization of C.
Local parametrizations of plane curves are, in principle, easy to obtain.
If C = fl(C) is oriented by N = VflIlVfll, then Vf(q) = (q, (apoxd(q1
(0//OX2)(q)) is orthogonal to C
q
for each q E C, and the vector field X
given by X(q) = (q, (Of/QX2)(q1  (of/oxt)(q)) is everywhere orthogonal to
Vf (X(q) is obtained by rotating Vf(q) through an angle of n/21 so X is
a tangent vector field on C. Further, X(q) =F 0 for q E C and {X(q)} is con
sistent with the orientation N. Hence, given any point p E C, the maximal
integral curve IX: 1 + C of X through p will be a parametrization of a seg
ment of C containing p.
Note that if, in this construction, the vector field Vf is replaced by the
vector field N = Vf/IIVf II, then IX becomes a unit speed parametrization of a
segment ofC containing p, since
'lIa(t)1I = IIX(IX(t))1I = IIN(IX(t))1I = 1
for all t E 1.
Local parametrizations of plane curves are unique up to reparametriza
tion: given any parametrization 13:' I+ C of a segment of C containing p,
there exists a smooth function h: I+ IR, withh'(t) > O.for all tEl, such that
f3(t) = lX(h(t)) for aU tEl, where IX is the unit speed local parametrization
constructed above. Indeed, since {X(f3(t))} is a basis for the Idimensional
vector space CJJ(t) , /3(t) is necessarily a multiple of In fact,
/3(t) = 1I/3(t)IIX(f3(t)) since IIXII = 1 and since {/3(t)} and {X(f3(t))} are both
64
10 Curvature of Plane Curves
consistent with the orientation N of C. Setting
t'
h(t) = f IIP(T)II dT,
to
where to is such that 13 (to ) ~ p, we obtain a monotone increasing smooth
function h: I+ IR (h'(t) = IIP(t)11 > 0 for all t E 1) which sends to to o. The
parametrized curve 13 0 h  1 has velocity
(13 a h
1
)(t) = P(h
1
(t))(h
1
)'(t)
= P(h
1
(t))lh'(h l(t))
= P(h
1
(t))/IIP(h l(t))11 = X(f3(h
1
(t))
and so is an integral curve of the vector field X, with 13 0 h
1
(0) = p = IX (0).
By the uniqueness of integral curves, domain 13 0 h  1 C I and 13 0 h  1 (t) =
IX(t) for all t E domain 13 0 h
1
In other words, f3(t) = IX(h(t)) for all tEl, as
claimed. Note in particular that if 13: I+ C is a unit speed local parametriza
tion of C with f3(t
o
) = P then h(t) = t  to and f3(t) = IX(t  to)for all t E 1.
EXAMPLE. Let C be the circle fl(r
2
), where f(Xl' X2) = (Xl  a)2 +
(X2  b)2, oriented by the outward normal VflIIVfll. Since Vf(p) =
(p, 2(Xl  a), 2(X2  b)) for p = (Xl' X2) E 1R2, the integral curves of
X(p) = (p, 2(X2  b), 2(Xl  a)) will be local parametrizations of C. The
integral curve through (a + r, b) gives the global parametrization IX(t) =
(a + r cos 2t, b  r sin 2t). Hence
ii(t) N(IX(t)) ii(t) Vf(IX(t))
K(IX(t)) = 1 1 ~ ( t ) 1 1 2 = Ilti(t)112 IIVf(IX(t))11
_ (4r cos 2t, 4r sin 2t) (2r cos 2t, 2r sin 2t)
 11(2r sin 2t, 2r cos 2t)11211(2r cos 2t, 2r sin 2t)11
8r
2
1
= (4r2)(2r) =  r
If C had been oriented by the inward normal, the curvature would have been
+ l/r at each point.
For C an arbitrary oriented plane curve and p E C such that K(p) =1= 0,
there exists a unique oriented circle 0, called the circle of curvature of C at p
(see Figure 10.2), which
(i) is tangent to C at p (i.e., C
p
= Op)
(ii) is oriented consistently with C (i.e., N(p) = N l(P) where Nand N 1 are
respectively the orientation normals of C and 0), and
(iii) whose normal turns at the same rate at p as does the normal to C (i.e.,
VvN = V
v
N
1
for all v E Cp = Op).
10 Curvature of Plane Curves 6S
N(q)
c
Figure 10.2 The circle of curvature at two points of an oriented plane curve C.
This circle of curvature is the circle which hugs the curve C closest among
all circles containing p (see Exercises 10.8 and Condition (i) says that
the center of 0 is on the nonnalline to C at p, condition (iii) says that its
radius r satisfies the equation l/r = I K(P) I, where K(P) is the curvature of C
at p, and condition (ii) says that N(p) points toward the center of 0 if
K(P) > 0 and away from the center of 0 if K(P) < O. The radius r = 1/ I K(P) I
of the circle of curvature is called the radius of curvature of C at p; its center
is the. center of curvature of C at p.
EXERCISES
10.1. Let rx(t) == (te I) be a local parametrization of the oriented plane
curve C. Show that
'K orx == (x'y"  y'x")/(X,2 + y'2)3/2.
10.2. Let g: 1 R be a smooth function and let denote the graph of g. Show that
the curvature of C at the point (t, g(t is g"(t)f(1 + (g'(t2)3/2, for an appro
priate choice of orientation.
10.3. Find global parametrizations of cachof the following plane curves, oriented
by where/is the function defined by the left side of each equation.
(a) axl + bX2 == c, (a, b)::/= (0,
(b) xi/a
2
+ == 1, a::/= 0, b::/= O.
(c) X2  axi == c, a::/= O.
(d) xi  == 1, Xl > O.
10.4. Find the curvature 'K of each of the oriented plane curves in 10.3.
10.5. Let C be an oriented plane curve. Let pee and let N(P) == (p, N(p denote
the orientation unit normal vectorat p. Show that if rx: I  C is any unit speed
local parametrization of C with (to) == p, and h(t) == (rx(t)  p) N(P) (see
Figure then h(to) == h'(t
o
) = 0 and h"(to) ==
66 10 Curvature of Plane Curves
c
Figure 10.3 h(t) is the projection of  P along N(p). h(t) may be thought of as
the "height of above the line tangent to S at p."
10.6. Let C be a plane curve oriented by the unit normal vector field N. Let
1+ C be a unit speed local parametrization of C. For tEl, let T(t) =
Show that
or, more precisely,
Jt = (K 0 )(N 0
\(N = (K 0
These formulas are called the Frenet formulas for a plane curve.
10.7. Let 1+ 1R3 be a unit speed parametrized curve in 1R3 such that
x iX(t) =f= 0 for all tEl. Let T, N, and B denote the vector fields along
defined by T(t) = N(t) = iX(t)/lliX(t)ll, and B(t) = T(t) x N(t) for all tEl.
(a) Show that {T(t), N(t), B(t)} is orthonormal for each tEl.
(b) Show that there exist smooth functions K: I + IR and 't': I + IR such that
t=KN
N= KT+'t'B
B= 't'N.
These formulas are called the Frenet formulas for parametrized curves in
1R3. The vector fields Nand B are respectively the principal normal and the
binormal vector fields along The functions K and 't' are called the curva
ture and torsion of
10.8. Show that the circle of curvature 0 at a point p of an oriented plane curve C,
where K(p) # 0, has second order contact with Cat p; i.e., show that if and p
are unit speed local parametrizations of C and of 0, respectively, with =
P(O) = p, then ci(O) = p(O) and Ci(O) = p(O).
10.9. Let C be an oriented plane curve, let pEe, and let 1+ C be a unit speed
local parametrization of C with = p. Assume K(p) =f= O. For q E 1R2 and
r > 0, define f: 1+ IR by f(t) =  ql12  r2. Show that q is the center
of curvature and r the radius of curvature of C at p if and only if
f(O) = f'(0) = f"(O) = O.
10 Curvature of Plane Curves 67
Figure 10.4 Inclination angle of a unit speed curve in R2.
10.10. Let rx: I ~ C be a unit speed local parametrization of the oriented plane curve
C. Suppose (J: I ~ R is smooth andis such that
a(t) == ( r x ( t ~ cos ( J ( t ~ sin (J(t))
for all tel (see Figure 10.4). (We shall, in the next chapter, be able to prove
that such a function (J exists; see Exercise 11.15.) Show that d(J/dt == " 0 IX.
11
Arc Length and Line
Integrals
Before analyzing the Weingarten map for nsurfaces (n > 1) we shall pause
to see how parametrizations of plane curves can be used to evaluate integrals
over the curve.
The length l( IX) of a parametrized curve IX: I + ~ n + 1 is defined to be the
integral of the speed of IX:
b
I(IX) = f Ila(t)11 dt,
a
where a and b are the endpoints of I (possibly (0). Note that I(IX) may be
00. Also note that the length of a parametrized curve is the total" distance
travelled." Whenever IX retraces itself then that portion of the image which is
covered more than once is counted more than once.
Note that if fJ: 1+ ~ n + 1 is a reparametrization of IX, then l(fJ) = I(IX).
Indeed, if fJ = IX 0 h where h: 1+ I is such that h'(t) > 0 for all tEl, then
d d
l(fJ) = f IIP(t)11 dt = f 11&(h(t))llh'(t) dt
c c
b
= f 11&(u)11 du = I(IX),
a
where c and d are the endpoints of 1.
If IX is a unit speed curve, then for tb t2 E I with t1 < t
2
,
t2 t2
f 11&(t)11 dt = f 1 dt = t2  t1
t1 t1
so the length of any segment of IX is just the length of the corresponding
segment of the parameter interval. For this reason, unit speed curves are
often said to be parametrized by arc length.
68
11 Arc Length and Line Integrals 69
In order to apply the concept of length of a parametrized curve to define
the length of an oriented plane curve, we need two preliminary results.
1heorem 1. Let C be an oriented plane curve. Then there exists a global
parametrization of C if and only if C is connected.
PROOF. It is immediate from the definition of connectedness that any
oriented plane curve which has a global parametrization must be connected.
Conversely, suppose C is connected. Let p e C and let IX: 1+ C be the
local parametrization of C obtained as in the previous chapter. Recall that IX
is the maximal integral curve through p of the vector field X obtained by
rotating through an angle of n12 the vector field VI, where C = fl(C) and
N = VflllVfl\. Let Pl E C. We shall show that Pl E Image IX, hence that IX is a
global parametrization of C.
Since C is connected, there exists a continuous map p: [a, b] + C with
pta) = p and P(b) = Pl' The proof win be complete if we can show that
P(t) E Image IX for all t E [a,b]. To see that this is the case, let to denote the
least upper bound of the set {t E [a,b]:P([a, tn c:1mage IX} and let Y be an
integral curve of X with y(O) = We shan construct an open rectangle B
about Po =ft(t
o
) with the property that C ("I B c: Image y. Assume for the
moment that. such a B exists.' Then, by continuity of fJ, there exists a b > 0
such thatp(t)'E B (and hence P(t) E C ("I B c: Image y) for all t E [a, b] with
It  to I < b., Since fJ(t) E.Image IX for a t < to (and for t = to if to = a1
P(t) E (Image y) ("I (Image IX) for some t E [a, b] (t Therefore y and IX
are integral curves of X passing throUgh a common point. IX being
it follows that Image y c: Image IX (and, in fact, that there exists a 't E R such
that rtt) = a(t  't) for an, in the domain of y.) Hence P(t) e C ("I B c:
Image y c: Image IX for all t E [a,b] with It  to I < b. But this can only
happen "if to = b and fJ(to) EImagelX, so fJ(t) e Image oc for all t E [a, b] as
claimed.
Now to complete the proof we need only to construct B. For this, let
u = (0/IOX2)(P01  (0/IOX1)(PO)) and v = (0/IOX1)(P01 (0/IOX2)(PO)) so tha.t
(Po, u) E C l'O and (Po tV) .1 Cpo, and let A denote the rectangle
A = {Po + ru + sv: I r I < 81 and lsi < 82}
where 81" >0 and 82 > 0 are chosen small enough so that A is contained in
the domain of/and so that Vf(q) (q, v) > 0 for aD q E A (see Figure
That this last condition can ,be satisfied is a consequence of,the continuity
of (Of!OXh v and the fact that Of!OXh Of!OX2) v)(po) =
Of!OX1)(PO))2 + OPOX2)(PO))2 > O. The condition Vf(q) (q, v) > 0 for aU
q E A guarantees that, forlrl < 8h the function gr(s) = !(Po + ru 1+ sv) is
strictly increasing on the interval  82 <. S < 82 (g;.(S) > 0) and hence that for
each r with Irl < 81 there is at most ones with < 82 such that
gr(s) = !(Po + ru + sv) =c. In other words, for each r with Irl < 81 there is at
most ones with lsi < 82 such that Po + ru + sve C. Nowy(t) = Po + hl(t)u +
70
11 Arc Length and Line Integrals
Image
Figure 11.1 The rectangle A about Po is chosen so that each line segment =
(Po + ru) + sv (r fixed,  E2 < s < E2) meets C at most once. In the shaded rectangle
B, each such line segment meets C exactly once.
h
2
(t)v, where h1(t) = (y(t)  Po) u/llul1
2
and h2(t) = (y(t)  Po) vlllvl1
2
are
smooth functions of t with h1 (0) = h
2
(0) = O. Using the continuity ofy and of
h'1' together with the fact that
h'
1
(0) = Y(O) (Po, u/llul1
2
) = X(Po) . X(Po)/IIX(Po)11
2
= 1,
we can choose t1 < 0 and t2 > 0 in the domain ofy so that both y(t) E A and
h'1 (t) > 0 for all t E (t1' t
2
) (Figure 11.1). Setting r1 = h1 (td and r2 = h1 (t
2
) it
follows that for each r E (r1' r2) there is exactly one t E (tb t
2
) with h1 (t) = r
(since h1(t) is continuous and strictly increasing) and that s = h2(t) for this t
is an s (and therefore the unique s) with I s I < e2 such that Po + ru + sv E C.
In other words, if B is the rectangle
B = {Po + ru + sv: r1 < r < r2, I s I < e2},
then Po + ru + sv E B n C if and only if r = h1(t) and s = h2(t) for some
t E (tl' t
2
); i.e., if and only if Po + ru + sv E Image y. Thus C nBc
Image y, as required. 0
The proof of Theorem 1, with X replaced everywhere by the unit vector
field X/IIXII, also shows the existence of a global unit speed parametrization
of any connected oriented plane curve.
Theorem 2. Let C be a connected oriented plane curve and let p: I + C be a
unit speed global of C. Then p is either one to one or periodic.
Moreover, P is periodic if and only if C is compact.
PROOF: Suppose P(td = P(t
2
) for some t
1
, t2 E I with t1 =1= t
2
. Let X be the
11 Arc Length and Line Integrals 71
unit tangen t vector field on C constructed as in the previous chapter and let IX
be the maximal integral curve of X with IX(O) = P(ttl = P(t
2
). Then, since Pis
also an integral curve of X, uniqueness of integral curves implies that
P(t) = IX(t  i
1
)
and, at the same time,
P(t) = IX(t  t
2
)
for all tEl. Setting t = t2  t
1
, we have
P(t) = IX(t  ttl = IX((tt)  t
2
) = P(t + t)
for all t such that both t and t + tEl. Thus if P is not one to one then it is
periodic.
If P is periodic then C must be compact because C is the image under the
continuous map P of a closed interval [to, to + t]. On the other hand, if Pis
not periodic, then P must be one to one so C cannot be compact because the
function P 1: C ~ ~ is continuous on C yet attains no maximum value. The
continuity of p
1
can be checked as follows. Given to E I and e > 0, set
y(t) = P(t + to) for t such that r t I < B and t + to E I, and choose an open
rectangle B about Po = P( to) = y(O) as in the proof of Theorem 1. Then
C nBc Image y so I P 1 (p)  to I = I y  1 (P) I < e whenever p E C n B, as
required for continuity. 0
Recall that the period of a periodic function P is the smallest t such that
P( t + t) = P( t) for all t such that both t a n ~ t +. t are in the domain of p. If t
is the period of P then any subset of the domain of P of the form [to, to + t)
is called afundamental domain of p. Note that the restriction of any periodic
global parametrization P of a compact plane curve to a fundamental domain
maps that fundamental domain one to one onto Image p. Hence, if we allow
halfopen intervals as well as open intervals as domains of parametrized curves,
every connected oriented plane curve admits a one to one unit speed global
parametrization. Moreover, any two such parametrizations IX: I ~ C and
p: I ~ C have parameter intervals I and I of the same length. Indeed, IX and
P are related by P(t) = IX(t  to) for some to E ~ so I is simply a translate of
I. Hence we can define the length of a connected oriented plane curve C to be
the length of I where IX: I ~ C is anyone to one unit speed global parametri
zation of C. ,
Since the Jength of P is the same as the length of IX where IX is any
reparametrization of p, it follows that the length of a connected oriented
plane curve C3Jl be computed from the formula
b
I(C) = I(IX) = f IltX(t)11 dt
a
where IX: I ~ C is anyone to one global parametrization of C and a and b
are the endpoints of I.
72 11 Arc Length and Line Integrals
EXAMPLE. Let C denote the circle (Xl  a)2 + (X2  b)2 = r2 oriented by
its outward normal. Then tX: I ~ C, defined by tX(t) = (a + r cos 2t,
b  r sin 2t) is a global parametrization of C, as we saw in the previous
chapter. tX is periodic with period n so the restriction of tX to the interval [0, n)
is a one to one global parametrization of C. Hence
I(C) = f1t IltX(t)11 dt = f1t 11(2r sin 2t, 2r cos 2t)11 dt = 2nr.
o 0
The remainder of this chapter will be devoted to a discussion of differen
tial 1forms and their integrals.
A differential 1 {orm, usually called simply a 1 {orm, on an open set
U C ~ n + l is a function w: U X ~ n + l ~ ~ such that, for each P E U, the
restriction of w to ~ ~ + leU X ~ n + 1 is linear.
EXAMPLE 1. Let X be a vector field on U and let Wx: U X ~ n + 1 ~ ~ be
defined by
wx(p, v) = X(p) . (p, v).
Then Wx is a 1form on U, called the 1form dual to X.
EXAMPLE 2. For f: U ~ R a smooth function, define df: U x ~ n + 1 ~ ~ by
df(v) = Vvf= Vf(p) v (v = (p, v) E ~ ~ + l , P E U).
Then df is a 1form on U, called the differential off
EXAMPLE 3. For each i E {1, ... , n + 1}, let Xi: U ~ ~ (U C ~ n + l) be defined
by
The function Xi is called the ith Cartesian coordinate function on U. The
1form dX
i
simply picks off the ith component of each vector in its domain:
dXi(V) = VXi(P) v = (p, 0, ... ,1, ... ,0) v = Vi
Remark. As is common in mathematics, we are using a single symbol in
different situations to represent different quantities. We have used the
symbol Xi to denote a real number when describing a point (x l' ... , Xn + l) in
~ n + l, we have used Xi to denote a function with domain an interval when
describing a parametrized curve tX( t) = (x 1 (t), ... , Xn + 1 (t)) in ~ n + l, and now
we are using Xi to denote a func;tion whose domain is an open set in ~ n + l.
These various uses of the symbol Xi are all standard. We could of course
introduce extra nota;tion to avoid overworking any given symbol but only
at the cost of mushrooming symbology and nonconformity with common
11 Arc Length and Line Integrals 73
usage. We will continue to use the symbol Xi in each of these situations;
the meaning in each given situation will always be clear in context.
A 1form w on U c 1R"+1 is smooth if it is smooth as a function w: U x
IR
n
+ 1 C 1R
2n
+ 2 IR. Note that iff: U IR is a smooth function on U then its
differential df is a smooth Iform on U.
The sum of two Iforms W1 and W2 on an open set U c IR"+ 1 is the Iform
W1 + W2 defined by
(W1 + W2)(V) = W1(V) +
The product of a functionf: U IR and a Iform w on U is the Iformfwon
U defined by
(fw)(P, v) = f(P)w(P,
Note that the sum of two smooth Iforms is smooth and that the product of
a smooth function and a smooth Iform is smooth.
Given a "iform w and a vector field X on U c IR"+ 1, we can define a
function w(X): U IR by
(w(X)(P) = w(X(P)).
Note that if w and X are both smooth then so is
Proposition. For each Iform w on U (U open in IR" + 1) there exist unique
functions Ii: U . IR (i E {I, ... , n + I}) such that
n+1
w=' Llidx
i
i=1
Moreover, w is smooth if and only if each Ii is smooth.
PROOF. For each j E {I, ... , n + I}, let X} denote the smooth vector field on
U defined by XJW)= (p, 0, ... , 1, ... , with the 1 in the U + l)th spot
U spots after the p). Then
Jl if i = j
dXi(X}) = \0 if i + j.
Thus if w = 'L7:!1 Ii dXi then, for each j E {1, ... , n + I},
fj = Ii dXi ) (X)) =
1=1
This formula shows that thefunGtionsjj, if they exist, are unique,d also
that they are smooth if w is smooth. On the other hand, if we defule fune
tionsfj by the above formula, then the Iforms w and Li':!l Ii dx
i
have the
same value on each of the basis vectors Xi(P) for + 1 and hence by linearity
they have the same value on all vectors in IR;+ 1, P E U, so ill = L7:! I Ii dXi'
Clearly w is smooth if each Ii is smooth. 0
74
11 Arc Length and Line Integrals
Corollary. Let f: U (U open in + 1) be a smooth function. Then
n+1 of
df= L
i=1 uXi
PROOF. df(X
j
) = Vf Xj = of/ox
j
. 0
N ow let w be a smooth 1form on the open set U C + 1 and let
IX: [a, b] U be a parametrized curve in U. The integral of w over IX is the
real number
b
f W = f w(tX(t)) dt.
a a
Integrals of this type are called line integrals.
Note that if f3: [c, d] U is any reparametrization of IX, f3 = IX 0 h where
h: [c, d] [a, b] has derivative everywhere positive, then
d d
f W = f w(/J(t)) dt = f w(ci(h(t)h'(t))) dt
pee
d b
= f w(ci(h(t))h'(t)) dt = f w(tX(u)) du = f w.
c a a
In particular, if U is an open set in and C is a compact connected oriented
plane curve in U then we can define the integral of w over C by
f w = f w,
e a
where IX: [a, b] C is any parametrized curve whose restriction to [a, b) is a
one to one global parametrization of C; the result will be independent of the
choice of IX.
Also note that the line integral Ja w can be defined for IX a piecewise
smooth parametrized curve. If IX: [a, b] U C is continuous and such
that the restriction of IX to [ti' ti+ 1] is smooth for each i E {a, 1, ... , k}, where
a = to < t1 < ... < t
k
+
1
= b, then the integral of the smooth 1form won U
over IX is
k
f W = .L f w
a 1=0 ai
where IXi is the restriction of IX to [ti' ti + d.
Remark. We have insisted, in defining the line integrals Ja w and Je w, that
the parametrized curve IX have domain a closed interval and that the plane
curve C be compact. This is done to assure the existence of the integrals.
Note that it is not necessary to make these assumptions in defining the
length integral because, the integrand being nonnegative, this integral
always either exists or diverges to + 00.
11 Arc Length and Line Integrals
75
EXAMPLE 1. Let U be opeD in IR" + 1 and let f: U IR be smooth. Then, for
tX: [a, b] U any parametrized curve in U,
b b
f df = f df(ex(t)) dt = f '(1
0
tX)'(t) dt == f(tX(b)) 
ez II. II
In particular, if tX(a) = tX(b) then fez df = O.
A 1form which is the differential of a smooth function is said to be exact.
A parametrized curve tX: (a, b] !R"+1 with tX(a) = cx(b) is said to be closed.
The above computation shows that the integral of an exact 1form over a
closed cUrve is always zero. In particular, the integral of an exact l{orm over
a compact connected oriented plane curve is always zero.
EXAMPLE 2. Let " denote the 1form on 1R2  {O} defined by
. X
2
dx Xl dx
,,  + 1 + + 2
and tet Cdenote the ellipse (xi/0
2
) + (xJ/b
2
) = 1, oriented by its inward
normaL The. parapletrized curve tX: [0, C defined by tX(t) = (a cos t,
b sin t) restricts to a one to one global parametrization of C on the interval
[0, 2n) so
2#
J ,,== I" == f ,,(<tdt
c CI 0
f
211 [. . ..... bsint .
0 a:(tos't+b
2
sin
2
t(a Sln t)
acost 1
+ 2 2b
2
' 2 (b cos t) dt
a cos t+ SID t
2#00 .. n/2 (b/a) sec
2
t
== t 0
2
008
2
t +b
1
sin
2
t dt = 4 t 1 + (b/a)2 tan
2
t dt
== 4 foo . dU
2
== 2n.
o 1 +u
Since its integral over the compact curve C is n()t zero, the 1form" of
Example 2 cannot be exact. However, its restriction to V (or, more precisely,
to V x V is the complement in 1R2 of any ray through the 0rgin,
is exact. Indeed, for v any llD;it vector in 1R2 and .
V == 1R2  {rv: r O},
" == d8y where 8y : V IR is defin'ed as follows. Let 8.,denote the Unique
number with 0 < 2n such that v = (cos 8." sin 8.,). Then, for each
76 11 Arc Length and Line Integrals
(x, y) E V, define Ov(x, y) to be the unique real number with Ov :::;; Ov(x, y) <
Ov + 2n such that .
((x2 + Xy2 )'/2' (x2: y2 )'/2 ) = (cos /ly(X, y), sin /ly(x, y))
(see Figure 11.2). In order to verify that dO
v
= '1 Iv simply note that
tan Ov(x, y) = y/x and cot Ov(x, y) = x/y so in each sufficiently small open
set we can solve one or the other of these equations for Ov and compute
ao
v
ao
v
X2 Xl
dO
v
= ~ dx 1 + ~ dx 2 =  2 2 dx 1 + 2 2 dX2 .
uXl uX2 Xl +X2 Xl +X2
Figure 11.2 Oy(x, y) is the inclination angle of the line segment from the origin
to (x, y), Ov :$; Oy < Ov + 2n.
Theorem 3. Let '1 be the l{orm on [R2  {O} defined by
X2 Xl
'1 =  2 2 dx 1 + 2 2 dx 2 .
Xl +x
2
Xl +x
2
Then for a: [a, b] + [R2  {O} any closed piecewise smooth parametrized curve
in [R2  {O},
for some integer k.
PROOF, Define qJ: [a, b] + [R by
qJ(t) = qJ(a) + r '1
'ilt
where at is the restriction of a to the interval [a, t] and qJ(a) is chosen so that
a(a)/lIa(a)1I = (cos qJ(a), sin qJ(a)).
11 Arc Length and Line Integrals
We claim that
(*)
ex(t)/llex(t)11 = (cos sin q>(t))
for all t E [a, b]. Indeed, let to denote the least upper bound of the set
{t E [a, b]: (*) holds for a ::; t ::; t}. By continuity, (*) must hold at t = to.
Setting v =ex(to)/llex(to)11 and. defining 8y as above we find that
(cos sin 8
y
(ex(to)) = ex(to)/Il ex(to) II = (cos q>(t
o
), sin q>(t
o
)) so
q>(t
o
)  8
y
(ex(t
o
= 21tm for some integer m. Choosing > 0 so that ex(t) E V
for all t E [a, b] with It  to I < we find further that, for t E [a, b],
It  to I < and t =1= ti (t
i
a point where ex fails to be smooth),
:t (q>(t)  8
y
(ex(t)) = ,,(<i(t)) d8
y
(<i(t)) = 0,
so q>(t)  8
y
{ex(t)) = 2n:m for all t E [a, b] with It  to I < But then
(cos q>(t), sin q>(t)) = (cos sin 8y(ex(t))) == ex(t)/lIex(t)1I
for aU such t, which is possible only if to = b. Thus to == b md (*) holds for
all t E [a, b], as claimed.
Finally, sjnce ex(a) = (*) implies that
(cos sin q>(a)) = (cos q>(b), sin
so q>(b)  = 21tk for some integer k, and
b
f ,,== f ,,(<i(t)) dt ==q>(b)  q>(a) == 21tk.
4 ..
o
The integer k(ex) = (1/2n) J " is called the winding number of ex since it
counts the number of times the closed curve ,ex winds around the origin.
EXERCISFS
In Exercises 11.111.4, find the length of the given parametrized curve
ex: 1+ jR"+ 1.
11.1. cx(t) == (i2, I [0, 2], n == 1.
11.2. ci(t) = (cos 3t, sin 3t, I = [ 1, 1], n == 2.
11.3. cx(t) == (.fi cos 2t, sin 2t, sin 1 [0, 2n]. n == 2.
11.4. cx(t) = (cos t, sin t, cos t, sin 1= {O, 2n], n = 3.
In Exercises 11.511.8, find the length of the connected orientJ plane
oriented by VPIIVfll, where/: U + IR and c are as given.
11.5. f(xt. X2) == 5Xl + 12x
2
, U = {(xt. X2): xi + xi < 169}, c = 0.
11.6. f(xt. X2) = !xi + !(X2  1)2, U 1R2, C = 2.
78 11 Arc Length and Line Integrals
11.7. f(Xh X2) = xi  U = {(Xh X2): 0 < Xl < 2}, c = 1. [Set up, but do not
evaluate, the integra1.]
11.8. f(Xh X2) = 9xi + U = {(Xh X2): Xl > 0, 0 < X2 < 3}, c = O. [Hint:
Note that there is a parametrization ex(t) = (Xl(t), X2(t)) of f
1
(0) with
X2(t) = t.]
11.9. Show that if C is a connected oriented plane curve and C is the same curve
with the opposite orientation, then I(C) = I(C).
11.10. Let C be a connected oriented plane curve, let ex: 1 C be a one to one unit
speed parametrization of C, and let ,,: C  IR denote the curvature of C.
(a) Show that I" 0 ex(t) I dt, where a and b are the endpoints of I, is
independent of the choice of one to one unit speed parametrization ex of C.
(b) Show that I" 0 ex(t) I dt = I(N 0 ex), where N: C _1R2 is the Gauss map
of C.
I" 0 ex(t) I dt is called the total curvature of C.]
11.11. Let f and g be smooth functions on the open set U c IR
n
+ 1. Show that
(a) d(f + g) = df + dg.
(b) d(fg) = gdf + fdg.
(c) If h: IR  IR is smooth then d(h 0 f) = (h' 0 f) df
11.12. Compute the following line integrals.
(a) S<x (X2 dXl  Xl dX2) where ex(t) = (2 cos t, 2 sin t), 0 t 2n.
(b) Se (X2 dx 1 + Xl dX2) where C is the ellipse (xi/a
2
) + (xVb
2
) = 1,
oriented by its inward norma1.
(c) S<x I Xj dXj where ex: [0, 1]  IR
n
+ 1 is such that ex(O) = (0, 0, ... , 0)
and ex(l) = (1, 1, ... , 1). [Hint: Find an f: IRn+ 1  IR such that df =
I Xj dXj.]
11.13. Let w = Ii dXj be a smooth Iform on IR
n
+
1
and let ex(t) =
(xl(t1 ... , x
n
+ l(t)), where the Xi are smooth real valued functions on [a, b].
Show that
f f
b n+ 1 dx
<x
W
= II (Ii 9'ex) Tt dt.
11.14. Let C =fl(C) be a compact plane curve oriented by VflIIVfll, let X be the
unit vector field on U = domain (f) obtained by rotating Vfl II Vf II through
the angle nI2, and let Wx be the Iform on U dual to X. Show that
Se Wx = I(C).
11.15. Let ex: 1 1R2 be a unit speed curve, let to E I, and let (Jo E IR be such that
&(to) = (ex(to), cos (Jo, sin (Jo). Show that there exists a unique smooth function
(J: 1 IR with (J = (Jo such that &(t) = (ex(t), cos (J(t), sin (J(t)) for all t E 1.
[Hint: Set (J(t) = (Jo + S:o '1(/3(r)) dr where '1 is the Iform of Theorem 3 and
f3 = dexldt.]
11.16. Let ex: [a, b]  1R2  {O} be closed piecewise smooth parametrized curve.
Show that the winding number of ex is the same as the winding number offex
where.!: [a, b]  IR is any piecewise smooth function along ex withf(a) = f(b)
11 Arc Length and Line Integrals 79
andf(t) > 0 for all t E [a, b]. Conclude that ex and ex/llexll have the same wind
ing number.
11.17. Let a = to < t1 < ... < tA;+ 1 = b and let qJ: [a, b] x [0, 1] 1R2  to} be a
continuous map such that, for each u E [0, 1], the map qJu: [a, b]  IR defined
by qJu(t) = qJ(t, u) is smooth on each interval [ti' Assume that qJu(a) =
qJu(b) for all u E [0, 1]. Show that the winding number k(qJu) is a continuous
function ofu and hence that k(qJu) is constant and, in particular, k(qJo) = k(qJd
[The map qJ is called a homotopy between qJo and qJ1']
11.18. The whIding number of dex/dt (which is the same, by Exercise 11.16, as the
winding number of dex/dt/lldex/dtll), where ex: [a, b]  1R2 is a regular (&(t) =1=
for all t) parametrized curve with &(a) = is called the rotation index of ex.
(a) Show by example that for each integer k there is an ex with rotation index
k.
(b) Show if ex is the restriction to [a, b] of a periodic regular parametrized
curve with period t = b  a and if ex is one to one on [a, b) then the
rotation index of ex is 1. [Hint: See Figure 11.3. Let u E 1R2, U =1= 0, and
choose to so that h(t) = ex(t) u has an absolute minimum at to. For
r:===::::;3!!1'" (to + T, to + T )
(ex (tl), '" (th tl
 & (tl)111
Figure 11.3 To show that the rotation index of ex is 1, to is chosen so that Image ex
lies completely on one side ofthe tangent line at ex(to), t/! is the normalized secant map
t/!(t
h
t2) = (ex(t2)  ex(t1/llex(t2)  ex(t
1
)11 extended continuously to the closed
triangle T, andt/>: [to, to + t] x [0, 1]  T is the homotopy which maps horizontal
line segments to piecewise smooth curves in T, as indicated.
80
11 Arc Length and Line Integrals
~ ~ (t,) ~ I ~ : (t,) II
 ~ : (to) ~ I ~ ~ (to) II
if t1 = to and
(ex(t2)  ex(td)/llex(t2)  ex(tdll otherwise,
define a homotopy qJ: [to, to + r] x [0, 1]  ~ 2  {O} by qJ = '" 4>
where
(to, to) + (t  to)( 1  u, 1 + u)
if to ::::;; t ::::;; to + tr
4>(t, u) =
(to + r, to + r)  (to + r  t)(l + u, 1  u)
if to + tr ::::;; t ::::;; to + r,
calculate the winding number of qJ h and apply Exercise 11.17. In calculat
ing the winding number of qJ1 note that Image qJ11(to, to+t/2] and Image
qJ11(to+t/2, to+t] are each contained in a region where the Iform '1 is
exact.]
11.19. Let C be a compact connected oriented plane curve with curvature K every
where positive and let ex: ~  C be a unit speed global parametrization of C.
(a) Show that if u E 51 and h: ~  ~ is defined by h(t) = ex(t) u then
h'(to) = 0 if and only if N(ex(to)) = u, and h"(to) = K(ex(to))u N(ex(to))
for all such to. Conclude that the Gauss map N of C is onto.
(b) Show that if [to, to + r) is a fundamental domain of ex then the rotation
index (Exercise 11.18) of exl[to,to+t] is equal to (1/2n)S:g+t(K
o
ex)(t)dt.
[Hint: Use Exercises 11.15 and 10.10.]
(c) Show that if C E (to, to + r] is such that N(c) = N(t
o
) and N(t) =1= N(to)
for to < t < c then S ~ (K ex)(t) dt = 2n. [Use Exercise 10.10.] Conclude
that c = to + r and that the Gauss map of C is one to one. [Use Exercise
11. 18(b).]
11.20. A functionJ: C  C (C = {complex numbers}) may be viewed as a function
from ~ 2 to ~ 2 by identifying each complex number a + bi with the point
(a, b) E ~ 2 . In particular, we may view each polynomial function J(z) =
an z" + ... + a 1 z + ao (ao, ... , an E C) as a smooth map from ~ 2 into itself.
Given such a polynomial!, let exf: [0, 2n] _ ~ 2 be defined by
exf(t) = J(cos t, sin t) = J(cos t + i sin t)
and let k(J) denote the winding number of exf.
(a) Show that if J(z) = ao =1= 0 for all z then k(f) = O.
(b) Show that if J(z) = lln z" with an =1= 0 then k(J) = n.
(c) Show that if J is any polynomial with J(z) =1= 0 for all z E C with I z I :::;; 1
then k(f) = O. [Apply Exercise 11.17 to qJ: [0,2n] x [0, 1] _ ~ 2  {O},
qJ(t, u)=J(u(cos t + i sin t)).]
11 Arc Length and Line Integrals 81
(d) Show that if/is any polynomial withJ(z) + 0 for all z E C with I z I 1
then k(J) = n. [Apply Exercise 11.17 to qJ: [0, 21t] x [0, 1] + 1R2  to},
1
u'1(! (cos t + i sin t)) 'if u + 0
qJ(t, u) = u
a,.(cos t + i sin tr if u = 0,
where a,. is the leading coefficient ofJ(z).]
(e) Conclude that if J is a polynomial with J(z) + 0 for all z E C then the
degree ofJmust be zero. (This exercise proves theJundamental theorem oj
algebra: every nonconstant polynomial with complex coefficients must
have a root in C.)
11.21. Let ex: [a, b] +1R2  to} be smooth and such that ex(a) = Suppose ex hits
the positive x laxis only finitely many times. Show that the winding number
k(ex) is equal to the algebraic number of crossings of the positive xlaxis by ex,
where each upward crossing is counted positively and each downward cross
ing is counted negatively. (Hint: Let tl < t2 < ... < t", be the set of all
t E [a, b] such that ex(t) lies on the positive xlaxis. Let V and 8
y
be asin our
discussion of the winding number, with v = (1, Then
k(ex) = f lim (1+1' dt
'=0 ,"'0 ,,+
where to = a and t", + 1 = b. (If t 1 = a, the sum will range only from 1 to
m1.)] .
11.22. Let ex: 1 +1R2 be a piecewise smooth closed parametrized curve. For
p = (a, b) E H2  Image ex,define
k () f (X2  b)
dx
l + (Xl"';' a)dx2
J1 ex = II (Xl a)2 +(xz :" b)2. .
(a) Show that k,(ex) is an integer. [Hint: Show that k,(ex) is the winding
number of fJ: 1 + Hl  to} where fJ(t) = ex(t)  p.] .
(b) Show that if p and q E IR
z
 Image ex can bejoined by a continuous curve
in'H2 Image ex thenk,(ex) =
(The integer k,(cx) is the winding number of ex about p.)
12
Curvature of Surfaces
Let S be an nsurface in [Rn + 1, oriented by the unit normal vector field N, and
let pES. The Weingarten map Lp: Sp+Sp, defined by Lp(v) = VvN for
v ESp, measures the turning of the normal as one moves in S through p with
various velocities v. Thus Lp measures the way S curves in [Rn+ 1 at p. For
n = 1, we have seen that Lp is just multiplication by a number K(p), the
curvature of S at p. We shall now analyze Lp when n > 1.
Recall that, for v ESp, Lp(V) . v is equal to the normal component of
acceleration at p of every parametrized curve (l in S passing through p with
velocity v. This component of acceleration is thus forced on (l by the curva
ture of S in [Rn+ 1. When Ilvll = 1, this number
k(v) = Lp(v) . v
is called the normal curvature of Sat p in the direction v. Note that if k(v) > 0
then the surface S bends toward N in the direction v, and if k(v) < 0 it bends
away from N in the direction v (see Figure 12.1). When n = 1, k(v) = K(p) for
both unit vectors v ESp.
EXAMPLE 1. Let S be the sphere xi + ... + x; + 1 = r2 of radius r, oriented by
the inward normal N(p) = (p,  pillpl!). Then, as we saw in Chapter 9, Lp is
simply multiplication by 1/r. Hence k(v) = 1/r has the same value for all
tangent directions v at all points pES.
EXAMPLE 2. Let S be the hyperboloid  xi + x ~ + x ~ = 1 in [R3, oriented by
the unit normal vector field N(p) = (p, Xl/llpll, x2/11pll, x3/11pl!) for
p = (Xi, X2, X3) E S (Figure 12.1). Then for p = (0, 0, 1), each unit vector
v E Sp is of the form (p, Vb V2, 0) where vi + V ~ = 1, Lp(v) =
VvN = (p, Vb V2, 0), and k(v) = vi  v ~ . In particular, k(v) = 1 when
82
12 Curvature of Surfaces
Figure 12.1 Normal curvature at p = (0, 0, 1) is positive in the direction el =
, (p, 1, 0, 0) and negative in the direction e2 = (p, 0, 1, 0).
v = (p, 1,0, 0) and k(v) = 1 when V = (p,0, 1, O ~ Moreover, k(v) = 0
when v = (p, 1/.j2, 1/.j2, 0) and when v = (p, 1/.Ji,  1/.j2, 0) which
is not surprising since the straight lines (X(t) = (tl.J2, tl.j2, 1) and fJ(t) =
(tl.j2, tl.j2, 1) both lie completely in S so S does.not force anyaccelera
tion on parametrized curves in these directions through p (see Figure 9 . 1 ~
Further insight into the meaning of nornial curvature can be gainedJrom
normal sections. Given an nsurfaceS =fl(C)in R"+I, oriented by the unit
riormal vector field N, the normal section determined by the unit vector
v = (p, v) ESp, PES, is the subset %(v) of R"+ 1 defined by
.;V(v) = {q E R"+ 1: q = p + xv +yN(p) for some (x, y) E R2}
where N is the Gauss map [N(P) = (p, N(P] (see Figure 1 2 . 2 ~ .;V(v) is just a
copy ofR
2
, with pcorresponding to the origin, p + v corresponding to (1,0)
and p + N(P) corresponding to (0, 11 so we shall identify .K(v) withR2 and
shall viewthe intersection S f"\ %(v) as a subset of R2. More precisely,
(a) (b)
Figure 12.2 (a) The normal section %(1 v E S" pES. (b) S '"' %(v1 viewed as a
subset of R2.
84 12 Curvature of Surfaces
define i: + 1 by i(x, y) = P + xv + yN(p), so that %(v) = Then
i(x, y) E S (l % (v)<=> i(x, y) E S <=> f 0 i(x, y) = c so, under i, the level set
(f 0 it l(C) is identified with S (l %(v). (f 0 it l(C) is not necessarily a
(simple) plane curve, as Figure 12.2(b) shows. It is, however, if the points
where Vfis orthogonal to %(v) are deleted:
Theorem 1. Let S be an oriented nsurface in + 1 and let v be a unit vector in
Sp, pES. Then there exists an open set V C 1 containing p such that
S (l %(v) (l V is a plane curve. Moreover, the curvature at p of this curve
(suitably oriented) is equal to the normal curvature k(v).
PROOF. Let f: U + be such that S = fl(C) and Vf(q) =1= for all q E S.
Given v = (p, v) ESp, PES, let i: + 1 be as above and let
V = {q E U: either VJ(q) . v =1= or VJ(q) . N(p) =1= O},
where VJ(q) is the vector part or.Vf(q) (Vf(q) = (q, VJ(q))). Then p E V and
V(f 0 i)(x, y) = (x, y, Vj(i(x, y)) . v, Vf(i(x, y)) . N(p))
is never zero for (x, y) E il(V) so
C = i
1
(S (l %(v) (l V) = (f 0 it l(C) (l il(V)
is a plane curve (i.e., S (l % (v) (l V is a plane curve) as required.
Moreover, if a(t) = (x(t), y(t)) is a unit speed curve in C with a(t
o
) =
(0,0, 1,0) (this vector is tangent to C since it is orthogonal to V(f 0 i)(O, 0)),
then i 0 a is a unit speed curve in S (l %(v), since
II(i a)(t)112 = II(i 0 a(t), x'(t)v + Y'(t)N(p))112
= (X'(t))2 + (Y'(t))2 = 11&(t)112 = 1,
and (i a)(t
o
) = v. Now, if we orient C so that the orientation normal at
(0, 0) is (0, 0, 0, 1), then the curvature of C at (0, 0) is
K(a(to)) = &(t
o
)' (a(to), 0, 1) = Y"(t
o
)
whereas the normal curvature of S in the direction v is
k(v) = (i a)(t
o
) . N(p) = (p, x"(to)v + Y"(to)N(p)) . (p, N(p)) = y"(t
o
)
so k(v) = K(a(to)), as was to be shown.
D
For p a point in an oriented nsurface S, the normal curvature k(v) is
defined for each unit vector v in the tangent space Sp to S at p. Thus the
normal curvature at p is a real valued function with domain the unit sphere
in Sp. Since k is continuous and the sphere is compact, this function attains
its maximum and its minimum. The following lemma shows that these ex
trema are eigenvalues of the Weingarten map Lp.
Lemma. Let V be a finite dimensional vector space with dot product and
12 Curvature of Surfaces
8S
let L: V ..... V be a selfadjoint linear transformation on V. Let S =
{v E V: v v = 1} and define f: S rl R by f(v) == L(v) v. Suppose f is sta
tionary at Vo E S (that is, suppose (f 0 (%y(to) = 0 for all parametrized curves
(1: I .... S with (%(t
o
) = vol. Then L(vo) = f(vo)vo (that is, Vo is an eigenvector
of L with eigenvalue
PROOF. Sincefis stationary at vo, I(fo (%y(O) = 0 rorall parametrized curves
(1 in S with (%(0) = Vo. For v any unit vector with v Vo = 0, let (%(t) =
(cos t)vo + (sin t)v. Then
0= (f 0 Y(O) = ! 10 L(<t)) (t)
= :tl
o
[(cos
2
t)L(vo) Vo + 2 sin t cos t L(vo) v + (8in
2
t)L(v) v]
== 2L(vo) v.
Thus L(vo) 1. v for all unit vectors v e rfo. It follows then that L(vo) 1. rfo;
that is, L(vo) == Avo for some A. E R. Thus Vo is an eigenvector of L. The
eigenvalue A is given by
A. = Avo Vo== L(vo) "0= 0
Remark. In this leJnnul we have used the concept of a (smooth) param
etrized curve : I .... V where V is an arbitrary finite dimensional vector
space with dot product. Smoothness makes sense in this setting because
limits and derivatives can be defined in the usual way: Iim, .... to tJ(t)= v means
for everye > Otbere is a 6 >0 such that fJ(t) vlf < 8 whenever
o < tot < b, atld(th/dt)(!o) lim, .. ,o (<t), to) whenever
this limit exists. In fact, all the seometrY we are developinl here can be done
as well in Yas inR" + 1.. .
The converse of the above lemma is also true: if Vo is an eigenvector of L
thenf(c) == L(v) v is stationary at VoE S.For if IX: 1+ S then (%(t) (%(t) == 1
so (%(t) (d(%/ilt)(t) == 0 for all tel andif(%(t
o
) == Vo then.
(fo (%y(to) =dd I (L(Ii(t (%(t)]
t 10
(
dt.x \ . d(%
= L dt (to>)" + L(%(to)) dt (to)
d(% d(%
= 2L(%('o dt (to) == 2A.(to) dt (to) = O.
'Theorem 1. Let V be a finite dimensional vector space with dot product and let
L: V .... V be a selfadjoint linear transformation on V. Then there exists an
orthonormal basis for V consisting of eigenvectors of L.
86 12 Curvature of Surfaces
PROOF. By induction on the dimension n of V. For n = 1, the theorem is
trivially true. Assume then that it is true for n = k. Suppose n = k + 1. By the
lemma, there exists a unit vector VI in V which is an eigenvector of L (e.g.,
choose VI such that L(vd VI L(v) V for all unit vectors V E Let
W= vi. Then
L(w) VI = W L(VI) = W Al VI = AI(W vd = 0
for all WE W, where Al is the eigenvalue belonging to VI' Thus the restriction
L Iw of L to W maps W into W. Clearly L Iw is self adjoint. Since dim(W) =
dim V  1 = k, the induction assumption implies that there exist
{V2' ... , Vk+ d, an orthonormal basis for W consisting of eigenvectors of
L Iw. But each eigenvector of L Iw is also an eigenvector of L, so
{Vb"" Vk+ I} is an orthonormal basis for V consisting of eigenvectors of L.
D
Note that there exist at most n eigenvalues of a selfadjoint linear trans
formation L on an ndimensional vector space because each eigenvalue is a
root of the characteristic polynomial det (L  AI) which is a polynomial in A
of degree n. Here, I is the identity transformation on V. That A is a root of
this polynomial follows from the fact that L(v) = AV if and only if
(L  AI)(v) = 0 so L  AI must be singular. Counting multiplicities then,
there are exactly n eigenvalues of L. Note further that the eigen directions Vi
of L are determined uniquely (up to sign) if and only if the n eigenvalues of L
are distinct.
For S an oriented nsurface in I and PES, the eigenvalues kl(p), ... ,
kn(p) of the Weingarten map Lp: Sp + Sp are called principal curvatures of S
at p and the unit eigenvectors of Lp are called principal curvature directions.
If the principal curvatures are ordered so that kl(P) :::; k2(P) :::; ... :::; kn(P),
the discussion above shows that kn(p) is the maximum value of normal
curvature k(v) for v E Sp, Ilvll = 1; k
n

l
(p) is the maximum value of k(v) for
v ESp, Ilvll = 1, and v 1. Vn where Vn is a principal curvature direction corre
sponding to kn(P); k
n

2
(p) = max{k(v): v ESp, Ilvll = 1, v 1. {Vn' Vnl}} etc.
Furthermore, all the principal curvatures ki(p) are stationary values of
normal curvature, and kl(P) is the minimum value of k(v) for v ESp, Ilvll = 1.
EXAMPLE. Let S be the hyperboloid  xf + xi + = 1 in oriented by
N(p) = (p, Xl /llpll, X2/llpll, X3/llpll), p = (Xl' X2, X3) E S. Then, as we saw
earlier in this chapter, for p = (0, 0, 1), Sp = {(p, VI, V2' 0): VI' V2 E and,
for Ilvll = 1, k(v) = vi  vi. Thus k(v) attains its maximum value (for
IIvl1
2
= vf + vi = 1) when v = (p, 1, 0,0) and its minimum value when
v = (p, 0, 1,0), so the principal curvatures at pare kl(P) = 1 and
k2(P) = 1.
Theorem 3. Let S be an oriented nsurface in + I, let PES, and let {kl (p), ... ,
kn(p)} be the principal curvatures of S at p with corresponding orthogonal
12 Curvature of Surfaces 87
principal curvature directions {Vh ... , VII}' Then the normal curvature k(v) in
the direction V E Sp(llvll = 1) is given by
II II
k(v) = I ki(P)(v Vi)2 = I ki(P) cos
l
0i
i=1 i=1
where 0i = cos 1(V Vi) is the angle between V and Vi'
PROOF. Since V can be expressed as a linear combination of the orthonormal
basis vectors {Vb"" Vn} by v = Ii=1 (v . Vi)vi = Ii=1 (cos Oi)vi we have
n
k(v) = Lp(v) V = I (cos Oi)Lp(Vi) V
i=1
n II
= I (cos Oi)ki(P)vi V = I ki(P) cos
l
0i' o
i=1 i=1
The numbers cos Oi = V Vi such that v = L7= 1 (cos Oi)v' are called the
direction cosines of v with respect to the orthonormal basis {Vb"" VII}. .
Associated with any selfadjoint linear transformation L: V .... V, where
V is a vector space with a dot product, is a real valued function !2: V .... IR
defined by
!2(v) = L(v) v.
This function !2 is the quadratic form associated with L. The quadratic form
associated with the Weingarten map Lp at a point p of an oriented nsurface
S c 1JlII+ 1 is called the seCond fundamental form of S at pand is denoted by
[/ p' Thus, [/ p(v) = Lp(v) V = a(to) N(P) where a: I .... S is any param
etrized curve in S with a(t
o
) = p and &(t
o
)::; v. In particular, when
Ilvll = 1, 9' p(v) is equal to the normal curvature of S at p in the direction v.
The .first fundamental form <?f S at p is the quadratic form J p associated
with the identity transformation on S". Thus Jp(v)::; v v = Ilvll
l
, for all
v ESp.
Note that the quadraticform associated with a selfadjoint linear trans
formation L contains exactly the same information as L, since L can be
recovered from !2 by use of the formula
L(v) w = ![!2(v+ w)  !2(v)  !2(w)],
which is valid for all v and w in V.
A quadratic form!}, is said to be
positive definite if !2(v) > for all v + 0,
negative definite if !2(v) < 0 for all v + 0,
definite if it is either positive or negative definite,
indefinite if it is neither positive or negative definite,
positive semidefinite if !2(v) ~ 0 for all v,
negat!ve semidefinite if !2(v):::; 0 for all v, and
semidefinite if it is either positive or negative semidefinite.
88 12 Curvature of Surfaces
Thus the first fundamental form f p of an oriented nsurface S c IR
n
+ 1 is
always positive definite. The second fundamental form [/ p is positive definite
if and only if the normal curvature k(v) = [/ p(v) is positive for every direc
tion v at p. By the previous theorem, this is the case if and only if all the
principal curvatures ki(p) of S at p are positive. Similarly, [/ p is negative
definite if and only if all the principal curvatures of S at p are negative. When
[/p is positive definite, the surface S bends toward the unit normal N(p) in
every tangent direction v at p, whereas if [/ p is negative definite S bends
away from N(p) in all directions (see Figure 12.3).
N (p)
p
(a) (b) (c)
Figure 12.3 The Weingarten map at p is negative definite in (a), positive definite in
(b), and indefinite in (c).
Theorem 4. On each compact oriented nsurface S in IR
n
+ 1 there exists a point
p such that the second fundamental form at p is definite.
PROOF. The idea of the proof is to enclose S in a large sphere and then shrink
the sphere until it touches S (see Figure 12.4.) At the point of contact, the
normal curvature of S will be bounded away from zero by the normal
curvature of the sphere.
More precisely, define g: IRn + 1 + IR by g(x h ... , Xn + tl = xi + ...
+ x; + l' Since S is compact, there exists PES such that g(p) ~ g( q) for all
q E S. By the Lagrange multiplier theorem, there exists l E IR such that
Vg(p) = lVf(p) = JlN(p) where S =fl(C) and Jl = lIIVf(p)ll. The sign of
Jl depends on the orientation of S; assume for the moment that Jl < 0 (i.e., S
in oriented by its "inward" normal). Then Jl = I JlI = IIJlN(p)11 =
IIVg(p)11 = 21Ipll, so that
1 1
N(p) = ~ Vg(p) = w (p, p).
12 Curvature of Surfaces 89
p
Figure 12.4 I k(v) I ;;::: l/r for all directions v at p, where r is the radius of the
enveloping sphere.
Now, for v E Sp, Ilvll = 1, let ex: I .... S be such that a(t
o
) = v. Then
go ex(t
o
) ;;:::: g 0 ex(t) for all tEl, so
d
2
1 d I
0;;:::: d 2 (g 0 ex) = d Vg(ex(t)) a(t)
t to t to
d I dex
::;:  2ex(t)  (t)
dt to dt
= 2[lla(t
o
)112 + (ex(to), ex(t
o
)) Ci(t
o
)]
= 2[1  IlpIIN(p) Ci(t
o
)]
= 2[1 llpllk(v)].
Thus k(v);;:::: 1/11pII for all directions v ESp.
If S were oriented so that Jl = V g(P) N(p) > 0, then the normal curva
ture would change sign so that k(v) S l/llpll for all directions v at p. D
The determinant and trace of the Weingarten map are of particular im
portance in differential geometry. The determinant K(p) = det Lp is called
the GaussKronecker curvature of S at p. It is equal to the product of the
principal curvatures at p. When n = 2, K (p) = k 1 (p )k2(P) is called simply the
Gaussian curvature at p. lin times the trace of Lp is called the mean curvature
H(P) of S at p. 'Thus H(P) = (lin) D=l ki(P) is the average value of
the principal curvatures at p.
The following theorem is useful in computing Gauss
curvature. .
Theorem 5. Let S be an oriented nsurface in IR"+ 1 and let pES. Let Z be any
nonzero normal vector field on S such that N = Z/IIZII and let {Vb"" v
n
} be
90
12 Curvature of Surface
an y basis for S p' Then
(
VVIZ)/ ( VI )
K(p) = (lr det IIZ(p)lln det '
Z(p) Z(p)
where,for Wh"" Wn+l E Wi = (p, Wi, I, ... , Wi,n+l),
(
WI ) WI, I
det : = :
wn+
l
Wn+l,l
WI,n+1
Wn+l,n+l
= (lrlIZ(p)lln(det A) det ( :: )
Z(p)
= (lrIIZ(p)llnK(p) det ( :: ),
Z(p)
where A is the matrix for Lp with respect to the basis {VI' ... , v
n
} for Sp, and
At denotes the transpose of A. Solving for K(p) completes the proo( 0
EXAMPLE. Let S be the ellipsoid (xi/a
2
) + + = 1 (a, b, and c
all * 0), oriented by its outward normal. Let Z(p) = !Vf(p) =
12 Curvature of Surface
91
(p, XI/a
2
, X2/b2, X3/C2) for p = (Xh X2' X3) E s. A basis for S"will consist of any
independent pair of vectors orthogonal to Z(p). For Xl + may take
VI = (p, X2/b2, xI/a
2
, 0) and V2 = (p, x
3
/c2, 0, x
l
/a
2
). Then
(
VVIZ) x2/a2b2 xda
2
b
2
0
det VV2Z = X3/a2c2 0 xI/a
2
c
2
Z(p) xI/a
2
X2/b2 X3/C2
det ( :: ) =
Z(p)
and
so the Gaussian curvature of the ellipsoid is
1
Note that, although this formula for K was derived under the assumption
that Xl + 0, it is valid for all PES by continuity.
Theorem 4 of this chapter is an example ofa global theorem in differential
geometry. A property of an nsurface S is to be a global property if it
expresses a fact about the surface S as a whole (such as, the nsurface S is
compact, or the nsurfaee S is connected, or the Isurface C has finite length).
On the other hand, a property of S is said to bea local property if it expresses
a fact about the surface S at or near a particular point of S, a fact which can
be verified by computations in an arbitrarily small open set containing the
point (for example, the second fundamental form [/11 of S at p is definite, or
the GaussKronecker curvature of S at p is positive). A global is a
theorem in which a global property is among the essential hypotheses or
among the conclusions. A theorem in which all the essential hypotheses and
conclusions are local properties is called a local theorem. Thus, for example,
Theorems 3 and 5 of this chapter are local theorems (the hypothesis that S be
oriented, although a global hypothesis, is in fact inessential; these
are independent of the orientation chosen and in fact all that is required for
the validity of these theorems is a choice of smooth unit normal vector field
N defined at and near the point p). In contrast, Theorem 4 of this chapter is a
global theorem; its validity depends crucially on the hypothesis that S be
compact. The theorem of Chapter 6 is another example of a global theorem.
92 12 Curvature of Surfaces
Our next theorem is an especially interesting type of global theorem. It
asserts the equivalence of two local properties, at each point of an nsurface
S, but only in the presence of a global hypothesis. Note that the theorem fails
to be true if the compactness hypothesis is removed. (Consider a onesheeted
hyperboloid in [R3.)
Theorem 6. Let S be a compact connected oriented nsurface in [Rn + 1. Then the
GaussKronecker curvature K(p) of Sat p is nonzero for all PES if and only if
the second fundamental form [/ p of S at p is definite for all pES.
PROOF. If [/ p is definite for all PES then the normal curvature k(v) = [/ p(v)
is nonzero for each direction v E Sp so in particular all principal curvatures
at p are nonzero and hence so is their product K(p).
Conversely, by Theorem 4 there exists a point Po E S such that [/ po is
definite. Suppose [/po is in fact positive definite. Then the minimum princi
pal curvature kl of S is positive at Po. Since k
1
: S + [R is continuous, S is
connected, and kl is nowhere zero (since, by hypothesis, K is nowhere zero),
kl must be everywhere positive. Hence all the principal curvatures are every
where positive and [/ p is positive definite for all pES. If [/ po were negative
definite, a similar argument, with kl replaced by the maximum principal
curvature kn' would show that [/ p is negative definite for all pES. 0
Remark. The connectedness hypothesis in Theorem 6 is actually inessen
tial since it can be shown that every compact nsurface in [Rn+ 1 is a finite
union of connected ones, and Theorem 6 can then be applied to each of
these.
EXERCISES
12.1. Let S = fl(e) be an nsurface in IR
n
+ 1, oriented by VffllVfll. Show that, for
v = (p, v h . , Vn + d a vector tangent to S at PES, the value of the second
fundamental form of S at p on v is given by
n+ I 02f
Y'p(v) = OXj OXj (p)VjVj'
(When Ilvll = 1, this formula provides a straightforward way to compute the
normal curvature k(v) = Y' p(v) in the direction v.)
In Exercises 12.212.6, find the normal curvature k(v) for each tangent
direction v, the principal curvatures and principal curvature directions, and
the GaussKronecker and mean curvatures, at the given point p of the given
nsurfacef(xl, ... , xn+d = c oriented by VflIIVfll.
12.2. Xl + X2 + ... + X
n
+ I = 1, p = (1,0, ... , 0).
12.3. + xi + ... + X;+ I = r2, r > 0, p = (0, ... ,0, r).
12.4. (xi/a
2
) + (xVb
2
) + (xi fe
2
) = 1, p = (a, 0, 0) (in 1R
3
)
12 Curvature of Surfaces
12.5. (xi/a
2
) + (xi/b
2
)  (xJ/c
2
) == 1, P == (a, 0, 0) (in H
3
)
12.6. xi + + xJ  2)2 = 1 (torus in H
3
)
(a) p = (0, 3, 0)
(b) p == (0, 1,0)
93
12.7. Show that if S and S denote the same nsurface in R"+I but with opposite
orientations, then R == (1 r K where K and /{ are the GaussKronecker
curvatures of Sand S respectively. (In particular, Gausskronecker curvature
is independent of the choice of orientation if n is even.)
In Exercises 12.812.11, find the Gaussian curvature K: S IR where Sis
the given surface.
12.8. xi +  xJ == 0, X3 > 0 (cone)
12.9. (xi /a
2
) + (xi jb
2
)  (xJ /el) == 1 (hyperboloid)
12.10. (xi /a
2
) + (xi/b
2
)  X3 == 0 (elliptic paraboloid)
12.11. (xi/a
2
)  (xi/b
2
)  X3 == 0 (hyperbolic paraboloid)
12.12. (a) Find the Gaussian curvature of a cylinder over a plane curve.
(b) Find the GaussKronecker curvature of a cylinder over an nsurface.
12.13. Let g: H"..,. R be a smooth function. Show that the GaussKronecker curva
ture K of the graph of 9 is given by the formula
(
O2g )/( II ( og )2 )(11/2)+ I
K==det  1+ L 
ox,oXJ iI OXi
where the orientation N is chosen so that N(P) (p, 0, ... ,0, 1) > 0 for all p in
the graph.
12.14. Let S be an oriented 2surface in R3 and let peS. Show that, for each v,
we S" L,(v) x L,(w) == K(P)v x w.
12.15. Show that, for S an oriented 2surface in R
3
,
K(P) == Z(p) V"Z X
where Z is any nowhere zero normal vector field on S and v and ware any two
vectors in S, such that v x w == Z(P
12.16. Show that the mean curvature at a point p of an oriented nsurface S can be
computed from the values of normal curvature on any orthonormal basis
{Vlt ... , VII} for S,by the formula
 1"
H(P) ==  L
ni=1
I
1217. Let S be an oriented 2surface in R3 and let {VIt V2} be an orthonormal basis
for S" consisting of eigenvectors of L,. Let k
i
==
(a) Show that for v(6) = (cos 6)v1 + (sin 6)v2 e S"
k(v(6 = kl cos
2
6 + k2 sin
2
6.
"
94 12 Curvature of Surfaces
(b) Show that the mean curvature at p is given by the formula
1 r
21t
H(p) = 2n.lo k(v(O)) dO.
12.18. Let S = f1(C) be an oriented nsurface, oriented by N = Vf/IIVfll. Show that
H(p) = (l/n) div N. [Hint: First note that div N = trace {n+VvN} and
then evaluate this trace using the basis {Vb' .. , V
n
, N(p)} where {v b . , v
n
} is
an orthonormal basis of Sp consisting of eigenvectors of Lp.]
12.19. Let S = f1(C) be an nsurface in IR
n
+ 1. Given a> 0, let S = g1(C) where
g(p) = f(p/a) for all p such that p/a is in the domain off.
(a) Show that S is an nsurface in IR
n
+ 1 and that PES if and only if ap E S.
(b) Letting S be oriented by Vf/ II Vf II and S by V g/ II V gil, show that the spheri
cal images of S and of S are the same.
(c) Show that the mean curvatures Hand H of S and S are related by
H(ap) = (l/a)H(p).
(d) Show that the GaussKronecker curvatures K and K of S and S are
related by K(ap) = (l/a")K(p).
Convex Surfaces
13
An oriented nsurface S in 1R"+1 is convex (or globally convex) if, for each
PES, S is contained in one of the closed halfspaces
H; = {q E 1R"+1: (q  p). N(P) ~ O}
or
H; = {q E 1R"+1: (q  p). N(p):s; O},
where N is the Gauss map of S (see Figure 13.1). An oriented nsurface S is
convex at PES if there exists an open set V c IR"+ 1 containing p such that
S n V is contained either in H;or in H;. Thus a convex nsurface is
necessarily convex at each of its poiPts, but an nsurface convex at each point
need not be a convex nsurface (see Figure 13.2).
If S is convex and S n H p = {p} for each PES, where
Hp == {q E 1R"+1: (q  p). N(P) = O},
then S is said to be strictly convex. Similarly, if S is convex at p for some
PES and S n V n H p = {p} for some open set V containing p, then S is
strictly convex at p.
The,goal ofthis chapter is to relate curvature to convexity. The first result
is an easy one.
Theorem 1. Let S be an oriented nsurface in IR" + 1 which is convex lat pES.
Then the second fundamental form !/ p of S at p is semidefinite.
PROOF. Suppose S n V c H; for some open set V in IR" + 1 containing p. For
v ESp, let oc: 1+ S n V be such that oc(t
o
) = p and !i(t
o
) = v. Define
h: 1+ IR by h(t) = (oc(t)  p) N(P). Then h(t) ~ 0 for all t, since oc(t) E H;
95
96 13 Convex Surfaces
Figure 13.1 S is convex if, for each PES, S is contained in one of the halfspaces
Hi. Note that the common boundary of these two halfspaces is the nplane
HI' = {q E 1R"+
1
: q. N(p) = O} tangent to Sat p.
for all t, and h(t
o
) = 0, so h attains an absolute minimum at to. Hence
.9'p(v) = ~ ( t o ) N(/X(t
o
)) = h"(t
o
) ~ O.
If S c H;, the inequality is reversed, for all v E Sp.
D
The converse of Theorem 1 is not true; for example, the 2surface
X3 = x ~  x ~ in 1R3 has .9'0 semidefinite yet is not convex at O. We can
prove, however, (Theorem 3) that if .9' p is definite, then S is convex (in fact,
strictly convex) at p.
The key idea in studying convexity is the observation that S is convex at
PES if and only if the "height function" h: S + IR, defined by h(q) =
q. N(p), attains either a local minimum or a local maximum at p. In order to
capitalize on this observation, we shall need to develop further the calculus
of smooth functions on nsurfaces.
Let h: S + IR be any smooth function on the nsurface S c IR" + 1. The
gradient vector field of h is the smooth tangent vector field grad h on S
defined by
(grad h)(p) = Vh(p)  (Vh(p) . N(p))N(p)
Figure 13.2 A nonconvex plane curve which is convex at each point.
13 Convex Surfaces 97
where h is any extension of h to a smooth function on an open set containing
S, and N is any orientation on S. Thus grad h is the tangential component of
Vh. The gradient of h: S + IR has the following properties:
(i) Vv h = (grad h)(P) v for all v ESp, pES.
(ii) (h 0 (X)'(t) = (grad h)((X(t Ii(t) for all tEl, where (X: 1 + S is any pa
rametrized curve in S.
(iii) (grad h)(P) = Li'= 1 (Vv,h)vi' where {Vh ... , VII} is any orthonormal basis
for Sp, pES.
(iv) (grad h)(P) = 0 if and only if h is stationary at p, pES.
In particular, grad h is independent of the choice of extension h, by (iii}
Property (ii) is a form of the chain rule.
Property (i) is true because
Vvh = Vvh = Vh(p) v = (grad h)(P) v.
(ii) follows from (i), since (h 0 (X)'(t) = V (t) h. To check (iii), dot both sides
with vJ{j E {I, ... , n}) and use (i} Finally, (i) and (iii) together imply that
(grad h)(P) == 0 If and only if Vv h = 0 for an v ESp, which establishes (iv}
(Recall that h: S + IR is .stationary at PES if V v h = 0 for all v ESp; that is, if
I(h 0 (X)'(t
o
) = 0 for all parametrized curves (X in S with (X(to) = p.)
A point PES at which h: S + IR is stationary is caned a critical point of h.
Critical points of smooth functions h: S + IR come in three varieties: local
minima, local maxima, and saddle points (see Figure 13.3):
h: S + IR attains a local minimum at PES if there is an open set V in S,
containing p, such that h(q) ~ h(P) for all q E V (V c S is an open set in S
if V = W (\ S for some open set W in R"+l.)
h: S + IR attains a local maximum at PES if there is an open set V in
S, containing p, such that h(q) :s; h(P) for all q E V.
P4
Figure 13.3 Critical points of the height function h: S ~ R, h(q) == q u where u is a
unit vector in IR" + 1. h measures height above the nplane ul.. h attains a local maxi
mum at P1 and a local minimum at P4; pz and P3 are saddle points.
98 13 Convex Surfaces
PES is a saddle point of h: S + IR if h is stationary at p but h attains
neither a local minimum nor a local maximum at p.
If, in the definitions of local minimum and local maximum, the inequali
ties are strict then h is said to attain a strict local minimum (h(q) > h(p) for all
q E V, q =1= p) or a strict local maximum (h(q) < h(p) for all q E V, q =1= p) at p.
The condition (grad h)(p) = 0 is the "first derivative test" for a critical
point of h: S + IR. We shall need a "second derivative test" to help distin
guish between the types of critical points.
Let PES be a critical point of h: S + IR. The Hessian of h at p is the
quadratic form Yf p: Sp + IR defined by
Yf p(v) = Vv(grad h) . v.
Thus Yf p is the quadratic form associated with the selfadjoint linear trans
formation on S p which sends v to V v (grad h). Note that V v (grad h) does lie in
Sp for each v E Sp since
Vv(grad h) N(P) = Vv((grad h) N)  (grad h)(p) VvN
= V v(O)  0 V v N = O.
Verification that this linear transformation is in fact selfadjoint is left as an
exercise (Exercise 13.2).
Theorem 2. (Second derivative test for local minima and maxima). Let S be an
nsurface in IR
n
+ 1, let h: S + IR be a smooth function which is stationary at
PES and let Yf p denote the Hessian of h at p.
(i) If h attains a local minimum at p then Yf p is positive semidefinite. If h
attains a local maximum at p then Yf p is negative semidefinite.
(ii) If Yf p is positive definite then h attains a strict local minimum at p.
If Yf p is negative definite then h attains a strict local maximum at p.
PROOF. (i) Suppose h attains a local minimum at p. For v ESp, let IX: 1+ S
be such that Ii(to) = v. Then
(h 0 IX)'(t) = (grad h)(IX(t)) Ii(t), for all tEl, and
o ~ (h 0 IX)"(t
o
) = Vv(grad h) Ii(to) + (grad h)(IX(t
o
)) ii(to)
= Yf p(v),
since (grad h)(p) = O. Thus Yf p is positive semidefinite. The proof for local
maxima is similar.
(ii) To prove the first statement of (ii) it suffices to show that if h does not
attain a strict local minimum at p then Yf p cannot be positive definite. So
suppose h does not attain a strict local minimum at p. Then there must be a
sequence {Pk} in S  {p}, with limk ..... oo Pk = p, such that h(Pk) ~ h(p) for all k.
For each k, set Vk = (Pk  p)/llpk  pll. Then {Vk} is a sequence in the unit
13 Convex Surfaces 99
sphere ga. Since ga is compact, the sequence {VA} must have a convergent
subsequence, which we may as well assume is {VA} itself; let V = lim
k
....
co
Vk'
We shall show that v = (p, v) ESp and that .Yf p(V) S; O.
Let W be an open ball in IR" + 1 , containing p, such that both n, a smooth
extension of h, an"/' a smooth function defining S asfl(C)' are defined on
W. Then Pk E W for sufficiently large k. Applying the mean value theorem to
g(t) = f(p + tVk) we find
0= f(Pk)  f(P) = g(llpk  pll)  g(O)
Ilpk  pil Ilpk  pll 0
= g'(t
k
) = Vf(P + tkVA) V
k
for some tk E (0, Ilpk  pll)' where V
k
= (P + tkVk, Taking the limit as
k + 00 yields 0 = Vf(P) v (since lim
k
....
co
tk = 0) so V E S,.
To see that .Yf ,(v) S; 0, note that Vn(p) = AVf(P) for some A E IR, since
(grad h)(p) = 0, and A = Vn(p) Vf(P)/IIVf(P)112. We shall apply Taylor's
theorem to gk(t) = (n  A/)(IXk(t), where Ltk(t) = P + tVk' Since .
= V(n  Af)(IXk(t &k(t) = (Vn  AVf)(IXk(t (IXk(t), Vk)
and
we find, for some tk between 0 and Ilpk  pll,
gk(llpk  pll) = gk(O) + g1(O)llpk  pit + !gZ(tk)llpk  pII2
= gk(O) + Vii  AVf)(P) (p, vkIIPk  pI!
+ !(Vt(tt)(Vn  AVf (IXk(tk), vk)IIPk  p1I2.
The middle term is zero since Vn(p) = AVf(p). Hence
0> h(Pk)  = n<Pt) 
 IIPk  pit IIPk  plI
(n  A/)(Pk)  (n  A/)(P)
= IIPk  pII2
(sincef(Pk) =f(p) = c)
gk(IIPk  pi!)  gk(O)
= IIPk  pII2
Taking the limit as k + 00 yields
100 13 Convex Surfaces
But this last expression is just t' p(v), since
' p(v) = Vv(grad h) v
= Vv(VIi  (Vii N)N) v
= v.( vii  VI) v
= V.(vli) v  v  v
= Vv(VIi) . v  AVv(Vf) v
= Vv(VIi  AVf) v,
so 0 2 ' p(v), as claimed.
Thus we have shown that if h does not attain a strict local minimum at the
critical point PES then its Hessian ' p cannot be positive definite. The
proof that if h does not attain a strict local maximum at p then ' cannot be
negative definite is similar. 0
When S is displayed as a level set S =fl(C) (f: U + IRn+l such that
Vf (p) =1= 0 for all pES) and h is described as the restriction to S of a smooth
function n: U + IR, the local minima and local maxima are most easily found
using the following facts, which are evident from the above proof. The
critical points of h = nl
s
are those points PES such that Vn(p) = AVf(p) for
some A E IR (A is the Lagrange multiplier at p of the pair of functions n,f).
Then a sufficient condition that h = nl
s
attain a local minimum at the criti
cal point p is that the quadratic form
be positive definite; a sufficient condition that h attain a local maximum at p
is that this quadratic form be negative definite.
The critical point theory becomes especially simple when h: S + IR is a
height function hu(q) = q u, where u is a unit vector in IRn+ 1 (Figure 13.3).
Then hu = nu Is where
nu(q) = q u,
Vliu(q) = (q, u), and
Vv(Vliu) = 0
for all q E IR" + 1 and all v E IR; + 1. It follows that PES is a critical point of
hu = liu Is if and only if (p, u) = AVf(p) for some A E IR. Since u is a unit
vector, I AI must equal 1/IIVf(p)11 so p is a critical point if and only if
13 Convex Surfaces
(p, u) = N(P). Moreover, if p is a critical point of h" and v ESp, then
~ p ( v ) = Vv(Vh"  (Vh,, N)N) v
= (Vh" N)(P)(  V v N . v)
= (u N(P!/ p(v)
= !/p(v1
101
where!/p is the second fundamental form of Sat p.We conclude, then, that
PES is a critical point of the height function h,,: S + IR, h,,(q) = q u where u
is a unit vector in R"+ 1, if and only if N(P) = u, and at a critical point p ofh"
the Hessian is equal to the second fundamentalform ofS at p, the sign being
the same as that of N(P) u.
An immediate consequence of these facts is the following partial converse
to Theorem 1.
Theorem 3. Let S be an oriented nsurface in R" + 1. Suppose PES is such that
the second fundamental form !/ p of S at p is definite. Then S is strictly convex
atp.
PROOF. S is strictly CQnvex atp ifand only if the height function hN(p): S + IR
attains either a strict local minimum or astrict local maximum at p. But this
is the case since hN(p) is stationary at p and .tf p = !/ p is definite. 0
By combining Theorem 3 with Theorem 6 of Chapter 12 we see that if Sis
a compact connected oriented n .. surface in R" + 1 whose GallS&Kronecker
curvature is nowhere zero then S is strictly convex at each point. The re
mainder of this chapter will be devoted to proving (Theorem 5)that such an
S is globally convex. For this, we must show that if u = N(P) for some PES
then the height function h" attains not just a local maximum or minimum at
p but in fact attains a global maximum or minimum at p. The idea of the
proof is to show that each h., can have only two critical points, namely the
point at which h., attains its global ma.ximum and the point at which h"
attains its global minimum. The proof requires some further facts about
differential equations. .
Recall that, given a smooth vector field X on an open set U c:.\R"+ 1 and a
point q E U, there exists an open interval 1" containing 0 and a unique
integral curte IX
q
: 1 q + U of X with IX" (0 ) = q. Theorem 4 says that, at least
for small t, IXq(t) is a smooth function of q.
'Theorem 4. Let X be a smooth vector field on an open set U c: IR" ~ 1 and let
p E U. Then there exists an open set V in jR"+1 with p E V c: U and an e > 0
such that for each q E V there is an integral curve IX,,: ( e, e) + U of X with
IX" (0 ) = q. Moreover, for each such V and e, the map t/I: V x ( e, e) + U
defined by t/I(q, t) = IX,,(t) is smooth.
102 13 Convex Surfaces
For a proof of Theorem 4, see, e.g., W. Hurewicz, Lectures on Ordinary
Differential Equations, M.lT. Press, Cambridge, Mass. 1958, pp. 2829.
Corollary. Let X be a smooth tangent vector field on a compact nsurface
S c IR" + 1. Then X is complete; that is, every maximal integral curve of X has
domain the whole real line. Moreover, for each t E ~ , the map t/lt: S + S
defined by t/lt(q) = a,it), where a
q
is the maximal integral curve of X through q,
is smooth.
PROOF. Extend X to a smooth vector field t on an open set U C ~ n + 1
containing S. We shall show first that there exists an e > 0 (a uniform e) such
that for every PES there is an open set ~ in ~ n + 1, with p E ~ c U, such
that the conclusions of Theorem 4 hold for t, for this open set V
p
, and for
this e. Suppose there were no such e. Then for each positive integer k there
would be a point Pk in S such that for every open set V containing Pk the
maximal integral curve a
q
of t through q does not contain the interval
(11k, 11k), for some q E V. Since S is compact, the sequence {Pk} has a
subsequence converging to some point pES. Now let V and e be as in
Theorem 4, for this P and for X = t. Then for every q E V the maximal
integral curve of t through q will have domain containing the interval
(  e, e} But Pk E V for arbitrarily large k, and in particular for some k with
11k < e. This contradicts the existence of {Pk} and thereby establishes the
existence of a uniform e.
It follows that the domain I of each maximal integral curve a of X is the
whole real line. For suppose there were an end point b E ~ of the open
interval I. Choosing to E I so that I to  b I < e, let P be the maximal integral
curve of X through a(t
o
). Then a(t) and P(t  to) are integral curves of X
which agree at to and so agree for all t in their common domain. Hence the
parametrized curve which sends t to a(t) for tEl and sends t to P(t  to) for
I t  to I < e is an integral curve of X which extends a beyond b, contradict
ing the fact that a is maximal. Hence I = ~ , as claimed.
Thus for each t E ~ there is a map t/lt: S + S defined by t/lt(q) = aq(t).
Note 'that, by uniqueness of integral curves, t/lt 0 t/ls = t/ls+t for all s, t E ~ .
Indeed, for each s E ~ and q E S, t/lt(t/ls(q)) and t/ls+t(q) both describe the
unique maximal integral curve of X through t/ls(q). It follows that
t/lt = t/lt/k 0 t/lt/k 0 ... 0 t/lt/k (composition k times), where the positive integer k
is chosen so that I tlk I < e. But t/lt/k is smooth by Theorem 4; hence, so is t/lt.
o
Remark. It can be shown, further, that the map t/I: S x ~ + ~ defined by
t/I(q, t) = t/lt(q) = aq(t) is also smooth, but we shall not need this fact.
Consider now the smooth tangent vector field grad h, where h: S + ~ is a
smooth function on the nsurface S c ~ n + 1. The integral curves of grad hare
c a l l ~ gradient lines of h (see Figure 13.4). If PES is a critical point of h, then
(grad h )(p) = 0 so any gradient line a: I + S of h passing through p will be
simply a constant curve, a(t) = P for all tEl. Along all other gradient lines, h
13 Convex SurfaCes 103
/"
Figure 13.4 Gradient liQes of the height function h: S + IR, h(q) = q u.
is strictly increasing. Indeed, if a: 1 ...... S is any gradient line of h not passing
through a critical point of h,
(h 0 a)'(t) = (grad h)(<t &(t) = II(grad h)(a(t))112 >0
for all tel. In fact, the gradient lines of h are the curves in S along which h
increases fastest among all curves in S with comparable speed (see Exercise
1 3 . 4 ~
A critical point. p of a smooth function h: S +.IR isnondegenerate if
VII(grad h) + 0 for ally ESp, Y + O.Notethat non..cJegeneratecritical points
are isolated in that for each such critical point p there is an open set V in S
about p such that V contains no other critical points of h. For otherwise
there would be a sequence {p,,} of critical points of h converging to p and a
. subsequence {Pill such that (pJr;j  p)1 II Pti .  pI! converges to a point v in the
unit sphere S';setting v = (p, v l it would follow, as in the proof of Theorem
2, that Y ESp and that Vv(grad h) = 0 (since (grad h)(P"i) = 0 for all k
i
) con
tradicting nondegeneraey.
Lemma 1. Let S be a compact nsurface and let h: S+ IR be a smooth function
all of whose critical points are nondegenerate. Then the gradient lines ofh run
from one critical point of h to another; that is, if rx.: IR+ S is any maximal
gradient line of h then there exist critical points p and q of h such that
lim
t
+_
oo
a(t) = q and lim,+oo a(t) ==p (see Figure 1 3 . 4 ~
PROOF. Let a: IR + S be a maximal gradient line of h. Since S is compact, the
sequence {a(k): k = 1, 2, ... } has a convergent subsequence {a(t,,)}. Let
p = lim,,+oo a(t,,). Then
h(P)  h(a(O)) = lim [h(a(t,,))  h(a(O))] I .
"+00
tt
= lim f (h 0 a)'(t) dt
"+00 0
= 1
00
II (grad h)(a(t))112 dt
o
104
13 Convex Surfaces
so the integral So II(grad h)(a(t))112 dt converges, which can happen only if
limt+oo II (grad h )(a(t))112 = O. In particular,
II (grad h)(p)11 = lim II (grad h)(a(tk)) II = 0
k+oo
so P is a critical point of h.
We still must check that limt+oo a(t) = p. But if not, there will be an e > 0
such that, for each k, Ila(sk)  pil 2 e for some Sk > t
k
. Since Ila(t
k
)  pil < e
for k sufficiently large, this says that a(t) enters and leaves the ball
{q E ~ n + I: Ilq  pil < e} repeatedly as t ~ 00 (see Figure 13.5). Since
cx(t
k
) CX(Sk)
Figure 13.5 H lim
t
_
CXl
rL(t) =1= p then rL must repeatedly enter and leave the eball
about p = limkCXl rL(t
k
).
Ila(t)  pil must equal e for some t between tk and Sk' we can choose Sk so that
in fact Ila(sk)  pil = e. Since {q E S: Ilq  pil = e} is compact, the sequence
{a(sk)} has a subsequence converging to some point PI E S with
Ilpl  pil = e. Since limk+oo Sk = 00, the same argument that showed P was a
critical point of h also shows that PI is a critical point of h. Repeating this
construction with e replaced by elm leads to a critical point Pm E S of h with
Ilpm  pil = elm, for each positive integer m. But this contradicts the fact that
P is a nondegenerate, hence isolated, critical point of h. So, indeed,
limt+oo a(t) = p.
Consideration of the sequence {a( k): k = 1,2, ... } will yield in the same
way a critical point q of h such that lim
t
+_
oo
a(t) = q. 0
Theorem 5. Let S be a compact connected oriented nsurface in ~ n + I whose
GaussKronecker curvature is nowhere zero. Then
(i) The Gauss map N: S ~ sn is one to one and onto, and
(ii) S is strictly convex.
PROOF. (i) By Theorem 6 of Chapter 12, the second fundamental form f/ p of
S at P is definite for all pES. f/ p is either positive definite for all P or
negative definite for all P because the minimum and maximum normal cur
vatures kl and kn' being continuous nowhere zero functions on the con
13 Convex Surfaces
105
nected nsurface S, cannot change sign. By reversing the orientation on S if
necessary, we may assume that 9'1' is negative definite for all peS.
Now let u eoS'. By the discussion preceding Theorem 3, peS is a critical
point of the height function h,,: S + IR, h,,(q) = q u, if and only if
N(P) = u. Furthermore, since:Ye1' = u N(p)9'1' , N(P)= +uifand only if
h" attains a local maximum at P and N(P) =  u if and only if h" attains a
local minimum at p. In particular, all critical points of h" are nondegenerate,
hence isolated, and h" attains either a strict local maximum or a strict local
minimum at each one.
The fact that N is onto is now evident: given u e S' we find that u = N(P)
where p is any point where h" attains its maximum.
To see that N is one to one, let p be a point in S with N(P) = u. Then the
height function h"must attain a strict local maximum at p. We shall show
that the set
U1' = {q e S: lim aq(t) = p},
t ... oo
aq: IR + S is the maximal gradient line of h" with aq(O) = q, is an open
set in S.
First note that there an open set v" in S about p such that all
gradient lines of h" which enter. v" must run to p. Indeed, choose e > 0 small
enough so that
(1) p is the only critical point of h" in At: = {q e S: Ilq  pil e},
(2) h,,(P) > h,,(q) for all q E At:, q::/= p, and
(3) Bt: = {q e s: nq  pil = e} is non!m1pty,
let Mt: denote the: maximum value ofh" on the compact set Bt:, and set
V1' = {q e S:llq  pH< e and h(q) > Mt:}. Then a gradient line a of hwith
a(to)e . V, (or some. to e R cannot have a(t) E Ba for any t to (since h in
creasesalong.a) and so(t) must stay in As for.all t to. a must therefore
run to a critical point in At: and p is the only.one there.
The fact that U l' is open now follows from the Corollary to Theorem 4.
Given any qo e U l' there will be a to e R such that aqo(to) e VI" By continu
ity of t/lto' all(t
o
) = t/ltn(q) e v", and hence aq runs to p, for all q sufficiently
close to qo. Thus U l' is open in S.
Finally, let {Pi' ... , ptlbe the set of points in S where h" attains a local
maximum (i.e., where N(Pi) = u) and let {q" ... , q,} be the set of points
where h" attains a local minimum. These sets are finite because the critical
points of hriare isolated and S is compact. By the lemma, S  {q" '1'" q,} is
the union of the mutually disjoint open sets U 1'1' ... , U 1'''' But, since S is
connected, S {q" .. , q,} is also connected (see Figure provided
n > 1, so this is possible only if there is just one P,; i.e., only if N is one to one.
The last step in the argument breaks down if n = 1, but Exercise 11.19 takes
care of this special case.
106 13 Convex Surfaces
s
Figure 13.6 A connected nsurface S (n > 1) cannot be disconnected by the removal
of a finite set of points: take a small ball about each point and reroute each contin
uous curve from p to q around the boundaries of these balls. That the intersections of
sufficiently small balls with S are connected can be established rigorously by apply
ing the inverse function theorem (see Chapter 15).
(ii) We have just seen that for each U E S' there is only one point Pl E Sat
which the height function hu attains a local maximum. The same arguments,
applied to  hu, show that there is only one point q 1 E S at which hu attains a
local minimum. Moreover, these two points are the only critical points of huo
Hence for each PES the height function hu, where u = N(p), must attain
either its strict global maximum or its strict global minimum at the critical
point p. This says that S is strictly convex. 0
EXERCISES
13.1. Show that ifn is even and ifthe GaussKronecker curvature at a point p of an
nsurface S c ~ + 1 is negative then S is not convex at p.
13.2. Let S be an nsurface in ~ n + 1, let h: S + ~ be smooth, and let PES be a critical
point of h. Show that the linear transformation from Spinto itself which sends v
into V v (grad h) is selfadjoint.
13.3. Let V be a vector space with a dot product, let L: V + V be a selfadjoint linear
transformation, and let f2 be the quadratic form associated with L.
(a) Show that fl is positive definite if and only if all the eigenvalues of L are
positive.
(b) Show that, if Vhas dimension 2, then fl is positive definite if and only if
(i) fl(v) > 0 for some v E Vand (ii) det L > O.
(c) fl is said to be nondegenerate if L is nonsingular. Show that fl is non
degenerate if and only if all the eigenvalues of L are nonzero. (Remark. Note
that a critical point p of a smooth function h: S + ~ is nondegenerate if
and only if the Hessian Jf p of h at p is a nondegenerate quadratic form.)
13.4. Let S be an nsurface in ~ n + 1 and let h: S + ~ be smooth. Show that the curves
in S along which h increases fastest are the gradient lines of h by showing that if
~ : [a, b] + S is an integral curve of grad hand p: [a, b] + S is any other curve
13 Convex Surfaces 107
with t ~ e same speed (lIP(t)II == II&(t)II for all t E [a, b])and with fJ(a) == o c ( a ~
then h(oc(b)) ~ h(fJ(b)} Show further that equality holds if and only if fJ == ex.
13.S. Let S be an nsurface in iii" + 1 and let h: S + R be smooth. Show that the
gradient lines of h are everywhere orthogonal to the level sets of h; i.e., show
that if oc is a gradient line of h and if fJ is any parametrized curve in S such that
h 0 fJ is constant, then P(td &(to) == 0 whenever fJ(t
1
) == oc(to}
14
Parametrized Surfaces
We have seen that every connected oriented plane curve C has a global
parametrization and that, using one, we can (i) find a useful formula for
curvature (K 0 a = ii . N 0 a/llaI1
2
) and (ii) define various integrals over C.
We shall now carry out a similar program for nsurfaces (n > 1). It will tum
out that oriented nsurfaces (even connected ones) in general admit only
local parametrizations, but that will be adequate for our needs.
The first property that a parametrization must have is regularity. In order
to define regularity, we need the differential of a map. Let U be an open set in
~ n and let cP: U + ~ m be a smooth map. The differential of cP is the smooth
map dcp: U x ~ n + ~ m X ~ m defined as follows. A point v E U X ~ n is a
vector v = (p, v) at a point P E U. Given v, let a: 1+ U be any pa
rametrized curve in U with a(t
o
) = v. Then dcp(v) is the vector at
cp(p) (dcp(v) E ~ ; ( P ) C ~ m X ~ m ) defined by
dcp(v) = cp ~ a(t
o
)
(see Figure 14.1). Note that the value of dcp(v) does not depend on the choice
of parametrized curve a, because
cp ;, a(t
o
) = (cp 0 a(to), (CPl 0 a)'(t
o
), ... , (CPm 0 a)'(t
o
))
= (cp(p), VCP1(a(t
O
)) a(to), ... , VCPm(a(t
o
)) a(t
o
))
= (cp(p), VCP1(P) v, ... , VCPm(P) v),
where the cPj are the component functions of cP (cp(q) = (CPl (q), ... , CPm(q)) for
all q E U), so
108
14 Parametrized Surfaces 109
Image ex
Image qJoa
Figure 14.1 The differential of a map.
This formula for dqJ(v) not only shows independence of ex but also pro
vides a straightforward method of computmgdtp. The smoothness of dqJ is
also now evident.
It follows immediately from the above formula that the restriction dqJl' of
dqJ to n:r" is a linear map dqJl': R; + Its matrix relative to the standard
bases for n:r" and R:(P) is just the Jacobian matrix oqJJox})(P)) of qJ at p.
Indeed, if ej == (p,0, ... , 1, ... , 0) and ei == 0, ... , 1, ... , 0) with the l's
in the U + l)th and (i + l)th spots respectively, then the matrix (ai)) for dqJl'
is defined by
and
U E {I, ... , n})
. au = dqJl'(e}) = (qJ(p), VeJqJh ... , VeJqJ ... ) ei
OqJ1 ... , oqJ ... (p)). e; = eqJi
ox) ox} ox}
The set U x R" =U I' E un:r" is called the tangent bundle of the open set U
in Jli, and is denoted by Thus the differential of the smooth map
qJ:. U +.W"mapsT(U) into T(fR"'). Similarly, if S is an nsurface in !R"+1 its
tangent bundle is the set T(S) = U I' e sSp c S x IR" + 1. Given a smooth map
qJ: S+ R"', its differential is the map dqJ: T(S)+ T(/R'") defined .by
dqJ(v) = (qJ 0 ex)(t
o
)
where ex: I + S is any parametrized curve in S with ci(t
o
) == v. Note that dqJ is
just the restriction to T(S) of the differential dip of any smooth extension of qJ
to an open set in IR"+ 1 and hence in particular dqJ(v) is independent of the
choice of ex. It follows also that the restriction dqJl' of tUp to S,(p E S) is a
linear map dqJl': I' +
I
Remark. For qJ: 1+ IR, I an open interval in IR, the symbol dqJ now has
two meanings. On the one hand, in Chapter 11 we defined dqJ, call it now
(dqJ1
1
), to be a Iform on I, so (dqJy1) is a smooth map from I x IR into IR.
Now we have defined dqJ, call it (dqJ)(2), tobe a map from I x IR into IR x IR.
110 14 Parametrized Surfaces
These two maps are related by the formula
(dqJ)(2)(t, u) = (qJ(t), (dqJ)(1)(t, u))
and hence either can be recovered directly from the other. We shall continue
to use the notation dqJ for both; which of the two we mean will be clear in
context.
A parametrized nsurface in IRn+k(k ~ 0) is a smooth map qJ: U + IRn+k,
where U is a connected open set in ~ , which is regular; i.e., which is such
that dqJp is nonsingular (has rank n) for each p E U. The regularity condi
tion guarantees that the image of dqJp is an ndimensional subspace of l R ~ t p ~
for each p E U. Image dqJ p is the tangent space to qJ correspon'ding to the
point p E U. Note that qJ need not be one to one, and that qJ(q) = qJ(p) for
q =1= p does not necessarily imply that Image dqJ p = Image dqJ q .
EXAMPLE 1. A parametrized 1surface is simply a regular parametrized curve.
EXAMPLE 2. A parametrized nsurface in IR
n
is simply a regular smooth map
from one open set U in IR
n
onto another.
EXAMPLE 3. Let f: U + IR (U open in IRn) be a smooth function. Define
qJ: U + IR
n
+ 1 by qJ(p) = (p,f(p)). Then qJ is a parametrized nsurface in IR
n
+ 1
whose image is the graph off
EXAMPLE 4. Let qJ: U + 1R3 be given by
qJ((}, 4 = (r cos (} sin 4>, r sin (} sin 4>, r cos 4
where U = {((}, 4 E 1R2: 0 < 4> < x} and r > O. Then qJ is a parametrized
2surface whose image is the 2sphere of radius r in 1R
3
, with the north and
south poles missing (see Figure 14.2). Note that qJ is not one to one; in fact,
qJ wraps the strip U in 1R2 around the sphere infinitely many times. The
north and south poles are excluded from Image qJ because dqJ p is singular
o 8
Figure 14.2 Spherical coordinates.
14 Parametrized Surfaces
111
along the edges cjJ = 0 and cjJ = 'It of the strip U. When 'It < 0 'It, the
numbers 6 and cjJ are called the spherical coordinates of the point cp(O, cjJ)
on the sphere.
EXAMPLE 5. Let L: IR" + IR" +k (k 1) be a nonsingular linear map and let
WE lR"+k. The map cp: IR" + 1R,,+k defined by
cp(p) = L(P) + W
is a parametrized nplane through W in 1R"+k. Note that
dcp,,(p, v) = (cp(p), L(v))
for all (p, v) E IR;, p E IR". since if ex(t) = p + tv then &(0) = (p, v) and
('I' ;, )(0) = ('I' 0 ;t 10 (L(P + tv) + w))
=( ! 10 (L(P) + tL(v) + w))
= (cp(p),
EXAMPLE 6. Let cp: U + lR"+k(U c: IR") be a parametrized nsurface in lR"+k.
The cylinder over cp is the parametrized (n + 1 )surface if>: U x IR + IR" + k + 1
defined by
c7>(Uh . , = (CP(Uh .. , u,,+ d,
(see Figure 14.3).
(Uh ... , u,,) E U, U,,+ 1 E IR
Image q;
Image cp
Figure 14.3 The cylinder over a parametrized curve lP.
EXAMPLE 7. Let ex: 1+ 1R2 be a regular parametrized curve in 1R2, I oJ:kn in IR,
whose image lies above the xlaxis; i.e., y(t) > 0 for all tEl where ex(t) =
(x(t), Define cp: I x IR + 1R3 by
cp(t, 0) = y(t) cos 0, y(t) sin
cp is the parametrized surface of revolution obtained by rotating ex about the
112
cp (t,O)
14 Parametrized Surfaces
Image cp where cp (t, 0) =
(sinh t, cosh t cos 0,
cosh t sin 0)
Figure 14.4 The parametrized hyperboloid of revolution obtained by rotating the
parametrized curve cx(t) = (sinh t, cosh t) about the xlaxis.
xlaxis (see Figure 14.4). Note that qJ wraps the strip I x IR around Image qJ
infinitely many times.
EXAMPLE 8. Let a > b > 0 and define qJ: 1R2 ~ 1R3 by
qJ((), 4 = ((a + b cos 4> )cos (), (a + b cos 4> )sin (), b sin 4.
A comparison with Example 7 with the axes interchanged (Xl ~ X3' X2 ~ Xh
X3 ~ X2) shows that qJ is the parametrized surface of revolution obtained by
rotating the parametrized circle
cx(4)) = (a + b cos 4>, b sin 4
in the (Xh x3)plane about the xraxis. qJ is a parametrized torus in 1R3 (see
Figure 14.5). Note that the parametrized torus is doubly periodic. In fact,
qJ(() + 2kx, 4 = qJ((), 4> + 2kx) = qJ((), 4 for all ((), 4 E 1R2, k E 71.. Hence
I
1
b I
141 .... 1
a
Figure 14.5 A parametrized torus in /R
3
14 Parametrized Surfaces 113
glue
v (J
<jJ=O
(J= 0
8= 2n
Figure 14.6 Glueing a torus from a square.
each point of Image qJ corresponds to a unique point (0, q,) E 1R2 with
o < 2n and 0 < 2n. Image qJ can be'viewed as obtained by taking
the square {(O, q,) E 1R2: 0 0, q, 2n}, glueing the point (0, 0) to the point
(0, 2n) for each E [0, 2n] to get a cylinder and then glueing the ends of the
cylinder by glueing the point (0, q,) to the point (2n, q,) for each q, E [0,2n]
(see Figure 14.6).
EXAMPLE 9. Let qJ: 1R2 + 1R4 be defined by
qJ(O, q,) = (cos 0, sin 0, cos q" sin q,).
This example is similar to Example 8 in that qJ is doubly periodic and
Image qJ 'can be visualized as the square with opposite edges identified.
Another way of visualizing Image qJ is to observe that
Image qJ = {(P, q) E 1R2 x 1R2: p = (cos 0, sin 0) for some 0,
q = (cos q" sin q,) for some q,}.
Thus Image qJ IS the Cartesian product of two circles, the unit circle in the
(Xb x2)plane and the unit cycle in the (X3' x4)plane, in 1R4. qJ is called a
parametrized torus in 1R4.
EXAMPLE 10. Let qJ: I x IR + 1R3 be defined by
q>(t, 8) = (( 1 + t cos 8, (1 + t cos 8, t sin
where I = {t E IR: ! < t < I}. Then Image qJ is the Mobius band (Figure
Note that the curves tHqJ(t, 0) (0 fixed) are straight line segments
centered on the unit circle in 1R2 and making an angle 0/2 the
(Xb The curves OH qJ(t, 0) (t fixed) are periOdic, with penOd 2n if
t = 0 and period 4n if t + o.
Now let qJ: U + IR
n
+
k
be any smooth map, U open in A vector field
along qJ is a map X which assigns to each point p E U a vector.X(p) E
114 14 Parametrized Surfaces
X(p)
q> (p)
Figure 14.7 A normal vector field along a parametrized 2surface in /R
3
X is smooth if it is smooth as a map X: U 1R
2
(n+k); that is, if each
Xi: U IR is smooth on U, where X(p) = (q>(p), X
1
(p), ... , Xn+k(p)) for
P E U. The vector field X is tangent to q> if it is of the form X(p) = dq>p(Y(p))
(p E U) for some vector field Yon U; X is normal to q> ifX(p) 1 Image dq>p
for all p E U (see Figure 14.7).
For q> a parametrized curve, the velocity field cP is a tangent vector field
along q> since ip(t) = dq>t(t, 1) for all t. The velocity field generalizes as fol
lows. For q>: U IRn+k a smooth map, U open in IRn, let Ei (i E {1, ... , n})
denote the tangent vector fields along q> defined by
Ei(P) = dq>p(p, 0, ... , 1, ... ,0)
where the 1 is in the (i + l)th spot (i spots after the p). Note that the
components of Ei are just the entries in the ith column of the Jacobian
matrix for q> at p:
where q>(p) = (q>l(P), ... , q>n + k(P)) for p E U. The Ei are called the coordinate
vector fields along q>. Note that Ei(P) is simply the velocity at p of the
coordinate curve q>(u
h
... , un) (all uJ held constant except Ui) passing
through q>(P) (see Figure 14.8). When q> is a parametrized nsurface (i.e.,
when q> is regular) these vector fields are linearly independent at each point
p E U, since dq>p is nonsingular, and so they form a basis for the tangent
Image dq>p for each p E U.
For q>: U IRn + k a smooth map, U open in IRn, and X a smooth vector
field along q>, the derivative V v X E of X with respect to v E p E U, is
defined by
v v
X
= :tl,o (X 0 a))
= (q>(p), VvX h ... , VvX
n
+
k
)
where X is the vector part of X (X(q) = (q>(q), X(q)) for q E U), a is any
parametrized curve in U with a(t
o
) = v, and the Xi: U IR are the compo
14 Parametrized Surfaces liS
fJ
n
0 8
Figure 14.8 Coordinate curves on the parametrized 2sphere (north and south
poles deleted.) (/'(8, 4 = (cos (J sin q" sin (J sin 4>, cos
nents of X (X(q) = ... , X .. +A:(q)) for q e U). Note that, when
v = ej = (p, 0, ... ;.1, ... , we have
. V"X .. (tp(p : (P) ) .. (",(p 0:;' (P) ).
Suppose now that .. q>: U + jR". + 1 is a parametrized nsurface in or + 1.
Then, for each p e U; let N(P) denote the unique unit vector at lp(P) such that
N(P) .l Image dq>,," and
det (:::) >0
" N(P)
where the function det is defined as in Theorem S of Chapter 12. Then N is a
smooth unit normal vector field along q> (Exercises 14.8 and N is called
the orientation vector field along q>. The linear map
L,,: (Imagedtp,,) +(Image dq>,,)
defined by
L,,(dq>,,(v ==  9 v N
is the Weingarten map at p e U ofthc"parametrized nsurface q>: U + W+
1
(Note that L" is well defined: because.,,, is one to one.) L" is selfadjoint
(Exercise 14.11 Its eigenvalues and unit eigenvectors are called the principal
curvatures and principal curvature directions of q> at p.Its determinant is the
GaussKronecker curvature of lp at p(Gaussian curvature when n = 12) and
lin times its trace is the mean curvature of q> at p.
EXAMPLE. Let q> be the parametrized torus in 1R3:
q>(8, cp) = a + b cos tP) cos 8,(a + b cos cp)sin 8, b sin cp)
116
14 Parametrized Surfaces
(Figure 14.5). The coordinate vector fields along cp have vector parts
E1 (8, 4 = ~ : = (a + b cos 4(  sin 8, cos 8, 0)
and
E
2
(1I, "') = :: = b(  sin'" cos II,  sin", sin II, cos"'}
The orientation vector field N along cp has vector part
N(8 4  E1(8, 4 x E2 (8, 4
,  IIE
1
(8, 4 x E
2
(8, 411
= (cos 8 cos 4>, sin 8 cos 4>, sin 4.
Hence, for p = (8, 4 E [R2,
and
Lp(E,(P)) = Lp(d",p(P, 1,0)) =  V(P,', o)N =  (",(p), ~ ~ )
=  (cp(p),  sin 8 cos 4>, cos 8 cos 4>, 0)
cos 4> E ( )
a + b cos 4> 1 P
Lp(E2(P)) =  ( " , ( p ~ ~ ~ )
=  (cp(p),  cos 8 sin 4>,  sin 8 sin 4>, cos 4
1
=  bE2(P).
Therefore E 1 (p) and E2 (p) are eigenvectors of Lp. The principal curvatures
are  (cos 4> )/(a + b cos 4 and l/b. The Gaussian curvature is K(8, 4 =
(cos 4> )/b(a + b cos 4> ~ Note that K > 0 on the "outside" of the torus
( n/2 < 4> < n/2), K < 0 on the "inside" (n/2 < 4> < 3n/2), and K = 0 on
the" top" (4) = n/2) and on the" bottom" (4) = n/2) (see Figure 14.9).
K=Q
Figure 14.9 Gaussian curvature of a torus.
14 Parametrized Surfaces 117
EXERCISES
Let SI be an nsurface in R"+ 1 and let Sl be an msurface in R"'+ 1. Suppose
qJ: SI R"'+1 is a smooth map such that qJ(SI) c Sl' Show that
dqJ: T(SI)
14.2. Let qJ: U 1 U
l
and 1/1: U
l
RA: be smooth, where U 1 c R" and U
l
c R"'.
Verify the chain rule d(I/I 0 qJ) = dl/l 0 dqJ.
14.3. Verify that each of Examples 3 through 10 above satisfy the required condi
tion. that dqJp be nonsingular for each p E domain tp.
14.4. Find the general formula describing the parametrized surface obtained by
rotating about the x 3axis a parametrized curve in the (x h x 3) plane. Verily
that the parametrized surfaces of Examples 4 and 8 above are of this type.
14.5. Define qJ: U R
4
, where U = He/>, (J, 1/1): e/> E R, 0 < (J < x, 0 < 1/1 < x}, by
qJ(e/>, (J, 1/1) == (sin e/> sin (J sin 1/1, cos e/> sin (J sin 1/1, cos (J sin 1/1, cos
(a) Verify that qJ is a parametrized 3surface in r.
(b) Show that the image of qJ is contained in the unit 3sphere in W.
(e/>, (J, and 1/1 are spherical coordinates on 53.)
14.6. LetqJ: U R"+1 be a parametrized nsurface in R"+1 and let
p = (ah ... , a.+l) E R"+l, where a.+l + O. Define 1/1: U x 1 R"+l where
1 == {tE R: 0 < t < 1}, by .
I/I(t
h
... , t.+l) == (1 t.+l)P + t.+l(tp(th .. ; 0)
(see Figure 14.10). Show that 1/1 is a parametrized (n + 1)surface in R"+l. (1/1 is
the cone over tp with vertex p.)
p
Image '"
Image
Figure 14.10 A cone over a parametrized curve (X.
I
14.7. Let X be a smooth vector field on R" +I: and let qJ: U Ill" +I: be a smooth map,
U open in R". Show that
for all v E
118 14 Parametrized Surfaces
14.8. Let qJ be a parametrized 2surface in 1R3.
(a) Show that the orientation vector field N along qJ is given by
N _ E1 X E2
 IIE1 x E211'
where E1 and E2 are the coordinate vector fields along qJ.
(b) Conclude that N is smooth.
14.9. Let qJ: U ~ IR
n
+ 1 be a parametrized nsurface in IR
n
+ 1. Let X be the vector
field along qJ whose ith component is (  1)n + 1 + j times the determinant of the
matrix obtained by deleting the ith column from the matrix
where the Ej are the coordinate vector fields of qJ. (Note that this matrix is just
the transpose of the Jacobian matrix of qJ.)
(a) Show that X(p) =1= 0 for all p E U.
(b) Show that X is a normal vector field along qJ.
(c) Show that N = X/liXil is the orientation vector field along qJ.
(d) Conclude that N is smooth.
14.10. Let g: U ~ IR be a smooth function on the open set U in IR
n
and let
qJ: U ~ IR
n
+ 1 be defined by qJ(ut. ... , un) = (Ut. ... , Un, g(ut. ... , Un)). Show
that the orientation vector field along qJ is given by
(
og Og)/ [ n (og )2]1/2
N(p) = qJ(p),  OU1 (p), ... ,  OUn (p), 1 1 + j ~ 1 OUj (p) .
14.11. Show that the Weingarten map at each point of a parametrized nsurface in
~ + 1 is selfadjoint.
14.12. Let qJ: U ~ IRn+k be a parametrized nsurface in IRn+k. Show that
dqJ: U x IR
n
~ IR
n
+k X IR
n
+k is a parametrized 2nsurface in 1R
2n
+ 2k.
14.13. Let qJ: U ~ IRn+k be a parametrized nsurface in ~ + k . Let Ej denote the
coordinate vector fields along qJ and let ej = (p, 0, ... , 1, ... ,0) for p E U.
Show that Ve,Ej = VejE
j
for all i and j.
14.14. Let qJ be a parametrized nsurface in IR
n
+ 1. Show that the GaussKronecker
curvature of qJ is given by the formulas
K( ) = det[Lp(Ej(P))' Ej(p)] = det[(VejEj)' N(p)]
P det[Ej(p) . EAp)] det[Ej(p) EAp)]
where the Ei are the coordinate vector fields along qJ, and
~ = (p, 0, ... , 1, ... ,0).
In Exercises 14.1514.18, find the Gaussian curvature of the given pa
rametriz.ed 2surface cpo
14.15. qJ((J, </ = (a cos (J sin </>, a sin (J sin </>, a cos </ (sphere)
14 Parametrized Surfaces
14.16: qJ(t, 0) = (cos 0, sin 8, t) (right circular cylinder)
14.17. qJ(t, 0) = (t cos 0, t sin 0, 0) (helicoid)
14.18. qJ(t, 0) = (sinh t, cosh t cos 0, cosh t sin 0)
119
14.19. Find the GaussKronecker curvature of the parametrized 3surface qJ, where
qJ(x, y, z) = (x, y, z, Xl + yl + Zl) (3paraboloid in 1R
4
).
14.20. Let qJ: I x IR 1R3 be the parametrized surface of revolution obtained by
rotating the parametrized curve ex(t) = (x(t1 y(t)) (y(t) > 0 for all tEl) about
the x iaxis. Thus
qJ(t, 0) = (x(t1 y(t) cos 0, y(t) sin 0)
for t E I.and 0 E IR.
(a) Show that the Gaussian curvature of qJ is given by the formula
x'(x"y'  x'y")
K 
 y(X,l + y'l)l
(b) Show that if ex has unit speed this formula reduces to K =  y"!y.
14.21. Let ex(t) = (x(t1 y(t)1 where
x(t) = f J1  e
1f
d't,
o
(t > '0)
y(t) = e', (t> 0)
and let qJ be the parametrized surface of revolution obtained by rotating ex
about the x iaxis.
(a) Show that ex has unit speed.
(b) Show that ex has the property that for each t > 0 the segment between ex(t)
Figure 14.11 A pseudosphere.
120 14 Parametrized Surfaces
and the x laxis of the tangent line to (X at (X(t) has constant length 1.
(Hence Image (X will be traced out by the end of a taut string one unit in
length, initially vertical with the other end at the origin, being pulled
along the xlaxis.)
(c) Show that qJ has constant Gaussian curvature K = 1. (qJ is called a
parametrized pseudosphere in 1R3; see Figure 14.11).
Local Equivalence of
Surfaces and Parametrized
Surfaces
15
In this chapter we shall establish two theorems which show that, locally,
nsurfaces and parametrized nsurfaces are the same. In order to do this, we
will need to use the following theorem from the calculus of several variables.
Inverse. Fundioo Theorem. Let U be an open set in IR" + 1 , let ljI: U + IR
n
+ 1 be
smooth, and suppose p E U is such that dljl p is nonsingular. Then there exists
an open set V c U about p such that the restriction ljI Iv of ljI to V maps V one
to one onto an open set W in IRn + 1, and moreover the inverse map
(ljI Iv t 1: W + Vis smooth.
A proof of this theorem may be found in Fleming's Functions of Several
Variables (Second Edition, SpringerVerlag, 1 9 7 7 ~ Note that, since the
matrix for dljl p with respect to the" standard standard bases for ~ + 1 and
IR';,tp: is the Jacobian matrix J ",(P) of ljI at p, the condition that dljl p be
nonsingular says simply that det J ",(P) + o.
Theorem 1. Let S be an nsurface in IR" + 1 and let pES. Then there exists an
open set V about p in IR" + 1 and a parametrized nsurface cp: V + IR
n
+ 1 such
that cp is a one to one map from U onto V n S (see Figure 15.1).
PROOF. Let f: U 1 + IR (U 1 open in IR
n
+ 1) be a smooth function such that
S = fl(C) for some c E IR and Vf(q) + 0 for all q E S. Choose
i E {I, .oo, n + I} such that (Of/OXi)(P) + O. Such an i exists since Vf(P) + O.
Define ljI: U
1
+ IR
n
+
1
by ljI(Xi' oo., xn+d = (Xl' .oo, Xil, f(x
1
, ... , Xn+d,
Xi+ 1, ... , X
n
+ d. Thus ljI maps level sets offinto hyperplanes Xi = constant,
and in particular ljI maps S into the hyperplane Xi = C (see Figure 15.2). The
Jacobian matrix J ",(p) is just the identity matrix with the ith column replaced
by the components of Vf(p). Hence det J",(p) = (Of/OXi)(P) + O. So, by the
121
122 15 Local Equivalence of Surfaces and Parametrized Surfaces

U
vns= cp(U)
Figure 15.1 A parametrization of a portion of an nsurface.
inverse function theorem, there exists an open set V
l
C U 1 about p such that
ljI maps V
l
one to one onto an open set W
l
about ljI(p), and
(ljI IvJ
l
: W
l
+ V
l
is smooth. For each j E {1, ... , n + 1}, choose a j' b j E IR
with aj < b
j
such that
W = {(Xl' ... , xn+d: aj < Xj < bj for allj}
is a subset of W
l
and ljI(p) E W. Finally, let V = (ljI IvJl(W), let
U = {(u
l
, ... , un) E IR
n
: aj < Uj < b
j
for j < i
and aj+l < Uj < bj +
l
for j ~ i},
and define cp: U + IR
n
+ 1 by (see Figure 15.2)
cp(u
l
, ... , Un) = (ljIlvtl(U
l
, ... , Uil' C, Uj, , un)
cp is the required parametrized nsurface. 0
Remark. Note that the parametrized surface cp of Theorem 1 can be
chosen so that the orientation vector fields Nip of cp and N
S
of S agree; that is,
so that Nip(q) = NS(cp(q)) for allq E U. Indeed, Image dcpq C Sip(q) for all
c
LJl7
Figure 15.2 The map'" Iv maps the level set V (J fl(C) onto the intersection with
W of the hyperplane Xi = C.
15 Local Equivalence of Surfaces and Parametrized Surfaces 123
q e U since Image cp c S, so NS(cp(q)) ..L Image dcpq for all q e U. Moreover,
the function g: U  R d e ~ : ) ~ det ( El;(q) .)
E,,(q)
NS(cp(q))
is continuous and nowhere zero. Since U is connected, 9 is either positive
everywhere or negative everywhere. If g(q) > 0 for all q E U then
~ = N
S
0 cpo If g(q) < 0 for all q e U then N" =  N
S
0 cp, so if we replace
cp by the parametrized nsurface i'p: 0 + Iff' + I defined by
i'p(Ub U2, U3' . , u,,) = CP(U2' UI' U3, . , u,,)
we will have N == N
S
0 'P. Here,
0= {(u
b
U2, U3, ,u,,)e IR": (U2' Ub U3' , u,,) E U}.
. A parametrized nsurface cp: U + /R"+I whose image is an open subsetof
the oriented nsurface S and whose orientation vector field agrees with that
of S (i.e., Nfl> == N' 0 cp) is called a local parametrization of S. Theorem 1
guarantees the existence of a one to one local pa11Ulletrization of S whose
image is an open set inS about anY'given'point ofS. 'The inverse cp I of such
a parametrizationcp: U + Sis often called achan because through cp I the
region Image cp C:: S is "charted" on U c R*,just as a region of the earth is
charted on a 'topographic or political map . "' 1 is also Sometimes called a
coordinate system because through cp 1 each point p e Image cp corresponds
to anntuple ofreal numbers, the coordinates of p. .
EXAMPLE 1. Let cp be the map from the open square 0 < < 2ft,O < t/J < 2ft
into 1R3 defined, for a > b > 0, by
cp(O, t/J) = a + b cos t/J) cos 0, (a + b cos t/J) sin 0, b sin t/J).
21t1,
u
21t
Figure 15.3 lP  1 is a chart on the portion of the torus obtained by deleting two
circles (8 = 0 and t/> = 0.)
124 15 Local Equivalence of Surfaces and Parametrized Surfaces
Then cp  1 is a chart on the torus (J xi + x ~  a)2 + x ~ = b
2
, with two
circles deleted (see Figure 15.3).
EXAMPLE 2. Let cp map the open rectangle 0 < () < 2n,0 < </> < n into 1R3 by
cp((}, </ = (cos () sin </>, sin () sin </>, cos </. Then cp 1 is a chart on the unit
sphere 52 with a semicircle deleted (see Figure 15.4).
l
n: 1.
u
2n: e
Figure 15.4 Spherical coordinates define a chart on the portion of the sphere 52
obtained by deleting the semicircle e = 0, 0 ~ 4> ~ n.
EXAMPLE 3. A chart whose domain is the unit sphere with only one point
deleted, and which is easily described for spheres of arbitrary dimension, is
given by stereographic projection. Let S' denote the unit nsphere in IR
n
+ 1
and let q = (0, ... , 0, 1) denote the" north pole" of S'. Let cp: IR
n
+ S' be the
map which sends each p E IR
n
into the point different from q where the line
through (p, 0) E IR
n
+ 1 and q cuts S' (see Figure 15.5).
Since ct(t) = t(p, 0) + (1  t)q = (tp, 1  t) is a parametrization of the
line through (p,O) and q, and since Ilct(t)11 = 1 if and only if t = 0 or
t = 2/(llpI12 + 1), the map cp is given by the formula
cp(x
1
, .. , x
n
) = (2x
1
, ... , 2x
n
, xi + ... + x;  l)/(xi + ... + x; + 1).
q
Figure 15.5 Stereographic projection.
15 Local Equivalence of Surfaces and Parametrized Surfaces 125
The map cp is a parametrized surface which maps R" one to one onto
S"  {q}. The chart cpI is called stereographic projection from S"  {q} onto
the equatorial hyperplane. Note that cp leaves the equatorial (n  1 )sphere
fixed, maps the unit ball {(x., ... , XII) e R": xl + ... + x; < I} onto the
"southern hemisphere" {(Xb '.0' XII + I) eS": XII + I < O}, and maps the exte
rior {(Xb ... , XII) e 'R": xl + ... + x; > I} of the unit ball onto the "northern
hemisphere" {(Xb ... , XII + I) e 5": X,,+I > O} with the north pole deleted.
'1"heorem 1.. Let cp: U + R" + I be a parametrized nsurface in R" + I and let
p E U. Then there exists an open set U I C U about p such that lp(U 1) is an
nsur/ace. in If' + I.
PROOF. Define t/I: U x, III + R"+I by t/I(q, s) = <p(q) + where N(q) is
the vector part at q of the orientation vector field along cpo Then
J.(P, (J.(P) Nr)) 0& (Et:(P) ... Nr)
is the matrix whose columns are the vector parts at p of the coordinate
vector fields Ei and of the unitnonnal vector fieldN. Hence the columns of
J .(P, 0) are linearly independent and det J .(p, 0) + O. By the inverse fune
tiontheorem,there exists an open set. Y cUxRabout (P,O) such that the
restriction t/I Jv of 1/1 to Y maps Yone toone. onto the open set and
(t/llv)I is smooth. By shrinking Y if necessary, we may assume Y == U 1 X 1
for S()111e open set U
I
c U containing pand some open interval 1 c R
containing 0 (see Figure 15.6). ,Now define I: Image tfllv + R by
I(y,(q, s == $; ie,/(<p(q) + sN(q == So Thus f(t/I(q, s is the perpendicular
distance s) to Image qJ./is wetldeftned and is smooth because/is
the composition of tbesmooth map . (tldv ):,1 with the projection map
U I x 1 + 1. The level set 1 I (0) is justcp(U I) because
1","1(0)== {t/I(q, s): q e U It S == O} == {tp(q): q e U I}'
s
'"

v=u
I
Xl

II
(p,O)
Figure 15.6 The inverse function theorem applied to a parametrized Isurface qJ.
The straight lines in t/I(V) are the lines fJ.(s) = qJ(q) + sN(q) (q The transverse
Isurfaces are the images of the maps qJ,: U 1 + 1R2 given by qJ.(q) = qJ(q) + sN(q)
(s
126 15 Local Equivalence of Surfaces and Parametrized Surfaces
Finally, Vf(z) ::/= 0 for z = I/I(q, 0) E f
1
(0) because, letting = I/I(q, s) =
cp(q) + sN(q), we have
Vf(z) N(q) = . = (f 0 = 1 =1= O.
Thus cp(Ud =f
1
(0) is an nsurfaee in
o
Theorem 1 says that about each point p of an nsurface Sin IRn+ 1 there is
an open set V such that S n V is the image of a one to one parametrized
nsurface. Theorem 2 says that about each point p in the domain of a
parametrized nsurface cp on IR
n
+ 1 there exists an open set V such that
Image (cp Iv) is an nsurface. Whenever a subset S of IR
n
+ 1 is described both
as an nsurface S = f  1 (c) and as the image of a parametrized nsurface
cp: U + IR
n
+
1
with NlI'(p) = NS(cp(p)) for all p E U, then cp and S have the
same geometry at each point:
(i) The Weingarten map L: of cp at p E U is the same as the Weingarten
map L!(p) of S at cp(p) because, for v E
L:(dcp(v)) =  Vv NlI' =  V v(N
S
0 cp) =  (N
S
0 q; 0
= VlI';IX(to)N
s
= Vdll'(v)Ns = L!(p)(dcp(v))
where 1+ U is such that = v.
(ii) The principal curvatures, GaussKronecker curvature, and mean cur
vature of cp at p E U are equal to the corresponding quantities for S at cp(p)
since all are computed directly from the Weingarten map.
Remark. Theorem 2 establishes that if cp is a parametrized nsurface in
IR
n
+ 1 then, locally, Image cp is an nsurface; that is, a level set of a real valued
function f with nonvanishing gradient. A natural question is whether a
similar statement can be made about Image cp where cp is a parametrized
nsurface in lR"+k. The answer is affirmative. The statement is the same, with
nsurface in IR
n
+ k defined as follows.
A surface of dimension n, or nsurface, in IRn+k(k 1) is a nonempty
subset S of IR
n
+
k
of the form S = fl(C) (c E IRk) wheref: U + IRk (U open in
IRn+k) is a smooth function with the property that dfp has rank k for each
pES. Since the matrix for dfp with respect to the standard bases for
and is just the Jacobian matrix off, whose columns are the vector parts
of the gradient vectors VJ;(p), where f(q) = (fl(q), .. . ,h(q)), q E U, this
definition can be rephased as follows: an nsurface in IR
n
+
k
is a nonempty
subset of IRn + k of the form
k
S = fi
1
(cd n ... n f; I(C
k
) = n fi
1
(Ci)
i=1
where the 1'i: U + IR (U open in IRn+k) are smooth functions such that
{Vfl(P), ... , Vh(p)} is linearly independent for each PES (see Figure 15.7).
Thus an nsurface in IR
n
+
k
is the intersection of k (n+kl)surfaces which
15 Local Equivalence of Surfaces and Parametrized Surfaces 127
s
Figure 15.7 A Isurface S in 1R3 is the intersection fl(cd fi f
1
(C2) of two
2surfaces.
meet" cleanly" in the sense that the normal directions are lineatly indepen
dent at each point of the intersection.
The tangent space Sp at peS to anonsurface S = lit(CJin !R"+k is
the set of all vectors in of the form &(t
o
) where ex is any parametrized
curve in S with ex(t
o
) = p. Thus
Sp = [/lt(ct)]p (l (l (I; t(Ck)]P
= {v e V!t(p) v = 0 for i e {1, ... , nn.
The kdimensional subspace spanned by the vectors
{V/t(P), ... , V!t(p)} is the normal space to Sat p (see Figure
EXAMPLE 1. A Isurface in 1R3 is usually called a space curve (see
Figure 
EXAMPLE 2. Let!t: 1R4 + R(i e {I, 2}) be defined by
It(Xh X2, X3, X4) == xi +
12(Xh X2, X3, X4) = + xl.
normal space at p
Figure 15.8 The tangent space and the normal space at a point p of a Isurface
(space curve) in 1R3.
128 15 Local Equivalence of Surfaces and Parametrized Surfaces
Then S =fl1(1) nf2"I(1) is a 2surface in 1R4 (a Note that S is the
Cartesian product of the unit circle in the (Xh x2)plane and the unit circle in
the (X3' x4)plane. S = Image cp, where cp is the parametrized torus
described in Example 9 of the previous chapter.
Remark. Just as the concept of nsurface in IR"+ 1 as defined in Chapter 4
was not general enough to include surfaces like the Mobius band, the
definition of nsurface in 1R"+k given in this section is not general enough to
include all subsets of !R"+k which might be called nsurfaces. The surfaces of
Chapter 4 were "orientable" surfaces, so called because each such surface
could be oriented by a choice of smooth unit normal vector field. The
nsurfaces in 1R"+k of this chapter are "normally frameable" nsurfaces, so
called because each such surface can be "normally framed" by a choice of k
smooth normal vector fields which form a basis for the normal space at each
point of S. We shall not in this book consider more general types of surfaces.
Remark. We have defined a map from an nsurface S c IR"+ 1 into IRk to
be smooth if it is the restriction to S of a smooth function defined on some
open set in IR"+ 1 containing S. Using local parametrizations we can now give
an alternate characterization of smoothness.
Theorem 3. Let S be an nsurface in IR" + 1 and let f: S + IRk. Then f is smooth if
and only if f 0 cp: U + IRk is smooth for each local parametrization cp: U + s.
PROOF. Iffis smooth thenf 0 cp is smooth for each cp since it is a composition
of smooth functions.
Conversely, supposef 0 cp is smooth for each local parametrization cp of S.
We must construct a smooth extension ] of f to an open set V in IR" + 1
containing S. For each PES, let Cp,,: U" + S be a local parametrization of S
whose image contains P and let 1/1,,: U" x IR + IR"+ 1 be defined by 1/1 ,,(q, s) =
cp,,(q) + sN(cp,,(q)), where N is an orientation on S. Then, as in the proof of
Theorem 2, we can find an open set V" about (cp; 1 (p), 0) in U" x IR such that
I/I"lv maps Yp one to one onto an open set w;, in 1R"+t, and
p .
(1/1" Iv r 1: w;, + is smooth. Furthermore, by shrinking Yp if necessary, we
may that I/I,,(q, s) E S for (q, s) E V" if and only if s = O. Now if we
define I,,: w;, + IRk by],,(cp,,(q) + sN(q,,,(q))) = f(cp,,(q)) we will have con
structed a smooth extension]" = (f 0 cp,,) 0 1t 0 (I/I"lv
p
r
l
off Iw
p
()S to the
open set Wpin IR"+ 1. Here, 1t(q,s) = q. We would like to piece these extensions
together to get a smooth extension off defined on the open set U" e S w;,.
We can do this provided ]"1 = ]"2 on w;,l n w;,2' for all Ph P2 E S. But this
may not be the case (see Figure 15.9). If, however, for each PES we choose
ell > 0 so that the ball of radius 2e" about P is contained in w;, and set
B" = the ball of radius ell about P then
15 Local Equivalence of Surfaces and Parametrized Surfaces 129
s
Figure 15.9 Construction of a smooth extension.
can only happen, for (qh sd E (1/1 1'1 Iv ",t I(B
p1
) and (q2' S2) E (1/1 1'2 Iv ",t
when lppl(qd = lpp2(q2) and SI S2' It follows that a 2 function
. '7: UpesBp + RA: Can be defined by 7 (lpp(q)+ sN(cpp(q))) = f(lpp(q)) and that
this function is a smooth extension off 0
Forf: S + R' a function defined on an nsurface S in R,,+A: we can define
smoothness off either by the requirement that f be the restriction to S of a
smooth function defined on some open set in R" + A: containing S or by the
requirement that f 0 lp' be smooth for each local parametrization lp of S.
These two'requirements onf are equivalent by an argument analogous to
that in the proof of Theorem 3.
A smooth map f with a smooth inverse is called a diffeomorphism. Thus,
for example, the local parametrization lp: U + S constructed in the proof of
Theorem 1 is a diffeomorphism from the open set U c R" + 1 onto the open
set V (l S about p in S.
11Ieorem 4. (Inverse Function Theorem for nswfaces). Let S and S be n
surfaces, let 1/1: S +! be a smooth map, and suppose PES is such that
dl/l 1': S I' + !",(p) is nonsingular. Then there exists an open set V about p in S and
an open set W about I/I(p lin S such that t/llv is a diffeomorphism from V onto
W.
PROOF. Let lpl: U 1 + S and lp2: U 2 + S be one to one local parametriza
tions of and S, with P E lpl(U dand I/I(p) E lp2(U 2), constructed as in the
proof of Theorem 1. Then lp"2
1
0 1/1 0 lp 1: U 1 + U 2 is smooth and
d( lp"2 1 0 1/1 0 lp drp 11(1') = (dlp"2 1 ).,(1') 0 d", I' 0 (dlp drp 1
1
(1') is n onsingular so, by
inverse function theorem for R", there exists an open set I VI cUI
containing lp 11 (P) such that (lp"2 1 0 1/1 0 lp 1) Iv 1 is a diffeomorphism from VI
onto an open set WI c U
2
containing lp;1 0 I/I(p). Set V = q)1(Vd and W =
lp2(Wd. Then 1/1 Iv = lp2 0 (lp"2
1
0 1/1 0 lpd 0 lpl11v is a diffeomorphism from V
0
130 15 Local Equivalence of Surfaces and Parametrized Surfaces
Corollary. Let S be a compact connected oriented nsurface in IR
n
+ 1 whose
GaussKronecker curvature is nowhere zero. Then the Gauss map N: S + S" is
a diffeomorphism.
PROOF. By Theorem 5 of Chapter 13, N is one to one and onto, so we need
only check that N
1
is smooth. But for each PES and v ESp, dN{v) has the
same vector part as VvN = Lp{v) and this can be zero only when v = 0
since, by Theorem 6 of Chapter 12, the second fundamental form !/ p of Sat
p is definite. Applying Theorem 4 we conclude that N 1 is smooth on an
open set about each point of 5" and, by Theorem 3, this is sufficient. 0
EXERCISES
15.1. Let q = (0, ... ,0, 1) denote the" south pole" of the unit nsphere sa. Find a
formula for the parametrized nsurface qJ: IR" . ga  {q} which is the inverse
of stereographic projection from 5"  {q} onto the equatorial hyperplane
XII + 1 = O.
15.2. Find a formula for the parametrized nsurface qJ: IR" . ga  {q} where q is the
north pole (0, ... , 0, 1) of the unit nsphere ga and qJ  1 is stereographic
projection from 5" : {q} onto the tangent hyperplane XII + 1 = 1 at the south
pole (0, ... , 0, 1). [Thus, for p E IR", qJ(p) is the point of ga different from q
which lies on the line through q and (p,  1) E IR" + 1.]
15.3. Let qJ: U . IR" + 1 be a parametrized nsurface in IR" + 1, let t/I: U x IR . IR" + 1
be defined by t/I(q, s) = qJ(q) + sN(q), let V = U 1 X I be such that t/I Iv has a
smooth inverse, and letf(t/I(q, s = s, as in the proof of Theorem 2.
(a) Show that the level setsf1(e) (e E I) are everywhere orthogonal to the
lines Pq(s) = qJ(q) + sN(q) (q E U 1 fixed). [Hint: Note that each pa
rametrized curve in f1(e) is of the form qJ 0 ex + eN 0 ex where ex is a
parametrized curve in U 1']
(b) Show that Vf(z) = (z, N(q for z = t/I(q, s) E t/I(U 1 x I).
15.4. Show that in Theorem 2 it is not sufficient to simply restrict the domain of qJ
to an open subset U 1 of U on which qJ is one to one in order to ensure that
Image qJ is an nsurface in IR" + 1: exhibit a one to one parametrized Isurface
in 1R2 whose image is not a Isurface.
15.5. Let S be an oriented nsurface in IR" + 1 and let T(S) =
{v E I R ~ + 1 C IR
2
(II + 1): PES and v . N(p) = O}. Show that T(S) is a 2nsurface
in 1R211+2. (T(S) is the tangent bundle of S.)
15.6. Let S be an oriented nsurface in IR"+ 1 and let T
1
(S) =
{v E I R ~ + 1 C IR
2
(II + 1): pES, v N(p) = 0, V v = I}. Show that T
1
(S) is a
(2n  I)surface in 1R211+2. (T1(S) is the unit sphere bundle of S.)
15.7. (a) Viewing 1R4 as the set of all 2 x 2 matrices with real entries by identifying
15 Local Equivalence of Surfaces and Parametrized Surfaces 131
the 4tuple (x h ... , X4) with the matrix
show that the setO(2) of orthogonal 2 x 2 matrices is a Isurface in R4.
[Recall that a matrix A is orthogonal if A 1 is the transpose of A. This is
equivalent to the condition that the rows of A form an orthonormal set.]
(b) Show that the tangent spaceO(2), toO(2) at p == (A Y) can be identified
with the set of all skewsymmetric 2 x 2 matrices by showing that
0(2), = 1(", a = d = 0, c = h.)
[Hint: Compute (CXi CXjY(to), where
cx(t) == (CX
1
(t)
CX2(t)
is an arbitrary parametrized curve inO(2) with cx(to) == (A
15.8. (a) Show that the set O(n) of orthogonaln x n matrices .is an n(n  1)/2
surface in R"1. 
(b) What is the tangent space to O(n) at p == the identity matrix?
15.9. Show that if 5 =f
1
(c) is an nsurface in R"H and p e 5 then the tangent
space 5, to 5 at p is equal to the kernel of dfl"
15.10. Prove Theorem 1 with n + 1 replaced everywhere by n + k:
15.11. Prove Theorem 2 with n + 1 replaced by n + k. [Use_ t/!: U )( jRl+ R"+1
defined byy,(q, t1. ... , tl)= fP(q) + D";1 t,N,(q) where the N,(i e {I, ''', k})
are vector fieldsalonl q> which span the normal space (Imale dq>f for each
qeU.]
15.12. Let q>: RR + S' denote the inverse of stereographic projection from
S'  {(O, ... , 0, 1)} onto the equatorial hyperplane X
R
+ 1 II: O.
(a) Show that for each peR" there exists a real number A(P) > 0 such that
Ildq>(.)1I = for aU. e [Hint: Note that the vector part of dq>(.)
is just (d/dt)fo q>(p + where. = (p, v).] .
(b) Using the fact that, w = (1/4)(U + wn
2
II.  will), conclude that
dq>(.) dq>(w) = (A(p2 . w for all., w e R;, and hence that dq> preserves
angles between vectors.
[This exercise thus shows that stereographic projection is a conformal (angle
preserving) map.] 
15.13. Let 5 be a.n.nsurface in R"+ 1 and let p e 5. Show that the subset of 5 consist
ing of aU points q e 5 which can be joined to p by a continuous curve in 5 is a
connected nsurface. I
15.14. Let C =fil(Cl) f"'I fi" 1 (Cl) be a 1surface in R3 an41et X = Vfl x Vfl.Show
that the restriction of X to C is a tangent vector field on C and that the
maximal integral curve of X through p e C is a one to one or periodic map
cx: 1+ C. When does cx map 1 onto C?
16
Focal Points
The construction in the proof of Theorem 2 of the previous chapter sur
rounds the parametrized nsurface cP: U + ~ n + 1 with a family of smooth
maps CPs: U + ~ n + I(S E ~ ) given by
CPs(q) = t/I(q, s) = cp(q) + sNCP(q)
(Figure 15.6). When s = 0, CPs = cP is a parametrized nsurface in ~ n + 1. For
s =1= 0, however, CPs may fail to be a parametrized nsurface because there may
be points p E U at which CPs fails to be regular. At each such point there will
be a direction v E ~ ~ (11vll = 1) such that dcps(v) = O. If (X is a parametrized
curve in U with &(t
o
) = v, it follows that
CPs ~ (X(t
o
) = dCPs(&(to)) = 0;
that is, the curve CPs 0 (X(t) = cp((X(t)) + sNCP((X(t)) (s fixed) pauses (has velocity
zero) at t = to. Geometrically, this says that the normal lines which start
along the curve cp 0 (X near cp(p) = cp((X(t
o
)) tend to focus at 1= CPs((X(t
o
)) =
CPs(p) (see Figure 16.1). Such points 1 are called focal points of cpo Note that
the normal lines along (X need not actually meet at a focal point.
Given a parametrized nsurface cp: U + ~ n + 1 and a point p E U, let
p: ~ + ~ n + 1 be defined by p(s) = cp(p) + sNCP(p). Thus p is a unit speed
parametrization of the line normal to Image cp at cp(p). A point 1 E Image p
is said to be a focal point of cp along p if 1 = P(so) where So is such that the
map CPso: U + ~ n + 1 defined by CPso(q) = cp(q) + So NCP(q) is singular (not
regular) at p.
Theorem 1. Let cp: U + ~ n + 1 be a parametrized nsurface, let p E U, and let
p: ~ + ~ n + 1 be the normal line given by P(s) = cp(p) + sNCP(p). Then thefocal
points of cp along p are the points P(1/k
i
(p)), where the ki(p) are the nonzero
132
16 Focal Points 133
Figure 16.1 lis a focal point of the parametrized Isurface qJ in H2.
principal curvatures of cp at p. In particular, there exist at most nfocal points of
cp along p. '
PROOF./= P(s) = CPs(P) is a focal point of cp along p if and only if dcps(v) = 0
for some v E ~ , v::/= O. Letting ex: 1+ U be such that a(to) = v, the vector
part of dcps(v) is
~ I (CPs 0 ex) = ~ I (cp 0 ex + sNlP 0 ex) (s fixed)
dt to dt '0
= ~ I (cp 0 ex) + s ~ 1 (NlP 0 ex).
dt to dt to
Since this last expre$ion is the vector part of cp 0 ex(t
o
) + sVyNlP, it follows
that dcps(v) = 0 if and only if
0= cp 0 ex(t
o
) + sV
y
NlP
= dcp(v)  sLp(dcp(v)).
Hence, dcps(v) = 0 if and only if
1 .
Lp(dcp(v)) =  (dcp(v)).
s
Note that s cannot be zero since dcp(v) :;: O. Thus lis a focal point of cp along
p if and only if l/s is an eigenvalue of Lp; that is, if and only if l/s is a
principal curvature of cp at p. 0
Given an oriented nsurface S in ~ n + 1, a point IE IR" + 1 is said to be a
focal point of S along the normal line P(s) = p + sN s(p) (p E S) if I is a focal
point along p of cp, where cp is any parametrization, with N; = N
S
0 cp, of an
open set about p in S. Thus lis a point where normal lines along some curve
through p in S tend to focus. By the previous theorem, the focal pdints of S
along p are the points P( l/k
i
(p)) where the ki(P) are the nonzero principal
curvatures of S at p. Note that the location of the focal points does not
depend on the choice of orientation on S since reversmg ~ also causes
the principal curvatures ki(p) to change sign, so the focal points
134 16 Focal Points
P + (1/ki(P))N
S
(p) remain the same. Note further that the normal lines which
tend to focus at P + (1/ki(P))N
S
(p) are those which begin along a curve in S
which moves out from P in the ith principal curvature direction.
The next theorem describes the most important property of focal points;
namely, that distance from an nsurface is locally minimized along normal
lines only up to the first focal point. We shall state and prove this theorem
for oriented surfaces but of course it is also valid for parametrized surfaces.
Theorem 2. Let S be an oriented nsurface in ~ , . + 1. Let PES arid let Po lie on the
line normal to S through p. Define h: S + ~ by h(q) = Ilq  Po 112. Then h
attains a local minimum at P if and only if there are no focal points of S between
p and Po along the normal line through p (see Figure 16.2).
this line is shorter
p q
Figure 16.2 Distance to S is no longer minimized along the normal beyond the first
focal point f.
PROOF. Since Po lies on the normal line to S at p, Po = P + sN(P) for some
s E ~ . We shall assume that s > 0; if not, we can change the sign of s by
reversing the orientation on S. Define Ii: ~ , . + 1 + ~ by
Ii(q) = Ilq  Po 112 = (q  Po) (q  Po)
so that h is the restriction of Ii to S. Then
vli(q) = 2(q, q  Po).
In particular,
vli(p) = 2(p, p  Po) =  2sN(p)
so h is stationary at p (grad h(p) = 0). The Hessian of hat p on v E Sp(v = 0)
is given by (see Chapter 13)
p(v) = [Vv(VIi  ((Vii) N)N)] . v
= [Vv(vli) + ((vii) . N)(p)Lp(v)] v
= [2v  2sLp(v)] v = 211v112(1  sk(v/llvll))
16 Focal Points 135
where k(v/llvID is the normal curvature of S in the direction v/llvll. Hence
.Yf p(v) ~ 211 v1l
2
(1  sk,.(p))
where k,,(p) is the maximum value of normal curvature at p; that is, k,,(P) is
the maximal principal curvature of S at p .. It follows that if k,,(P) < 0, or if
k,,(P) >0 and s < l/k,,(P), then .Yf p is positive definite so h attains a local
minimum at p. By continuity, h must also attain a local minimum at p when
k,.(p) > 0 and s = l/k,,(P). Thus h attains a local minimum at p whenever
either k,,(P) < 0 or k,,(p) > 0 and s ~ l/k,,(P); that is, whenever there are no
focal points between p and Po = P + sN(P) along the normal line to S
through p (see Figure 1 6 . 3 ~
second focal point
p+ (11k" l(pN(p)
Jflrst focal point
p + (lIk,,(pN(p)
Figure 16.3 For k,,(p) > 0, the first focal'point occurs at p + (1/k,,(p))N(p).
Conversely, if 0 < l/k,,(p) < s then
.Yf p(v,,) = 2(1  sk(v,,)) = 2(1  sk,,(p)) < 0,
where v" is a principal curvature direction at p corresponding to the princi
pal curvature k" , so .Yf p is not positive semidefinite and h does not attain a
local minimum at p. In fact, if ais any parametrized curve in S with
ti(t
o
) = v" then
(h 0 a)'(t
o
) = (grad h)(p) ti(t
o
) = 0
and
(h 0 a)"(t
o
) = V v,,(grad h) ti(t
o
) = .Yf p(v,,) < 0
so distance from Po decreases as one moves out from p in S in the direction v" .
o
The set of all focal points along all normal lines to an nsurface S in !R" + 1
is called the focal locus of S. This set may be visualized as follows.l1or each
s E !R, the set I
Sa = {q E !R,,+1: q = p + sN(p) for some pES}
of all points obtained by moving out from S along the normals a distance s
looks like an nsurface with singularities (points where the tangent space has
136 16 Focal Points
dimension < n) at points which are focal points of S. These singularities
usually appear as cusps or folds in Ss. The set Ss may be viewed as the
position at time sic (c = speed of light) of an advancing wavefront caused by
a flash of light along S at time s = O. By watching these wavefronts we can
watch the singularities trace out the focal locus (see Figure 16.4).
s=O s=l s=2 focal locus
Figure 16.4 The focal locus of a parabola as the set of singularities of an advancing
wavefront.
EXERCISES
16.1. Let cp: IR + 1R2 be the ellipse cp(t) = (a cos t, b sin t) (a> 0, b > 0).
(a) Show that the focal locus of cp is the image of the parametrized curve
(b) Sketch the focal locus of cpo
16.2. Let C be an oriented plane curve and let p E C be such that the curvature K(p)
of C at p is not zero.
(a) Show that for q E C sufficiently close to p, the normal lines to C at p and at
q intersect at some point h(q) E 1R2.
(b) Show that as q approaches p along C, the point h(q) approaches the focal
point of C along the normal line through p. [Thus the focal locus of C is the
"envelope" of the family of normal lines of C (see Figure 16.5).]
16.3. Let cp: I + 1R2 be a regular parametrized curve in 1R2 with curvature K nowhere
zero. For tEl, let
ex(t) = cp(t) + (1/K(t))NlP(t),
so that ex is a parametrization of the focal locus of cpo
16 Focal Points 137
Figure 16.5 The focal locus of a parabola as the envelope of its normal lines.
(a) Show that oc is regular (!X(t) 0) at tEl if and only if "'(t) O.
(b) Show that, for each tEl with ,,'(t) ::/= 0, the normal line to Image cp at cp(t)
is tangent at oc(t) to the focal locus of cp (see Figure
(c) Show that on any subinterval [tb tll c I such that ,,'(t) ::/=.0 for t1 < t < tl,
the length of the line segment from fP(t) to oc(t) plus the length of oc from oc(t)
to OC(tl) is constant as a function of t (see
[Remark. Exercise 16.3 shows that any portion of a plane curve which has
regular focal locus can be traced out by unwinding a string from the focal locus
(Figure The focal locus of a plane curve C is the locus of the centers of
curviuure and is often called the evolute of C. A curve which is obtained from
another by unwinding a string is called an involute.]
q> (t1)
Figure 16.6 Half a parabola as an involute of its focal locus.
16.4. Let cp: 1+ IRl be a regular parametrized curve in IRl and let to E I. for each
S E IR, define cp,: 1+ IRl by cp,(t) = cp(t) + let I, denote the largtst inter
val about to on which cp, is regular, and let ",: I, + IR denote the curvature of
the restriction of cp, to I,.
(a) Show that I, is an open interval about to for each s < 1/,,(to), where" is the
curvature of cpo
138
16 Focal Points
(b) Show that, for s < 1/K(to),
Ks(tO) = :1
 s
K(to)
and conclude that lim
S
.... 1/K(tO) ! Ks(to)! = 00. [Hint: You may assume for
ease of computation that cp is a unit speed curve.]
16.5. Let S be an oriented nsurface in IR
n
+ 1. For PES and v ESp (v =1= 0), 1+ S
be a parametrized curve in S such that &(t
o
) = v and define 1/1: IR x 1+ IR
n
+ 1 by
I/I(s, t) = + Let X denote the vector field, along the line {J normal
to S at p ({J(s) = p + sNS(p, defined by X(s) = dl/l(s, 0, 0, 1) (see Figure 16.7).
Image f3
x
Image t/J
Figure 16.7 A Jacobi field.
(a) Show that X(O) = v and that X(O) = Lp(v). [Hint: The vector part of X is
(%s)(ol/l/ot).]
(b) Show that l = 0 and conclude that X(s) = ({J(s), v + sw) where v and ware
the vector parts of v and of  Lp(v) respectively.
(c) Show that X(s) = 0 if and only if {J(s) is a focal point of S along {J and v
points in a principal curvature direction corresponding to the principal
curvature 1/ s.
Remark. It follows from (b) that the vector field X does not depend on the
choice of parametrized curve with initial velocity v. X is called the lacobifield
along {J generated by v.
Surface Area and Volume
17
We consider now the problem of how to find the volume (area when n = 2)
of an in IR" + 1. As witb' the lenath of plane curves, this is done in two
steps. First we define. the volume of a nsurface and then we
define the volume of an in terms of local parametriutions.
Recall that the length of a parametrized curve I + 1R2 is defined by the
formula
b
l(ex) = f II (x II = f II(x(t)II dt
I "
where a and b are the endpoints of l. In the language of parametrized
sUrfaces,}f ex is regular then the velocity field is just the coordinate vector
field E1 along the parametrized 1surface ex in 1R2, and
= liE (t)II = liE (t)II det(Et(t)/IIEt(t)ll) = det(E
1
(t))
1 1 N(t) N(t)
where N is the orientation vector field along ex. The second equality here is a
consequence of the fact that the vectors E
1
(t)/IIE
1
(t)II and N(t) form an
orthonormal basis for 1R;(t) so
d
(
E1(t)/IIE1(t)II)
et N(t)
is the determinant of an orthogonal matrix and hence is equal to :t 1; the
sign is + because the basis E
1
(t)/IIE
1
(t)II is consist ant with the orientation
N. The formula for the length of ex can now be rewritten as
/(a) = II ).
139
140 17 Surface Area and Volume
This integral is clearly a special case of an integral defined for parametrized
nsurfaces.
The volume of a parametrized nsurface cp: U + [Rn + 1 is defined to be the
integral
(
El) (El(Ub ... , Un))
V(cp) = f det : = f det : dUl .,. dUn
u En u En(Ul' ... , Un)
N N(Ul' . ',', Un)
where Eb ... , En are the coordinate vector fields along cp and N is the
orientation vector field along cpo When n = 1, the volume of cp is usually
called the length of cp and is denoted l(cp). When n = 2, the volume of cp is
usually called the area of cp and is denoted A(cp). Note that, since the volume
integrand
is everywhere positive, V(cp) > O. V(cp) may be + 00.
An intuitive explanation of why this particular integral should measure
volume is that the integrand measures" volume magnification" along cp (see
Figure 17.1).
It is convenient to have a formula for volume which does not require
calculation of the orientation vector field N.
Theorem 1. Let cp: U + [Rn + 1 be a parametrized nsurface. Then
V(cp) = f (det(Ei . Ej))1/2.
u
PROOF.
(
El . El
= det E ~ E'"
n 1
N El ...
17 Surface Area and Volume
E
1
E"
En En
o
141
Taking the square root of both sides and integrating over U yields the
required formula. 0
Remark. The functions gi) = E
J
: U.:+ IR are called the metric
coefficients alonglp. The determinant det(giJ)is usually denoted, in the differ
ential geometry literature, by the letter g. The volume integral then takes the
form V(lp) = Ju Jg.
(Ay) (p, 0, 1)
U p (Ax) (p, 1, 0)
Figure l1J Area magnification along a parametrized 2surface lP in Rl. The small
Dl in U with area (4x)(Ay) is mapped byJpto tho small shaded region
D2in The area of D1 is closely approximated: by the area oftbeparallelogram
in R!c" spanne4bydqJ(Ax)(P, 1,0  (Ax)El(P) and dcpAy)(P, 0, 1  (Ay)E2(P),
The area of this latter parallelogram is
II(Ax)El(P) x (Ay)E2(P)II (Ax)(Ay)El(P) x E2(P) N(P)
(
El(P)
= (Ax)(Ay)detE2(P) .
N(P)
The ratio of areas of the two shaded regions is
A(D2 ) (El(P)
A(D
1
)  det + 8(P, Ax, Ay)
where Iim(AX,4)')+0 8(p, Ax, Ay) = O. The limiting ratio
lim __ 2 = det E
2
(P)
, A(D ) (El(P)
(Ax, A)')+O A(Dd N(p)
measures area magnification at p under cp; its integral over U gives the area of cp.
142 17 Surface Area and Volume
EXAMPLE. Let cp: U + 1R3 be defined by
cp(O, q,) = (r cos 0 sin q" r sin 0 sin q" r cos q,)
where U = {(O, q,) E 1R2: n < 0 < n, 0 < q, < n}. Thus cp is the spherical
coordinate parametrization of the sphere of radius r in 1R3 with half of a
great circle removed. Its area can be found by either of the above formulae:
or
A(q = t det(!:)
f
1t f 1t  r sin 0 sin q,
= r cos 0 cos q,
o 1t 0 . A..
cos sm 'I'
r cos 0 sin q,
r sin 0 cos q,
 sin 0 sin q,
= f1t f1t r2 sin q, dO dq, = 4nr2
o 1t
f f
1t f 1t 1 r2 sin
2
q,
A(cp) = (det(Ei Ej))1/2 =
U 0 1t 0
= f1t f1t r2 sin q, dO dq, = 4nr2.
o 1t
o
 r sin q, dO dq,
cos q,
o 11/2
r2 dO dq,
The formula of Theorem 1 allows us also to define the volume of pa
rametrized nsurfaces in IR
n
+
k
for all k ~ O. Even more generally, it enables us
to attach an ndimensional volume to any smooth map cp: U + IR
n
+ k, U open
in IRn. A smooth map cp: U + IR
n
+
k
, U open in IR
n
, is called a singular n
surface in IR
n
+k. The adjective" singular" is used to emphasize that cp is not
required to be regular; i.e., dcpp may be singular for some (or, even, for all)
P E U. Note that each parametrized nsurface is a singular nsurface but that
singular nsurfaces are not, in general, parametrized nsurfaces. The
volume V(cp) of a singular nsurface cp: U + IR
n
+ k is defined by
V(cp) = f (det(Ei . Ej))1/2
U
where, as usual, the Ei are the coordinate vector fields along cpo
EXAMPLE. Let cp: U + 1R3 be the parametrized 3surface defined by
cp(r, 0, q,) = (r cos 0 sin q" r sin 0 sin q" r cos q,)
where U = {(r, 0, q,): 0 < r < a, 0 < 0 < 2n, 0 < q, < n}. cp maps U one to
one onto the open ball of radius a about the origin in 1R3 with a half disc
17 Surface Area and Volume 143
Figure 17.2 The open ball B = {(Xh X2, X3) E R3: xi + xl + xi < a
2
} with the half
disc {(Xb X2, X3) E B: Xl ;::: 0, X2 = O} deleted.
removed (see Figure For p = (r, 0, 4 E we find
E.(P) = (p, (P)) = (p, cos 6 sin q" sin 6, sin q" cos q,)
E
2
(P) = (p, (P)) = (p, rsin 6 sin q" r COS 6 sin q,,0)
E3(P) = (p, :: (P)) = (p, r cos 6 cos q" r sin 6 COS q" r sin q,)
so
1t, 21t (J 1 0 0 1/2
= f f f 0 r2 sin
2
4> 0 dr dO d4>
0000 0 r2
1t 2ft: (J 4
= f f f r2 sin 4> dr dO dc/J = na
3
o 0 0 3
Theorem 2. Let qJ: U ..... IR" + 1 be a parametrized nsurface and let N U ..... S'
denote its Gauss map (N(p) = (cp(p), N(p)) for all p E U, where is the
orientation vector field along qJ). Then
V(N) = f I K I det(ET . Ej)1/2
U
144 17 Surface Area and Volume
where K: U ..... IR is the GaussKronecker curvature of cp and the ET are the
coordinate vector fields along cpo
PROOF. The coordinate vector field Ef of the singular nsurface N has vector
part at P E U equal to ON/OXi(P), which is the same as the vector part of
n
VejN =  Lp(dcpp(ei)) =  Lp(ET(p)) =  L: aki(p)Ef(p)
k=l
where ei = (p,0, ... , 1, ... ,0) (the 1 in the (i + 1)th spot), Lp is the Weingar
ten map of cp at p, and (aiip)) is the matrix for Lp with respect to the basis
{ET(P)} for the tangent space Image dcpp. Hence
det(Ef . En = d e t ( ~ a.,Ef ~ aljET)
= det(L: akia,jEf Er)
k, I
= (det(aij))2 det(ET . Ej)
= K2 det(ET . Ej).
Taking the square root of both sides and integrating, we obtain
V(N) = f (det(Ef . E7))1/2 = f I K I det(ET . Ej)I/2. 0
U U
Corollary. The GaussKronecker curvature at p E U of a parametrized n
surface cp: U ..... IR
n
+ I has absolute value
I K (p) I = lim V(N IBJ/V( cp IBJ
e+O
where Be = {q E U: Ilq  pil < e}.
PROOF. By Theorem 2 and the mean value theorem for integrals,
V(N IBJ I K(pd I det(ET(PI) . Ej(pd)I/2 SB. 1
V(cp IBJ  (det(ET(P2) . Ej(P2)))1/2 SB. 1
for some PI' P2 E Be. Taking the limit as e ..... 0 completes the proof. 0
Remark. This Corollary provides us with a geometric interpretation of
the magnitUde of the GaussKronecker curvature K of an oriented nsurface
S c IR
n
+ I in terms of volume magnification under the Gauss map N. The
significance of the sign of K is as follows. Taking Z = N in Theorem 5 of
Chapter 12 and using the fact that dN(v) and VvN have the same vector
17 Surface Area and Volume
145
part for all v ESp, PES, we find that
K(P) = ( ~ 1f det( ::C)/det( :: l = det( : : ~ : : ; l/det( :: l
N(p) N(p) NS"(N(p)). N(P)
where Vh"" v" is any basis for Sp and NS
II
is the standard orientation on
5", defined by NSII(q) = (q, (1)"q). Thus K(P) > 0 if and only if dN
maps each basis for S p consistent with the orientation on S to a basis for
SN(p) consistent with the standard orientation on 5". Given any smooth map
f: S ..... S from one oriented nsurface in IR"+ 1 to another and any PES with
dfp: Sp ..... S /(p) nonsingular, f is said to be orientation preserving at p if df
maps bases for S p consistent with the orientation on S to bases for S /(p)
consistent with the orientation on S; otherwise f is said to be orientation
reversing at p. Thus, the GaussKronecker curvature K(P) at a point p of an
oriented nsurface S c IR" + 1 is positive if and only if the Gauss map N: S ..... S"
is orientation preserving at p, and K(p) is negative if and only if N is orientation
reversing at p. .
Just as the length of a parametrized curve is unchanged under reparam
etrization, the volume of a singular nsurface is unchanged under reparam
etrization. A reparametrization of a singular nsurface qJ: U 1 ..... IR" + k is a
singular nsurface t/I: u 2 ..... IR" + k of the form t/I = qJ 0 h where h: U 2 ..... U 1 is
a smooth map with smooth inverse and Jacobian determinant everywhere
positive (see Figure 17.3 ~ Note that any pair of such singular nsurfaces will
always have the same images. Furthermore, if qJ is a parametrized nsut:face
and t/I is a reparametrization of qJ then t/I is a parametrized nsurface and, if
k = 1, the orientation vector fields Nfl' along qJ and NI' along t/I are related by
N"'(P) = NfI'(h(P)), for all p E U 2 (Exercise 17.11).
Figure 17.3 t/I is a reparametrization of <p.
146 17 Surface Area and Volume
Theorem 3. Let cp: U 1 ~ \Rn+k be a singular nsurface and let
t/I = cp 0 h: U 2 ~ \Rn+k be a reparametrization of cpo Then V(t/I) = V(cp).
PROOF. Let ET and Et denote, respectively, the coordinate vector fields along
cp and along t/I. Then, letting X; denote the vector field on \Rn defined by
Xi(P) = (p, 0, ... , 1, ... , 0) where the 1 is in the (i + 1)th spot we have, for
pE U
2
,
Et(p) = dt/l(Xi(p)) = d(cp 0 h)(Xi(P)) = dcp(dh(Xi(P)))
= dq>(.t. h.,(P)X.(h(P))) = .t. h.,(P) dq>(X.(h(P)))
n
= L hki(P)Ef(h(p)),
k=1
where the h
ij
= ah
i
lax j are the entries in the Jacobian matrix for h. Hence
n
Et . Ef = L hkih'jEf 0 h ET 0 h,
k,I=1
and
det(Et . En = (det(h
ij
))2 det(ET 0 h Ej 0 h) = J: det(ET 0 h Ej 0 h),
where J
h
is the Jacobian determinant of h. By the change of variables
theorem for mUltiple integrals,
V(t/I) = f (det(Et En)I/2
U2
= f (det(ET 0 h Ej 0 h))I/2 J
h
h
1
(U 1)
= f det(ET Ej)I/2 = V(cp).
U
1
o
Passing now to oriented nsurfaces S in \Rn + 1, we would like to obtain the
volume of S by adding Up the volumes of subsets which are images of one to
one singular nsurfaces. However, it is generally not possible to express S as
a disjoint union of such sets. It is possible to express S as the union of images
of closed rectangles which overlap only along the boundaries (see Figure
17.4); the set of boundary points will then contribute nothing to the volume
integral so the overlap will not matter and the volume of S can then be
defined as the sum of volumes of these" singular rectangles." This procedure,
although intuitively quite attractive, is difficult to carry out rigorously. We
shall adopt an alternate approach.
17 Surface Area and Volume 147
Figure 17.4 The surface S can be expressed as a union of rectangular regions which
overlap only along the boundaries of the rectangles.
Consider the volume integrand
ofaone to One local parametrization tp: U S. If we replace tp by a.repa
rametrization." = qJ 0 h: U 2 + S, the volume iritegrand changes in that the
coordinate vector fields of qJ are replaced by the coordinate vector fields of
t/I, but the volume integral does not change. This suggests that essential part
of the volume integrand at PES is the function , which assigns to each
ordered set {V1' ... , v
n
} of n vectors in Sp the number
C(v" ... , v.) = .
, is called the volume form on S. We shall see that the volume form can be
integrated over a compact oriented nsurface S in \R"+1; its integral will be
the volume of S.' is an exampteof a differential nform.
A differential kform, usually called simply a k{orm, on an nsurface S is a
function w which assigns to each ordered set {v h ... , Vt} of k vectors in S p' '
PES, a real number W(V it . " Vt) such that
(i) for each i E {1, ... , k} and Vb .. , Vih Vi+h .. , Vt ESp, PES, the
function which sends v E Sp to W(V
1
, .. , Vi it v, Vi+ h .. , Vt) E R is linear,
and
(ii) for each v
1
, ... , VtES
p
and for each (1 of the integers
{l, ... " k},
Note that the conditions (i) and (ii) simply express familiar properties of
the determinant when k = n and W is taken to be the volume form ,.
Property (i) is called multilinearity and property (ii) is called skewsymmetry.
148 17 Surface Area and Volume
Given a kform w and tangent vector fields Xl, ... , X
t
on S, we can define
a real valued function w(X 1, ... , X
t
) on S by
[W(Xl' ... , Xt)](p) = w(X
1
(p), ... , Xt(p)).
The kform w is said to be smooth if W(Xb ... , X
t
): S ~ IR is smooth when
ever the vector fields Xl, ... , X
t
are smooth.
EXAMPLE 1. A 1form on S is simply a function w: T(S) = Upes Sp ~ IR such
that the restriction of w to Sp is linear for each pES. Thus, for example, if X
is a tangent vector field on S then the function Wx: T(S) ~ IR defined by
wx(v) = X(P) v (v ESp, pES)
is a 1form on S. Wx is called the 1form dual to X.
EXAMPLE 2. Let Wl and W2 be 1forms on S. Then the function Wl /\ W
2
defined by
(Wl /\(
2
)(V
1
, V2) = Wl(V
1
)w2(V
2
)  Wl(V
2
)w2(vd
is a 2form on S. Wl /\ W2 is the exterior product of W
1
and W2 .
EXAMPLE 3. The volume form' on an oriented nsurface S in IR
n
+ 1 is a
smooth nform on S.
EXAMPLE 4. Let w be a kform (k > 1) on S and let X be a tangent vector field
on S. Then the function X.J w defined by
(X.J W)(Vl' ... , v
t

1
) = w(X(p), V
1
, ... , Vt d
is a (k  1 )form on S. X.J W is the interior product of X and w.
EXAMPLE 5. Let w be a kform on an msurface S and let f: S ~ S be a
smooth map from the nsurface S into S. Then the function f*w defined by
(f*w)(v
1
, ... , Vt) = w(df(vd, ... , df(vt))
is a kform on S. f*w is called the pullback of wunder f
The sum of two kforms W
1
and W2 on an nsurface S is the kform
w 1 + W2 defined by
(Wl + (2)(Vl, ... , v
t
) = W
1
(V
1
, ... , Vt) + W
2
(V
1
, ... , v
t
)
The product of a functionf: S ~ IR and a kform w on S is the kformfw on S
defined by
for v 1, ... , V
t
ESp, pES. Note that the sum of two smooth kforms is smooth
and that the product of a smooth function and a smooth kform is smooth.
17 Surface Area and Volume 149
For w a smooth kform on an nsurface Sand lp a singular ksurface in S
(i.e., with Image qJ C S), the integral of w over qJ is defined by
f w = f w(Et, ... ,
qI U
provided the latter integral exists. The vector fields ET are of course the
coordinate vector fields along qJ. The integral will exist, in particular, when
eV,er the function w(Et; ... , Ef) is identically zero outside some compact
subset of U.
EXAMPLE. For qJ a local.parametrization of S and 'the volume form on s,
Ill' , = V(qJ).
Note that if'" is a reparametrization of the singular ksurface qJ in S and co
is a smooth kform on S such that Ill' w existS' then w exists and
It; w == Ill' w. Indeed, if qJ:U 1 S and t/I = qJ 0 h: U 2 S then, as in the
proof of Theorem 3, Et = D= 1 h if Ej 0 h so
= f L h 111 ... h Jat w(Ejl 0 h, . ; ., EX 0 h
U2 11 it:
where the last equality is a consequence of the multilinearity of w. By the
skewsymmetry 'of w, w(Ejl 0 h, ... , Ejt: 0 h) is zero whenever two or more of
the j/sare and w(Ejl' ... , E1) = (sign O')w(Et, ... , Ef) whenever
it = ... , it = O'(k) for some permutation 0' of {I, ... , k}. Hence
f w = I L (sign 0')h(J(1)1 ... h(J(t)tw(Et 0 h, ... , Ef 0 h)
'" U2 (J
= f (w(Et, ... , Ef) 0, h)J,.
,.l(Ul)
= f w(Et,. . , Ef) = f W,
Ul qI
as claimed.
We now proceed to define the integral of an n ... form co over a compact
oriented nsurface S. This is done by expressing the n ... form as J sum of
nfortnSwi each of which is identicany zero outside the image of some one to
one local parametrization qJi and then defining Is w == Li Iqli Wi. The
nfonns w,willbe obtained as products of w with functions h with the
property that h == 1.
150
17 Surface Area and Volume
A partition of unity on an nsurface S is a finite collection of smooth
functions J,: S . IR (i E {1, ... , m}) such that
(i) J,(q) ~ 0 for all i E {1, ... , m} and all q E S,
(ii) for each i E {1, ... , m} there exists a one to one local parametrization
CPi: U
j
. S such that./: is identically zero outside the image under CPi of a
compact subset of U
i
, and
(iii) Ii"= 1 ./:(q) = 1 for all q E S.
If {CPi} is any collection of one to one local parametrizations satisfying (ii),
the partition of unity {./:} is said to be subordinate to {cpj}.
Remark. The requirement that the collection of functions {J,} be finite can
be replaced by a less restrictive requirement called local finiteness, but finite
partitions of unity will be adequate for our needs.
Theorem 4. Let S be a compact nsurface in IR
n
+ 1. Then there exists a partition
of unity on S.
PROOF. First we construct, for each PES, a "bump function" gp: S . IR as
follows. Given p E 8, let CPP: Up . S be a one to one local parametrization of
S whose image is an open set about p in S, as constructed in the proof of
Theorem 1 of Chapter 15. Choose r p > 0 such that
Bp = {x E IR
n
: Ilx  cp;1(P)11 ~ rp} c Up
and define the bump function g p: S . IR by
where
Vp = {q E cpp(U p): Ilcp; 1(q)  cP; 1(p)11 < r p}
(see Figure 17.5). Then gp is smooth (Exercise 17.17), gp is identically zero
outside the image under CPp of the compact set Bp C UP' and gp(q) > 0 for all
q in the open set Vp about p in S.
Assuming for the moment that we can find a finite set {Pb , .. , Pm} of
points in S such that Ui"= 1 V
Pi
= S, we can define./:: S . IR for each i E
{1, ... , m} by
Note that the denominator IT= 1 gpj(q) is nowhere zero, since each gpj(q) ~ 0
and gpj(q) > 0 whenj is such that q E VPi' {./:} is then a partition of unity on
S, subordinate to {CPpJ.
Finally, the fact that there exists a finite set {P1"'" Pm} of points in S such
that Ui"= 1 V
Pi
= S is a consequence of the HeineBorel theorem: the sets
17 Surface Area and Volume
graph of hp
graph of h,
 r r
(a) (b)
Figure 17.5 Construction of a smooth bump function.
(a) The function h
r
: R + R given by
_ I e
1
/(r
2
t
2
)
hr(t)  \0
is smooth.
if It I <r
if I t I "2:. r
151
(b) The bump function gIl: S + R is such that gIl is identically zero outside the image
of the local parametrization (f),,: U" + S, and gIl 0 (f)" = h" where h,,(x) =
hr,(lIx  (f); 1 (p)11> for x e U".
{VI': pES} are open sets in S which coverS (Upes VI' = S); the HeineBorel
Theorem (see, e.g., Fleming, Functions of Several Variables, SpringerVerlag
1977 (Second Edition)) states that every covering of a compact set S by open
sets has a finite subcovering; i.e., there is a finite collection {VP1' ... , V pj of
these sets with U1'= 1 V
Pi
= S. 0
The integral of a smooth nform OJ over a compact oriented nsurface
S c IR" + 1 is defined to be the real number
where tfi} is any partition of unity on S subordinate to a collection {<Pi} of
one to one local parametrizations of S. Note that Js w does not depend on
the choice of partition of unity because if {]j} is another, subordinate to local
{iP j}, then .
L f (]j w) = L f (L Ji)]j w = L L f I(Ji]j w)
} t;} } t;} i .} i t;}
(1) (2)
= L f (Ji]j w) = L f (]j Ji w)
i,} t;}i i, j lPi}
4 f (]j};w) = f (4 ]j)JiW = f
I J lPj I lPj J I lPi
where (P}i is the restriction of (p) to the open set (Pi Vi} = (Image (Pj) n
(Image <Pi)' and <Pi} is the restriction of <Pi to <Pi
1
(Vi}). Equalit!es (1) and (3)
152 17 Surface Area and Volume
hold because Ii Jj is identically zero outside l'i}, and equality (2) holds be
cause CPij is a reparametrization of (Pji (see Exercise 17.18).
U sing integration of forms, we can now define the volume of a compact
oriented nsurface S c IR
n
+ 1 to be the integral over S of its volume form':
V(S) = f ,.
s
We can also now define the integral over S of any smooth function
f: S IR by
EXERCISES
17.1. Find the area of the parametrized" cylinder in \R3 with a line removed" given
by cp(8, t) = (r cos 8, r sin 8, t1 0 < 8 < 2n, 0 < t < h.
17.2. Find the area of the parametrized" cone in \R3 with a line removed" given by
cp(8, t) = (tr cos 8, tr sin 8, (1  t)h), 0 < 8 < 2n, 0 < t < 1.
17.3. Find the area of the parametrized "torus in \R3 with two circles removed"
given by
cp(8, l/J) = ((a + b cos l/J)cos 8, (a + b cos l/J)sin 8, b sin l/J),
o < 8 < 2n, 0 < l/J < 2n.
17.4. Find the area of the parametrized "torus in R4 with two circles
given by
cp(8, l/J) = (a cos 8, a sin 8, b cos l/J, b sin l/J), o < 8 < 2n, 0 < l/J < 2n.
17.5. Find the volume of the parametrized "unit 3sphere in \R
4
with part of a
2sphere removed" given by
cp(l/J, 8, 1/1) = (sin l/J sin 8 sin 1/1, cos l/J sin 8 sin 1/1, cos 8 sin 1/1, cos 1/1),
0< l/J < 2n, 0 < 8 < n, 0 < 1/1 < n.
17.6. Show that the area of the parametrized surface of revolution cp(t, 8) =
(x(t), y(t)cos 8, y(t)sin 8), a < t < b, 0 < 8 < 2n, where y(t) > 0 for a < t < b,
is given by the formula
b
A(cp) = f 2ny(t)((x'(t))2 + (Y'(t))2)1/2 dt.
a
17.7. Let g: U + \R be a smooth function on the open set U c \R
n
Define
cp: U \Rn+l by cp(ut. ... , Un) = (Ut. Un, g(ut. ... , Un)). Show that
V(cp) = Iv (1 + L (OgjOUi)2)1/2.
17 Surface Area and Volume
17.8. Let q>n: U + IR
n
+ 1 be defined by
q>n(8l> ... , 8
n
) = (sin 8
1
sin 8
2
.. sin 8
n
, cos 8
1
sin 8
2
. sin 8
n
,
cos 8
2
sin 8
3
... sin 8,., ... , cos 8
n
:.... 1 sin 8
n
, cos 8,.1
where U = {(8t. ... , 8
n
) e IR": 0 < 8
1
< 21t, 0 < 8
i
< 1t for 2 ~ i ~ n}.
(a) Show that q>n is a parametrized nsurface.
153
(b) Show that q>,. maps U one to one onto a subset of the unit nsphere 9'.
(c) Show that 5"  Image q>,. is contained in the (n  1)sphere
{(Xl> ... , X
n
+ de 5": Xl = O}. (It will then follow that V(q>,.) = V(5") since
9'  Image q>n has ndimensional volume zero.)
(d) Find a formula expressing the volume of q>,. as a: multiple of the volume of
q>n  1 [Hint: Introduce a zero into the last comer entry of the matrix
by adding to the last row a suitable mUltiple of the next to the last row. Then
expand the determinant by minors of the last column. Finally pull out all
factors of sin 8" and integrate with respect to 0,..]
(e) Find V(q>,.).
17.9. Let q>: U + 1R3 be a parametrized 2surface in R3. Show that the area of q> is
given by the formula A(q == Ju Iloq>/OUl x oq>/ou211.
17.10. Let q>: U + 1R"+1 be a parametrized nsurface in jR"+1. Let W be the vector
field along q> whose ith component at p e U is (1r+i times the determinant
of the matrix obtained by deleting the ith row from the Jacobian matrix of q>
at p (or the ith column from the matrix .
(
El:(P)) ).
E,.(p)
(a) Show that W is a normal vector field along q>, and that W/IIWII is the
orientation vector field along q>.
(b) Show that V(q = ju IIWII.
17.11. Let q>: U 1 + R"+ 1 be a parametrized nsurface and let t/I = q> 0 h: U 2 + R
n
+ 1
be a reparametrization of q>. Show that ~ = NIJI 0 h, where ~ and NIJI are,
respectively, the orientation vector fields along q> and along t/I. [Hint: Show
that
where J" is the Jacobian determinant of h.]
154 17 Surface Area and Volume
17.12. Let (0 be a kform on the nsurface S.
(a) Show that if {VI> . , VIt} is a linearly dependent set of vectors in S", PES,
then (O(v I> . , VIt) = O.
(b) Show that if k > n then (0 is identically zero.
17.13. Let S be an oriented nsurface in IR
n
+ 1 and let, be the volume form on S.
(a) Show that if {VI> , v
n
} is an orthonormal basis for S", PES, then
'(VI> , V
n
) = 1 and '(VI> . , V
n
) = + 1 if and only if the basis {VI> , v
n
}
is consistent with the orientation N of S.
(b) Show that if (0 is any nform on S then there exists a functionf: S + IR
such that (0 = f'. [Hint: Setf(p) = (o(Vl' .. , v
n
) where {VI' . , v
n
} is any
orthonormal basis for S" consistent with the orientation N on S. Then
compute the values of (0 and off' on WI' . , Wn where Wj = Lf=l aijv
i
.]
17.14. Let (01 be a kform and let (02 be an Iform on the oriented nsurface S c IR
n
+ 1.
Define the exterior product (01/\ (02 by
((01/\ (02)(Vt. , VHI)
= k:l! L (sign O')rol(Va(1 , Va(It))ro2(Va(H 1 , Va(HI))
for VI> . , VHI E S", where the sum is over all permutations 0' of {1, ... , k + I}.
(a) Show that (01/\ (02 is a (k + I)form on S.
(b) Show that (02 /\ (01 = ( 1 "t'(O 1 /\ (02 .
(c) Show that if (03 is another Iform on S then (01/\((02 + (03) =
(01 /\ (02 + (01 /\ (03
(d) Show that if (03 is an mform on S then ((01/\ (02) /\ (03 = (01/\ ((02 /\ (03).
(e) Show that if Xl, , Xn + 1 are tangent vector fields on S such that for each
PES {X 1 (p), ... , Xn + 1 (p)} is an orthonormal basis for S" consistent with
the orientation on S, and if, for each i, (Oi is the 1form on S dual to Xi
then
where, is the volume form on S. [Hint: Use mathematical induction to
prove that for 1::;; k ::;;; n, ((01/\ /\ (01t)(XI> , XIt) = 1 and that
Xi.J ((01/\ /\ (01t) = 0 for all i > k. Then use Exercise 17.13.]
17.15. Let S be an oriented nsurface in IR
n
+ 1, let S be an oriented msurface in
IR
m
+ 1, let f: S + S be a smooth map, and let (0 be a smooth kform on S.
(a) Show that f*(O is a smooth kform on S.
(b) Show that if q> is a singular ksurface in S then
f f*(O = f (0.
f 0.
(c) Show that if m = n and iff is an orientation preserving diffeomorphism
then
17 Surface Area and Volume
155
17.16. Show that the antipodal map f: S" + S' on the nsphere 9', defined by
f(P) ==  p, is orientation preserving if and only if n is odd.
17.17. (a) Show that the function h: R + R defined by
_IelIt ift > 0
h(t)\o ift:s;O
is smooth.
(b) Conclude that for each r > 0 the function h,: R + R given by
_le
l
/(,2
t
2) if It I < r
h,(t)  \0 if It I r
is smooth and that the bump function g, defined in the proof of Theorem 4
is smooth.
17.18. Let S be an oriented nsurface in A" + 1 and let p: U + Sand",: V + S be one
to one local parametrizations of S. Show that if W == p(U) n ",(V):;:"0
then h == p  1 0 '" 1r;I(w) is an orientation preserving diffeomorphism from
'"  1 (W) to p  1 (W). Conclude that '" Ir; I(W) is a reparametrization of
p 1.1(W)'
17.19. Let X and Y be vector fields on R3 and let Wx and 0Jy be their dual
Show that, for l' and "in R:, p E R3,
(Wx " Wy)(l', ,,) = (X x Y)(p) (l' x,,).
[Hint: By multilinearity, it suffices to check this equation when" and "
are standard basis vectors.]
18
Minimal Surfaces
Let cP: U . ~ n + 1 be a parametrized nsurface in ~ n + 1. A variation of cp is a
smooth map 1jJ: U x ( 8, 8) . ~ + 1 with the property that ljJ(p, 0) = cp(p)
for all p E U. Thus a variation surrounds the nsurface cp with a family of
singular nsurfaces CPs: U . ~ n + 1(  8 < s < 8) defined by CPs(p) = ljJ(p, s).
A variation IjJ of the form
ljJ(p, s) = cp(p) + s!(p)N(p),
where! is a smooth function along cp and N is the Gauss map of cp, is called a
normal variation of cpo If! is the constant function 1, this variation IjJ is of the
type considered in Chapter 16 which, for each s, pushes cp out a distance s
along the normal. If! is a bump function similar to the one whose graph
appears in Figure 17.5(b), the variation IjJ introduces a bump in cp by pushing
cp out along the normal only in a ball Bp about p E U (see Figure 18.1). If cp
already has a bump at p, then the normal variation IjJ may tend to remove
the bump.
A variation IjJ with the property that ljJ(p, s) = ljJ(p, 0) for  8 < S < 8
whenever p lies outside some compact subset C of U is said to be compactly
u
Figure 18.1 A normal variation.
156
18 Minimal Surfaces 157
supported. Note that if t/I: U x ( 8, 8) + IR" + 1 is a compactly supported
variation of qJ there is an 81 > 0 such that each qJ., for I s I < 8b is a par
ametrized nsurface. One way to see this is to observe that function
b: U x ( 8, 8) + defined by
(
EHP))
b(p, s) = det E:(p)
N(P)
where the E1 are the vector parts of the coordinate vector fields E1 along qJ.
and N is the Gauss map along qJ, is continuous. the set
C
1
= {(p, s) E 1R"+1: p E C, Is I 5. 8/2, and b(P, s) = O}
is compact. If C
1
is empty, let 81 = 8/2; otherwise let 81 be the minimum
value of 9 on. C b where g: + 1 + IR is given by g(p, s) = f s I. Then
(i) 81 :;': 0 since b(P, 0):;': 0 for all p E U,
(ii) b(P, S):;': 0 whenever p E C and lsi < 81t and
(iii) b(P, s) = 0 for all s( 1st < 8) whenever p , C (since then the E: are equal
to the coordinate vector fields Ei along qJ
Thus .<5(p, s):;': 0 whenever P E U and lsi <'81 so the coordinate vector
fields E: of qJ. are linearly independent; i.e., qJ. is regular as required.
We shall analyse the effect that compactly supported normal variations
have on volume. Let qJ: U + IR" + 1 be a parametrized nsurface with finite
volume and let t/I: U x (8, 8) + IR" + 1 be a compactly supported normal
variation of qJ,
t/I(P, s) = qJ(p) +
Then the coordinate vector field Ef of qJ. has vector part
But, for each p E u, ON/OUi(P) is the vector part of
n
V Ef(p)N =:=  Lp(Ei(P)) =  L C ji(p)E}(p
}=1
where Lp is the Weingarten map of qJ at p, the Ei are the vector
fields along qJ, and (Ci}(P)) is the matrix for Lp with respect to the basis {Ei(P)}
for the tangent space Image dqJp. Hence
158 18 Minimal Surfaces
The volume of qJs is
(
Ei)
V(q>,) = t det ~
where NS is the orientation vector field along qJs. Its rate of change at s = 0 is
(
Ei)
! 10 V(q>,) = t :s 10 det ~ .
But, since E? = Ei and N = N, we have
E1
Ei
! 10 det
a E ~ 1
n
Ts s=O
ES
=
Ldet
+det
n
i= 1
N
S
En
N
E1
En
aN'I
as s=O
of n
(1) n NfLCjiEj
= L det OUi j=1
i=1
N
(2) n
= f L Cii det
i=1 En
N
N
ith row
To obtain equality (1) we have used the fact that (a N
S
/ as) Is = 0 , being perpen
dicular to N = ~ , is a linear combination of {Eh ... , En} so the determin
18 Minimal Surfaces
159
ant of the matrix with these n + 1 vectors as rows must be zero. To obtain
equality (2) we have used the fact that whenj + i the coefficient of Cji is the
determinant of a matrix with two equal rows and is therefore zero. We
conclude, then, that
:s 10 V(q>,) = n VH det(
where H(P) = (ljn) trace L" is the mean curvature of cp at p E U.
Remark. It can be shown (see Exercise 18.7) that this formula is valid for
all compactly supported variations t/I of cp (not just for normal ones), where
the functionf: U + IR is defined by f = X N, X being the variation vector
field along cp defined by X(p) = E:+ 1(P, E:+ 1 the (n + l)th coordinate
vector field along t/I. The formula is also valid for all normal variations
(not necessarily compactly supported) as long as all the necessary integrals
are defined and the interchange of (djds) 10 and Ju can be justified.
The volume integral is said to be stationary at the parametrized nsurface
cp: U"+ IR"+ 1 if V(cp) < ex> and (djds) 10 V(cp.) = 0 for ali compactly sup
ported normal variations t/I of cp. This is the case, for. example, when the
volume of cp is smaller than diat of each nsurfaceqJ. which can
be obtained from cp via a small compactly supported normal variation.
Theorem. Let cp: U + IR" + 1 be a parametrized nsurface with finite volume in
IR" + 1. Then the volume integral is stationar.y at cp with respect to compactly
supported normal variations if and only if the mean curvature ofS is identically
zero.
PROOF. Certainly if H = 0 then, for every compactly supported normal vari
.
! 10 V(q>.) = n VH det = O.
Conversely, if H(P) + 0 for some p E U, choose an 8 > 0 such that the closed
ball about p of radius 8 is contained in U, let h: U + IR be a smooth bump
function with h(p) = 1, h(q) 0 for all q E U, and h(q) = 0 for all q with
IIq  pil 8, and let t/I be the normal variation of cp with f = hH. Then t/I
:t supported and f H = hHl is on U and
l
positive
! 10 V(q>,) = n t hH' < O. 0
/
160 18 Minimal Surfaces
A parametrized or oriented nsurface in IR
n
+ 1 with mean curvature iden
tically zero is called a minimal surface. The adjective" minimal" is used here
because a minimal surface usually arises as a surface whose volume is mini
mal among all surfaces obtainable from it via small normal variations. Mini
mal2surfaces in 1R3 are found in nature as soap films: if a soap film takes the
shape of a surface spanning a wire frame then (assuming air pressure is the
same on both sides of the film) in order for the surface to be stable its area
must be minimal among all nearby surfaces spanning the given frame (see
Figure 18.2).
catenoid
Figure 18.2 Minimal surfaces can be obtained by dipping a wire frame in a soap
solution. (For best results, keep the distance between the parallel circles small.)
Clearly an nplane al Xl + ... + a
n
+ 1 X
n
+ 1 = b is a minimal surface in
IR"+ 1 since all principal curvatures, and hence also the mean curvature, are
identically zero. On the other hand, there are no compact minimal surfaces
in" IR" + 1 since, by Theorem 4 of Chapter 12, each compact nsurface in IR
n
+ 1
must contain a point where all principal curvatures are different from zero
and have the same sign.
We shall find all 2surfaces of revolution in 1R3 which are minimal. Sup
pose first that IX: I + 1R2 is a parametrized curve of the form IX(t) = (t, y(t))
for some smooth function y: 1+ IR with y(t) > 0 for all tEl. The 2surface
obtained by rotating IX about the X laxis is given by
qJ(t, 0) = (t, y(t)cos 0, y(t)sin 0).
A straightforward computation (Exercise 18.1) shows that the principal
curvatures of qJ are given by
Kl(t, 0) =  y"(t)j(1 + (Y'(t))2)3/2
K2(t, 0) = Ijy(t)(1 + (Y'(t))2)l/2.
Thus the mean curvature of qJ will be zero if and only if y(t) satisfies the
18 Minimal Surfaces 161
differential equation
y" 1
(1 + y'2)3/2 = y(1 + y,2)1/2
Multiplying both sides by y'(1 + y'2)1/2 we obtain
y'y" y'
=
1 + y,2
y
which integrates to
! 10g(1 + y'2) = log y + log c = l o g ( c y ~
or
where c > 0 is a constant of integration. Solving for y' gives
y' = Cy)2  1 )1/2
or y'/cy)2  1 )1/2 = 1.
Integrating again, we obtain
(l/c)(cosh l(cy)  C2) = t
or
where Cl = c and C2 is another constant of integration.
A curve in 1R2 of the form X2 = (1/ I cll )coSh(Cl Xl + C2) is called a caten
ary; a surface of revolution obtained by rotating such a curve about the
xlaxis is called a catenoid (Figure 18.2). The above argument shows that
each minimal surface in 1R3 which can be obtained by rotating the graph of a
smooth function about the x laxis is a portion of a catenoid.
If we drop the requirement that the parametrized curve IX have image the
graph of a function, we obtain in addition to catenoids only portions of
planes. Indeed, if IX(t) = (x(t), y(t)) then on any interval where x' + 0 there
exists a reparametrization fJ of IX of the form fJ(t) = (t, yo x
1
(t)) so on that
interval Image IX is the graph of a function. On any interval where x' is
identically zero, IX must be of the form cx(t) = (c, y(t)) for some c E IR so the
surface of revolution obtain by rotating this portion of IX about the Xl axis is
contained in the plane Xl = c. Since two catenoids, defined by thoosing
different values of Cl and C2, do not fit together smoothly, and a portion of a
catenoid cannot be glued smoothly onto a portion of a plane, we conclude
that the only connected minimal surfaces of revolution in 1R3 are portions of
catenoids and portions of planes.
162 18 Minimal Surfaces
EXERCISES
18.1. Find the principal curvatures of the parametrized surface of revolution ob
tained by rotating about the xlaxis the parametrized curve oe(t) = (t, y(t)),
where y(t) > 0 for all t.E I.
18.2. Show that the parametrized helicoid cp: 1R2 + 1R3 defined by cp(t, 0) = (t cos 0,
t sin 0, 0) is a minimal surface.
18.3. Let S be a connected minimal Isurface in 1R2. Show that S is a segment of a
straight line.
18.4. Show that the Gaussian curvature of a minimal 2surface in 1R3 is
everywhere :s; O.
18.5. Show that an oriented 2surface S in 1R3 is a minimal surface if and only if for
each PES there exist orthogonal directions v and w in S p on which the normal
curvature of S is zero. (Directions v ESp for which the normal curvature k(v) is
zero are called asymptotic directions.)
18.6. Show that if the Gauss map of a minimal2surface S in 1R3 is regular then it is
conformal; i.e., show that if dN p: S p + is nonsingular (p E S) then there
exists l(p) > 0 such that IldNp(v)11 = l(p)llvll for all v ESp.
18.7. Let oe: [a, b]+ 1R2 be a unit speed curve and let t/I: [a, b] x (e, e)+ 1R2 be a
variation of oe. Show that
d I Ib b
d l(oe.) = (X . N)  f (X . N)(t),,(t) dt
so" "
where oe.(t) = t/I(t, s), X(t) = 0), N is the orientation vector field along oc,
and " is the curvature along oe. Conclude that if t/I(a, s) = oe(a) and t/I(b, s) =
oe(b) for all s then
d I b
d l(oe.) =  f (X . N)(t),,(t) dt.
so"
[Hint: Verify that (a/as) 10 lloe. II = ((02t/1/ot as) (ot/l/ot)) 1.=0 and integrate by
parts.]
The Exponential Map
19
In Chapter 7 we defined 'geodesics as "str.ightest curves" in an nsurface. In
this chapter we shall examine the role of geodesics as "shortest curves." We
begin by using a technique of the calculus of variations analogous to the one
we used in Chapter 18 to study minimal surfaces. Now, however, we shall
vary parametrized curves rather than parametrized surfaces.
Let IX: [a, b] + S be a parametrized in an n .. surface S c;: IR" + 1. A
variation of IX is a smooth map t/I: [a, b] x (a, 8) + S (8 > 0) such that
t/I(t, 0) == cx(t) for all tEl (see Figure The two coordinate vector fields
E1 and E2 along t/I, defined by . .
E
1
(t,s) == dt/l(t, s, 1,0)
E
2
(t, s) == dt/l(t,s, 0,
are then taIlpntto S along.,. Note that E
1
(t, 0) == for all tEl. The
vector field X along IX defined by X(t) == E
2
(t, 0) is called the variation vector
field along IX associated with the variation t/I.
111111111111111111111111111111111111111111
Figure 19.1 A variation of a parametrized curve.
163
164 19 The Exponential Map
A variation '" of a parametrized curve (X defines a family of parametrized
curves (Xs: [a, b] + S by (Xit) = ",(t, s). The length of (xs is given by the length
integral
b b
1((Xs) = f II&it)11 dt = f IIE1 (t, s)11 dt.
a a
The derivative of this function of s is
d fb 0
1((X ) =  (E . E )1/2 dt
ds s a OS 1 1
=
= t [(:t )/IIEdj dt.
If we assume now that (X is a unit speed curve then IIE1 Ils=o = Iiall = 1 so
 1((Xs) = f X a dt
d lb.
ds 0 'a
b
= f [(X a)'  X . a] dt
'a
or
d I b
d 1((Xs) = (X . &)(b)  (X . &)(a)  f (X . a) dt.
s 0 'a
This boxed formula is called the first variation formula for the length
integral. It is valid for any variation '" of any unit speed curve (X in S. Note
that the right hand side depends only on the variation vector field X; any
two variations of (X with the same variation vector field will yield the same
value of (d/ds) 10 1((Xs).
A variation",: [a, b] x ( B, B) + S is said to be a fixed endpoint variation
of (X(t) = ",(t, 0) if ",(a, s) = (X(a) and ",(b, s) = (X(b) for all s E (B, B). The
variation '" is said to be a normal variation if the variation vector field X is
everywhere orthogonal to (X (X(t) J.. a(t) for all t E [a, b]). Specializing the
first variation formula to these situations yields the following.
Theorem 1. Let (X: [a, b] + S be a unit speed curve in an nsurface S C [Rn + 1.
Then the following three conditions are equivalent:
(i) The length integral is stationary at (X with respect to fixed endpoint
variations.
(ii) The length integral is stationary at (X with respect to normal variations.
(iii) (X is a geodesic in S.
19 The Exponential Map 165
In particular, if O is a shortest curve in S joining two points of S then O is a
geodesic. .
.
PROOF. If t/I: [a, b] x ( 13, e) + S is a fixed endpoint variation of O then
t/I(a, s) = O(a) for 1 s I < 13 so X(a) = (O(a1 (ot/l/os)(a, 0)) = 0 and similarly
X(b) = O. If t/I is a normal variation of O then X(a) tt(a) = 0 and
X(b), tt(b) = O. In either case, the first variation formula reduces to
d
d 1'(0.) =  fb(X. ex) dt.
SOli
If O is a geodesic in S then a(t) 1:. Scx(t) for all t E [a, b] so X Ci = 0 along O
and therefore (d/ds) 101(0.) = 0, for all fixed endpoint or normal variations t/I
of O. Thus (iii)=> (i) and (iii)=> (ii).
On the other hand, if O is not a geodesic then there is a to E [a, b] such
that Ci(t
o
) , such that the tangential component tt'(t
o
) of Ci(t
o
) is not
zero. (Recall from Chapter 8 thattt' is the covariant acceleration of O.) We
will construct a fixed endpoint normal variation '" of O whose variation
vector field along O is f tt' where f is a nonnegative smooth function along O
withf(a) = f(b) = 0 andf(t
o
) > O. This will be a normal variation OfO since,
tt being a unit vector field along O, tt' 1. The first variation formula, for this
variation, becomes
d
d.I'(O.) =  fb f&' ex =  fb fll&'11
2
< 0,
SOli a
proving that (i) => (iii) and (ii) => (iii
To construct the variation t/I, let q>: U + S be a one to one parametrized
nsurface whose image is an open set in S containing O(t
o
). Choose ab b
1
with a < al < b
1
< b such that C[ah b
1
]) c:lmage q>. Define p: [ah btl + U
by P( t) = q>  1 0 cx( t 1 let I: [a, b]+ R bea smooth bump function with
I(t
o
) > 0 and f(t) =0 for all t [ab b
1
], and let Y be the smooth vector
field along p defined by Y(t) = J(t)(dq>IJ(t)r 1 (oc(t)) (see Figure 19.2). Now
define t/I: [a, b] x (13, e) + S by
t/I(t, s) = tq>(P(t) + sY(t)) for t E [ab b1], s E ( 13, e)
lq> 0 P(t) = O(t) for t , [ah btl, s E ( 13, e)
where 13 > 0 is chosen small enough so that P(t) + sY(t) E U for all (t, s) E
[ab btl x (13, e). Then t/I is a fixed endpoint variation of O with variation
vector field
as required.
X(t) = dt/l(t, 0, 0, 1) = l,dOq>(Y(t)) for t E [ab btl
for t [ab btl
= f(t}tt'(t)
166 19 The Exponential Map
Image J3
U
J3 (a 1)
y
Y
/
I
I
a al
b
1
b
Figure 19.2 Construction of a length decreasing variation along a nongeodesic.
Finally, if (X is shortest among all curves in S joining (X(a) to (X(b) then 1((Xs)
is minimum at s = 0, for all fixed endpoint variations of (x, so the length
integral is stationary at (X and (X must be a geodesic in S. D
Remark 1. The proof above not only shows that if (X is not a geodesic then
(X does not minimize length but in fact describes how to obtain a shorter
curve from (X(a) to (X(b): simply deform (x, keeping the endpoints fixed,
in the direction of the tangential component fl.' of acceleration of (X (see
Figure 19.3).
Remark 2. A review of the proof of Theorem 1 will show that replacing the
hypothesis that (X be a unit speed curve in S with the hypothesis that (X be a
constant speed curve in S will not alter the validity of the theorem, although
the first variation formula will change slightly.
Remark 3. The first variation formula can be rewritten in terms of the
covariant acceleration fl.' of (X as follows:
d
d il((Xs) = (X, &)(b)  (X, &)(a)  fb(X' a') dt.
s 0 a
this curve is shorter
Figure 19.3 Decreasing lengths of curves on 52.
19 The Exponential Map 167
Thneorem 1 establishes that a shortest unit speed curve between two
points p and q in an nsurface S c IR"+ 1 must be a geodesic. It does not show
that there exists a shortest curve between two points (in fact, there may be
none: consider a 2plane in 1R3 with a point removed) and it does not show
that a geodesic a: [a,b] + S is a shortest curve (even locally) between a(a)
and a(b) (in fact; it may not be; see Figure 19.4 ~ But we will show that, if p
and q E S are close enough, there does exist a geodesic connecting p to q
which is in fact shortest among all curves in S joining p to q. To prove these
facts, we shall use the exponential map of an nsurface.
this curve is shorter
Figure 19.4 Geodesics (great circles) on the sphere do not minimize the length
integral, even locally, beyond the conjugate (antipodal) point p' .
. For v E T(S) = Upes SP' let a
v
denote the unique maximal geodesic in S
with &v(O) = v. Let
u = {v E T(S): 1 E domain a
v
}
and let exp: U + S be defined byexp(t) = av(1 ~ exp is called the exponential
map of S.
Note that the zero vector in Sp is in U for each PES and that its image
under exp is p.
EXAMPLE. The maximal geodesic in the unit circle 51 c: 1R2 with initial ve
locity v = (1, 0, 0, 8) is the constant speed global parametrization av(t) =
(cos Ot, sin Ot) of 51. Hence
exp(l, 0, 0,0) = a
v
(l) = (cos 0, sin 0).
Viewing 1R2 as the set C of complex numbers by identifying (a, b) with a + bi,
this formula may be rewritten in the form exp(l, 0, 0, 0) =1 cos 0 +
i sin 0 = e
i8
Theorem 2. The exponential map exp: U + S of an nsurface S in IR"+ 1 has the
following properties:
168
(i) The domain U of exp is an open set in T(S).
(ii) Ifv E U then tv E U for 0 ::; t::; 1.
(iii) exp is a smooth map.
19 The Exponential Map
(iv ) For each PES there exists a set Up, open in S p and containing 0 ESp,
such that Up C U and explu
p
is a diffeomorphismfrom Up onto an open
subset of S containing p.
(v) For each PES and v ESp, the maximal geodesic lXv with lXv(O) = v is
given by the formula
lXv(t) = exp(tv).
PROOF. (v) is immediate from the fact that for each t E IR the parametrized
curve lX(S) = lXv(ts), defined on the interval {s E IR: ts E I} where I is the
domain of lXv, is a geodesic with 1X(0) = tlXv(O) = tv. By uniqueness of
geodesics, lXtv(S) = lX(S) = lXv( ts) for all s such that ts E I. Taking s = 1 yields,
for each tEl, lXv(t) = lX
tv
(1) = exp(tv).
(ii) follows from (v) because if v E U then 1 is in the domain of lXv so
Xv(t) = exp(tv) is defined for 0 ::; t ::; 1.
(i) Recall (Exercise 15.5) that T(S) is a 2nsurface in 1R
2n
+ 2. Consider the
smooth vector field X on T(S) defined by
X(v) = (p, v, v, (v' VvN)N(P))
for v = (p, v) E T(S). X is called the geodesic spray on T(S). We shall relate
the integral curves of X to the geodesics of S.
For lX: 1+ S any parametrized curve in S, the natural lift of lX to T(S) is
the parametrized curve a: I + T(S) given by
The velocity of a is
~ ( dlX dlX d
2
lX )
lX(t) = lX(t), dt (t), dt ( t ~ dt
2
(t)
so a is an integral curve of X if and only if
d
2
lX
dt
2
= (1X' VaN)N 0 lX.
But this is just the differential equation (G) (see Chapter 7) of a geodesic in S.
Thus lX: I + S is a geodesic in S if and only if its natural lift Ii to T(S) is an
integral curve of the geodesic spray X. Furthermore, for each v E T(S),
the maximal geodesic lXv with initial velocity v has natural lift liv with
v = liv(O) and X(v) = &(0) so X is a tangent vector field on T(S) whose
maximal integral curve through v E T(S) is liv' It follows that, for each
v E T(S), the maximal geodesic lXv in S with lXv(O) = v is given by the formula
19 The Exponential Map 169
~ = 1t 0 Pv where" Pv is the maximal integral curve of X with Pv(O) = v, and
1t: 1(S) + S is defined by 1t(p, v) = p.
Now, if v E T(S) is in the domain U of the exponential map then the
geodesic ~ has domain containing the interval [0, 1] and hence the maximal
integral curve Pv = a.
v
of X through v has domain containing [0, 1]. As in
the proof of the Corollary to Theorem 4 of Chapter 13, we can choose
e> 0 such that for each t in the compact set [0, 1] there is an open set V,
in T(S) containing Pv(t) such that the integral curve of X through each
point of V, has domain containing the interval (  e, e). Setting V = Ut e [0, 1] V,
we obtain an open set V in T(S), containing Pv([O, 1]), such that through
each point w of V there passes an integral curve Pw of X with /1w(O) = w
and such that domain (Pw) contains (e, e). By Theorem 4 of Chapter 13,
the map t/!: (e, e) x V + T(S) defined by t/!(t, w) = Pw(t) is smooth. More
over, by uniqueness of integral curves PfJw(t)(s) = Pw(t + s) for all t and s such
that t, s E (  e, e) and such that Pw(t) E V. Choosing k a positive integer such
that l/k < e and defining t/!1/k: V + T(S) by t/!1/k(W) = t/!(I/k, w) = Pw(l/k),
it follows that
(t/!I/k 0 t/!l/k)(W) = PfJw(1/k)(l/k) = Pw(2/k)
for all W E V such that t/!1/k(W) = Pw(l/k) E V and, iterating k times,
(t/!I/k 0 0 t/!1/k)(W) = Pw(k/k) = Pw(l)
for all w in the open set
W = {w E V: t/!1/k(W) E V, t/!1/k 0 t/!1/k(W) e V, ... ,
(t/!I/k 0 0 t/!1/k)(W) E V (composition k  1 times)}.
Thus 1 E domain(Pw) = domain(1t 0 Pw) = domain a. for all WE W. In
other words, We U. Since v E W, we have succeeded in finding, for each
v eU, an open set W in T(S) such that v eWe U. Hence U is an open
set in T(S).
(iii) Since, in the notation of the previous paragraph,
exp(w) = lXw(l) = 1t 0 Pw(l) = (1t 0 t/!1/k 0 0 t/!1/k)(W) ,
for all W E W, exp is smooth.
(iv) We need only check that (d exp)o: (S,,)o + S" is nonsingular, for
then the inverse function theorem applies. But each element of (S,,)o is of
the form &(0) where lX(t) = tv for some v E S" and, by (v),
(d exp)(lX(O)) = (exp 0 lX)(O) = lXv(O) = v
so (d exp)(lX(O)) = 0 only if lX(O) = O. This says that (d exp)o is nonIsingular.
o
According to Theorem 2, the geodesics in S through PES can be
described as the images under exp of the rays lX(t) = tv in S" (see Figure 19.5).
170
19 The Exponential Map
Figure 19.5 The geodesics in S through p are the images under the exponential map
of the rays through 0 in Sp. Moreover, exp maps the eball Be about 0 diffeomor
phi cally onto the open set U
e
in S, for sufficiently small e > O.
Moreover, for e > 0 sufficiently small, exp maps the eball Be =
{v ESp: Ilv II < e} diffeomorphically onto an open set U
e
in S. For q E U
e
it follows that there exists a geodesic in U
e
joining p to q; namely, the
geodesic lXv(t) = exp(tv) (0::; t ::; 1) where v E Be is such that exp(v) = q.
Furthermore, this geodesic is the unique (up to reparametrization) geodesic
in U
e
joining p to q. We shall show that in fact this geodesic has length
less than or equal to that of every parametrized curve in S joining p to q.
The proof depends on two facts about the differential of the exponential
map.
Lemma. Let S be an nsurface in IR
n
+ 1 and let U c T(S) be the domain of the
exponential map ofS. For PES, and v E Sp n U, d exp has thefollowing effect
on vectors tangent to Spat v:
(i) Ifw E (Sp)v is tangent at v to the ray lX(t) = tv through v (i.e., ifw is a
multiple of &(1)) then II (d exp)(w)II = Ilwll
(ii) If WE (Sp)v is orthogonal to the Iray lX(t) = tv through v (i.e., if
&(1) w = 0) then (d exp)(w) is orthogonal to the geodesic (exp 0 lX)(t) =
exp(tv).
Remark. Statement (ii) is usually called the Gauss lemma (see Figure 19.6).
w
v
(d exp) (w)
Figure 19.6 The Gauss lemma: d exp preserves orthogonality to radial geodesics.
19 The Exponential Map 171
PROOF. (i) (exp 0 (X)(t) = exp(tv) is the maximal geodesic in S with initial
velocity v. Since geodesics have speed,
II(d exp)(lX(I11 = II(exp lX)(I)11 = lX)(O)11 = Ilvll == IllX(I)II
Since d exp is linear on T(S>V ;::) (S,,>v, it follows that if w == clX(l) for some
C E IR then
II(d exp)(w)1I == Iclll(d exp)(ix(I1I = Iclllix(l)1I = IIwl!.
(ii) Each w E (S,,>V is of the form w = P(O) where P(s) == v + sx for some
XES". Since
ix(I) w = ix(I) P(O) = dlX (1).d
P
(0) == v x
dt dt
the condition that w be orthogonal to the ray lX says that v x = O.
so
We must show that (exp lX)(I) (d exp)(w) = O. But
(d exp)(w) = (d exp)(/l(O == (exp (, P)(O)
(exp (, lX)(I) (d exp)(w) =(exp lX)(l) (exp P)(O)
== Et(l; 0) E1(1, 0)
where E
t
and E2 are the coordinate vector fields along the map t/I: [0, I] x
(  e, e) + S defined by
t/I(t, s) = exp(t(v +
e > 0 being chosen small enough that t(v + sx) e . U whenever 0 t 1 and
lsi < e (see Figure 19.7). So we must show that (Et E1)(I, 0) =
w
IIIIII? ;;:
e
Figure 19.7 q>(t, s) = t(v + sx) maps [0, 1] x (8, e) onto a triangle in S". The map
tit = exp 0 tp is a variation of the geodesic IX.
Et(l, 0) E1(1, 0) O. We shall do this by showing that (E
t
0) = 0
for all t E [0, I]. Smce (Ei E
2
)(0, 0) = 0 (because' E1(0, 0) = 0), It suffices
to check that (Et E
2
)(t, 0) is constant.
Note first that for each s E ( e, e) the coordinate curve lXs: [0, I] + S
defined by
lXs(t) = exp(t(v + sx
172
19 The Exponential Map
is a geodesic in S with initial velocity v + sx. Since geodesics have constant
speed and v . x = 0,
IIE
1
(s, t)112 = IllX
s
(t)112 = IllX
s
(0)112 = II
v
l1
2
+ s211xl12
for all (t, s) E [0, 1] x (8,8).
Now
o
ot (E1 . E
2
) = (VE1Ed . E2 + E1 . (V
E1
E
2
)
where (VE1Ej)(t, s) = V(t, s, 1,0) E
j
for j E {I, 2}. Since each coordinate curve
ex
s
is a geodesic, (VE1Ed(s, t) = lXs(t) is orthogonal' to S and hence
(V
E1
E
1
) . E2 = O. Since, in addition,
(
02t/1 )
(VE1E2 )(t, s) = t/I(t, s), ot os (t, s)
we find that
(
02t/1 )
= t/I(t, s), os ot (t, s) = (VE2 Ed(t, s),
010
ot (E1 . E2) = E1 . (VE2
E
d = 20s (E1 . E
1
)
1 0
= 2 os (11
v
11
2
+ s211
x
11
2
) = sllxl1
2
so
~ (E1 . E
2
) 1 = 0
ut s=o
and hence (E1 . E
2
)(t, 0) is constant, as required.
D
Theorem 3. Let S be an nsurface in IR
n
+ 1, let PES, and let 8 > 0 be such that
the exponential map ofS maps the ball Be = {v ESp: Ilvll < e} diffeomorphically
onto an open set U
e
in S. Then, for each q E U
e
, the parametrized curve
ex(t) = exp(tv), 0 ::; t ::; 1, where v E Be is such that exp(v) = q, is a geodesic
in S joining p to q, and if p: [a, b] + S is any other parametrized curve in S
joining p to q then I(P) ~ l(ex).
PROOF. Let r: Sp + IR be defined by r(x) = Ilxll. We shall use the following
facts about the Iform dr on Sp  {O}:
(a) If WE (Sp)vistangenttotherayinSpthroughvESpthen Idr(w)I = Ilwll
(b) If WE (Sp)v is orthogonal to the ray in Sp through v E Sp then dr(w) = O.
To verify these facts, note that each w E (Sp)v is of the form w = Y(O) where
y(s) = v + sx for some x E Sp. If w is tangent to the ray through v then
x = AV for some A E IR and so y(s) = (1 + AS)v and
Idr(w)I = Idr(Y(O)) I = I (r 0 y)'(O) I
= I;s 10 II(l + )")VIII = l'lllvll = Ilxll = Ilwll
19 The Exponential Map 173
If w is orthogonal to the ray througb "then x 1. v, r 0 y(s) = Ill' + sxll =
+ s2I1xIl2)1/2, and dr(w) = dr(y(O = (r 0 yY(O) = O.
Now the fact that lX(t) = exp(tv) is a geodesic joining p to q is already clear
from Theorem 2. So suppose p: [a, b] + S has p(a) = p and P(b) = q. Let c
denote the least upper bound of the set
{t E [a, b]: P([a, t]) c U,J
so that P(I) c U
a
where I = [a, b] if c = b and 1 = [a, c] Letting
r: Uf! + IR be defined by r = r 0 (exp IB.t 1 (see Figure we see that
Image'
exp
Figure 19.8 The concentric spheres in the ban B. are level sets of r: S" + IR. The
images of these sets under exp are level sets of r: U
I
+ IR.
r(p(a = r(p) = 0 and limt+c: r(p(t = e> r(q) if c =1= b, r(p(b = r(q) if
c = b. In either case, by the intermediate value theorem, r(p(t = r(q) for
some te l;let tl be the smallest such t. Let p= [a, tl1+ Be be defined by
P(t) == (expIB.t l(p(t.Then P(t) = PT(t) + P.L(t) where T(t) is tangent to the
ray inS" througb P(t) and P.L(t) is orthogonal to this ray. Using the above
facts about dr, we find
1 1
l(lX) = f lI all = f II
v
ll = II
v
ll = r(v) = r(q) = r(p(t
1
 r(p(a
00
t1 t1 It t1
= r (r 0 P)' = r (r 0 PY = f dr(lI) = r
"" "" . ""
t1 t1 (1) t1
t = t = t lI(d exp)(PT)1I
(2) t1
r lI(d + (d exp)(p.L)1I
"0
t1 t1 t1 b
= r (d = r Ilexp PII = r 11/111 r 1\/111 = I(P)
"" "" ",,".
when the equality (1 ) and the inequality (2) are valid by the lemma 0
174
19 The Exponential Map
Remark 1. 1({3) can equall(a) only if each of the three inequalities above is
an equality. This can happen only if (working backwards through the
inequalities)
(i) {3(t) = {3(t
1
) for all t ~ t
1
(ii) P(t) has no component orthogonal to the ray in Sp through P(t), for all
t ~ tb and
(iii) r 0 P is monotone on [a, t d.
These three conditions imply that, under the hypotheses of the theorem, if
1({3) = l(a) then {3 = a 0 h where h: [a, b] + [0, Ilvll] is monotone; in particular,
a and {3 have the same image.
Remark 2. A review of the proof of Theorem 3 will verify that if V is any
open set in U n Sp (U the domain of the exponential map) such that exp
maps V diffeomorphically onto an open set W in S and if exp(tv) E W for
o ~ t ~ to then av(t) = exp(tv) (0 ~ t ~ to) is shortest among all pa
rametrized curves in W joining p to exp(t
o
v). However, av(t) = exp(tv)
(0 ~ t ~ to) need not be shortest among all curves in S joining p to exp(t
o
v)
(see Exercise 19.4).
Remark 3. A point q = av(r) is said to be conjugate to p = av(O) along the
geodesic av(t) = exp(tv) if (d exp)(w) = 0 for some nonzero w E ( S p ~ v ' By
the lemma of this chapter, each w E ( S p ~ v such that (d exp)(w) = 0 must be
orthogonal to the ray a(t) = tv in Sp, so w = /3(0) where {3(s) = v + sx for
some XES p with x 1 v. Defining t/J: [0, r] x ( e, e) + S (e sufficiently
small) by
t/J(t, s) = exp(t(v + sx)),
we obtain a variation of the geodesic a
v
1[0, tJ such that each of the coordinate
curves as(t) = t/J(t, s) is a geodesic starting at p, and these geodesics tend to
focus at q (see Figure 19.9). Thus conjugate points along geodesics from p
are analogous to focal points along normal lines to an nsurface in IRn + 1.
This analogy is made more complete by the observation that the geodesics
radiating from p in S are the same as the geodesics normal to the
w
TV
o
t/J
exp
.
p
Figure 19.9 There is a Iparameter family of geodesics through p which tends to
focus at the conjugate point q.
19 The Exponential Map 175
(n  I)surface exp{v ESp: Ilvll = c5}, c5 > 0 being chosen small enough that
expo is a diffeomorphism on some ball Be about the origin in Sp of radius
e > c5. The proof of Theorem 3 can be modified slightly to show that up to
the first conjugate point the geodesic (Xv locally minimizes the length integral
in the sense that if X is any fixed endpoint variation of (Xv 1[0, ttl and if there are
no conjugate points (Xv(r) for 0 < r < t'l then l(ys);;:::: 1((Xv I{o, ttl) for all
sufficiently small s, where ys(t) = X(t, s). It can be shown that (Xv does not
minimize the length even locally, beyond the first C9njugate point
(see Figure 
The set of points q E S such that q is conjugate to p along some geodesic
through p is called the conjugate locus of p in S (see Figure 19.10).
Figure 19.10 The conjugate locus of a point p on an ellipsoid. Two geodesics from p
are also shown. ..
EXERCISES
19.1. Let S be an nsurface in jR"+1. For ex: [a, b) + S a parametrized curve in S,
define the energy of ex to be the integral 11&(t)1I2 dt. Show that ex is a geodesic
in S if and only if the energy integral is stationary at ex with respect to fixed
endpoint variations. .
19.2. (a) Show that each vector tangent to the unit circle 51 c [R2 is of the form
v(q>, 8) = (cos q>, sin q>,  8 sin q>, 8 cos q
for some q>, 8 E [R.
(b) Show that the exponential map on 51 is given by
exp(v(q>, 8)) = ei(tp+9)
where [R2 is viewed as the set of complex numbers by identifying (a, b) with
a + bi.
19.3. Let S be an oriented nsurface in [R1I+1, let T(S) = Upes Sp C [R2(1I+1), and let
v = (p, v) E
(a) Show that the tangent space (T(S))v to T(S) at v is
(T(S))v = {(x h X2, X3, X4) E [R4(1I+ 1):
Xl = p, X2 = v, (p, X3) ESp, (p, X3) Lp(v) = (p, X4) N(p)}
where Lp is the Weingarten map of S at p.
176 19 The Exponential Map
(b) Show that the tangent space (Sp)v to Sp at v is
(Sp)v = {(p, v, 0, x): (p, x) ESp}.
(c) Show that (p, v, 0, x) E (Sp)v is tangent to the ray cx(t) = tv in Spifand only
if x = ,tv for some ,t E IR, and that (p, v, 0, x) is orthogonal to this ray if and
only if v x = (orthogonality in
19.4. Let S be the cylinder XI + = 1 in 1R3 and let P = (1, 0, 0) E S.
(a) Show that Sp = {(p, 0, a, b): a, bE IR}.
(b) Compute exp(v) for v = (p, 0, a, b) ESp.
(c) Show that the conjugate locus of pin S is empty.
(d) Show that there is an open set in Sp containing the ray cx(t) = tv, v =
(p, 0, 1, 1), which is mapped diffeomorphically by exp onto an open set
in S containing the geodesic cxv(t) = exp(tv).
(e) Show that, nevertheless, there is a to E IR such that cxv(t) = exp(tv)
(0 t to) is not a shortest curve in S joining p to exp(t
o
v).
19.5. Let 52 be the unit 2sphere in 1R3 and let p = (0, 0, 1) E 52.
(a) Show that 5; = {(p, a, b, 0): a, bE IR}.
(b) Compute exp(v) for v = (p, a, b, 0) E 5;.
(c) Show that the conjugate locus of p consists of the single point
q = (0, 0,  1).
(d) Show that exp maps the ball {v E 5;: Ilvll < n} difTeomorphically onto
52 _ {q}.
19.6. Let S be a connected nsurface in IR" + 1. For p 1 and P2 E S, define the intrinsic
distance d(Ph P2) from P1 to P2 to be the greatest lower bound of the set
{l(cx): cx is a piecewise smooth parametrized curve in S joining P1 to P2}'
Show that, for all Ph P2, and P3 E S,
(a) d(Ph P2) = d(P2' pd
(b) d(Ph P2) + d(P2' P3) d(Ph P3)
(c) d(P1' P2) and d(P1' P2) = if and only if P1 = P2'
[Hint: for (c), take P = P1 and choose e as in Theorem 3 but small enough so
that P2 U
e
Then argue that d(P1' P2) e.]
19.7. Let S be an nsurface in IR" + 1 and let T1 (S) denote the unit sphere bundle of S
(Exercise 15.6).
(a) Show that the restriction to T
1
(S) of the geodesic spray is a tangent vector
field on T1 (S).
(b) Using the fact that T
1
(S) is compact if S is compact, show that each com
pact nsurface in IR" + 1 is geodesically complete.
(c) Conclude that if S is compact then the domain of the exponential map of S
is all of
Surfaces with Boundary
20
In thjs chapter we shall develop some machinery which we shall need in
the next chapter to prove one of the most celebrated theorems in differential
geometry, the GaussBonnet theorem. We shall first discuss nsurfaceswith
boundary. Then we shall develop a little bit of the differential calculus of
forms.
An nsurfacewithboundary in !R"+ 1 is a nonempty subset S of !R"+ 1 of
the form
s = f1(C) n gI1((  00, C1]) n ... n 9; 1((  00, Ck])
= {p E U:f(p) = c, g1(P) S; C1' ... , gk(P) ~ Ck}
where k is a positive integer, {c, C1' ... , Ck} c: !R, andf: U ~ !R and gi: U
i
~ !R
for i E {1, ... , k} are smooth functions defined on open subsets of !R"+ 1 and
satisfying the conditions
(i) Vf(P) =1= 0 for all PES
(ii) gi
1
(Ci) n gi 1 (Cj) n S is empty whenever i =1= j
(iii) For each i E {1, ... , k}, {Vf(p), Vgi(p)} is linearly independent for all
p E gi
1
(Ci) n S.
The boundary as of S is the set
k
as = {p E S: gi(P) = Ci for some i} = U gi 1 (Ci) n S.
i= l'
The interior of S is the set S  as.
Condition (i) guarantees that the interior of S is an nsurface in !R"+ 1 and
in fact that S itself is part of an nsurface (f1(C)) in !R"+ 1. Condition (ii)
guarantees that t ~ e parts of the boundary as defined by the various func
177
178 20 Surfaces with Boundary
tions 9i are disjoint. Condition (iii) then guarantees that as is an
(n  I)surface in !R
n
+ 1.
Remark. Equivalently, an nsurfacewithboundary in !R
n
+ 1 may be
described as
S = {p E $: gl(P) ~ Cl' ... , gk(P) ~ Ck}
where $ is an nsurface in !R
n
+ 1 and gl' ... , gk: $ ~ !R are smooth functions
on S such that gi l(Ci) n gj 1 (Cj) is empty whenever i =1= j and such that
(grad gi)(P):I: 0 whenever P E gi
1
(Ci)'
EXAMPLE 1. The hemisphere
S = {(Xl' X2' X3) E !R
3
: xf + x ~ + x ~ = 1, X3 ~ O}
is a 2surfacewithboundary in !R
3
(take f(Xl' X2' X3) = xf + x ~ + xL
C = 1, g(X., X2, X3) = X3' and Cl = 0). Its boundary is the equator:
as = {(Xl' X2' X3) E S: X3 = O}
(see Figure 20.1).
oS
Figure 20.1 The hemisphere XI + x ~ + x ~ = 1, X3 ~ O.
EXAMPLE 2. For S = fl(C) an (n  I)surface (without boundary) in !R
n
,
consider the set
S x I = {(Xl' ... , xn+d E !R
n
+
1
:f(Xl' ... , Xn) = C, 0 ~ X
n
+l ~ 1}.
Thus S x I is a portion of the cylinder over S (see Figure 20.2). S x I
is an nsurfacewithboundary in !R
n
+ 1. Its boundary consists of two
copies of S: gI1(0) where gl(Xl, ... , xn+d = X
n
+l and g;l(l) where
g2(X" ... , X
n
+ d = x
n
+ l'
20 Surfaces with Boundary
as
Figure 20.2 The cylinderwithboundary S == at )( 1.
The tangent space at a point PES, S = fl(C) n n:.l g, 1(( 
nsurfacewithboundary in &1"+ 1, is the ndimensional .vector space
Sp = {v E R;+I: v Vf(p) = O}.
A vector v E S", Ii e as (p E g, 1 (Ci) for some is (see Figure 20.3)
(i) outwardpointing if v Vgi(p) > 0
(il) inwardpointing if v Vg;(p) < 0
(iii) tangent to the boundary if v Vg,(p) = 0
(iv) normal to the boundary if v w = 0 for aU W E S" which are tangent to
the boundary.
as
Figure 20.3 Three vectors in the taoSCnt space S,t peas. ,is inward pointing, w is
outward pointing and normalto the boundary, and x is tanJellt to the boundary.
Note, for each peaS, that the set (as)" of aU vectors in S" which are tangent
to the boundary is an (n  1 )dimensional subspace of S" and that there is
exaetly one outwardpointing unit vector in S" which is normal to the
boundary_
Note also that .aU the conditions above can be reformulated without
reference to gl' .. , g"and hence depend only on the surface
and not on the functions defining it. Thus, for PES, the tangent space S" can
be described as the set of aU vectors v E R;+ 1 of the form v == (to) where
ex: /+ R"+ 1 (1 an open interval) is a parametrized curve such that ex(to) = p
for some to E 1 and either cx(t) e S for all tel with t S; to, or ex(t) e for aU
tel with t ;;::: to, or both. A vector v E S", pEaS, is tanpt to as = (to)
for some oc 1+ 1R,,+1 with lX(t) E as for all tel. A vector v E S", peaS,
which is not tangent to as is outwardpointing if v ==(t
o
) for some
IX: 1+ R"+ 1 with lX(t) E S for all tel with t S; to, and v is inwardpointing if
v = (to) for some IX with lX(t) E S for aU tel with t ;;::: to.
180 20 Surfaces with Boundary
An orientation on S is a choice of smooth unit vector field N on S with
N(p) 1. Sp for all PES, where smoothness is defined exactly as in the case of
nsurfaces without boundary. Note that each orientation N on S defines a
volume form on S, i.e., a smooth nform , on S with ,(V1' ... , v
n
) = 1
whenever {V1' ... , v
n
} is an orthonormal basis for Sp, by the formula
'(v" ... , v.) = de! LlJ .
Conversely, each volume form' on S uniquely determines an orientation
Non S by the requirement that N(p) for PES be the unique unit vector in S*
such that
de! ( ) ~ J = nv" ... , v.)
for {V1' ... , v
n
} any orthonormal basis for Sp. Thus an orientation on S
determines, and is determined by, a choice of volume form on S; we could
therefore define an orientation on S to be a choice of volume form. This
definition makes sense also for nsurfaces in !R
n
+
m
(m ~ 0) so we shall refor
mulate the concept of orientation in this more general setting.
Let S be either an nsurface in !R
n
+
m
or an nsurfacewithboundary in
!R
n
+ 1. A volume form on S is a smooth nform , on S such that
,(V1' ... , v
n
)= 1 whenever {V1' ... , v
n
} is an orthonormal basis for Sp,
pES. An orientation on S is a choice of volume form' on S. An prdered
basis {V1' ... , v
n
} (not necessarily orthonormal) for Sp, PES, is said to be
consistent with the orientation' if (and only if) ,(v
1
, , v
n
) > O. S is said to
be oriented if there is given an orientation, on S.
Remark. These definitions extend in an obvious way to nsurfaceswith
boundary in !R
n
+
m
We leave it to the interested reader to formulate a
definition of "nsurfacewithboundary in !R
n
+
m
". For nsurfaces or n
surfaceswithboundary in !R
n
+ 1 we shall, whenever convenient, continue to
view an orientation as a choice of smooth unit normal vector field.
For S an nsurfacewithboundary in !R
n
+ 1, an orientation, on S defines
an orientation 'os on the (n  I)surface as by the formula 'os = V .J' where
V is the smooth vector field on as defined by V(p) = the outward pointing
unit vector in Sp which is normal to the boundary. This orientation 'os is
called the induced orientation on as.
Integration of differential nforms over compact oriented nsurfaces in
!R
n
+
m
or over compact oriented nsurfaceswithboundary in !R
n
+ 1 can now
be defined exactly as for nsurfaces in !R
n
+ 1. We first define local parametriza
tions. For S an oriented nsurface in !R
n
+
m
, a local parametrization of S is a
20 Surfaces with Boundary 181
parametrized qJ: U + R"+JII such that qJ(U) c S and such that cp is
consistent with the . orientation C on S in the sense that C(E
b
... , E,,) > 0
where the Eb ... , E" are the coordinate vector fields along cpo For S an
oriented nsurfacewithboundary in IR"+ 1, a local parametrization is a
smooth map cp of one of the following two types:
(i) cp: U + R'a+ 1 is a parametrized nsurface such that CP(U) is an open set
in S (i.e., cp( U) is the iritersection with S of an open set in R"+ 1 ) and such that
cp is consistent with the orientation C in the sense described above (these are
the local parametrizations whose images are contained in the interior of S);
(ii) cp: U + IR"+ 1 is the restriction to U = V ("\ IR'!.., where IR'!.. =
{(x h "'1 X,.) E IR": x,. s; OJ, of a parametrized nsurface cP: V + R"+ 1
such that cp( U) is an open set in S and such that cp is consistent with the
orientation ConS in the sense described above (these are the local parame
trizations whose images contains points of as; see Figure 20.4).
as
Figure 20.4 Local parametrizations of a 2surfacewitbboundary.
The existence of one to one local parametrimtions whose images cover
the given nsurface .(or nsurfacewithboundary) is guaranteed by Theorem
1 of Chapter 15 and its generalizations (see Exercises 15.10 and 20.1). We
may even insist, if we wish, that each of the sets U be either an open ball in
IR" or the intersection with IR'!.. of an open ball centered on the (n  1 )plane
x" = 0 (Figure 20.4).
For OJ an nform on the compact oriented nsurface S c IR"+JII or on the
compact oriented S c: IR"+ 1, the integral Is OJ is
defined to be the real number   I
where {f,} is any partition of unity on S subordinate to a finite collection {cpa
of one to one local parametrizations of S. The existence of a partition of
182 20 Surfaces with Boundary
unity on S and the fact that Js w is independent of the particular partition of
unity used are proved exactly as in the case of oriented nsurfaces in IR" + 1
(see Chapter 17).
Having defined the integral over S of an arbitrary smooth nform w, we
can define the volume of a compact oriented nsurface S in 1R"+m or of a
compact oriented nsurfacewithboundary S in IR"+ 1 to be the integral over
S of the orientation volume form:
V(S) = f "
s
and we can define the integral over such an S of any smoothfunctionf: S ~ IR
by the formula
The constructions above are part of the integral calculus of forms. We
shall also need to use some of the differential calculus of forms.
Let S be an nsurface or an nsurfacewithboundary in IR"+ 1. The differ
ential of a smooth function f: S ~ IR is the smooth Iform df on S defined by
df(v) = Vvffor v ESp, pES. The exterior derivative ofa smooth Iform w
on S is the smooth 2form dw on S defined by
dw(v
1
, V2) = V
V1
W(V
2
)  V
V2
W(V
1
)  W([V1' V
2
](p))
where, for v
1
, V2 ESp, PES, V 1 and V 2 are arbitrarily chosen smooth tan
gent vector fields, defined on an open set U of S containing p, such that
V 1 (p) = V 1 and V 2 (p) = V 2 , and where [V 1, V 2]' the Lie bracket of the vector
fields V 1 and V 2, is the smooth tangent vector field on S defined by
[V1' V
2
](q) = VVl(q) V
2
 VV2(q) V
1
(see Exercise 9.12). The verification that the right hand side of the formula
defining dw is independent of the choice of vector fields V 1 and V 2 is left as
an exercise (Exercise 20.2). Note that the multilinearity, skewsymmetry, and
smoothness of dw are evident from the definition.
Remark. The formula defining dw often appears in the literature with a
factor of! on the right hand side. This is to compensate for a factor of !
which is also introduced, in these sources, into the definition of exterior
product of Iforms.
Lemma 1. Let f: S ~ IR be a smooth function on S and let w be a smooth l{orm
on S. Then
(i) d(df) = 0
(ii) d(fw) = df AW + f dw.
20 Surfaces with Boundary 183
PROOF. (i) Since d(df) is bilinear, it suffices to check that d(df)(v
i
, Vj) = 0 for
all i,j E {I, ... , n} where {Vb ... ' V .. } is any basis for Sp (p E S arbitrary). We
shall take Vi = Ei(q) where theE
i
are the coordinate vector fields of some one
to one local parametrization cp: U +S with cp(q) = p. Setting Vi = Ei 0 cpI,
we see that V} has vector part (oCP/OXj) 0 cpI so VV/(p)Vj= Vli(f)V} has
vector part (02cp/OXi ox})(q) for all i and j, and [V" V}](p) = Vv,(p) V} 
VVi<P) Vi = O. Since Vi(p) = Ei(q) = Vi for all i, it follows that
d(df)(vj, v}) = VE;(f) df(V})  V
EJf
) df(V
i
)
= VE;(f) VEj .,,1 f  VEJ<f) VEl .,,1 f
= V
Edf
) VEj(f 0 cp)  VEj(f) VE/(f 0 cp)
02(f 0 cp) 02(f 0 cp)
= OXi ox} (q)  ox} OXi (q)
=0.
(ii) Adopting the same notation used in defining tiro, we have
d(fw)(Vb V2) = VVI(fW(V2))  Vv:z(fro(Vd)....; fW([Vb
= (V VI f)ro(V l(P)) + f(p)V VI w(V 2)
 (Vv1f)ro(VI(p))  f(P)Vv:zw(Vd  f(P)ro([Vb V
2
](P))
= df(VI)ro(V2)  df(V2)ro(VI) + f(P) dW(Vb V2)
o
Lemma 1. Let W be a smooth l{orm on S and let cp: U + S be a singular
2surface in S. Then
tIro(E , E ) = OW2 _ OWl
I 1 OXI OXl
where Eb E2 are the coordinate vector fields along cp and wifor i E {I, 2} is the
smooth junction along cp defined by Wi = W(Ei).
PROOF. First note that if y,: V + S is a one to one local parametrization of S
and W is any smooth Iform on y,(V) then W = D. I h dg
i
for some choice
of smooth functions h and gi on y,( V). Indeed, if we define h = w(Ef 0 Y,  I)
and gi = Xi 0 y,Iwhere the Xb ... ", x .. are the coordinate functiohs on IR"
(xi(al, ... , a .. ) = ai) then, for each p E V and j E {I, ... , n},
o
a: fi dg
i
)(E1(p)) == L fi(y,(p))VEt(p)gi = L fi(y,(p)) 0 f
Ux}
jj(y,(p)) = w(Ef(P))
so the linear functions wl/I(p) and a: fi dgi).,,(p) agree on a basis for S",(p) , and
hence are equal, for each p E V.
184
20 Surfaces with Boundary
Thus for w a Iform on Sand cp: U S a singular 2surface we may, in
some open set W about any given point of Image cp, express w as
w = II; dg
i
Then, on cpl(W), by Lemma 1,
dw(El' E
2
) = I dl; A dgi(E
l
, E
2
)
= I (dl;(El) dg
i
(E
2
)  dl;(E
2
) dgi(Ed)
= I (01; 0 cp Ogi 0 cp _ 01; 0 cp Ogi 0 cp)
OX
I
OX2 OX2 OXI
whereas
= ;w(E
2
) =; I (J; 0 cp) dg
i
(E
2
)
uXl uXl uXl
= I (01; 0 cp Ogi 0 cp + (I; 0 cp) 0
2
gi 0 cp )
OXI OX2 OXI OX2
OWl = = I (J; 0 cp) dgi(E
l
)
OX2 OX2 OX2
= I (oJ; 0 cp Ogi 0 cp + (I; 0 cp) 02gi 0 CP)
OX2 OXI OX2 OXI
D
We shall need a formula (Stokes' formula) relating differentiation to
integration for forms on 2surfaces. This formula is the natural generaliza
tion to 2surfaces of the fundamental theorem of calculus as applied to line
integrals (fa df= f((X(b))  f((X(a)). We shall integrate first over special "sin
gular 2surfaceswithboundary".
Let S be an nsurface or an nsurfacewithboundary in IR"+ 1.
A singular disc in S is a smooth map cp: 0 S, where 0 = {(Xl' X2) E
1R2: xi + ::::;; I}. Smoothness here means, as that cp can be extended
to a smooth map defined on some open set containing D. The boundary of
the singular disc cp: 0 S is the parametrized curve ocp = cp 0 (X where
(X: [0, 2x] 0 is defined by (X(t) = (cos t, sin t) (see Figure 20.5).
A singular halfdisc in S is a smooth map cp: 0 tl IR:' S where
IR:' = {(Xl' X2) E 1R2: X2 ::::;; OJ; its boundary is the piecewise smooth par
ametrized curve ocp = cp 0 (X where (X: [0, 2 + x] S is defined by
(X(t) =
1
(1  t, 0) if 0::::;; t ::::;; 2
(cos(t  2 + x), sin(t  2 + x)) if 2::::;; t ::::;; x + 2
(Figure 20.5).
A singular triangle in S is a smooth map cp: A S where
A = {(Xl' X2) E 1R2: Xl ;;::: 0, X2 ;;::: 0, Xl + X2 ::::;; I};
20 Surfaces with Boundary 185
Figure 20.5 A singular disc, a singular halfdisc, and a singular triangle in the
2surfacewithboundary S.
its boundary is the piecewise smooth parametrized curve o({J = ({J 0 IX where,
IX: [0, 3] ~ A is defined by
I
(t, 0) if 0 ~ t ~ 1
IX(t) = (2  t, t  1) if 1 ~ t ~ 2
(0, 3  t) if 2 ~ t ~ 3
(Figure 20.5).
\ The integral of a. smooth 2form W on S over one of these singular 2
surfaceswithboundary ({J. is defined in the same way as the integral of W
oyer a singular 2surface:
f W = f W(El' E2)
rp !i!(rp) .
where ~ ( ( { J ) C 1R2 is the domain of ({J and E
I
, E2 are the coordinate vector
fields along ({J.
Theorem 1 (Local Stokes' Theorem). Let S c IR
n
+ I be an nsurface or an
nsurfacewithboundary, let (J) be a smooth Iform on S, and let ({J be either a
singular disc, a singular halfdisc, or a singular triangle in S. Then
PRooF.By Lemma 2,
f dw = f w.
rp ~ "
OW2 aWl
dw(EI' E
2
) =  
OXI oX
2
where WI = w(Ed and W2 = W(E2) are smooth functions along ({J. By
186 20 Surfaces with Boundary
Green's Theorem (see Exercise 20.5)
f
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