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. John A.

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: 53-01
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 78-23308
All rights reserved.
No part of this book may be translated or reproduced
in any form without written permission from Springer-Verlag.
1979 by Springer-Verlag New York Inc.
Printed in the United States of America.
9 8 7 6 5 432 1
ISBN 0-387-90357-7 Springer-Verlag New York
ISBN 3-540-90357-7 Springer-Verlag 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
2-dimensional,surfaces in 3-space 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 n-dimettsional surfaoes in (n + 1)-
space. It is designed for a I-semester differential aeometry course at the
junior-senior 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 n-dimensions 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 I-dimensional 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 2-year 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 1-12, 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 semi-definite second quadratic forms, Arch. Math.
20 (1969) 173-175, inspired the treatment of convex surfaces in Chapter 13,
and S. S. Chern whose paper, A simple intrinsic proof of the Gauss-Bonnet
formula for closed Riemannian manifolds, Ann. of Math. (2) 45 (1944)
747-752, inspired the treatment ofthe Gauss-Bonnet 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 Gauss-Bonnet 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 f-I(C) defined, for each real number c, by
f-I(C) == {(Xb ... , X,,+l) e U:f(xl:; ... , X.+l) == c}.
The number c is caned the height of the level set, andf-I(c) is called the level
set at height c. Since f-l(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, thelevelsetsf-1(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
1-1 (c)
(a): n = 0
graph of
I(xl) = xi
1 Graphs and Level Sets
1-1 (c) [xi + x ~ = c]
(b):n=l
Figure 1.1 The level sets f-l(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 non-constant 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 f-l(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 xt-coordinate,. 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 1.1-1.4 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 1.5-1.9 sketch the level setsj-l(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 on-U. 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
CP-t = 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 CP-t(p) = cP; 1(p) for all t, th and
t2 for which all terms are defined. [cpt is called the local I-parameter 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 non-empty, and let p ef-l(c). A vector at p is said to
be tangent to the level set f-l{C) if it is a velocity vector of a parametrized
curve in R"+ 1 whose image is containedinf-l(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 ef-l(c) is orthogonal to all vectors tangent to
f-l(c) at p.
PROOF. Each vector tangent to f-l(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 Cf-l(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 f-l(C) at p is contained in the n-dimensional 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
f-l(C) at p is equal to [Vf(p)]1..
PROOF. That every vector tangent tof-l(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 cf-l(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 setf-l(c) ofa smooth
function there is a well defined tangent space consisting of all velocity vectors
at p of all parametrized curves inf--l(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 f-l( -1), f-
1
(0), and f-l(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 n-surface, in IR
n
+ 1 is a non-empty subset S of
IR
n
+ 1 of the form S = f-1(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 1-surface in 1R2 is
also called a plane curve. A 2-surface in 1R3 is usually called simply a surface.
An n-surface in IR
n
+ 1 is often called a hypersurface, especially when n> 2.
By the theorem of the previous chapter, each n-surface S has at each point
PES a tangent space which is an n-dimensional 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 = f-1(C) for some c E IR and Vf(p) =1= 0
for all PES (by definition of n-surface, there must exist one such a function;
in fact there are many such functions for each n-surface S) then Sp may also
be described as [Vf(p)]-L.
EXAMPLE 1. The unit n-sphere 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 n-surface 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 f-1(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 n-sphere is the unit circle.
EXAMPLE 2. For 0 =1= (aI' ... , a
n
+ 1) E IR
n
+ 1 and b E IR, the n-plane
a1x1 + ... + an+1xn+1 = b is the level setf-1(b) wheref(x
h
... , x
n
+
1
) =
16
4 Surfaces 17
is never zero. A I-plane is usually called a line in 1R1, a 2-plane 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 n-planes (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 n-surface in R"+ 1 since graph (I) = g-I(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 = f-1(C), where
f: U IR (U open in IRn) is such that Vf(p) =1= 0 for,all p Ef-1(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 g-l(C) is an n-surface 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 f-1(C). The n-surface g-l(C) is called the cylinder over S (see
Figure 4.2).
(a): n = 0
Xl
O-sphere
in 111
(b): n = I
Xl
I-sphere
(unit circle)
in JR.2
Figure 4.2 The cylinder g-1(1) over the n-sphere: g(X1' ... , X
n
+ d = xi + ... + x;.
EXAMPLE 5. Let C be a curve in 1R2 which lies above the x I-axis. Thus
C = f-1(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 2-surface
(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 I-axis (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 n-surface in IR"+ 1, S = f-l(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 = f-l(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 f-l(e) an n-surface, 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 n-surface S is represented both asf-l(e) and as g-l(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 2-surface 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 2-surface.
4.8. Sketch the surface of revolution obtained by rotating C about the X I-axis,
where C is the curve
(a) Xl = 1 (cylinder)
(b) -xi + xi = 1, xl> 0 (I-sheeted 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 3-surface in 1Il4.
[Hint: (Xh Xl, X3, X4) e S if and only if xJ + xl- 1.]
4.10. Let S = f-l(e) be a 2-surface in 1Il
3
which lies in the half space X3 > O. Find a
function g: U .... III (U open in 1Il4) such that g-l(e) is the 3-surface obtained by
rotating the 2-surface 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 n-sphere 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 n-surface 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 n-surface 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 4-tuple (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 3-surface 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 8-surface 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 n-surface 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 I-sphere: (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 n-s,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 n-surfaces the theorem of Chapter 2 on
the existence and uniqueness of integral curves.
Theorem 1. Let S be an n-surface 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 = f-1(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 = f-1(C) be an n-surface 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 n-sphere (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 n-sphere xi + ... + 1 = 1 is connected if and only if n 1.
In this book, we shall deal almost exclusively with connected n-surfaces.
As we shall see in Chapter 15 (see Exetcise any n-surface 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 n-surface 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 = f--l(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 I-dimensional 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 n-surface S in IR
n
+ lis called an
orientation on S. According to the theorem just proved, each connected
n-surface in IR
n
+ 1 has exactly two orientations. An n-surface together with a
choice of orientation is called an oriented n-surface.
Remark. There are subsets of IR
n
+ 1 which most people would agree should be
called n-surfaces 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 2-surface accord-
5 Vector Fields on Surfaces; Orientation 27
ing to our definition. B is an example of an unorientable 2-surface". Until
Chapter 14, we shall consider only" orientable" n-surfaces in IR"+ 1.
A unit vector in 1 (p E IR
n
+ 1) is called a direction at p: Thus an
orientation on an n-surface 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 O-rotation 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 2-sphere: 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 3-surface 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 3-surface 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 right-handed 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 left-handed if the determinant is
negative.
On an n-surface 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 n-surface 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 n-sphere XI + ... + x;+ 1 = 1 is connected if n > 1.
5.2. Show that if S is a connected n-surface 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 n-sphere 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 n-surface 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 8-rotation 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 right-handed.
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 2-surface 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
6-rotation in S".
5.9. Let S be an oriented 3-surface 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 right-handed if
and only if e3 . (e
1
x e
2
) > O.
5.10. Let S be an oriented n-surface 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 n-surface in /Rn+ 1 is more than just an n-surface S, it is an
n-surface 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 n-sphere S" c w+ 1, since IIN(p)11 = 1 for
all pES. Thus, associated to each oriented n-surface 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 l-surface 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 n-surface 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 2-sheeted 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 n-surface 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 n-plane, which doesn't
curve around at all, the spherical image is a single point. If an n-surface 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 n-surface in !R"+ 1 exhibited
as a level setf-1(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 n-plane
If. By moving this n-plane far enough in the v-direction, 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 n-surface is onto.
N(P) = - v, then N(q) = v where q is obtained similarly, by moving the
n-plane 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 n-planes 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 n-sphere 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 = f-l(C) wheref: U -.. R. Then, for small enough e> 0, the level set
f-l(C + e) will be an n-surface 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_=f-l(c-e)
Figure 6.5 Given a compact connected n-surface S = the nearby level sets
f-l(C - a) andf-l(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 n-suIface 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
1-1(C) = S. The above proof can now be applied, wfthfreplaced everywhere
by J, to show that the Gauss map is onto.
EXERCISES
In Exercises 6.1-6.5, describe the spherical image, when n = 1 and when
n = 2, of the given n-surface, 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 1-sheeted 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 n-surface with orientation N is the
reflection through the origin of the spherical image of the same n-surface 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 n-plane 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 n-surface S is a single point then
S is part or all of an n-plane. [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 n-plane {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 = f-l(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 n-surface 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 n-surface 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 n-surfaces 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 n-surface 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 n-surface 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 2-sphere 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 n-surface 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 2-sphere.
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 n-surface 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 cf-l(C) = S. 0
It follows from the theorem just proved that each maximal geodesic on
the unit 2-sphere 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. 32-33. 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 = S-1 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 n-sphere 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 n-sphere.)
7.7. Show that if IX: I -+ S is a geodesic in an n-surface 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 xl-axis (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 n-surface 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 n-surface 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 n-surface 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 n-surface S in /Rn+ I is said to be geodesically complete if every maximal
geodesic in S has domain IR. Which of the following n-surfaces are geodesicalll
complete?
(a) The n-sphere xi + ... + x;+ I = 1.
(b) The n-sphere 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 n-surface 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 n-surface inlR
n
+ 1, let ex: 1-+ S be a.parametrized cul-ve 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
n-surface. 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 n-surface 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 Levi-Civita 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 Levi-Civita 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 cos-I(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 n-surface 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 2-surface 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 Levi-Civita parallel vector fields along geodesics in the 2-sphere.
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
n-surface to another. Given two points pand q in an n-surface 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 2-sphere 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 2-sphere.
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 2-surface.
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 n-surface 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 n-dimensional vector space to another. But all such
maps are onto. 0
EXERCISES .
8.1. Let S be an n-surface 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 n-plane 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 n-plane, 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 2-sphere 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 n-surfaces 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. aren-surfaces 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 n-surface 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 n-surface 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 n-surface 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 n-surface. 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 n-surface 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 n-surface 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 n-surface S.
Note that the derivative V vX of a tangent vector field X on an n-surface 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 n-surface 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 = f-l(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 n-sphere 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 n-sphere 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 n-surface 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 non-zero for
some curve (l with a(t
o
) = v toen it is non-zero 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 n-sphere 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 self-adjoint; 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 = f-I(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 n-surface 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 n-surface 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 2-surface 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 n-surface 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
self-adjoint (L* = L) if and only if the matrix for L relative to any orthonor-
mal basis for V is symmetric.
9.11. Let S =f-l(C) be an n-surface 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 n-surface 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 n-surface 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 restriction-to 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 = f-l(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 I-dimensional space C p' Since every linear
transformation from a I-dimensional 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 non-zero 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 = f-l(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 I-dimensional
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 f-l(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 vector-at 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 and-is 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 n-surfaces (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 = f-l(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
half-open 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 1-forms 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 1-form on U, called the 1-form 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 1-form 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
1-form 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 non-conformity 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 1-form 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 I-form on U.
The sum of two I-forms W1 and W2 on an open set U c IR"+ 1 is the I-form
W1 + W2 defined by
(W1 + W2)(V) = W1(V) +
The product of a functionf: U IR and a I-form w on U is the I-formfwon
U defined by
(fw)(P, v) = f(P)w(P,
Note that the sum of two smooth I-forms is smooth and that the product of
a smooth function and a smooth I-form is smooth.
Given a "i-form 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 I-form 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 I-forms 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 1-form 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 1-form 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 non-negative, 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 1-form 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 1-form 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 1-form 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 1-form" 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 11.1-11.4, 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 11.5-11.8, 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 I-form 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 =f-l(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 I-form 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)) d-r where '1 is the I-form 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 I-form '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 non-constant 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 l-axis only finitely many times. Show that the winding number
k(ex) is equal to the algebraic number of crossings of the positive xl-axis 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 xl-axis. 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
m-1.)] .
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 n-surface 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 n-surfaceS =f-l(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 view-the 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 n-surface 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 = f-l(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 i-l(V) so
C = i-
1
(S (l %(v) (l V) = (f 0 it l(C) (l i-l(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 n-surface 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 self-adjoint 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 self-adjoint 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 self-adjoint linear trans-
formation L on an n-dimensional 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 n-surface 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' Vn-l}} 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 n-surface 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 self-adjoint 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 n-surface
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 semi-definite if !2(v) ~ 0 for all v,
negat!ve semi-definite if !2(v):::; 0 for all v, and
semi-definite if it is either positive or negative semi-definite.
88 12 Curvature of Surfaces
Thus the first fundamental form f p of an oriented n-surface 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 n-surface 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 =f-l(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 Gauss-Kronecker 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 n-surface in IR"+ 1 and let pES. Let Z be any
non-zero 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 n-surface S is to be a global property if it
expresses a fact about the surface S as a whole (such as, the n-surface S is
compact, or the n-surfaee S is connected, or the I-surface 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 Gauss-Kronecker 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 n-surface
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 one-sheeted
hyperboloid in [R3.)
Theorem 6. Let S be a compact connected oriented n-surface in [Rn + 1. Then the
Gauss-Kronecker curvature K(p) of Sat p is non-zero 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 non-zero for each direction v E Sp so in particular all principal curvatures
at p are non-zero 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 n-surface 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 = f-l(e) be an n-surface 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 12.2-12.6, find the normal curvature k(v) for each tangent
direction v, the principal curvatures and principal curvature directions, and
the Gauss-Kronecker and mean curvatures, at the given point p of the given
n-surfacef(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 n-surface in R"+I but with opposite
orientations, then R == (-1 r K where K and /{ are the Gauss-Kronecker
curvatures of Sand S respectively. (In particular, Gauss-kronecker curvature
is independent of the choice of orientation if n is even.)
In Exercises 12.8-12.11, 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 Gauss-Kronecker curvature of a cylinder over an n-surface.
12.13. Let g: H"..,. R be a smooth function. Show that the Gauss-Kronecker 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 i-I 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 2-surface 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 2-surface 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 n-surface 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 2-surface 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 = f-1(C) be an oriented n-surface, 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 = f-1(C) be an n-surface in IR
n
+ 1. Given a> 0, let S = g-1(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 n-surface 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 Gauss-Kronecker curvatures K and K of S and S are
related by K(ap) = (l/a")K(p).
Convex Surfaces
13
An oriented n-surface S in 1R"+1 is convex (or globally convex) if, for each
PES, S is contained in one of the closed half-spaces
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 n-surface 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 n-surface is
necessarily convex at each of its poiPts, but an n-surface convex at each point
need not be a convex n-surface (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 n-surface in IR" + 1 which is convex lat pES.
Then the second fundamental form !/ p of S at p is semi-definite.
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 half-spaces
Hi. Note that the common boundary of these two half-spaces is the n-plane
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 2-surface
X3 = x ~ - x ~ in 1R3 has .9'0 semi-definite 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 n-surfaces.
Let h: S --+ IR be any smooth function on the n-surface 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 non-convex 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 n-plane 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 self-adjoint 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 self-adjoint is left as an
exercise (Exercise 13.2).
Theorem 2. (Second derivative test for local minima and maxima). Let S be an
n-surface 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 semi-definite. If h
attains a local maximum at p then Yf p is negative semi-definite.
(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 semi-definite. 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 asf-l(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 =f-l(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 n-surface 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. 28-29.
Corollary. Let X be a smooth tangent vector field on a compact n-surface
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 n-surface 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 isnon-degenerate 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 non-degeneraey.
Lemma 1. Let S be a compact n-surface and let h: S-+ IR be a smooth function
all of whose critical points are non-degenerate. 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 e-ball
about p = limk-CXl 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 non-degenerate, 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 n-surface in ~ n + I whose
Gauss-Kronecker 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 n-surface 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 non-degenerate,
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 n-surface 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 Gauss-Kronecker curvature at a point p of an
n-surface S c ~ + 1 is negative then S is not convex at p.
13.2. Let S be an n-surface 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 self-adjoint.
13.3. Let V be a vector space with a dot product, let L: V -+ V be a self-adjoint 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 non-degenerate if L is non-singular. Show that fl is non-
degenerate if and only if all the eigenvalues of L are non-zero. (Remark. Note
that a critical point p of a smooth function h: S -+ ~ is non-degenerate if
and only if the Hessian Jf p of h at p is a non-degenerate quadratic form.)
13.4. Let S be an n-surface 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 n-surface 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 n-surfaces (n > 1). It will tum
out that oriented n-surfaces (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 n-surface 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 I-form 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 n-surface 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 non-singular (has rank n) for each p E U. The regularity condi-
tion guarantees that the image of dqJp is an n-dimensional 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 1-surface is simply a regular parametrized curve.
EXAMPLE 2. A parametrized n-surface 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 n-surface 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
2-surface whose image is the 2-sphere 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 non-singular linear map and let
WE lR"+k. The map cp: IR" --+ 1R,,+k defined by
cp(p) = L(P) + W
is a parametrized n-plane 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 n-surface 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 xl-axis; 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 xl-axis.
xl-axis (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
14-------1 .... 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 2-surface 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 n-surface (i.e.,
when q> is regular) these vector fields are linearly independent at each point
p E U, since dq>p is non-singular, 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 2-sphere (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 n-surface 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 n-surface q>: U -+ W+
1

(Note that L" is well defined: because.,,, is one to one.) L" is self-adjoint
(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
Gauss-Kronecker 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 n-surface in R"+ 1 and let Sl be an m-surface 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 non-singular for each p E domain tp.
14.4. Find the general formula describing the parametrized surface obtained by
rotating about the x 3-axis 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 3-surface in r.
(b) Show that the image of qJ is contained in the unit 3-sphere in W.
(e/>, (J, and 1/1 are spherical coordinates on 53.)
14.6. LetqJ: U R"+1 be a parametrized n-surface 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 2-surface 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 n-surface 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 n-surface in
~ + 1 is self-adjoint.
14.12. Let qJ: U ~ IRn+k be a parametrized n-surface in IRn+k. Show that
dqJ: U x IR
n
~ IR
n
+k X IR
n
+k is a parametrized 2n-surface in 1R
2n
+ 2k.
14.13. Let qJ: U ~ IRn+k be a parametrized n-surface 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 n-surface in IR
n
+ 1. Show that the Gauss-Kronecker
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 14.15-14.18, find the Gaussian curvature of the given pa-
rametriz.ed 2-surface 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 Gauss-Kronecker curvature of the parametrized 3-surface qJ, where
qJ(x, y, z) = (x, y, z, Xl + yl + Zl) (3-paraboloid 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 i-axis. 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 i-axis.
(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 l-axis 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 xl-axis.)
(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,
n-surfaces and parametrized n-surfaces 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 non-singular. 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, Springer-Verlag, 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
non-singular says simply that det J ",(P) -+ o.
Theorem 1. Let S be an n-surface in IR" + 1 and let pES. Then there exists an
open set V about p in IR" + 1 and a parametrized n-surface 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 = f-l(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, Xi-l, 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 n-surface.
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 IvJ-l(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
, ... , Ui-l' C, Uj, , un)
cp is the required parametrized n-surface. 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 f-l(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 n-surface 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 n-surface cp: U -+ /R"+I whose image is an open subsetof
the oriented n-surface 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 ann-tuple of-real 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 semi-circle 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 semi-circle 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 n-sphere 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 cp-I 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 n-surface 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
n-sur/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 I-surface qJ.
The straight lines in t/I(V) are the lines fJ.(s) = qJ(q) + sN(q) (q The transverse
I-surfaces 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 n-surfaee in
o
Theorem 1 says that about each point p of an n-surface Sin IRn+ 1 there is
an open set V such that S n V is the image of a one to one parametrized
n-surface. Theorem 2 says that about each point p in the domain of a
parametrized n-surface cp on IR
n
+ 1 there exists an open set V such that
Image (cp Iv) is an n-surface. Whenever a subset S of IR
n
+ 1 is described both
as an n-surface S = f - 1 (c) and as the image of a parametrized n-surface
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, Gauss-Kronecker 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 n-surface in
IR
n
+ 1 then, locally, Image cp is an n-surface; that is, a level set of a real valued
function f with non-vanishing gradient. A natural question is whether a
similar statement can be made about Image cp where cp is a parametrized
n-surface in lR"+k. The answer is affirmative. The statement is the same, with
n-surface in IR
n
+ k defined as follows.
A surface of dimension n, or n-surface, in IRn+k(k 1) is a non-empty
subset S of IR
n
+
k
of the form S = f-l(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 n-surface in IR
n
+
k
is a non-empty
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 n-surface in IR
n
+
k
is the intersection of k (n+k-l)-surfaces which
15 Local Equivalence of Surfaces and Parametrized Surfaces 127
s
Figure 15.7 A I-surface S in 1R3 is the intersection f-l(cd fi f-
1
(C2) of two
2-surfaces.
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 anon-surface S = li-t(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 k-dimensional subspace spanned by the vectors
{V/t(P), ... , V!t(p)} is the normal space to Sat p (see Figure
EXAMPLE 1. A I-surface 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 I-surface
(space curve) in 1R3.
128 15 Local Equivalence of Surfaces and Parametrized Surfaces
Then S =fl1(1) nf2"I(1) is a 2-surface 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 n-surface in IR"+ 1 as defined in Chapter 4
was not general enough to include surfaces like the Mobius band, the
definition of n-surface in 1R"+k given in this section is not general enough to
include all subsets of !R"+k which might be called n-surfaces. 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
n-surfaces in 1R"+k of this chapter are "normally frameable" n-surfaces, 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 n-surface 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 n-surface 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 n-surface 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 n-swfaces). 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 n-surface in IR
n
+ 1 whose
Gauss-Kronecker 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 n-sphere sa. Find a
formula for the parametrized n-surface 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 n-surface qJ: IR" --. ga - {q} where q is the
north pole (0, ... , 0, 1) of the unit n-sphere 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 n-surface 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 setsf-1(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 f-1(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 n-surface in IR" + 1: exhibit a one to one parametrized I-surface
in 1R2 whose image is not a I-surface.
15.5. Let S be an oriented n-surface 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 2n-surface
in 1R211+2. (T(S) is the tangent bundle of S.)
15.6. Let S be an oriented n-surface 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 4-tuple (x h ... , X4) with the matrix
show that the setO(2) of orthogonal 2 x 2 matrices is a I-surface 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 skew-symmetric 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 orthogonal-n 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 n-surface 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.n-surface 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 n-surface. I
15.14. Let C =fil(Cl) f"'I fi" 1 (Cl) be a 1-surface 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 n-surface 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 n-surface in ~ n + 1. For
s =1= 0, however, CPs may fail to be a parametrized n-surface 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 n-surface 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 n-surface, 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 non-zero
132
16 Focal Points 133
Figure 16.1 lis a focal point of the parametrized I-surface 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 n-surface 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 non-zero 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 n-surface 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 n-surface 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 semi-definite 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 n-surface 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 n-surface 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 n-surface 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 n-surface 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 1-surface 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
n-surfaces.
The volume of a parametrized n-surface 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 n-surface. 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 2-surface 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 n-surfaces in IR
n
+
k
for all k ~ O. Even more generally, it enables us
to attach an n-dimensional 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 n-surface is a singular n-surface but that
singular n-surfaces are not, in general, parametrized n-surfaces. The
volume V(cp) of a singular n-surface 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 3-surface 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 n-surface 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 Gauss-Kronecker curvature of cp and the ET are the
coordinate vector fields along cpo
PROOF. The coordinate vector field Ef of the singular n-surface 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 Gauss-Kronecker 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 Gauss-Kronecker curvature K of an oriented n-surface
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 n-surface in IR"+ 1 to another and any PES with
dfp: Sp ..... S /(p) non-singular, 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 Gauss-Kronecker curvature K(P) at a point p of an
oriented n-surface 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 n-surface is unchanged under reparam-
etrization. A reparametrization of a singular n-surface qJ: U 1 ..... IR" + k is a
singular n-surface 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 n-surfaces will
always have the same images. Furthermore, if qJ is a parametrized n-sut:face
and t/I is a reparametrization of qJ then t/I is a parametrized n-surface 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 n-surface 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 n-surfaces 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 n-surfaces. 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 n-surface S in \R"+1; its integral will be
the volume of S.' is an exampteof a differential n-form.
A differential kform, usually called simply a k{orm, on an n-surface 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 .. , Vi-h 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 k-form 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 k-form 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 1-form 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 1-form on S. Wx is called the 1-form dual to X.
EXAMPLE 2. Let Wl and W2 be 1-forms 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 2-form on S. Wl /\ W2 is the exterior product of W
1
and W2 .
EXAMPLE 3. The volume form' on an oriented n-surface S in IR
n
+ 1 is a
smooth n-form on S.
EXAMPLE 4. Let w be a k-form (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 k-form on an m-surface S and let f: S ~ S be a
smooth map from the n-surface S into S. Then the function f*w defined by
(f*w)(v
1
, ... , Vt) = w(df(vd, ... , df(vt))
is a k-form on S. f*w is called the pull-back of wunder f
The sum of two k-forms W
1
and W2 on an n-surface S is the k-form
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 k-form w on S is the k-formfw on S
defined by
for v 1, ... , V
t
ESp, pES. Note that the sum of two smooth k-forms is smooth
and that the product of a smooth function and a smooth k-form is smooth.
17 Surface Area and Volume 149
For w a smooth k-form on an n-surface Sand lp a singular k-surface 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 k-surface qJ in S and co
is a smooth k-form 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 n-surface S. This is done by expressing the n ... form as J sum of
n-fortnSwi 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
n-fonns 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 n-surface 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 n-surface 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 Heine-Borel 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 Heine-Borel
Theorem (see, e.g., Fleming, Functions of Several Variables, Springer-Verlag
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 n-form OJ over a compact oriented n-surface
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 n-surface 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 3-sphere in \R
4
with part of a
2-sphere 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 n-surface.
153
(b) Show that q>,. maps U one to one onto a subset of the unit n-sphere 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 n-dimensional 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 2-surface 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 n-surface 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 n-surface 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 k-form on the n-surface 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 n-surface 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 n-form 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 k-form and let (02 be an I-form on the oriented n-surface 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 I-form on S then (01/\((02 + (03) =
(01 /\ (02 + (01 /\ (03
(d) Show that if (03 is an m-form 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 1-form 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 n-surface in IR
n
+ 1, let S be an oriented m-surface in
IR
m
+ 1, let f: S -+ S be a smooth map, and let (0 be a smooth k-form on S.
(a) Show that f*(O is a smooth k-form on S.
(b) Show that if q> is a singular k-surface 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 n-sphere 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
_Ie-lIt 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 n-surface 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 n-surface 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 n-surface cp with a family of
singular n-surfaces 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 n-surface. 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 n-surface 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 -N-fLCjiEj
= 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 n-surface
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 n-surfaceqJ. which can
be obtained from cp via a small compactly supported normal variation.
Theorem. Let cp: U -+ IR" + 1 be a parametrized n-surface 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 n-surface 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-
mal2-surfaces 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 n-plane 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 n-surface 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 2-surfaces 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 2-surface
obtained by rotating IX about the X l-axis is given by
qJ(t, 0) = (t, y(t)cos 0, y(t)sin 0).
A straight-forward 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
xl-axis 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 l-axis 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 xl-axis 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 I-surface in 1R2. Show that S is a segment of a
straight line.
18.4. Show that the Gaussian curvature of a minimal 2-surface in 1R3 is
everywhere :s; O.
18.5. Show that an oriented 2-surface 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 minimal2-surface S in 1R3 is regular then it is
conformal; i.e., show that if dN p: S p -+ is non-singular (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 n-surface. 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 n-surface 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
n-surface 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 non-geodesic.
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 n-surface 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 2-plane 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 n-surface.
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 n-surface 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 2n-surface 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 non-singular, 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 non-Isingular.
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 e-ball 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 e-ball 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 n-surface 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 n-surface 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 I-form 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 non-zero 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 n-surface 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 I-parameter 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 n-surface 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 n-surface 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 2-sphere 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 n-surface 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 n-surface 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 n-surface 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 Gauss-Bonnet theorem. We shall first discuss n-surfaces-with-
boundary. Then we shall develop a little bit of the differential calculus of
forms.
An n-surface-with-boundary in !R"+ 1 is a non-empty subset S of !R"+ 1 of
the form
s = f-1(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 n-surface in !R"+ 1 and
in fact that S itself is part of an n-surface (f-1(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 n-surface-with-boundary in !R
n
+ 1 may be
described as
S = {p E $: gl(P) ~ Cl' ... , gk(P) ~ Ck}
where $ is an n-surface 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 2-surface-with-boundary 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 = f-l(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 n-surface-with-boundary 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 cylinder-with-boundary S == at )( 1.
The tangent space at a point PES, S = f-l(C) n n:.l g, 1(( -
nsurface-with-boundary in &1"+ 1, is the n-dimensional .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) outward-pointing if v Vgi(p) > 0
(il) inward-pointing 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 outward-pointing 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 outward-pointing 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 inward-pointing 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
n-surfaces without boundary. Note that each orientation N on S defines a
volume form on S, i.e., a smooth n-form , 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 n-surfaces 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 n-surface in !R
n
+
m
or an n-surface-with-boundary in
!R
n
+ 1. A volume form on S is a smooth n-form , 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 n-surfaces-with-
boundary in !R
n
+
m
We leave it to the interested reader to formulate a
definition of "n-surface-with-boundary in !R
n
+
m
". For n-surfaces or n-
surfaces-with-boundary 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 n-surface-with-boundary 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 n-forms over compact oriented n-surfaces in
!R
n
+
m
or over compact oriented n-surfaces-with-boundary in !R
n
+ 1 can now
be defined exactly as for n-surfaces in !R
n
+ 1. We first define local parametriza-
tions. For S an oriented n-surface 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 n-surface-with-boundary 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 n-surface 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 n-surface 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 2-surface-witb-boundary.
The existence of one to one local parametrimtions whose images cover
the given n-surface .(or n-surface-with-boundary) 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 n-form on the compact oriented n-surface 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 n-surfaces in IR" + 1
(see Chapter 17).
Having defined the integral over S of an arbitrary smooth n-form w, we
can define the volume of a compact oriented n-surface S in 1R"+m or of a
compact oriented n-surface-with-boundary 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 n-surface or an n-surface-with-boundary in IR"+ 1. The differ-
ential of a smooth function f: S ~ IR is the smooth I-form df on S defined by
df(v) = Vvffor v ESp, pES. The exterior derivative ofa smooth I-form w
on S is the smooth 2-form 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 I-forms.
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 cp-I,
we see that V} has vector part (oCP/OXj) 0 cp-I 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
2-surface 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 I-form 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 I-form on Sand cp: U S a singular 2-surface we may, in
some open set W about any given point of Image cp, express w as
w = II; dg
i
Then, on cp-l(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 2-surfaces. This formula is the natural generaliza-
tion to 2-surfaces 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 2-surfaces-with-boundary".
Let S be an n-surface or an n-surface-with-boundary 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 half-disc 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 half-disc, and a singular triangle in the
2-surface-with-boundary 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 2-form W on S over one of these singular 2-
surfaces-with-boundary ({J. is defined in the same way as the integral of W
oyer a singular 2-surface:
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 n-surface or an
n-surface-with-boundary, let (J) be a smooth I-form -on S, and let ({J be either a
singular disc, a singular half-disc, 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

- = f (WI dXI + W2 dX2)


!i!(rp) UXI uX2 a
where cx is the piecewise smooth parametrized curve used in the definition of
all' and Xl' X2: 1R2 IR are the coordinate functions on 1R2 (xi(ab a2) = ail.
Hence, letting [a, b] denote the domain of cx and letting CXb CX2 denote the
coordinate functions of cx (cx(t) = (CXI(t), CX2(t)) for t E [a, b]) we have
f dw = f dw(E
I
, E
2
) = f - = f (WI dXI + W2 dX2)
rp !i!(rp) !i!(rp) uXI uX2 a
b
= f ((WI 0 CX) + 0 CX)
II
f
b (dCXI dCX2 )
= W - EI 0 CX + - E2 0 CX
II dt dt
b b
= f = f W(q> 0 cx) = f W = f W.
II II rpoa iJrp
D
Theorem 2 (Global Stokes' Theorem). (i) Let S be a compact oriented 2-
surface-with-boundary in 1R
3
, let its boundary as be oriented by its induced
orientation, and let W be a smooth l{orm on S. Then
f dw = f w.
S iJS
(ii) Let S be a compact oriented 2-surface (without boundary) in 1R3 and let W
be a smooth l{orm on S. Then
f dw = O.
s
PROOF. For each PES we can find a one to one local parametrization q>p of S
with p E Image q>p' We may assume that the domain of each q>p, for p in the
interior of S, is an open ball and, in fact, by composing with a diffeomor-
phism of 1R2 if necessary, that the domain of q> p is the ball of radius 2
centered at the origin in 1R2. For pEaS we may similarly assume that the
domain of q>p is the intersection with IR:' of the ball of radius 2 centered at
the origin in 1R2 and that q>p 0 p, where P(t) = (1 - t, 0) for -1 t 3, is a
local parametrization of as (see Exercise 20.1). Note that the parametrized
I-surface q>p 0 p is consistent with the orientation on as; indeed, the induced
orientation on as was constructed precisely so that this would be true.
Proceeding as in the proof of Theorem 4, Chapter 17, we can construct a
20 Surfaces with Boundary 187
partition of unity {Ji} on S subordinate to a finite collection {q>i = q>pJ of
these local parametrizatiops and in fact such that each Ji is identically
zero outside q>,(O fl where 0 fl = 0 if Pi e S - as and
o fl = 0 fl R:' if Pi e as (take r p = 1 in the partition of unity
construction). Then, by Lemma 1,
dro = LJi dro = L (d(Jiro) - dJi Aro).
Since
L dJi A ro = d(LJi) A ro = d(l) Aro = 0,
we have
f. dro = L f. d(Jiro) == L r d(Jiro)
s ,s
where the last equality holds because Ji ro, and hence d(fi ro is identically
zero outside q>.(O fl Exercise 20.6). Letting." j == (J'iJO we
see further that
f. tiro = L f d(Jiro) == 1: f Jiro
s !/II
where the last equality is a consequence of Theorem 1. 'Letting
J == {I: Pi e as} we&d that, fori # J;Ji 0 q>, is zero outside 0, hence on the
boundary of 0, and sofi 0 8t/Ii == Owhicb 'implies that $,;;, It ro == O.lt follows
that if S is withoutboundarytben. $sdw = O. On' the other hand, if S has a
boundary then {hfas: i e J} mat partition of unity on as subordinate to the
local parametrizations {q>f 0 /1: i eJ}, and Jio Ol/Ii == 0 for 2 :s; t :s; 1C + 2 so
h
ro
== $.,._ Jim for Ie $ (Ji 0 .io fJ.O for t:s; 0 and for t 2) and
o
EXERCISES
/
20.1. Let S = f-l(C) ("\ gil - cx>, cIl) ("\ ... ("\ g; 1 -cx>, cJ) be a n-surface-with-
boundary in R"+ 1 and suppose pel, 1 (Cf). Show that there exist, a par-
ametrized n .. surface ,,: B ...... Rlt+l,'where B. is a ball of radius 8 about 0 in R",
such ,,(0) = p and ,,1 n .... -: maps Be ("\ R!.. one to one onto an open set
Wabout pinS. [Hint: First find a local parametrization y,: u ..... f-1(C) with
image containing p. Then apply the inverse function theorem to the map
q,: U -+!Ji" defined by q,(Xh ... , XII) = (X., .. ,' XJ-It XJ+h ... , XII'
gi(t/I(X" ... , XII)) - Ci) wherej is such that (o/OXJ)(gi 0 t/I)(t/I-I(p)) O.
188 20 Surfaces with Boundary
20.2. Let S be an n-surface or n-surface-with-boundary in IR
n
+ I and let W be a
smooth I-form on S. For V h V 2 any two smooth tangent vector fields on an
open set U c S, define Jl(V h V 2): U -+ IR by
(Jl(V h V 2))(P) = VV1(P)W(V 2) - VV1(P)W(V d - W([V h V 2](P)).
(a) Show that
Jl(fV h V 2) = fJl(V h V 2) = Jl(V h fV 2)
for all smooth functions f: U -+ IR.
(b) Show that if W I and W 2 are smooth tangent vector fields on U such
that WI(p) = VI(p) and W
2
(p) = V
2
(p) for some P E U then Jl(V
I
, V
2
)(p) =
Jl(W
h
W
2
)(p). [Hint: Take Xl' ... , Xn smooth tangent vector fields, defined
on some open set V c U with P E V, such that {Xl (q), ... , Xn(q)} is a basis
for Sq for all q E V. Express the given vector fields as linear combinations of
the X/s and apply part a).]
(c) Conclude that the value ofthe right hand side ofthe formula used in this
chapter to define dw is independent of the choice of vector fields V I and V 2
20.3. Let S be an n-surface in IR
n
+ I, let oS be an m-surface in IR
m
+ I, and letf: S -+ oS be
a smooth map.
(a) Show that if WI and W2 are I-forms on oS then f*(WI" (2) =
f*WI "f*W2'
(b) Show that if g: oS -+ IR is smooth thenf*(dg) = d(g 0 f).
(c) Show that if W is a smooth I-form on oS thenf*(dw) = d(f*w).
[H int: Use the fact that, for U a suitably small open set in oS, w Iu = L7 = I ii dg
i
where ii and gi: U -+ IR are smooth functions (see the proof of Lemma 2).]
20.4. Let S be an n-surface in IR
n
+ I and let w be a smooth 2-form on S. Show that if
qJ: U -+ S is a one to one local parametrization of S then there exist smooth real
valued functions iij (I:::;; i < j :::;; n) and gi (I:::;; i :::;; n) on qJ( U) such that
w IIP(u) = LI ~ i < j ~ n iij dg
i
" dgj . [Hint: See the proof of Lemma 2.]
20.S. Let U be an open set in 1R2 containing ~ where ~ is A, 0, or 0 n IR:', and
suppose WI and W2 are smooth real valued functions on U. Prove Green's
theorem:
where ex is the piecewise smooth parametrization of the boundary of ~
described in this chapter. [Hint: Break the left hand side into a difference of two
integrals, evaluate these by iterated integration, and reparametrize the curve
which appears in the resulting line integral.]
20.6. Let S be an n-surface in IR
n
+ I and let w be a smooth n-form on S. Suppose w is
identically zero outside qJ( C) where qJ: U -+ S is a local parametrization of S
and C is a compact subset of U. Show that Is w = IIP w. [Hint: Construct a
partition of unity {ii} on S with the property that for each i either (i) ii is
identically zero outside qJ( U), or (ii) ii is identically zero on qJ( C).]
20.7. Let w be a smooth k-form on an n-surface S. For PES and Vh ... , Vk+I ESp,
20 Surfaces with Boundary 189
let
da>(Vh ... , vHd == L (-I)'-1Vyj co (Vh ... , V'-h Vi+h ... , VHd
1S'Sl+1
V
J
-
1
, V
J
+
1
, ... , V
H1
)(P)
where V h t V H 1 are smooth tangent vector fields, defined on an open set in
S, such that V,(P) == Vi for each i. Show that the value ofthe right hand side of
this formula is independent ofthe choice of vector fields V 1, , V H h and that
dco is a smooth (k + I)-form on S. [Hint: See Exercise 20.2.] dco is the exterior
derivative of the kform co.
20.8. Show that exterior differentiation of smooth k-forms (Exercise 20.7) has the
following properties:
(a) If co and " are smooth k .. forms on S then d(co + PI) == dco + d".
(b) If f: S .-. R is a smooth function and co is a smooth k-form on S then
d(fco) == df ACO + f dco.
(c) If co is a smooth kform on S and " is a smooth I-form on S then
d(co A,,) == da> A" + (-lrco Ad".
(d) d
2
== O.
20.9. Let X be a smooth vector field on an n-surface S and let eox be its dual I-form.
I (a) Show that, for V, we S" peS,
deox(Y, w) == (VyX) w- (V" X) V.
(b) Show that if S == R3 then
deox(v, w) == (curt X) (v x w)
where
(curl X)(P) == (p, aX
3
_ aX
2
, ax 1 _ ax
3
, aX
2
_ ax 1)1 '
aXl aX3 aX3 aX1 aX1 aX2,
X 1, X 2, and X 3 being the component ~ o n s of X.
20.10. letS be a compact oriented 2-surface-with-boundary in R3 and let X be a
smooth vector field defined on an open set U in R3 containing S.Prove the
classical Stokes' formula
f (curl X) N == f X T
s n
where curl X is as in Exercise 20.9, N is the orientation vector field on S, and
T(P) is, for each peaS, the unique unit vector tanaent to as at p'such that
{T(p)} is consistent with the induced orientation on as. (Hint: A p p l ~ Theorem
2 to the I-form iCOx where i: S.-. R3 is defined by i(q) == q for all q e S.]
21
The Gauss-Bonnet Theorem
In this chapter we shall study the integral Js K of the Gaussian curvature
over a compact oriented 2-surface S. We shall see that (1/2n) Js K always
turns out to be an integer, the Euler characteristic of S. This is the 2-
dimensional version of the Gauss-Bonnet theorem. A similar result is valid
in all higher even dimensions but the computations are less transparent so
we shall be content with a few comments about this more general case at the
end of the chapter.
The Gauss-Bonnet theorem is obtained by applying Stokes' Theorem to
a I-form constructed with the aid of a unit tangent vector field. Let S be an
oriented 2-surface or 2-surface-with-boundary in 1R3. Suppose X is a smooth
unit tangent vector field defined on an open set U in S. We use the vector
field X to construct a I-form w on U as follows. For any v ESp, PES, let
Jv ESp be the vector obtained from v by a positive rotation in S p through
the angle n12. Thus Jv = N(p) x v where N is the orientation vector field on
S. Note that {v, Jv} is an ordered orthonormal basis for Sp consistent with
the orientation of S. We define the I-form w on U by
w(v) = (DvX) JX(p) = (V v X) JX(p)
where D denotes covariant differentiation (Dv X is the tangential component
ofVvX). This I-form w is called the connection/orm on U associated with X.
Note that JX, defined by (JX)(p) = JX(p), is a smooth unit vector field on U
which is everywhere orthogonal to X and that .
190
DvX = w(v)JX(p)
Dv(JX) = -w(v)X(p)
21 The Gauss-Bonnet Theorem
191
Indeed, X, being a unit vector field on S, has derivative Dv X orthogonal to
X(p). Hence Dv X = aJX(p) for some a E R, and a = Dv X JX(p) = w(v).
Similarly, Dv(JX) = bX(p) where
b = Dv(JXj X(p) = Vv(JX X) - JX(p) DvX = - w(v).
The connection form w measures, up to sign, the rotation rate, relative to
X, of parallel vector fields along parametrized curves in U. In order to see
this, we must first formulate precisely the meaning of" rotation rate". Sup-
pose ex: [a, b] -+ S is a parametrized curve in Sand Y and Z are smooth unit
vector fields tangent to S along ex. Then
.Z(t) = cos 8(t)Y(t) + sin 8(t)JY(t)
for some smooth function 8: [a, b] -+ R (see Figure 21.1).
Z(t)
Figure 21.1. 6(t) measures the angle of rotation from Y(t) to Z(t).
An explicit formula for such a function 6 may be obtained as follows. Let
fJ: 1 .-. R2 be defined by
fJ(t) = (Z(t) Z(t) JY(t)).
Then IIfJ(t)1I = 1 for all tel so in particular we can find a 6
0
E R such that
fJ(a) = (cos 60, sin 6
0
). Set 6(t) = 6
0
+ Jilt " where fJt is the restriction of fJ
to the interval [a, t] and " is the I-form on R2 given by
" = -[x2/(xi + xi)] dXl + [xd(xi + xi)] dX2.
Then fJ(t) = sin 6(t)) for all tel, as required (see the proof of
Theorem 3, Chapter 11).
The function 8 measures the angle of rotation from Y to Z along ex. It is
not uniquely determined, but any two such functions must differ by a mul-
tiple of 21t. Hence, the derivative 8'(t) is uniquely determined. 8' is called the
rotation rate of Z, relative to Y, along tX. The real number 8(b) - 8(a) is also
uniquely determined; it is called the total angle of rotation of Z along ex,
relative to Y. i
Lemma 1. Let S be an oriented 2-surface in R
3
, let X be a smooth unit tangent
vector field on an open set U in S, and let w be the connection form on U
assoCiated with X. Suppose ex: [a, b] -+ U is any parametrized curve in U andZ
192 21 The Gauss-Bonnet Theorem
is any parallel unit vector field along ex. Then
(i) w(eX) is equal to the negative of the rotation rate ofZ, relative to X (or,
more precisely, relative to X 0 ex), along ex.
(ii) Sex w is equal to the negative of the total angle of rotation of Z, relative
to X, along ex.
PROOF. (i) Let 0: [a, b] --+ IR measure the angle of rotation from X to Z along
ex. Since Z is parallel along ex,
0= Z' = (cos 0 X 0 ex + sin 0 JX 0 ex)'
= - 0' sin 0 X 0 ex + 0' cos 0 JX 0 ex + cos 0 Da, X + sin 0 Da, JX
= (0' + w(ci))( -sin 0 X 0 ex + cos 0 JX 0 ex)
(we have used here the above boxed formulas) and hence 0' + w(eX) = 0; i.e.,
w(eX) = - 0'.
(ii) Sex w = S: w(eX) = - S: 0' = - (O(b) - O(a)). 0
If ex: [a, b] --+ U is a unit speed geodesic in S then the velocity field eX is
parallel along ex and may be used as the vector field Z in Lemma 1. Then
Lemma 1 says that Sex w measures the negative of the total angle of rotation
of eX with respect to the vector field X. The I-form w can also be used to
measure the angle of rotation of eX with respect to the vector field X for ex any
smooth unit speed curve in U. The relevant formula contains also the
geodesic curvature Kg: [a, b] --+ IR of ex, defined by
Kg = (eX)' JeX.
The geodesic curvature measures how much ex deviates from being a
geodesic. Its magnitude I Kg I is just the magnitude II eX' II of the covariant
acceleration eX' of ex since eX, being a unit vector field along ex, has covariant
derivative orthogonal to itself and hence a multiple of J eX. Note that ex is a
geodesic if and only if Kg is identically zero.
Lemma 2. Let S, X, U and w be as in Lemma 1 and let ex: [a, b] --+ S be a
smooth unit speed curve in U. Then the total angle of rotation ofeX with respect
to the vector field X is equal to S: Kg - Sex w.
PROOF. Let Z be a parallel unit vector field along ex, let 0: [a, b] --+ IR measure
the angle of rotation from X to Z along ex, and let cP: [a, b] --+ IR measure the
angle of rotation from X to eX. Then cP - 0 measures the angle of rotation
from Z to eX; that is,
eX = cos(cP - O)Z + sin(cP - O)JZ,
and
JeX = -sin(cP - O)Z + cos(cP - O)JZ.
Taking the covariant derivative of eX and using the fact that Z and JZ are
21 The Gauss-Bonnet Theorem 193
both parallel along ex (JZ is parallel because by the existence and uniqueness
theorem for parallel vector fields there"is a unique parallel vector field along
ex with initial value JZ(a); this vector field must be smooth, of unit length,
and orthogonal to Z along ex; and JZ is the only such vect<:>r field) we find
ri' = (c/J' - 8')( -sin(c/J - 8)Z + cos(c/J - 8)JZ)
so
Kg = ft.' Jft. = c/J' - 8'.
Hence the total angle of rotation of eX relative to X is
b. . b b b
f cJ>' = f Kg + f 8' = f Kg - f W.
d d d 4
o
The relation between the I-form w and the Gaussian curvature is as
follows.
Lemma 3. Let S, U, X, and wbe as in Lemma 1. Then, on U,
. dw = -KC
where K is the Gaussian curvature ofS and C is the volumeform on S.
; PROOF. By Exercise 17.13, dw = Jr. for somef: U 4 R. To findf(P)(P E U)we
need only evaluate dwand C on a basis for S,. The basis we shall use is the
coordinate basis { E l ( P ~ E2(P)} attached toa local parametrization qJ of S
whose image contains p and is contained in U. Then, by Lemma 2, Chapter 20,
(
OW2 aWl a ,. .. 1 a ( )
dw Eh E
2
) = - - - = - \.V\E
2
) - - w El
oX
l
OX2 OXl OX2
a a
=-(VE X JX 0 qJ) - -(VE X JX 0 qJ)
OXl 2 OX2 I
= (VEl V
E2
X - V
E2
VEIX) JX 0 qJ
+ V
E2
X VEIJX:- VEIX V
E2
JX
where VEiZ for Z a smooth vector field. on U is the smooth vector field along
qJ defined by (V Itt Z)(p) = V Ed,) Z, and V Itt Z for Z a smooth vector field along
qJ is the smooth vector field along qJ defined by (V Itt Z)(p) = V .. Z. Here
el = (p, 1; 0) and e2 = (p,0, 1). The first terttl in the above expression vanishes
by the equality of mixed partial derivatives. Furthermore,
VEiX = DEiX + ((VE,X) N 0 qJ)N 0 qJ
= DEiX + (L(Ei) X 0 qJ)N 0 qJ
where L(E,) is the vector field along qJ defined by L(E,)(p) = L,(E,(P)) =
- VlttN, L, being the Weingarten map of qJ at p. Using this and the corre-
194 21 The Gauss-Bonnet Theorem
sponding formula for V Ei JX we find
dw(El' E
2
) = DElX DEI JX - DEIX DElJX
+ (L(E2) X 0 qJ )(L(El) JX 0 qJ)
- (L(Ed X 0 qJ )(L(E2) JX 0 qJ).
The first two terms on the right hand side of this last formula vanish because,
for each i and j, the derivative DEiX of the unit vector field X must be
orthogonal to X, hence a mUltiple of JX, and hence orthogonal to DEjJX.
Applying the vector identity
(Vl x v
2
) (V3 x v
4
) = (Vl V
3
)(V
2
v
4
) - (Vl V
4
)(V2 v
3
)
to the remaining two terms yields
dw(El' E
2
) = (L(E2) x L(Ed) (X 0 qJ x JX 0 qJ)
= -L(El) x L(E
2
) N 0 qJ
= - (det L) El x E2 N 0 qJ
= - (K 0 qJ )det ( ::)
NOqJ
= - (K 0 qJ X(E
l
, E
2
)
= - (K,)(E
l
, E
2
)
from which we can conclude that dw = - K'. o
Theorem 1. Let S be an oriented 2-surface in 1R3 and let U be an open subset of
S on which there is defined a smooth unit tangent vector field X. Then, for
qJ: 0 --+ U any singular disc in U and Z any parallel vector field along oqJ,
Jtp K, is equal to the total angle of rotation of Z, relative to X, along oqJ.
PROOF. Let w be the connection form associated with X. By Lemma 3 and
Stokes' theorem,
f K, = - f dw = - f w
tp tp all'
which, by Lemma 1, is equal to the total angle of rotation of Z, relative to X,
along oqJ. 0
Remark. Theorem 1 shows, in particular, that the total angle of rotation
of Z relative to X along oqJ is independent of both X and Z and in fact
depends only on qJ; this angle is called the holonomy angle of qJ. Note that
this angle depends crucially on qJ and not just on oqJ (see Figure 21.2).
21 The Gauss-Bonnet Theorem
\
o
195
Figure 21.2. The total angle. of rotation of a unit vector field Z parallel along
ex = OqJl = ikp2, with respect to a unit tangent vector field Xl on U 1 = 52 - {Pl}' will
be considerably different from the total angle of rotation of Z along ex relative to a
unit tangent vector field X
2
on U 2 - 52 -{P2}'
Theorem 1 also yields an interesting interpretation of the Gaussian
'curvature: K(P1 peS, is the liInit, as aciise pshrinks to zero, of the
ratio:holonomy angle of lfJ/area of lfJ. More precisely, we have the following.
C.-ollary. Let S be an oriented 2-swface in R3, let peS, and let lfJ:O -+ S be a
singular disc in S with lfJ(O) = p and Ri -+ S II non-singular. Then
K(P) == lim
a-O
where D -+ S is defined by == is the holonomy angle oflfJa,
and A(lfJa) is the area of lfJa (see Figure 21.3).
PROOF. For B sufficiently small, Image lfJa is contained in the image of a one
to one local parametrization of S and hence there exists a smooth unit vector
field X (e.g., a normalized coordinate vectotfield) on an open set containing
Image lfJa' The regularity of lfJ at 0 guarantees that A(lfJa) =1= 0 for all B > O.
Using Theorem 1, the mean value theorem for integrals, and the fact that the
coordinate vector fields :. along are ll'lated to the coordinate vector
fields Ei along lfJ :by E1(q) = eE
i
(eq1 we find
8(lfJJ f",KC fe(K 0 lfJa)C(Ei, E2) K(lfJa(qd)C(Ei(ql1 fe 1
A(",,) = 0 = f {(El., =
qt. 0
K(lfJ(eql)C(E
1
(eq11 E
2
(eql))
C(El(eQ21 E
2
(eQ2))
196
Image ((J
Image ((J1/2
Image ((J1/4
21 The Gauss-Bonnet Theorem
FigUre 21.3. The Gaussian curvature K(p) is equal to the limit, as B -+ 0, ofthe ratio:
holonomy angle of qJ(jarea of qJr;.
for some Q1' q2 E 0 (depending on e). Taking the limit as e--+-O completes the
proof. 0
The Gauss-Bonnet theorem in its local form relates the integral of the
Gaussian curvature over a regular triangle to the integral of the geodesic
curvature over its boundary. By a regular triangle in an oriented 2-surface S
we mean a singular triangle qJ: ~ --+- S which is the restriction to ~ of a one to
one local parametrization of S defined on some open set in 1R2 containing ~ .
The boundary oqJ: [0, 3] --+- S is then a piecewise smooth curve in S with the
property that (Xi = oqJ 1[i-1. iJ is a regular parametrized curve (cXi :1=.0) for
i E {1, 2, 3}. The exterior angles of a regular triangle qJ are the unique real
numbers (Jh (J2, (J3 E (-n, n] such that
Vi = (cos 8
i
)Ui + (sin (Ji)JUi
whereui = cXi(i)/llcXi(i)11 foriE {1,2, 3}, Vi = cXi+1(i)/llcXi+1(i)11 for iE {1, 2}, and
V3 = cX1(0)/IIcX1(0)II (see Figure 21.4). In fact, 0 < (Ji < n for each i since qJ is
orientation preserving.
Image (X3 Image ((J
Image (X 1
Figure 21.4. The exterior angles of a regular triangle.
21 The Gauss-Bonnet Theorem 197
Theorem 2 (Local Gauss-Bonnet Theorem). Let S be an oriented 2-surface in
R3 and let cp: ~ -+ S be a regular triangle in S. Then
b 3
f K{ + f K, = 2n - . L 8i
" " 1==1
where K is the Gaussian curvature ofS, {is the vo,lumelorm onS, p: [a, b] -+ S
is a unit speed reparametrization olocp, K, is the geodesic curvature 01 p, and
8
h
8
2
,8
3
are the exterior angles 01 cp.
PROOF. Since cp is the restriction toA of a one to one local parametrization {p,
there exists a smooth unit tangent vector field X defined on an open set U
in S containing Image cp. Indeed, we may take U = Image cP and
X = El {P-l/IIE
l
o {p-lll whereEI is the first coordmate vector field of (p.
Let Q) be the connection form on U associated with X. Then, by Lemma 3
and the local version of Stokes' theorem,
f" K, = - f" dw = - fb" Q) == - f_ Q) = - f_1Q) - fh Q) - f_
3
Q)
where the Pi: [ai' b,] -+ S are the three smooth segments of p. By Lemma 2,
bl
f Q) = f K, - cPi
111 "I
where cPi is the total angle of rotation of Pi with respect to X. But, choosing
8
0
so that
Pl(al) = cos 8
0
X(p(ad) + sin 8
0
JX(p(ad),
we see that (see F ~ 21.5).
Pl(b
1
) =cos(8
0
+ cPdX(p(a2 + sin(8
0
+ 4Jl)JX(P(a2
P2(a2) = cos(8
o
+ cPl + 8
1
)X(p(al + sin(8
0
+cPl + 8
1
)JX(p(a2
P2(b
2
) = cos(8
0
+ cPl +8
1
+ cP2)X(p(a3 + sin(8
0
+ cPl + 8
2
+ cP2)JX(p(a3
Pl(al) = cos(8
0
+ L 4Ji + L 8
i
)X(p(ad) + sin(8
0
+ L cPi + L 8
i
)JX(p(ad)
Comparison of the two formulas above for PI (ad shows that
L cPi + L 8
i
= 21tk for some integer k.
Hence
bl
f K{ = - L f K, + L cPi
" iii
b
= - f K, + 2nk - L 8
i
II
198
21 The Gauss-Bonnet Theorem
Image qJ
Figure 21.5. The angle of rotation of P with respect to X increases by CPi along Pi
and increases by Oi at the ith vertex of cpo
so
for some integer k.
To see that k = 1, consider the singular triangle CPt: -+ 1R3 defined for
each t E [0, 1] by

Then CPt is in fact a regular triangle in the oriented 2-surface St = Image (Pt
where (Pt: W -+ 1R3 is the parametrized 2-surface obtained by replacing cP
everywhere in the above formula by a local parametrization (p: W -+ S of S
with (P 1.1 = cP, the open set W being chosen so that tp E W whenever PEW
and 0 t 1. The 2-surfaces St (0 t 1) describe a continuous deforma-
tion of the 2-surface S 1 = Image (P onto the 2-surface So which is a portion
of a 2-plane (see Figure 21.6). Letting Kt and C
t
denote the Gaussian curva-
ture and volume form of St and [tlr, btl -+ IR and denote the geodesic
Image qJo
Figure 21.6 The deformation CPt deforms the regular triangle cP to
the plane triangle CPo .
21 The Gauss-Bonnet 1Jteorem 199
curvature and exterior angles associated with the regular triangle CPt, the
argument above shows that
(f KtC
t
+ + L 11;) = kt
2n tp, Gr
where k' is an integer. But the left hand side of this equation varies contin-
uously with t, hence so must the right hand side. Since kt is always an integer,
kt must therefore have the same value for all t e [0, 1]. But when t = 0, the
regular triangle l{Jt is just an ordinary plane triangle bounded by straight line
segments, so KO = 0, = 0, L fit == 2n, and hence 1 = kO = k
1
= k. 0
Remark. The formula in this theorem can be rephrased in terms of the
interior angles {)i = n - 8
i
of cP as follows:
This formula has an interesting interpretation for geodesic triangles. A
geodesic triangle in S is a regular triangle cP: A -+ S such that each smooth
segment of ocp is a reparametrization of a geodesic. For such triangles,
K, = 0 so the local Gauss-Bonnet formula becomes
Since (L ()i) - n = 0 when S is a 2-plane (and, in fact, whenever K = 0), this
formula says that Itp KC measures the excess (in comparison with the geodesic
triangles of plane geometry) angular. content of the geodesic triangle cpo In
particular, if K > o everywhere then geodesic triangles in S have angle sum
> n, and if K < 0 everywhere the geodesic triangles in S have angle sum
< n.
The Gauss-Bonnet theorem in its global form expresses the integral Is K
of the Gaussian curvature of a compact oriented 2-surface S as 2n times a
certain integer associated with S. If there is a smooth nowhere zero tangent
vector field on S, this integer must be zero: .
Theorem 3. Let S be a compact oriented 2-surface in 1R3. Suppose there exists a
smooth nowhere zero tangent vector field on S. Then Is K = O.
PROOF. If X is such a vector field then X/IIXllis a smooth unit tangent vector
field on S. Letting 0) be the connection form associated with X/II X II we have,
by Lemma 3 and the global version of Stokes' theorem, I
f K = f KC = - f dO) = O.
s s s
o
Corollary. Let S be a compact oriented 2-.surface in 1R3 whose curva-
ture is everywhere O. Then there can be no smooth nowhere zero tangent
200 21 The Gauss-Bonnet Theorem
vector field on S.ln particular, there is no smooth nowhere zero tangent vector
field on 52.
PROOF. By Theorem 4 of Chapter 12 there must be a point PES with
K(p) > O. K must therefore be > 0 on an open set in S about p and since
K 0 everywhere it follows that Ss K > o. 0
To get some insight into what happens when there is no smooth unit
tangent vector field on S, consider the case where S is the sphere 52 oriented
by its outward normal. Although there can be no smooth unit tangent vector
field on 52, there is one on 52 - {p} where p = (0,0, -1) and there is
another on 52 - {q} where q = (0,0, 1). For example, we can define Xl on
52 - {p} by Xl = Efi 0 CPt
1
II/Efi 0 CPt
1
/I where CPl: 1R2 -+ 52 - {p} is the in-
verse of stereographic projection from the south pole p of 52 and 1 is its
first coordinate vector field, and we can similarly define X
2
on 52 - {q} by
X
2
= Ei
2
0 cpi 11 II Ei
2
0 cpi 111 where CP2: 1R2 -+ 52 - {q} is the inverse of ster-
eographic projection from the north pole q. Letting WI and W2 be the con-
nection forms associated with Xl and X
2
respectively and letting
= {(Xl' X2, X3) E 52: X3 O} and 5:' = {(Xl' X2' X3) E 52: X3 O}
we, see that and 5:' are 2-surfaces-with-boundary whose unIon is 52 and
whose intersection is the equator in 52. Furthermore, WI is defined on
and W2 on 5:' . Applying Lemma 3 and the global version of Stokes' theorem
yields
f
K=f Kc=f Kc+f Kc=-f dWl-f dW2
S2 S2 s! st s!
= - f WI - f W2 = - f WI + f W2
os!
where the last equality is due to the fact that a5:' and are the same
I-surface in 1R2 but provided with opposite orientations. Letting IX(t) =
(cos t, sin t, 0) for 0 t 2x, we see that IX 1(0, 21t) is a local parametrization
of a5! whose image misses only one point of and hence
f K = - f WI + f W2 = - f WI + f W2
S2 IX IX
But, by Lemma 1, - SIX WI is equal to the total angle of rotation of Z relative
to Xl along IX, where Z is any parallel vector field along IX (we could take
Z = ti), and SIX W2 is equal to the total angle of rotation of X
2
relative to Z
along IX; i.e., S S2 K = - SIX WI + SIX W2 is equal to the total angle of rotation of
X
2
relative to Xl along IX. Since X
l
(IX(2x)) = Xl(IX(O)) and X
2
(IX(2x)) =
X
2
(IX(0)), this total angle of rotation must be an integer multiple of 2x; i.e.,
(I/2x) SS2 K must be an integer. From Figure 21.7 it is easy to see that this
integer is 2 (as expected since SS2 K = SS2I = V(5
2
) = 4x).
21 The Gauss-Bonnet Theorem 201
Xl
Figure 21.7. The rotation angle of X
2
with respect to Xl increases by 2it along each'
half of the equator.
global Gauss-Bonnet theorem is obtained by generalizing the above
r construction to an. arbitrary compact oriented 2-surface S c: 1R3. We shall
first establish an integral formula for the total angle of rotation, along a
parametrized of one unit tangent vector field relative to another. Then
we shall study this total rotation angle along closed curves which encircle
" singularities" of one of the vector fields.
Lemma 4. Let X and Y be smooth unit tangent vector fields defined On an open
set U in an oriented 2-surface S. Let IDXY be the smooth l-/orm on U defined by
Wxv = fdg - gdf
wheref= X Yand g = X JY. Then
(i) daJxy = 0
(ii) J.Wxv, where ex is any parametrized curve in U, is equal to the total angle
of rotation of X relative to Y along ex.
Remark. Some insight into why this lemma is correct may be gleaned
from the observation that IDXY = d tan -l(glf) wherever f is not zero.
PROOF OF LEMMA 4.
(i) By Lemma 1 of Chapter 20,
dWxv = dfAdg - dgAdf= 2dfAdg.
,Butf2 + g2 = 1 and hence
0= d(f2 + g2) = 2fdf + 2gdg.
202 21 The Gauss-Bonnet Theorem
Taking exterior products of this equation with dg and with df yields
o = 2fdf A dg and 0 = 2gdf A dg.
Since f and g are never simultaneously zero, this implies that
0= 2dfAdg = dWxy.
(ii) Let 8: [a, b] -+ IR measure the angle of rotation from Y to X along IX
so that
X 0 IX = cos 8 Y 0 IX + sin 8 JY 0 IX.
Then f 0 IX = cos 8 and g 0 IX = sin 8 and hence
= (f 0 - (g 0
= (f 0 IX)(g 0 IX)' - (g 0 IX)(f 0 IX)' = 8'.
Integrating yields
b b
f WXy = f = f 8' = 8(b) - 8(a).
IX a a
o
Let X be a smooth unit tangent vector field defined on an open set U in
an oriented 2-surface S. An isolated singularity of X is a point PES such that
p U but V - {p} c U for some open set V in S containing p. Given an
isolated singularity p of X, we may choose
(i) B > 0 so that the exponential map exp of S maps the open ball BE of
radius B about 0 in S p diffeomorphically onto an open set U E C U u {p},
(ii) U ESp with Ilull = 1,
(iii) r E IR with 0 < r < B, and
(iv) Y a smooth unit tangent vector field on U
E

The existence of such an B is guaranteed by Theorem 2 of Chapter 19; the
vector field Y can be obtained, for example, by applying d exp to any smooth
non-zero vector field on BE and normalizing the result. Having chosen B, U, r
and Y, we define the index z(X, p) of X at the isolated singularity p to be 1/27t
times the total angle of rotation of X relative to Y along the closed curve IXr'
where IX
r
: [0, 27t] -+ U
E
is defined by
IXr(t) = exp(r cos t u + r sin t Ju)
(see Figure 21.8).
Lemma 5. The index z(X, p) is an integer which depends only on X and p (and
not on the choices of B, u, r, and V).
PROOF. z(X, p) is an integer because if 8
r
: [0, 27t] -+ IR measures the angle of
rotation from Y to X along IXr then the equation X 0 IXr(27t) = X 0 IXr(O) im-
21 The Gauss-Bonnet Theorem 203
1==-1 1==1 I" 2
Figure 21.8. Isolated singularities. of vector fields. In each case the integral curves
are shown and the index is indicated.
plies that
cos 8,(21)Y 0 (l,(21) + sin 8,(21}.TY 0 (l,(21)
= X 0 (l,(21t)
= X 0 (X,(O)
= COS 8,(O)Y 0 ex,(O) + sin 8,(0)JY 0 (X,(O)
and, since Y o (X,(2n) == Y 0 (X,(O), this can happen only if 8,(21) - 8,(0) is an
integer multiple of2n. .
-: ( Independenceoj'Y. Suppose Z were anothersmootb unittangCDt vector
field on U,. We must show that the total angle of rotation of X relative to Z
along Cl, is equal to the total angle of rotation of X relative to Y along ex,. The
difference of these angles isjust the total angle.of rotation of Yrelative toZ
which, by Lemma 4,is equal to Jar.- Wyz, so we must show that Jllr Wyz = o.
But since Wyz is defined on all of U, ,and (X, is the boundary of the singular
disc fI',: 0 -+U, defined by ,fI',(Xh Xl) == exp(r(Xt8 + Xl J 8 ) ~ Stokes'
theorem and Lemma 4 imply that .
f Wyz = f WyZ = f dmyz = 0,
tip &'r .r
as required.
Independence of r: Let Wxybethe lform on U, - {p} defined as in
Lemma 4. Then J ( ~ p) = (1/21) JIIr OJxy. This formula shows that I(X, p)
varies continuously with r. But since .(X, p) is. always an integer, this can
happen only if I(X, p) is constant as a function of r, i.e. I(X, p) is independent
of r.
Independence ofu: For 0 < r < 8, let
Then S, is an oriented 2-surface-with-boundary, oriented by the restriction
to S, of the orientation on S. Moreover, ex,: (0,21) -+ as, is a local parametri-
204 21 The Gauss-Bonnet Theorem
zation of aS
r
whose image misses just one point of as
r
It follows that
l(X, p) = f WXY = f WXY
ar iJSr
This last integral does not depend on the choice of u.
Independence of 8: If exp maps both Bq and Be2 diffeomorphically onto
open sets in U u {p} then we can choose r less than both 81 and 82 and use
this r to compute z(X, p); the choice of 8 E {8b 82} is then clearly irrelevant.
o
Theorem 4 (Global Gauss-Bonnet Theorem). Let S be a compact oriented
2-surface in 1R3 and let X be any smooth unit tangent vector field defined on S
except at isolated singularities {PI' ... , Pk}' Then
k
(1/2n) f K = I z(X, pJ
S i= 1
In particular (1/2n) Is K is always an integer.
Remarks. This theorem can be read in two ways. On the one hand it says
that (1/2n) Is K is always an integer, a remarkable result. On the other hand,
it says that the sum of the indJces of any smooth unit tangent vector field
defined on S except at isolated singularities is the same as the sum of the indices
of any other such vector field, another remarkable result. This common
integer is called the Euler characteristic X of S. It can be shown that X is equal
to 2-2g where g is the genus (the "number of holes ") of S (see Figure 21.9).
g=l g=2 g=3
Figure 21.9. 2-surfaces with genus g E {I, 2, 3}.
(The theorem that (1/2n) Is K = X is actually the Gauss-Bonnet theorem.
The theorem that I z(X, Pi) = X is called the Poincare-Hopf theorem.) For
another interpretation of X see Exercise 21.4.
We have implicitly assumed here that there is at least one smooth unit
tangent vector field defined on S except at isolated singularities. That this is
so is left as an exercise (Exercise 21.5). Note that compactness of S guaran-
tees that there can be only finitely many isolated singularities for any given
vector field.
PROOF OF THEOREM 4. For each i E {l, ... , k} choose 8i > 0 so that the ex-
ponential map exp maps the ball Bei of radius 8i about 0 in S Pi diffeomor-
phically onto an open set U
i
about Pi in S. We may also insist that the 8/S are
chosen small enough so that U
i
n U
j
is empty whenever i =1= j. Choose r > 0
21 The Gauss-Bonnet Theorem lOS
such that r < 8i for all i. Let
and let
s_ = Iq E S: II( exp l r (q)11 ~ r whenever q E U, for some II
(see Figure 21.10). Then S+ and S_ are compact oriented 2-surfaces-with-
boundary in R
3
, oriented by restricting the orientation on S, and
s+
s_
Fipre21.10. S is the union of two 2"surfaces-witb-boundary, one (S+) a union of
cJises about the singularities of X; and the other (5 ~ ) consisting of the complement of
( the interiors of these discs.
as + = as _ = S + ("\ S _ . Note however that the induced orientation on as +
is opposite tothe induced orientation on as_ .
Now let Y bea smooth unit tangent vector field on U'-l U,. (Y can be
obtained, for example, by applying d exp to smooth non-zero vector fields
on each BCI and normalizing the resUlt.) Letting (01 be the connection form
associated with Y and (02 be the connection form associated with X,Lemma
3 and Stokes' Theorem imply that
f K = f K, = f K, + f K, = - f d(Ol - f d(02
S . S s+ s- S + s-
I
I
where ,: [0, 2n] -+ aS
j
is defined by ,(t) = exp(r cos t u, + r sin t J u , ~ u, a
unit vector in S"'. But if Z, is any parallel unit vector field along a, then, by
Lemma 1, - fIJI (01 + fcxl (02 equals the total angle of rotation of Z relative to
206 21 The Gauss-Bonnet Theorem
Y along ai plus the total angle of rotation of X relative to Z along ai which is
the same as the total angle of rotation of X relative to Y along ai' This last
angle is just the index of X at Pi' so
k
f K = I z(X, Pi)'
S i'7.I
o
The Gauss-Bonnet formula generalizes to compact oriented n-surfaces S
of any even dimension as follows: (2/V(S")) Is K = X where V(S") is the
volume of the unit n-sphere 5", K is the Gauss-Kronecker curvature of S,
and X is the Euler characteristic of S, an integer. One proof (see S. S. Chern,
A simple intrinsic proof of the Gauss-Bonnet formula for closed Rieman-
nian manifolds, Annals of Mathematics 4S (1944) 747-752) is by a argument
which directly generalizes the argument used in the proof of Theorem 4.
Another proof is based on the following fact.
Lemma 6. Let S be an oriented n-surface in !R" + I, let' be the volume form on S,
and let e be the volume form on the unit sphere S" with its standard orientation.
Then
where N: S -+ S" is the Gauss map and K is the Gauss-Kronecker curvature
ofS.
PROOF. For VI' ... , V" ESp, PES, we have, using Theorem 5 of Chapter 12
together with the fact that dN(v) and Vv N have the same vector part for all
V ESp,
o
For S c !R"+ I a compact connected oriented n-surface with K > o every-
where, the fact that (2/V(S")) Is K is an integer is now immediate because, in
this case, N is an orientation preserving diffeomorphism and hence, using
Exercise 17.15,
so (2/V(S")) Is K = 2. In the general case, if PES is such that K(p) =1= 0 then
dN p will be non-singular so there will be an open set Up about P which is
21 The Gauss-Bonnet Theorem 207
mapped diffeomorphically by N onto an open set in Sf. If K(p) > 0 this
diffeomorphism will be orientation preserving, so
f K= f N*e= f e= V(N(Up.
Up Up N(Up)
If K(p) < 0 the diffeomorphism N Iu
p
will be orientation reversing so
f K = f N*e = - f e = - V(N(U p.
.
It can be shown (see J. Milnor, Topology from the Differentiable Viewpoint,
The University Press of Virginia, 1965) that "most" points q of$" are regular
values of N in that dN
p
is non-singular (K(p) +- 0) for all p E N-
1
(q) and,
furthermore, that the integer
d = #{p E N-
1
(q): K(P) > O} - #{p E N-
1
(q): K(p) < O}
,/iSindependent of the regular value q, where #{-} denotesthe number of
points in the (finite) set {-}. The number d is called the degree of the Gauss
map N: S -+ Sf. For a sufficiently small open set U about a regular value q of
N it follows that N-l(U) consists of # (N-
1
(q disjoint open sets in S, each
. mapped diffeomorphically by N onto U, and that
f K = f . N*e = d f e = dV(U).
N-l(U) N-l(U) U
Since the regions where K = 0 contribute nothing to the a careful
choice of partition of unity will yield Js K = or (l/V(S")) Js K = d.
For n even, d = X/2 where X is the Euler characteristic of S.
EXERCISES
21.1. Let S be an oriented 2-surface in R3. Suppose lp: 0 -+ Sand t/!: 0 -+ S are
singular discs in S such that Olp = ot/!. Show that the holonomy angle of fP
differs from the holonomy angle of t/! by an integer multiple of 2n.
21.2. A singular rectangle in an oriented 2-surface S is a smooth. map fP: D -+ S
where
D = {(Xb X2) E R2: 0 S; Xl S; 1,0 S; X2 S; I}.
Its boundary is the piecewise smooth parametrized curve ex: [0, 4] -+ R2
defined byo . I
f (t, 0) if 0 S; t S; 1
( )
. (1, t - 1) if 1 S; t S; 2
ext =/(3-t.1) if2S;tS;3
{ (0,4- t) if 3 S; t S; 4.
208 21 The Gauss-Bonnet Theorem
fP is regular if it is the restriction to D ora one to one local parametrization
of S. Prove the Gauss-Bonnet theorem for regular rectangles:
b 4
f K( + f Kg = 2n - L 0i
tp II i= 1
where Kg: [a, b] -+ IR and 0i (i E {I, 2, 3, 4}) are defined in the same way as
for regular triangles (see Theorem 2).
21.3. Let X and Y be smooth unit tangent vector fields defined on an open set U
in an oriented 2-surface S and let h: U -+ 1R2 be defined by h(p) =
(X(p) Y(p), X(p) . JY(p)). Show that WXY = h*", where WXY is the I-form on U
defined in Lemma 4 and", is the I-form on 1R2 - to} defined in Theorem 3 of
Chapter 11.
21.4. Let S be a compact oriented 2-surface in 1R3. Suppose there exists a finite
collection of regular triangles fPi: A -+ S(i E {I, ... , m}) such that
(i) Ui= 1 Image fPi = S
(ii) If PES is in the image of more than 2 of the fPi then p is, for each
such i, the image under fPi of a vertex of A.
(iii) If p is in the image of exactly two of the fPi then the intersection of
the images of these fPi is equal to the image of a smooth segment of the
boundary of each.
Such a collection {fPh ... , fPm} is called a triangulation T Qf S (see Figure
21.11). Points of type (ii) are called vertices of T and subsets ofthe form Image
fPi n Image fP j as in (iii) are called edges of T. The fPi themselves are called the
faces of T.
Figure 21.11. A triangulation of the 2-sphere.
Show that
(lj2n) f K = v - i! + I
s
where v is the number of vertices, i! the number of edges, and I the number
of faces, of T. [Hint: Apply the local Gauss-Bonnet theorem to each
triangle fPi']
21 The Gauss-Bonnet Theorem
209
21.5. Let S be an oriented n-surface in R"+ 1. For q, S, let f.; S -+ R be the smooth
function defined by If(P) = II q - p1I2.
(a) Show that PES is a critical point of If if and only if q - P = 1N(p)
for some "1 E R, where N is the Gauss map of S.
(b) Show, that if PES is a critical point of If and v e S", v", 0, then
Vy grad I. = 0 if and only if L,,(v) = (lj1)v where L" is the Weingarten map
of S at p and 1 is as in part (a).
(c) Conclude that if q does not lie on the focal locus of S then all critical
points of If are non-degenerate and hence isolated. (It follows then that
grad IJ II grad If II is a smooth unit tangent vector field defined on S except at
isolated singularities.)
21.6. Let S be an oriented 2-surface in R3 and let X be a smooth unit tangent
vector field defined on an open set U in S. Let 0
1
be the l-form on U dual
to X, let O
2
be the l-form on U dual to Jx, and let w be the connection
l-form on U associated with X. Show that
dOl = W" O
2
d02 == -w" 01
dw == - K8
1
,,8
2
where K is the Gaussian curvature of S.
(These equations are called the Cartan structural equations.)
22
Rigid Motions
and Congruence
A rigid motion of jR" + I is a map 1/1: IR
n
+ I --+ IR
n
+ I such that 111/1 (p) -
I/I(q) II = lip - qll for all p, q E jR"+I. Thus a rigid motion is a map which
preserves distances between points.
EXAMPLE 1. For a E IR
n
+ I, define 1/1: IR
n
+ I --+ IR
n
+ I by 1/1 (p) = p + a. Then 1/1
is a rigid motion of IR
n
+ I, called translation by a.
EXAMPLE 2. For lJ E IR, define 1/1: 1R2 --+ 1R2 by
I/I(Xh x
2
) = (XI cos lJ - X
2
sin lJ, XI sin lJ + X2 cos lJ).
Then 1/1 is a rigid motion of 1R2, called rotation through lJ (see Figure 22.1).
~
1/1 (0, 1) (0, 1)
(1,0)
Figure 221 Rotation of 1R2 through e.
210
22 Ripd Motions and Congruence
211
H
Figure 22.2 Retlection through the n-plane H.
EXAMPLE 3. For a e 1R"+1, lIall == 1, and b eR, define 1/1: -+ 1R"+1 by
(see Figure 22.2)
I/I(P) == p + 2(b - p a)a.
Then 1/1 is a rigid motion of IR" + 1, called reflection through the n-plane
iI == {x e IR"+ 1: a . x = b}.
EXAMPLE 4. Let ",:R" + 1 -+ R" + 1 be a linear transformation such that
/1-'" (v) II == tlvll for all v elR"+l. Then y, is a rigid motion because III/I(P)-
t/t(q) 11 == 11 y,(P - q)" = II p - q II for all p, q e It' + 1. 1/1 is called an orthogonal
tran"ormation of IR" + 1. Note that a linear transformation of R" + 1 is a rigid
motion if and only ifit is an orthogonal transformation.
The cOmposition 1/12 0 "'1 of two rigid motions of It' + 1 is a rigid motion.
In particular, an orthogonal- transformation followed by a translation is a
rigid motion. It turns out that every rigid motion can be obtained this way.
neotem 1. Let 1/1 be a rigid motion of IR" + 1. Then there exists a -unique
orthogonal transformation 1/1 1 and a unique translation 1/12 such that
1/1 = 1/12 0 1/11'
'PROOF. Let a = let I/Iz be translation by a, and let '" i = I/Ii 1 0 1/1. We
shall show that 1/1 1 is an orthogonal transformation. Clearly 1/1 1 is i a rigid
motion with 1/11(0) = O. tltl preserves norms because
for all v E Iff' + 1. Thus we need only show that 1/1 1 is linear. First observe that
212 22 Rigid Motions and Congruence
t/I t preserves dot products:
t/lt(V) t/lt(w) = t(llt/lt(v)112 + IIt/lt(w)112 - Iit/lt(v) - t/lt(w)112)
= t(llvl1
2
+ IIwl12 - Ilv - w11
2
)
= v w,
for all v, w E IR
n
+ t. Finally to establish linearity, we must show that
or, equivalently, that
for all VI, V2 E IR
n
+ 1 and Cl' C2 E IR. For this it suffices to show that the vector
1/11 (Cl VI + C2 V
2
) - Cl 1/11 (vd - C21/11(V2) is orthogonal to every vector in
some basis for IR
n
+ 1. But if {el' ... , e
n
+ I} is any orthonormal basis for IR
n
+ 1
then {I/I(ed, ... , 1/1 (en + I)} is also an orthonormal basis for IRn+t, since 1/11
preserves dot products, and
[l/Il(CI
V
I + C2
V
2
)- ClI/11(V
1
)- C21/11(V2)] t/ll(ei)
= (Cl VI + C2 V
2
) ei - Cl(VI eJ - C2(V2 eJ = 0
for i E {1, ... , n + 1}. Thus 1/11 is linear.
Uniqueness of 1/11 and 1/12 follows from the requirements that the transla-
tion 1/12 must satisfy 1/12(0)= 1/12 0 1/11(0)= 1/1(0) and that 1/11 must equal
1/12
10
1/1. 0
Corollary. Let 1/1: IR
n
+ 1 --+ IR
n
+ 1 be a rigid motion. Then
(i) 1/1 is smooth.
(ii) 1/1 maps IR
n
+
1
onto IRn+t, and
(iii) dl/l(v) dl/l(w) = v . w for all v, WE IR;+ 1, P E IR
n
+ 1.
PROOF. (i) Linear transformations and translations are smooth, hence so are
rigid motions.
(ii) Translations are onto, as is any orthogonal transformation of IR
n
+ 1
(the kernel must be zero, since norms are preserved). Hence rigid motions
are onto.
(iii) First note that if t/I = t/I 2 0 t/I 1 is the unique decomposition of the
rigid motion t/I into an orthogonal transformation t/I 1 followed by a transla-
tion t/I 2 then
(*) dt/l(p, V) = (t/I(p), t/I 1 (v))
for all (p, v) E 1R;+t, p E IRn+l. Indeed, setting ot(t) = p + tv, so that
22 Risid Motions and Congruence
. Ii(O) = (p, v), we have (where t/I,. is translation by a)
d1/l(p, v) = 1/1 0 1%(0) :t I/(p + tv))
= :t 1/2 0 1/I,(p + tv)) .
= :t 10 (1/1, (P) + t1/l, (v) + a))
= t/ll(V.
Hence, for v = (p, v) and w = (p, w) E
dt/l(v) dt/l(w) = t/ll(V (t/I(p), t/ll(W
213
= t/ll(V) t/ll(W) = v W = v w. 0
r Two n .. surfaces S and $ in IR" + 1 are congruent if there exists a rigid motion
t/I: 1R" + 1 -+ IR" + 1 such that t/I(S) = $. The differential dt/l of such a rigid
motion maps the tangent space S p to S at each P E Sonto the tangent space
$",(P) to $ at t/I(P) so, since dt/l preserves dot products, dt/l(N(P =
where N and are any given orientation vector fields on S and $ respec-
1ively. Note that an orientation .. can always be chosen on $ so that
dt/l(N(P = + for all peS (i.e., so that dt/l 0 N = 0 t/I).
Theorem 1. Let S and S be congruent n-silr/ace in R" + 1, let t/I: 1R" + 1 -+ IR" + 1
be a rigid motion such thatt/l(S) = $, and assume that S and $ are oriented
so that dt/l 0 N = 0 t/I. Then -
(i) dt/I(v) . dt/l(w) = v . w for all v, WE SP' PES, and
(ii) the second fundamental forms f/ p ofS at PES and !i' "'(p) of $ at t/I(P) are
related by f/ p = !i'I/I(P) 0 dt/l.
PROOF. (i) is immediate from the corollary above.
(ii) Let t/I 1 be the orthogonal part of t/I as in Theorem 1. Given PES and
v ESp, let IX: 1-+ S be such that Ii(t
o
) = v. Then dt/l(v) = t/I 0 IX(t
o
) so the
value of the Weingarten map l"'<II) of S at t/I(P) on dt/l(v) is
= -
= - 0 '" 0 IX)(to)
= - (dt/l 0 N 0 a)(to)
:::i:. - (t/ll 0 No IX)'(t
o
(by equation (*), arve)
= - (t/I(p t/I 1 N 0 IX )'(t
o
(by linearity of t/I tl
= -dt/l(p, (N 0 IXY(t
o
(again, by equation (*
= -dt/l(VvN)
=
214 22 Rigid Motions and Congruence
where Lp is the Weingarten map of S at p. Thus
!J ",(p)(dt/l(v)) = L",(p)(dt/l(v)) dt/l(v) = dt/l(Lp(v)) dt/l(v)
= Lp(v) . v = f/ p(v).
o
Corollary. Let S and S be congruent oriented n-surfaces in IR
n
+ 1. Then S and S
have the same geometry in that if t/I is a rigid motion mapping S onto S with
~ 0 t/I = dt/l 0 N and t/I 1 is the orthogonal part of t/I then
(i) the length of (X: I -+ S is the same as the length of t/I 0 (X: I -+ S,
(ii) the Gauss map N of S is related to the Gauss map N of S by N 0 t/I =
t/I 1 0 N, and in particular the spherical image of S is the image under t/I 1
of the spherical image of S,
(iii) (X: I -+ S is a geodesic in S if and only if t/I 0 (X is a geodesic in S,
(iv) a vector field X along (X: 1-+ S is parallel if and only if dt/l 0 X is parallel
along t/I 0 (x,
(v) the Weingarten maps Lp of S at PES and L",(p) of S at t/I(P) are related
by
t",(P) 0 dt/l p = dt/l p 0 Lp,
(vi) the normal curvatures k ofS and k ofS are related by k = k 0 dt/l and in
particular the principal curvatures of S at PES are the same as the
principal curvatures of S at t/I(p),
(vii) the Gauss-Kronecker and mean curvatures of S at PES are equal to the
Gauss-Kronecker and mean curvatures of S at t/I(p),
(viii) S is convex at PES if and only if S is convex at t/I(P),
(ix) the focal locus of S is the image under t/I of the focal locus of S,
(x) the volume of S equals the volume of S,
(xi) S is a minimal surface if and only if S is a minimal surface, and
(xii) the conjugate locus of t/I (p) in S is the image under t/I of the conjugate
locus of p in S.
PROOF.
(i) l(t/I 0 (X) = II Iit/I 0 (XII = II Iidt/l 0 &11 = II 11&11 = 1((X).
(ii) Immediate from the equation N 0 t/I = dt/l 0 N.
(iii) Follows from (iv) since (X is a geodesic if and only if & is parallel.
(iv) (dt/l 0 X)(t) = dt/l(X(t)) is a multiple of R(t/I((X(t))) = dt/l(N((X(t))) if and
only if X(t) is a multiple of N((X(t)).
(v) This is contained in the proof of Theorem 2.
(vi) k(dt/l(v)) = f/ ",(p)(dt/l(v)) = f/ p(v) = k(v). That the principal curvatures
are the same follows from this or from (v), since Lp and
Lp = dt/l p 0 Lp 0 dt/l; 1 have the same eigenvalues.
(vii) Follows from (vi).
22 Rigid Motions and Congruence
(viii) (I/!(q) - I/!(p)). R(I/!(P)) = (I/!l(q) - I/!l(P)) I/!l(N(P))
= (q - p)
(ix) t/I(P + (l/k
i
(PN(p = t/ll(t/lI(P) + (l/k
i
(P)t/II(N(p)
= t/l1(P) + (l/k
i
(P)t/II(N(p + a
= t/I(P) +
215
(x) For any local parametrization lp of S, t/I 0 lp is a local parametrization
S' and
det(ET otp E1
tp
) = det(dt/l(ET). dt/l(Ej = det(ET oEj)
so the volume integrands are equal.
(xi) Follows from
(xii) t/I 0 exp = exp 0 dt/l where exp and exp are the exponential maps of S
) and S' since,by (iii 1 t/I maps geodesics to geodesics. Hence t/I maps
conjugate points along the geodesic exp(tv) in S to conjugate points
along the geodesic exp(tdt/l(1' in S'. 0
The converse of Theorem 2 is also true:
-
1beorem 3. Let S antiS' be connected oriented n-sutfaces in IJlI+I. Suppose
there exists a smooth map t/I from S onto S such that
(i) dt/J(v) dt/l(,,) = v "for all v, " E S", PES and
(ii) the second fundamental forms f/" of.S at P and !} of S at t/I(P) are
related by f/ p == 0 dt/l,for allp e S.
Then SandS are congruent and, in fact, t/I is the restriction toS of a rigid
motion of Iff' + I.
PROOF. Let Po e S and define a rigid motion iP of IJlI + 1 by iP = t/I 1 0 t/I 1 where
t/I 1 is the unique orthogonal transformation of IJlI + 1 such that
(a) "'I (N(po == R(t/I(Po
(b) (Po, t/I 1 (v == dt/l(po, v) for all v E IJlI + 1 such that v 1. N(po) (i.e., such
, that (Po, v) E S,,01
and t/I" is the translation of 1JlI+ 1 which sends t/I 1 (Po) to t/I(Po). We shall show
that (iP - 1 0 t/I)(P) = p for all PES thereby establishing that t/I = iP 6 . .
Let lp = iP-
1
0 t/I. Then lp maps S onto the n-surface == iP-1(S'), and
(i) dlp(v) dlp(") = v " for all v, "E S", PES, I
(ii) f/ p = 1/ tp(,,) 0 dlp for all PES (1/ tp(,,) = second fundamental form of S at
lp(P)1
(iii) lp(Po) = Po,
(iv) dlp(v) = v for all v E Sl'O.
216 22 Rigid Motions and Congruence
From (i) and (ii) we can conclude that the Weingarten maps Lp of Sand Lcp(p)
of S are related by Lcp(p) 0 dq> = dq> 0 L
p
, for all pES. Indeed,
Lcp(p)(dq>(v)) dq>(w) = !(g cp(p)(dq>(v + w)) - g cp(p)(dq> (v)) - g cp(p) (dq> (w))
= !(Y'p(v + w) - Y'p(v) - Y'p(w))
= Lp(v) w = dq>(Lp(v)) dq>(w)
for all v, WE Sp and, since dq> maps Sp onto Scp(P) for all PES (dq> maps
orthonormal bases for Sp to orthonormal bases for Scp(P) , by (i)), this implies
that Lcp(p)(dq>(v)) = dq>(Lp(v)) for all v E Sp.
We shall show that if (X: I -+ S is any parametrized curve in S such that,
for some to E I, q>((X(t
o
)) = (X(t
o
) and dq>rx(to) = identity (this will be the case,
for example, if (X(t
o
) = Po) then q>((X(t)) = (X(t) and dq>rx(t) = identity for all
tEl. Let Xl' ... , Xn be smooth vector fields parallel along (X such that
{X
1
(t), ... , Xn+ l(t)} is an orthonormal basis for Srx(t) for each tEl. Such
vector fields can be obtained by choosing an orthonormal basis {x b ... , xn}
for Srx(to) and defining Xi to be the unique vector field parallel along (X with
Xi(t
O
) = Xi' Let Y 1, " ., Y n be the vector fields along q> 0 (X defined by
Yi(t) = dq>(Xi(t)) for tEl. Then {Y l(t), ... , Yn(t)} is an orthonormal basis for
Scp orx(t) for each tEl (by (i)), Yi(t
O
) = Xi(t
O
) for each i (since dq>rx(to) =
identity), and
n n
q> 0 (X = L ((q> 0 (X) Yi)Y
i
= L (dq>(ti) dq>(Xi))Y
i
i= 1 i=l
n
= L (ti Xi)Y
i

i= 1
If we could show that = Xi, where I -+ IRn + 1 is the vector part of Y i
and Xi: I -+ IRn + 1 is the vector part of Xi, we would have
d n n d(X
- (q> 0 (X) = L (& = L (& Xi)X
i
=-
dt i= 1 i= 1 dt
so q> 0 (X and (X could differ at most by a constant. Since (q> 0 (X)(t
o
) = (X(t
o
),
we could then conclude that (q> 0 (X)(t) = (X(t) for all tEl and, furthermore,
that
for each i so dq>rx(t) = identity, for tEl, as required.
So we shall show that Xi = li for i E {I, " ., n}. For this, set Xn + 1 = N 0 (X
and Y
n
+
1
= No q> 0 (X, so that {X
1
(t), ... , X
n
+
1
(t)} is an orthonormal basis
for and {Y
1
(t), ... , Y
n
+
1
(t)} is an orthonormal basis for for
each t E 1. Then
n+l
Xi = L aijXj
j= 1
n+l
and Y
i
= L b
ij
Y
j
j= 1
. 22 Rigid Motions and Congruence 217
where aij = Xi Xj and b
ij
= Y
i
Y
j
are real valued functions on 1. We shall
show first that aij = b
ij
for all i and j. Since
d
o = dt (Xi Xj) = Xi Xj + Xi Xj = aij + aji
we have that a ji = - aij for all i and j, and similarly b ji = - b
ij
for all i and j,
so it suffices to check that ll;j = b
ij
for i < j. But the vector fields
Y
i
= dlp 0 Xi' i e {I, ... , n}, are parallel (in S) alongtp 0 a. This follows from
(i) and from the fact that the vector fields Xi are parallel along (X; we will,
however, delay the verification until the next chapter (Corollary 2 to
Theorem 1, Chapter 23). Assuming this, we have that Y i is normal to S, just
as Xi is normal to S, for i :::;; n, and hence
bij = Y
i
Yj = 0 = Xi Xj = aij
for 1 :::;; i, j :::;; n. Furthermore, for i :::;; n,
b
i
,n+l = Y
i
Y
n
+
1
= Y
i
No lp 0 (X = - Y, No q, 0 (X
= Y
i
L(lp 0 (X) = Y
i
L(dlp(ci)) = dtp(X
i
) dlp(L(ci))
= Xi L(ci) = -Xi No (X = Xi N 0 (X = Xi Xn+l = ai,n+l'
where L(&) is the vector field along (X defined by (L(&))(t) = LGI(t)(&(t)) and
L(lp 0 (X) is defined similarly. We conclude, then, that aij = b
ij
whenever
1 :::;; i < j :::;; n + 1 and hence aij = bij for all i and j.
We can now complete the proof that Xi = liforallie {I, ... , n + I}. For
li = D!t ciJX
j
, where Cij = li Xj: 1-+ IR, (cij(t
o
)) is the identity matrix,
and
dCiJ = dli Xl + y: .dXj
dt . dt 'dt
n+l
= L (ail,Ckj + ajkcik)'
k=1
. This system of first order differential equations, with initial conditions
is satisfied by the functions
1
1 if i = j
c:J.(t
o
) = 0
. if i =#= j'
1
1 if i = j
c:l(t) = 0
. if i =#= j'
since aiJ + ali = 0, so, by the uniqueness of solutions of first order differential
218 22 Rigid Motions and Congruence
equations, (cij(t)) is the identity matrix for all tEl. In other words, Jli(t) =
Xi(t) for all i E {I, ... , n + I} and all t E 1.
Finally, we must show that lp(p) = P for all pES. Let
U = {p E S: lp(p) = P and dlp
p
= identity}.
Then U is an open set in S since each point P E U is contained in an open set
of the form q,( V), where q, is a local parametrization of S and V is an open
ball in IR", and P can be joined to any point of q,(V) by a parametrized curve
in q,(V), so q,(V) c U by what has just been established. On the other hand,
the complement S - U of U in S is an open set in S since lp and dlp are both
continuous. Since S is connected, this can happen only if either U or S - U
is empty. (If at: [a, b] -+ S were a continuous map with ot(a) E U and
ot(b) E S - U then ot(t
o
) could belong neither to U nor to S - U, where to is
the least upper bound of the set {t E [a, b] E ot(t) E U}). Since Po E S, S - U
must be empty so U = S and, in particular, lp(p) = P for all pES. 0
EXERCISES
22.1. Verify that each of the maps described in Examples 1,2 and 3 of this chapter are
indeed rigid motions.
22.2. Show that if 1/11 is an orthogona1 transformation of IR
n
+ 1 and 1/12 is translation
by a (a E IRn+l) then 1/11 01/12 = iP2 01/11 where iP2 is translation by I / I 1 ( a ~
22.3. Show that each of the following statements is equivalent with the statement
that the linear transformation 1/1: IR
n
+ 1 _ IR
n
+ 1 is an orthogonal
transformation:
(a) I/I(v)' I/I(w) = V' w for all v, WE IRn+l.
(b) 1/1 maps orthonormal bases to orthonormal bases; i.e., if {e., ... , en + I} is an
orthonormal basis for \R"+I then so is {I/I(e.), .. , 1/1 (en + I)}'
(c) the matrix for 1/1 relative to any orthonormal basis for IR
n
+ 1 is an orthog-
onal matrix (i.e., its transpose is equal to its inverse).
22.4. A rotation of IR
n
+ 1 is an orthogonal linear transformation with determinant + 1.
(a) Show that a linear transformation 1/1: 1R2 - 1R2 is a rotation if and only if
there exists a real number () such that the matrix for 1/1 with respect to the
standard basis forIR
2
is
(
COS ()
sin ()
- sin ())
cos () .
(b) Show that every rotation 1/1 of 1R3 leaves a direction fixed (i.e., 1/1 has a unit
eigenvector with eigenvalue 1 ~
(c) Show that if 1/1 is a rotation of 1R
3
, el is a unit vector with I/I(e.) = e., and e2
is a unit vector perpendicular to e., then the matrix for 1/1 with respect to
22 Rigid Motions and Conaruence
219
the orthonormal basis {et.el, el x ell for H3 is of the form
(
00
1
~ 0 - S i ~ 0)
sin 0 cos 0
for some 0 E H.
225. Show that the hyperbolas Xl Xl = 1 and xi - xl = 2 in Hl are congruent.
22.6. Let '" be a rigid mopon of IR" + 1 and let F denote the set of fixed points of "',
F = {q E R"+1: "'(q) = q}.
For P F let
HI' = {x E R"+1: Ilx - "'(P)11 = Ilx - pll}.
(a) Show that HIt is an n-plane in IR" + 1.
(b) Show that F c:: H,.
(c) Letting "'If be reflection through H" show that the set of fixed points of
"',.0 '" contains {p} u F. . ' ~
(d) Show that if 0 E F then D-l e,p, E F whenever Ph " Pic E F and
eb ... , e" E R.
(e) Show that there exists a k :s; n + 2 and reflections '" b . , "'" of R" + 1 such
that'" = "'1 0 ... 0 ",,,.
_22.7. A rigid motion -'" of IR" + 1 which maps an n-surface S onto itself is called a
symmetry of S.
Ca) Show that the set 'or riaid motions of r+-
1
forms a group under composi-
tion, and that the symmetries of S form a subgroup.
(b) ShoW' !bat the s:;mQletry group oftheunitn-tpbere 9' is the group of all
orthogonal transformatiOb.$ of R" + I,
(c)- Describe the symmetry group of the cylinder xi + xl = r in H3.
(d) Describe tbe symmetry group of the ellipsoid .
in H
3
, (i) when b - e + a and (ii) when a, b, and e are distinct.
23
Isometries
As inhabitants of the earth, we are (or, at least, we were until the invention of
air and space vehicles) forced to deduce the geometry of the earth from
measurements made on the earth. We can measure distance along curves,
and by taking a derivative with respect to time, we can measure velocity and
speed. The geometry which can be derived from such measurements is called
intrinsic geometry.
The primitive data needed to be able to compute distance along curves in
an n-surface S is the dot product of tangent vectors. Indeed, given the dot
product on each tangent space SP' PES, the length I(IX) of a parametrized
curve IX: [a, b] --+ S can be computed from the formula
b b
I(IX) = f 11&(t )11 dt = f (&(t) &(t ))1/2 dt.
a a
Conversely, if we can compute the length of arbitrary smooth curves in S
then we can compute norms of vectors in S p (for v ESp, take IX: [a, b] --+ S
with a(t
o
) = v and let s(t) = the length of IX from a to t; then Ilvll = Ila(to)11 =
(ds/dt)(t
o
)). From the norms we can then compute all dot products; e.g., via
the identity
v W= t(llv + wl1
2
- IIvl12 - Il
w
I1
2
).
Thus the intrinsic geometry of an n-surface S, the geometry which can be
derived from length measurements along curves in S, is the same as that part
of the geometry of S which can be derived from a knowledge of the dot
product on the tangent space at each point of S.
A smooth map t/J from one n-surface S c IR
n
+ k to another S c IR
n
+ I is
called a local isometry if it preserves dot products of tangent vectors; that is,
220
23 lsometries 221
if
dl/l(v) dl/l(w) = v w
for all v, WE Sp, pES. The differential dl/l,,: Sp -+ S" at p of such a is
necessarily non-singular for each PES so, by the inverse function theorem,
1/1 must map some open set about each point p in S one to one onto an open
set about I/I(P) in S.1t follows from this that I/I(S) is an open subset of S. But
I/I(S) need not be the whole of S, nor must 1/1: S -+ I/I(S) be one to one. A local
isometry which maps an n-surface S one to one onto an n-surface S is called
an isometry of S onto S.
Since an isometry is by definition a one to one map 1/1: S -+ S which
preserves dot products of tangent vectors, it preserves all the intrinsic
geometry of the surface. Thus, for example, if a: [a, b] -+ S is a parametrized
in S then the corresponding curve 1/1 0 a in S has the same length:
b b
1(1/1 0 a) = f 11(1/1 0 a)(t)11 dt = f II dl/l(ri(t II dt
Q Q
b
= f 11&(t)11 dt =
Q
In fact, intrinsic geometry can be described as that part of the geolJ1etry of
surfaces which is preserved by isometries. Two surfaces S and S such that
there exists an isometry 1/1: S -+ S are said to be isometric; they necessarily
have the same intrinsic geometry.
EXAMPLE 1. Let 1/1: IR" +" -+ IR" +" be a rigid motion and let S be an n-surface
in 1R" +". Then 1/1 Is is an isometry of S onto
EXAMPLE 2 Let 1/1: 1R2 -+ 1R3 be defined by 1/1(8, u) = (cos 8, sin 8, Thus 1/1
maps the plane around (and around) the cylinder xi + xi = 1 in 1R3 (see
Figure 23.1). 1/1 is a local isometry since, for each (8, u) E R2, dl/l maps the
orthonormal basis {( 8, u, 1, 01 (8, u, 0, I)} for to the orthonormal basis
{El(8, E
2
(8, u)} = {(q>(8, u1 "":sin 8, cos 8,01 (q>(8, u1 0,0, I)}
for Image dl/l(9.1I) so dl/l(9.1I) must preserve dot products. By restricting 1/1 to
the open set U = {(8, u) E 1R2: -1t < 8 < 1t} we obtain an isometry 1/1 lu from
the infinite strip U in 1R2 onto the cylinder with a line removed.
EXAMPLE 3. The map q> from the plane to the torus ((xi + xi)1/2 -
af + = b
2
(a> b > 0) given by
q>(ljJ, 8) = ((a + b cos ljJ)cos 8, (a + b cos ljJ)sin 8, b sin ljJ)
222 23 Isometries
U
V::>:::
:>
\: :::
I
I:
r:::-;-_ :::V
X
'
I
Tr >
Tr
e
U :1
:::
.....-- 1
x2 v:
/'-r"
Figure 23.1 1/1(8, u) = (cos 8, sin 8, u) is a local isometry from 1R2 onto the cylinder
x ~ + x ~ = 1 in 1R3. The restriction of 1/1 to the infinite strip U is an isometry from U
onto the cylinder with a line (dotted) removed.
is not a local isometry because, for example,
Ildq>(</J, 0,0, 1)11 = 11(q>(</J, 0), - (a + b cos </J)sin 0, (a + b cos </J)cos 8,0)11
=a+bcos</J
is not equal to II(</J, 8, 0, 1)11 = 1 for all (</J, 8) E 1R2. On the other hand, the
map t/I which maps the plane onto the torus
Jxi + xi = 1
\ x ~ + x ~ = 1
in 1R4 by t/I(</J, 8) = (cos </J, sin </J, cos 0, sin 0) is a local isometry because, for
each (</J, 8) E 1R2, the vectors
dt/l(</J, 0, 1,0) = (t/I(</J, 0), -sin </J, cos </J, 0, 0)
dt/l(</J, 0, 0, 1) = (t/I(</J, 0), 0, 0, - sin 0, cos 0)
do form an orthonormal basis for Image dt/l(q" 9) By restricting t/I to the open
set U = {(</J, 0) E 1R2: -'It < </J < 'It, -'It < 0 < 'It} we obtain an isometry t/llv
from the square U in 1R2 onto the torus in 1R4 with two circles removed.
EXAMPLE 4. Let S be the punctured plane 1R2 - {(O, O)} and let Sbe the cone
3xi + 3xi - x ~ = 0, X3 > 0, in 1R3. Define t/I: S ---. S by
I/!(r cos II, r sin II) = ( ~ cos 211, ~ sin 211, f r)
where (r, 0), r> 0, are polar coordinates on 1R2 - {(O, O)}. Then t/I is a local
isometry. For if U = {(r, 0) E 1R2: r> O} then the maps q>: U ---. S and
23 Isometries
223
(p: U -+ S defined by
q>(r, 8) = (r cos 8, r sin 8)
q,(r, 8) = 20, sin 20, f r)
are parametrized 2-surfaces mapping U onto S and S respectively, and
iP = t/I 0 qJ (see Figure The coordinate vector fields Ei along qJ and Ii
along (p are given by
E, (r, 8) = (q>(r, 8), (r, 8) ) = (q>(r, 8), cos 8, sin 8)
E2(r, 8) = (q>(r, 8), (T, 8) ) == (q>(r, 8), - r sin 8, r cos 8)
I, (r, 8) = (q,(r, 8),: (r, 8)) == (q,(r, 8), t cos 20, t sin 28, fl
1
2
(r, 8) = (q,(r, 8), (r: 8)) == (q,(r, 8), -r sin 20, r cos 20,
Moreover, for each p E U, dt/l(Ei(P)) = li(P) for i e {I, 2}, since
dt/l(E,(p = dt/l(dqJ(ei = d(t/I 0 qJ)(e,) = d(p(ei) = I,(P)
s
Figure 23.2 t/I is a local isometry from the punctured plane S onto the cone g. The
restriction of t/I to the upper half plane x 2 > 0 is an isometry onto the cone with a line
removed.
224 23 Isometries
where el = (p, 1, 0) and e2 = (p,O, 1). Finally, dot products of tangent vec-
tors are preserved by l/I because dot products of the basis vectors are
preserved:
dl/l(Ei(p)) . dl/l(Eip)) = i(P) . ip)
for all P = (r, 0) E U.
\1 if i = j = 1
= 1 0 if (i,j) = (1,2) or (i,j) = (2, 1)
I r2 if i = j = 2
= Ei(P) . Ej(p)
Remark 1. Example 2 is an example of a special class of isometries called
ben dings. Roughly, the cylinder with a line deleted is obtained by bending
the strip {(Xh X2, X3) E 1R3: -'It < Xl < 'It, X3 = O}, without stretching, tear-
ing, or glueing, into the shape of a cylinder. This process clearly leaves length
measurements along curves in the surface unchanged; i.e., two surfaces
which can be obtained from one another by bending are isometric. A precise
definition of bending is as follows. An n-surface S in IRn+k is obtained
from an n-surface S in IRn+k by bending if there exists a smooth map
l/I: [a, b] x S -. IR
n
+ k such that
(i) for each t E [a, b], the map l/It: S -. IR
n
+
k
defined by l/It(P) = l/I(t, p) is an
isometry,
(ii) l/Ia(P) = P for all PES; i.e., l/Ia = identity map on S, and
(iii) l/Ib is an isometry of S onto S.
The 2-torus in 1R4 with two circles deleted and the cone in 1R3 with a line
deleted (Examples 3 and 4) are also obtained by bending portions of
2-planes. .
Remark 2. Example 4 illustrates a useful technique for checking that a
map l/I: S -. S of n-surfaces is a local isometry. For PES, let cp: U -. S be a
local parametrization of an open set of S about p. If l/I is a local isometry,
then iP = l/I 0 cp will be a parametrized n-surface, with Image iP c S, and the
coordinate vector fields Ei along cp and i along fp will be such that
Ei . E
j
= i . E
j
. Conversely, if for each PES there is such a cp: U -. S, with
P E Image cp, then l/I is a local isometry.
Those features of the geometry of an n-surface S which are part of the
intrinsic geometry of S (i.e., which can be determined from measurements on
the surface) are the ones that are preserved, or invariant, under isometries.
We have seen that the length of curves is an isometry invariant. It follows
then that geodesics are isometry invariants, since a parametrized curve ex is a
geodesic if and only if it has constant speed and is such that the length
integral is stationary at ex with respect to fixed endpoint variations. Volume
23 Isometries 225
is also an isometry invariant since the volume integral V(q =
Ju det(E, . E
J
)I/2 of a parametrized n-surface q> depends only on the dot
products of the coordinate vector fields. On the other hand, the spherical
image, the principal curvatures, the mean curvature, the fOcal locus, and the
property of being a minimal surface in IR" + I are not isometry invariants
since, for example, none of these features are preserved under the isometry
t/I(Xh X2, 0) = (cos Xh sin X
h
X2) mapping the strip X3 0, -'It < Xl < 'It,
onto the cylinder xi + xi = 1 with a line removed (Figure 23.1). We shall
see that, contrary to intuition, the Gauss-Kronecker curvature K of an
n .. surface in IR"+ I is an isometry invariant, whenever n is even. Thus, even
though the principal curvatures are not invariant under isometries, their
product is, in even dimensions. This theorem so pleased Gauss, who dis-
covered it for n = 2, that he called it a "theorema egregium" (a "most
excellent theorem "). We shall see also that parallel transport is invariant
under isometries. The key to all of these facts is. the observation that co-
, variant differentiation is intrinsic.
Let us recall the concept of covariant differentiation and extend it. to
n-surfaces in lR"+k. Given an n .. surface S in IR"+Jt and a smooth vector field X
tangent to S along a parametrized curve ex: 1---. S, the covariant derivative of
X along ex is the vector field X', tangent to S along ex, obtained by projecting
X(t) orthogonally onto the tangent space Srz(t)' for each tEl. Thus X'(t) is
the tangential component ofX(t). For X a smooth tangent vector field on the
n-surface S c 1R"+
k
, and v ESp, PES, the covariant derivative DvX of X
with respect to v is the tangential component of the derivative V v X. Sim-
ilarly, for X a smooth tangent vector field along a parametrized n-surface
q>: U ---. 1R"+
k
, the covariant derivative DvX 6fX with respect to v E
P E U, is the tangential component of VvX; that is,DvX is the orthogonal
projection of Vv X into tangent space Image dq>p. Thesecovariant differ-
entiation operations are related to each other as follows.
If X is a smooth tangent vector field on the n-surface S c lR"+k and ex is a
parametrized curve in S, or if X is a smooth tangent vector field along the
parametrized n-surface q>: U ---. 1R"+
k
and ex is a parametrized curve in U,
then
D(t) X = (X 0 ex)'(t)
for all t in the domain of ex.
If X is a smooth vector field on the n-surface S c IR" + k and q>: U ---. S is a
parametrized n-surface in 1R"+k whose image is contained in S, then
D(t) X = (X 0 ex)'(t)
for all v E P E U.
Given two smooth tangent vector fields X and Y on an n-surface
S c 1R"+
k
, the covariant derivative of Y with respect to X is the tangent
vector field Dx Y on S defined by (Dx Y)(P) = DXJ.p)Y for pES. Similarly,
given the smooth tangent vector fields X and Y along a parametrized n-
226 23 Isometries
surface cp: U ---. IR
n
+ 1, the covariant derivative Dx Y is the tangent vector
field along cp defined by (Dx Y)(p) = D
dqlp
- 1(XJ.PY' for p E U.
The covariant derivative of one smooth tangent vector field with respect to
another is a smooth tangent vector field. Furthermore, covariant differ-
entiation has the following familiar properties:
(i) D(x+y)Z = DxZ + DyZ
(ii) D
fx
Y = fDx Y
(iii) Dx(Y + Z) = Dx Y + DxZ
(iv) Dx(fY) = (V xf)Y + f Dx Y
(v) Vx(Y . Z) = (Dx Y) Z + Y . (DxZ)
for all smooth tangent vector fields X, Y, and Z on S (or along cp) and all
smooth functions f on S (or along cp). In (v), the derivative of V x h of the
smooth function on h = Y . Z is defined to be the smooth function on S
gi ven by (V x h )(p) = V XJ.p) h (or along cp given by (V x h )(p) = V dqlp - 1( XJ.p h).
Verification of these properties of covariant differentiation is left as an
exercise.
Theorem 1. Let cp: U ---. IR
n
+
k
be a parametrized n-surface and let Eb
i E {l, ... , n}, be the coordinate vector fields along cpo Then, for p E U and i,
j, k E {l, ... , n}.
(DEi E)) Ek =!(Ogik + Og)k _ Ogi)),
2 ax) oX
i
oX
k
where the gij: U ---. IR are defined by gil = Ei E).
PROOF. Note first that DEi E) = DEjE
i
for all i andj. Indeed, for each p E U,
::} (Pl)
and
(
02cp )
(VEiE))(p) = cp(p), oX
i
ax) (p) .
By the symmetry of the second partials, we have (VEiE))(p) = (VEjEi)(p).
Projecting orthogonally onto Image dcpp then establishes that
DElE) = DEJEi
Using this symmetry, we compute the partial derivatives of the gik:
Ogik
= VE.(Ei . E
k
) = (DEE
i
) Ek + E
i
(DEE
k
)
UX) 1 J J
23 Isometries 227
Thus
aa
g
", + aa
gj1
- aa
gi
) = (DEJE,) E. + (DElE) . Ek
x) Xi X
k
= 2 (D. E) . E.. 0
Corollary 1. Covariant differentiation is intrinsic.
PROOF. It suffices to check this along a parametrized n-surface cp: U -+ jRII+k.
Given a smooth vector field X along cp, we may express X as a linear
combination of the coordinate'vector Ei of qJ,
wherefi: U -+ R for i E {I, ... , n}. Thus, for v E R;, P E U,
Dv
X
= Dv( .tf,E,)
a-I
II ,
= L Vv/')E,(P) +/'(P)DvEi)
i-I
= t (' (V v /')E,(P) + /,(P) t V JDEJ<,,) El)
i-I J-I
where , = (p, V It . , V" Sineeall the quantities in this last expression can
be computed from along cp ,(Llt:",,) E, can be determined
from the set of dot products . E.(p)} wbich can be calculated from
the formula of Theorem 1 Dv X is intrinsic. 0
. Corellary 2. Parallel transport is intrinsic.
PROOF. Immediate from Corollary 1 since X is parallel along ex if and only if
r=a 0
'I1Ieorem 1. The GauSs-Krooeckcr curvature of an oriented S in R" + 1
is intrinsic,for neven. .
PROOF. It suffices to work with a parametrized n-surface cp: U -+S. For E)
the coordinate vector fields along cp and Zany smoothtangent vector field
along cp, we have
so
,
228 23 Isometries
for all i and j. We shall compute the tangential component of the left hand
side of this equation; the theorem will follow from the fact that this tangen-
tial component must be zero. Since
VEj VE}Z = VEj(DEjZ + ((VEjZ) . N)N)
= DF,jDEjZ + ((VEjZ) . N)VEjN + (a multiple of N)
= DF,jDEjZ - (Z VEjN)VEjN + (a multiple of N),
we find that, for p E U,
(VEiVEjZ)(P) = (DE,DE}Z)(P) - (Lp(Eip)) Z(p))Lp(Ei(P))
+ (a mUltiple of N(p)).
Interchanging i and j, subtracting, and using the fact that the tangential
component of the result must be zero, we obtain the equation
(DEI DE} Z - DEjDF,j Z)(p) = (Lp(Eip)) Z(p))Lp(Ei(P))
- (Lp(Ei(P)) Z(p))Lp(Eip)),
Since the left hand side of this last equation is intrinsic, so is the right, for all i
and j. Using the linearity of L
p
, we see that given any three vectors x, y,
Z ESp, PES, the vector R(x, y, z) E Sp defined by
is intrinsic. This map R which assigns to each triple (x, y, z) of vectors in Sp,
PES, the vector R(x, y, z) in Sp is called the Riemann tensor of S; it belongs
to the intrinsic geometry of S.
Now, if n = 2 and {eb e2} is an orthonormal basis for Sp, PES, then the
Gaussian curvature K at p is given by
K(p) = det Lp = [Lp(el) e
l
][Lp(e2) . e2] - [Lp(e2) ed[Lp(e
l
) e2]
= R(e
2
, e
l
, ell . e2
so K is intrinsic, as claimed. If n > 2, but n even, and {e
l
, ... , en} is an
orthonormal basis for S p' expansion of the determinant
in terms of its 2 x 2 minors yields
a, t
. [R(ea(n-l), ea(n) , ~ ( n - l ) ) ~ ( n ) ]
where the sum is over all permutations a and 't' of {i, ... , n} and B(a) denotes
the sign of the permutation a. Hence K is intrinsic, for n even. D
23 Isometries
EXERCISES
23.1. Show that if t/!: S -+ $ is an isometry, then so is t/!-I: $ -+ S.
23.2. of the following maps are local isometries?
229
(a) The map t/! defined by t/!(p) = 2p, mapping the n-sphere xi + ...
+ x:+l'='l onto the n .. sphere xi + ... + X:+l == 4.
(b) The map t/! defined by t/!(P) = - p, mapping the Ii-sphere xi + ...
+ x:+ 1 == 1 onto itself.
(c), The map defined by
t/!(cos 8, sin 8, u) == a + b cos u)cos 8, (a + b cos u)sin 8, b sin
mapping the cylinder xi + xi == 1 in R3 onto the torus xi + xi)l/l - a)1
+ xi = b
l
in R3 (a > b > 0).
(d) The map t/! defined by
"
t/!(cos 8, sin 8, u) == (cos 8, sin 8, cos u, sin
mapping the cylinder xi + xi 1 in R3 onto the torus
Ixi + xi II: 1
\xj+ xl-t
in
23.3. Show that the cylinders xi + xi II: 4 and xi + xi == 1 in R3 are not isometric,
but that the map t/! defined by t/!(2 cos 8.2 sin 8, t) == (cos 28, sin 28, t) is a
local isometry from the first cylinder onto the second.
23.4. Show that ifY. {(Xl; Xl) e Rl: Xl > O}, then the restriction t/! Iv of the map t/!
in Example 4 .to V is' an isometry of the, upper half plane onto the cone
3xi + 3xi- xi == 0, X3 > 0 in R3 with a line removed.
23.S. Sketch the images of the parametrized 2-surfaces t/! and in R3 de-
fined by ';(8, q,) (sinh 8 cos q" sinh 8 sin q" q,) (helicoid) and ,(8, q,) ==
(cosh 8 cosq" cosh 8 sin q" 8) (catenoid). Show that the map which sends
t/!(q" 8) to ,(q" 8) is a local isometry from the firstooto the second.
23.6. (a) Show-that given any connected plane curve C, there exists a local isometry
t/!: 1 -+ C, for some open interval 1 c: R.
(b) Show that two compact connected plane curves are isometric if and only
if they have the same length.
23.1. Let X == D -1 Jj E, be a tan&ent vector field along the parametrized n-surface
cp: U -+ R"H:, and let ex: 1-+ U. Show that
(X 0 ex)' = t (It +- t (I1
J
0 ex)(Ji 0 ex) dXJj(E.c 0 ex)
t-l dt I,J-l dt
where ex(t) = (x l(t), ' .. , x,,(t and the I1J: U -+ R' are subh that
DE} Ei = D = 1 I1J E
t
(The I1J are called Christoffel symbols along cp
23.8. Show that if h: S -+ R is a smooth function on the n-surface S c: R" + 1 then the
vector field grad h and the Hessian Jf(' p at a critical point p of h are both part
of the intrinsic geometry of S.
230 23 Isometries
23.9. Show that the Gauss-Kronecker curvature of an oriented I-surface in ~ 2 is
not intrinsic.
23.10. Let S be an oriented n-surface in ~ n + l . For X and Y smooth tangent vector
fields on S, let [X, Y] denote the Lie bracket of X and Y (see Exercise 9.12)
defined by
[X, Y] = V x Y - Vy X.
Show that [X, Y] is also given by the formula
[X, Y] = DxY - DyX
and hence the Lie bracket is part of the intrinsic geometry of S.
23.11. Show that the Riemann tensor R of an oriented n-surface S c ~ n + 1 has the
following properties:
(a) R(x, y, z) w = R(z, w, x) y,
(b) R(x, y, z) . w = -R(y, x, z) w = -R(x, y, w) . z, and
(c) R(x, y, z) + R(y, z, x) + R(z, x, y) = 0
for all x, y, z, WE Sp, pES.
23.12. Let S be an oriented n-surface in ~ n + 1 and let x, y, z ESp, pES. Show that the
value on x, y, z of the Riemann tensor R of S at p is given by the intrinsic
formula
R(x, y, z) = DxDyZ - DyDxZ - D[x. Y]Z
where X, Y, and Z are any smooth tangent vector fields on S such that
X(p) = x, Y(p) = y, and Z(p) = Z, and [X, Y] is the Lie bracket of X and Y
(Exercise 23.10). [Hint: Choose a local parametrization cp of S with p E U =
Image cp, express the restrictions to U of X, Y, and Z as linear combinations
(with smooth coefficients) of the coordinate vector fields Ei of cp, and
compute.]
23.13. Let S be an oriented n-surface in ~ n + l (n> 1), let PES, and let P be a
2-dimensional subspace of S p .
(a) Show that the real number O'(P) defined by
O'(P) = R(eb e2, e2) . eb
where {eb e2} is an orthonormal basis for P, is independent of the choice
of orthonormal basis. [Hint: Use Exercise 23.11 to show that if {eb e2} is
another basis for P then R(eb e2, e2) . el = (det aij)2 R(eb e2, e2) . el
where (aij) is the change of basis matrix.]
(b) Show that if n = 2 then O'(S p) is equal to the Gaussian curvature of Sat p.
The number O'(P) is called the Riemannian curvature, or sectional curvature, of
Son P.
Riemannian Metrics
24
The intrinsic geometric features of an n-surface S depend only on dot prod-
ucts of vectors tangent to S and derivatives along parametrized curves in S
- of functions obtained as dot products of vector fields tangent to S along
these curves. In other words, given thedot product on each tangent space
S", PES, the intrinsic geometry of S can be studied without reference to the
way in which S sits in IR" + 1. If we are told what the dot product is on each S p
then we can compute, for example, the lengths of curves in S, the volume of
S, the geodesICS in S, parallel transport along curves in S, and the Gauss-
Kronecker curvature of S (if n is even) without any knowledge of how S
curves around in IR" + 1. In fact, if we are given a dot product on each tangent
space S p different from the one which comes from R; +
1
, we can still do these
intrinsic computations but of course the results of our computations will
depend on the dot products used, and the geometry we find Will in general be
quite different from the geometry weare familiar with. The geometry ob-
tained from such dot products is called Riemannian geometry; the collection
of dot products on the tangent spaces S" from which the geometry is derived
is called a Riemannian metric.
< A R-iemannian metric on an n-surface S is a function 9 which assigns to
each pair {v, w} of vectors in Sp, PES, a real number g(v, w) such that for
each v, w, and x ESp, PES, and Xe IR,
(i) g(v, w) = g(w, v) I
(ii) g(v + w, x) = g(v, x) + g(w, x ~ g(v, w +x) = g(v, w) + g(v, x)
(iii) g(AV, w) = A.g(v, w ~ g(v, AW) = A.g(v, w)
(iv) g(v, v) ~ 0, g(v, v) = 0 if and only if v = 0
and such that for each pair {K, Y} of smooth tangent vector fields defined on
231
232 24 Riemannian Metrics
an open subset U of S the function g(X, Y): U -+ IR defined by [g(X, Y)](p)
= g(X(p), Y(p)) is smooth.
Properties (i)-(iv) are familiar properties of the dot product and, in fact,
given g we can define a dot product on each Sp by v . w = g(v, w). The
smoothness property of g assures that we can do the differential calculus
computations required to investigate the geometry of (S, g).
EXAMPLE 1. Let S be an n-surface in IRn+k. For PES and v, WE Sp, define
g(v, w) by g(v, w) = v . w (usual dot product of vectors in 1R;+k). Then g is a
Riemannian metric on S. This g is called the usual metric on S.
EXAMPLE 2. Let t/I: S" - tq) -+ IR
n
denote stereo graphic projection from the
north pole {q} of the unit n-sphere sn c IR" + 1 onto the equatorial hyperplane
IRn c IR
n
+ 1. Define a Riemannian metric on gt - {q} by
g(v, w) = dl/l(v) dl/l(w) (v, w E s;" P E gt - {q})
where the dot product on the right hand side is the usual dot product in
~ ( p ) . Thus the metric g is defined precisely so that 1/1 is an isometry (dl/l
preserves dot products) from gt - {q} with the metric g to IR
n
with its usual
metric. From the fact that 1/1 is an isometry, and hence preserves all intrin-
sic geometric features of the surface, we can deduce the following facts
about the geometry of (gt - {q}, g):
(i) The geodesics of (gt - {q}, g) will be the images under the isometry
cp = 1/1-1 of the geodesics of IR
n
(see Figure 24.1). Hence the family of
q
Figure 24.1 A typical geodesic on the 2-sphere 52 (north pole deleted) with its
stereo graphic metric.
maximal geodesics in (gt - {q}, g) will be the family of (appropriately
parametrized) circles in gt passing through q, with the point q removed.
(ii) The length of each parametrized curve a:: (a, b) -+ gt - {q} with
lim
t
....
b
a:(t) = q will be infinite since 1(1/1 0 a:) = 00 for all such a:.
(iii) For n even, the Gauss-Kronecker curvature K of (gt - {q}, g) will be
identically zero.
24 Riemannian Metrics 233
3. Let cp: IR
n
-. S' denote the inverse of stereographic'projection
from the north pole q of the unit n-sphere S' to the equatorial hyperplane.
Define a Riemannian metric 9 on IR
n
by
g(v, w) = dcp(v) dcp(w) (v, WEIR;, P E IRn)
where the dot product on the right hand side is the usual dot product in
S:(I') c IR::":. Thus cp is an isometry from (IRn, g) to S' - {q} with its usual
metric. From the fact that cp an isometry we can deduce that:
(i) The geodesics of (IR", g) will be the images under the isometry '" = cp - 1
of the geodesics of S' (see Figure 24.2). The maximal geodesics radiating
q
Figure 24.2 A typical geodesic on the plane R2 with its stereo graphic metric.
from the origin will be straight lines in IR", suItably parametrized; each of
these geodesics will have finite length (2n) relative to the metric g. All
other maximal geodesics will be circles in IR", suitably parametrized (see
Figure 24.3 and Exercise 24.1); each of these geodesics will be periodic
with period 2n.
(ii) For n even, the Gauss-Kronecker curvature K of (Rn, g) will be
constant, equal to 1.
The most interesting Riemannian metrics will not be related by isometries
to "usual metrics". We shall consider now one of the most important of
these, the hyperbolic metric on the unit disc in 1R1s.. This metric is suggested
by the metrics on IR".
Let S be the n-sphere xi + ... + x: + 1 = r2 of radius r > in IR" + 1. Just as
with the unit n-sphere S', we . can use the usual metric on the n-sphere S
together with stereographic projection to define a Riemannian metric on IR".
Let us derive an explicit formula for this metric. For p E lR",the line through
(p, O),and the north pole q = (0, ... ,0, r)in Siscx(t) = (tp, (1- t)r). 1bis line
cuts S when Ilcx(t)112 = r2; that is, when t = 2r/(llpIl2 + r), so the map
cp: 1R2 -. S inverse to stereographic projection onto the hyperplane Xn + 1 =
is given by
234 24 Riemannian Metrics
Figure 24.3 Geodesics passing through (1,0) in the plane ~ 2 with its stereographic
metric.
For v = (p, v) E IR;, p E IRn,
dq>(v) = ( q > ( p ~ :t 10 q>(p + tv)
= (2r2/(llpI12 + r2)2)(lp(p), (11p112 + r2)v - 2(p . v)p, 2r(p . v))
so, for v, W E ~ we find
4
dlp(v) . dlp(w) = (1 + (1IpI12/r2))2 v w.
Thus the Riemannian metric g on IR
n
obtained from the usual metric on the
sphere S of radius r via stereographic projection into the equatorial hyperplane
is given by
(v, WEIR;, P E IRn)
where the dot product on the right hand side is the usual dot product on IR;.
When n = 2, this formula can be rewritten as
24 Riemannian Metrics
235
where K = 1/'" is the Gaussian curvature of (1R2, g) (since l/r2 is the Gaus-
lian Cllll'atlllc of S and jJ an jJOmctry) ,
The above discussion shows that a Riemannian metric 9 on 1R2 with
constant Gaussian curvature K > 0 can be obtained by defining
4
g(v, w) = (1 + Kllpl12f v W
If we take K = 0 in this formula we obtain a constant multiple of the usual
metric on 1R2 and it is easy to check that (R2, g) for this g has Gaussian
curvature identically zero. One would hope that if we took K to be a con-
stant < 0 in this formula then we would find that (1R2, g) had constant
negative Gaussian curvature K. This is indeed the case, except that this
formula defines a Riemannian metric not on 1R2 but only on the disc
{(Xb X2) E 1R2: xf + < l/IKI}.
1beorem 1. Given K E IR, K < 0, let U = {(Xb X2) e 1R2: xf + < l/IKI},
and let 9 be the Riemannian metric on U defined by
(v, w e p E U)
where the dot product on the right hand side is the usual dot product in
Then (U, g) has constant Gaussian curvature K'<O.
PROOF. Let h: u -+ IR be defined by h(P) = !(1 + Kllpl12) so that g(v, w) =
(1/(h(P))2)v w for all v, w E P E U. Using the intrinsic formulas of
Chapter 23, we shall derive a formula for the Gaussian curvature of (U, g) in
terms of the function h and its derivatives.
Note that the identity map from U into itself is a global parametrization
of U with coordinate vector fields given by E
1
(P) = (p, 1,0) and E
2
(P) =
(p,0, 1) for p E U. The metric coefficients'gij: U -+ IR ofog are given by
gl1 = g(Eh E
1
) = I1h
2
g21 = g(E2, E
1
) = 0
g12 = g(Eb E
2
) = 0
g22 = g(E2' E
2
) = I/h
2
so, using the formula of Theorem I,Chapter 23, we find (
1 oh 0
E1 ) =::-'h
3
oX
1
1 oh
- h3 OX2
1 oh
g(DEl E1) = - h
3
OX2
1 oh
g((DE2 E1) = h
3
oX
1
1 ah
gDEl E
2
) = h3 OX2
1 or
gDEl E2) = - h
3
at"
1 oh
E2) = - Ji3 oX
1
1 oh
g(DE2 E2) = - h3 OX2 .
236
24 Riemannian Metrics
Since {Eb E
2
} is orthogonal (but not orthonormall) with respect to the
metric g (g12 = g(E1' E
2
) = 0), each vector field X on U can be expressed as
X = 11 E1 +12 E2 where 11 = (l/g
11
)g(X, Ed and 12 = (1/g
22
)g(X, E
2
). In
particular,
1 oh 1 oh
DEl E1 = - Ii OX1 E1 + Ii OX2 E2
1 oh 1 oh
DEl E2 = DE2 E1 = - Ii OX2 E1 - Ii OX1 E2
1 oh 1 oh
DE2 E2 = Ii OX1 E1 - Ii OX2 E
2

Hence the Gaussian curvature of (U, g), according to the intrinsic formula
for Gaussian curvature derived in Chapter 23,.is equal to
g(R(E2/IIE211, EdllE1 II, Ed11
E
111), E2/IIE211)
= (1/IIE11121IE2112)g(R(E2' E
1
, Ed, E
2
)
= (1/g11g22)g(DE2DEl E1 - DEl DE2 E
1
, E
2
)
( (
1 oh 1 oh )
= (1/g11 g
22
)g DE2 - Ii oX
1
E1 + Ii OX2 E2
Finally, since h(Xb X2) = t(l + K(xi + xi)), we find that the Gaussian cur-
vature of (U, g) is precisely K. 0
When K = - 1, Theorem 1 describes a Riemannian metric g with con-
stant Gaussian curvature - 1 on the unit disc xi + x ~ < 1 in 1R2 by
g(v, w) = 4v w/(l - IlpI12)2. This metric is called the hyperbolic metric.
In order to gain insight into the geometry of this metric, it is convenient, if
not absolutely necessary, to use some of the ideas from the elementary
theory of functions of a complex variable. Rather than do that here (see,
however, Exercises 24.5 and 24.6) we shall study a related metric on the
upper half plane.
For p = (x, y) E 1R2 with y > 0 and v, wEIR;, define g(v, w) = v . W/y2
where the dot product on the right hand side is the usual dot product on IR;.
Then g is a Riemannian metric on the upper half plane U = {(x, y) E
1R2: y > o}. This metric g called the Poincare metric on U. Note that (U, g)
has constant Gaussian curvature -1 since, taking h(Xb X2) = X2' we have
g(v, w) = (1/h(p)2)v. w for v, wEIR;, P E U, and hence, just as in the proof
24 Riemanaian MetrD 237
of Theorem 1, the Gaussian curvature is given by
K = + _ + = -1.
OXt OX2 OXt OX2
Each of the following maps t/I:. u -+ U is an isometry from the upper half
plane U with its Poincare metric onto itself:
(i) y,(x, y) = (x + A, y) where 1 is any real number,
(ii) y,(x, y) = (lx, 1y) where 1 is any positive real number,
(iii) y,(x, y) = (-x, y), and
(iv) y,(x, y) = '(x/(x
2
+ Y/(X2 + y2.
Indeed, let v, W E R;, P E U. For y, defined as in (i) or (iii) we have
g(dy,(1'), dy,(w)) = dy,(1') dy,(W)/y2 = V W/y2 = g(1',
fory, defined (ii) we have
dy,(w = d';('f) d';(w)/(ly)2
= 11' 1w/12y2 = V = g(1',
I
as required for an isometry. For y, defined as in (iv) we have, where
Et(x, y) = y, 1,0) and E
2
(x, y) == (x, y, 0, .
(
y2 _ x
2
- 2xy )
dt/l(Et(x, y = y,(x, (x2 + rf' (x2 + y2)2
#(E2(X, y)) = (I/t(x, (x;:;f' (:22:
so
g(#(E,(x, #(E,(x, y))) = (X2: y2f It2: y2r =
= g(E,(x, Ei(x, y
for i = 1 or 2, and
thus dy, preserves dot products of basis vectors, and hence of all pairs of
tangent vectors, as required for an isometry.
One consequence of the fact that the maps (i) and (ii) are isometries is
that, just as the geometryo(sa looks the same from every point oflS" as it
does from the north pole (0, 0, 1 the geometry of U with the Poincare
metric looks the same from every point of U as it does from the point
(0, 1) E U. This is because given any point P E U there is an isometry
y, 2 0 Y, t of U, where y, 1 is an isometry of type (i) and y, 2 is one of type (ii),
which sends (0,1) onto P (see Figure 24.4). In particular, all points of U must
238 24 Riemannian Metrics
Figure 24.4 For each point p in the upper half plane U there is an isometry from U
with its Poincare metric onto itself which sends (0, 1) to p.
be the same (intrinsic) distance from the edge of U (the xI-axis). This per-
haps surprising phenomenon is due to the fact that, in the geometry of the
metric g, these distances are infinite. Thus for example, if we compute the
length, relative to the Poincare metric, of the curve (X: [0, 1) -+ U defined by
(X(t) = (0, 1 - t) we find
I
I lei I I 1
1((X) = 11&(t)11 dt = (g(&(t), &(t)))1/2 dt = -1 - dt = 00.
o . 0 0 -t
We can use the fact that the maps (i )-(iv) above are isometries also to
identify the geodesics in U relative to the Poincare metric.
Theorem. Let U be an open set in 1R2, let g be a Riemannian metric on U, and
let t/!: U -+ U be an isometry of (U, g). Suppose the fixed point set
F = {p E U: t/!(p) = p} oft/! is a connected plane curve. Then F is (the image
of) a geodesic of (U, g).
PROOF. Let (X: 1-+ F be a unit speed (g(&, &) = 1) global parametrization of
F, constructed as in Chapter 11. We shall show that (X is a geodesic, thereby
establishing the theorem.
It will suffice to show that for each to E I the restriction of (X to some
interval about to is a geodesic. So let to E I, let v = &(to), and let (Xv denote
the maximal geodesic of (U, g) with initial velocity v. We shall show that
(X(t) = (Xv(t - to) for all tEl such that t - to is in the domain of (Xv'
Note first that Image (Xv c F. This is because t/! 0 (Xv is a geodesic (since t/!
is an isometry) with initial velocity v (since t/! ~ is the identity map and hence
dt/! IF p is the identity map so t/! ~ (X(O) = dt/!(ri(O)) = dt/!(v) = v) so t/! 0 (Xv and
(Xv are geodesics with the same initial velocity. By uniqueness of geodesics,
t/! 0 (Xv = (Xv and so Image (Xv c F.
Now (X and (Xv, being unit speed curves in F with &(t
o
) = &v(01 are integral
curves of the same unit tangent vector field on F. By uniqueness of integral
curves, (X(t) = (Xv(t - to) for all t in the interval
{tEl: t - to E domain (Xv}
24 Riemannian Metrics 239
about to . It follows that the restriction of <X to this interval is a geodesic, and,
since to E I was arbitrary, that (X is a geodesic. 0
Remark. We have implicitly used, in this proof, the fact that the existence
and uniqueness theorem for geodesics is valid for surfaces with arbitrary
Riemannian metrics. Although our proof of this theorem in Chapter 7 is
valid only for the usual metric on an n-surface, it can be modified to work for
any Riemannian metric. The important observation here is that the intrinsic
geodesic equation fJ,'= 0 is still a second order ordinary differential
equation.
Corollary. The geodesics in the upper half plane U relative to the Poincare
metric are . (i) vertical lines, and (ii) semi-circles centered on the x I-axis,
suitably parametrized (see Figure 24.5 ).
Figure 24.S Typical geodesics in the upper half plane with its Poincare metric.
PROOF. Applying the theorem to the isometry t/I(Xb X2) = (-Xb X2) we see
that the line XI = 0,X2 > 0, suitably parametrized, is a geodesic. Similarly,
from the isometry t/I(Xb X2)= (xi/(xf+ x2/(xf + xi))"we see that the
semicircle xf + xi = 1, X2 > 0, suitably parametrized, is a geodesic. Since
every vertIcal line in U is the image of the line x I = 0, X 2 > under an
isometry t/I(XI' X2) = (XI + l, it follows that every vertical line in U isa
geodesic. Similarly, since every semi-circle in U centered at the origin is the
image of the semi-circle xf + xi = 1, X2 > under an isometry X2) =
(h b 1 > 0, these semicircles are Finally, every semi..Jcirc1e in
U centered on the x I-axis is the image of a semi-circle in U centered at the
origin under an isometry t/I(Xb X2) = (XI + l, X2) so they too are geodesics.
Note that every geodesic in U relative to the Poincare metric must belong
to this family since given any point p of U and any tangent direction v at p
there is a geodesic in this family passing through p in the direction v. 0
240 24 Riemannian Metrics
Remark 1. The upper half plane U with its Poincare metric is geodesically
complete; that is, every maximal geodesic in U has domain the whole real
line. See Exercise 24.4.
Remark 2. The upper half plane U with its Poincare metric g provides an
example of a geometry in which Euclid's parallel postulate fails. The parallel
postulate asserts that given any straight line I and any point p not on I there
is a unique straight line through p which does not meet I. If we define the
straight lines of (U, g) to be the images of maximal geodesics, then all of
Euclid's axioms for geometry except the parallel postulate are valid for
(U, g ~ But, given any straight line I in (U, g) and point p not on I, there are
in fact infinitely many straight lines of (U, g) through p which do not meet I
(see Figure 24.6).
Figure 24.6 Euclid's parallel postulate fails in the upper half plane with its Poincare
metric.
EXERCISES
24.1. Let I/!: 52 - {q} -+ IR denote stereographic projection from the north pole q of
the unit 2-sphere 52 onto the equatorial plane.
(a) Show that I/!(x, y, z) = (x/(1 - z), y/(1 - z)) for all (x, y, z) E 52 - {q}.
(b) Let el = (1, 0, O ~ e2 = (0, cos cp, sin cp) where -n/2 < cp < n/2, and let
ex: IR -+ 52 be the geodesic in 52 given by ex(t) = (cos t)el + (sin t)e2' Show
that the image of the parametrized curve I/! 0 ex: IR -+ 1R2 is the circle
x ~ + (X2 - tan cp)2 = sec
2
cpo
(c) Use the symmetries of 52 to show that each great circle in 52 not passing
through q is mapped by I/! onto a circle in 1R2 obtained by rotating about the
origin one of the circles described in (b). Conclude that the geodesics of 1R2
relative to the stereographic metric of Example 3 are as in Figure 24.3.
24 Riemannian Metrics 241
24.2. Find the length of the circle tXr(t) = (r cos t, r sin :s;; t :s;; 21t, relative to the
stereo graphic metric
4
g(v, ,,) = (1 + Ilp112)2 v "
on 1R2 and show that lim
r
....
ao
l(<<r) = 0.
24.3. Let S be the 2-sphere + xi + xi = r2 of radius r > in 1R3 and let qJ: 1R2-+
S - {q} be the inverse of stereographic projection from the north pole
q = (0,0, r) of S onto the tangent plane X3 == -r at the south pole (0, 0, -r)
of S. (Thus, for P E 1R2, qJ(p) is the point of S different from q which lies on the
line through q and (p, - r) in 1R
3
.) Show that the Riemannian metric on 1R2
defined by
g(v, ,,) = dqJ(v) dqJ(")
where the dot product on the right hand side is the usual dot product in
Srp(p) c: IR!(P) , can be described explicitly by the formula
where K is.the Gaussian curvature of S.
24.4. Let U be the upper half plane and let tX: [0, 1) -+ U and fJ: [0, 1t/2) -+ U be
defined by tX(t) = (0, 1 - t) and fJ(t) = (sin t, cos Show that both tX and fJ
have infinite length relative to the Poincare metric on U and use this fact to
show that the upper half plane with its Poincare"" metric is geodesically
complete.
24.S. Show that each of the following maps is an isometry from the unit disc
+ xi < 1 with its hyperbolic metric onto itself:
(i) I/I(x, y)== (x cos 8 - y sin 8, x sin 0 + y cos 8)
(ii) I/I(x, y) = (x, -y).
(8 E R)
Using the isometries (i) and (ii), show that radial straight lines in the unit disc,
suitably parametrized, are geodesics relative to the hyperbolic metric.
24.6. (a) Viewing 1R2 as the set C of complex numbers by identifying (a, b) with
a + bi, show that, for each 1 E IR with - 1 < 1 < 1, the function
z+l
I/I(z) == 1 + .A,z
is an isometry from the unit disc U with its hyperbolic metric onto itself.
(b) Show that the image under y, of radial line Xl == in U is the intersec-
tion with U ofa circle centered on the passing through (A" 0), and
meeting the unit circle + = 1 orthogonally. I
(c) Combining (b) with the result of Exercise 24.S, show that the geodesics in
the unit disc U relative to its hyperbolic metric are the intersections with
U of (i) radial straight lines and (ii) circles meeting the unit circle
xf + = 1 orthogonally (see Figure 24.7).
242 24 Riemannian Metrics
Figure 24.7 Typical geodesics in the unit disc with its hyperbolic metric.
24.7. Viewing 1R2 as the set C of complex numbers by identifying (a, b) with a + bi,
show that the function
z+i
I/I(z) = iz + 1
is an isometry from the unit disc with its hyperbolic metric onto the upper half
plane with its Poincare metric.
24.8. Let g be a Riemannian metric on an open set U of IR". Suppose 1/1: U -+ U is an
isometry of (U, g) whose fixed point set F = {p E U: I/I(p) = p} is an
(n - 1 }-surface in IR". Show that F is totally geodesic in U; that is, show that if
ex: 1-+ U is any geodesic of (U, g) with ex(to) E F and &(to) E Fa(to) for some
to E I then ex(t) E F for all tEl.
24.9. The Poincare metric on the half space U = {(Xl> ... , XII) E 1R": XII > O} is
defined by
g(v, ,,) = v , , / x ~
for v, " E ~ and p = (x l> ... , XII) E U, where the dot product on the right
hand side is the usual dot product on I R ~ .
(a) Show that each of the following maps is an isometry of (U, g):
(i) I/I(Xl> ... , XII) = (q>(Xb ... , X
II
_ d, XII) where q> is any rigid motion of
1R"-1,
(ii)I/I(p) = ).p, where). is any positive real number,
(iii) I/I(Xl> ... , XII) = (Xl> ... , -Xj, ... , XII)' where j E {l, ... , n - l},
(iv) I/I(p) = p/llpI12.
(b) Use Exercise 24.8 to show that if F 1, .. , F k are fixed point sets of isome-
tries 1/11' ... , I/Ik of U of types (iii) and (iv) above and if ex: 1-+ U is a
geodesic of (U, g) such that ex(t
o
) E F
j
and ci(t
o
) E (Fj)a(to) for all
j E {l, ... , k} then ex(t) E n,= 1 F
j
for all tEl.
(c) Conclude that the maximal geodesics of the half-space U with its Poin-
care metric are
(i) vertical (i.e., parallel to the xII-axis) straight lines in U, and
24 RiemanDian Metrics 243
(ii) semi-circles centered on and orthogonal to the (n - I)-plane x" =: O.
[Hint: First show that unit speed parametrizations of the plane curves
IXI = ... =: X,,-l =: 0
'x" > 0
and
J
x l=:' .. = x" - 2 =: 0
X;-l + x; =: 1
tx..>o .
are geodesics of (U, g) and then consider the ima&es of these geodesics
under isometries of types (i) and part
24.10. Let S be the n-sphere xi + .,. + X;+l == r2 of radius r> 0 in R"+l with its
usual metric.
(a) Show that the Riemann tensor R of S is given by
1
R(x, y, z) =: ? y z)x - (x z)y).
(b) Show that the Rieman:nian sectional curvature (Exercise 23.13) of S is
constant: a(P) =: 1/r2 for each 2-dimensionaI subspace Pof S", peS.
(c) Conclude that the metric on R' obtained from the usual metric on S via
stereographic projection onto the equatorial hyperplane has constant sec
tional curvature K =: 1/r2 and that this metric is given by the formula
4
g(" ,,) =: (1 + K"pI12)2 , . "

where the dot product on the right hand side is the usual dot product on R:.
(Remark. This formula with K < 0 defines a metric 9 of constant neptive
sectional curvature K on the n-disc xl + ... + x! < 1/ I K I. When K =: - 1,
this metric is called the hyperbolic metric in the unit n-dise xf + ...
. 2 )
+x,,<1.
Bibliography
This biblioll'aphy is limited to a very few selections that may be particularly useful
to a student seeking supplementary reading. The reader looking for a more complete
list of works in differential geometry will find an excellent guided tour of the
literature in Volume V of Spivak's Comprehensive IntroductIon (see below).
Advanced Calculus
/Fleming, W. 1977. Functions of Several Variables. New York-Heidelberg-Berlin:
Springer-Verlag.
Differential Equations
W. 1958. Lectures on Ordinary Differential Equations. Cambridge, Mass.:
M.lT. Press.
Linear Algebra
Hoffman, K., Kunze, R. 1961. Linear Algebra. Englewood Cliffs, NJ.: Prentice Hall.
Differential Geometry
do Carmo, M. 1976. Differential Geometry of Curves and Surfaces. Englewood Cliffs,
NJ.: PrentWe Han.
Millman, R., Parker, O. 1977. Elements of Differential Geometry. Englewood Cliffs,
NJ.: Prentice Han.
O'Neil), B. 1966. ElementtWy Differential Geometry. New York: Academic.
Singer, I., Thorpe, J .. 1976. Lecture Notes on Elementary Topology and Geometry.
New York-Heidelberg-Berlin: Springer-Verlag.
Spivak, M. 1970, 1975. A Comprehensive Introduction to Differential Geometry.
Vols. I-V. Boston: Publish or Perish.
(With the exception of Spivak's Cqmprehensive Introduction, each of these
differential geometry texts deals primarily with 2-surfaces. do Carmo's book is,
among the above, dosest in spirit to this text; it covers many topics covered
here. O'Neill's book uses differential forms as primary tool; Millman and Parker
rely heavily on local coordinate computations. The geometry part of the book by
Singer and Thorpe deals primarily with intrinsic geometry using the calculus of
differential forms on the unit sphere bundle as primary tooL Spivak's book is really
a graduate level text, but it does contain many items that are accessible to the
reader of the text in hand: see especially Volumes II and III.)
245
'i"
R
R"+I
vW
YXW
IIvll
x
x
u
V
a
s
C
N
N
sn
real numbers, I Ii
Euclidean (n + I)-space, X
I X'
function from. U to R
t
I
inverse image of c under
I, 1 p.
vector at a point, 6
. space of vectors atp, V.
6
6 D.
cross product, 7
length of a vector, 7 Lp
vector field, 7, 38 "
vector part of X, 7
open set, 7 I
gradient, 8 (A)
parametrized curve, 8,
50
velocity of a, 8 '-'x
space of vectors orthogo-
nal to v, 14 d
. surface, 16, 126, or
surface-with-boundary, - Xi
177
tangent space to S at dx; .
p, 16, 127, 179
plane cUrve, 18
orientation vector field, k(v)
28, 115, 180
Gauss map, 31 k;
unit n-sphere, 31
Notational Index
acceleration of a, 39
, detivative of X, 39
covariant derivative of
X, 45, 22S
covariant acceleration
of a, 46
parallel transport along
a, 49
derivative with respect
to v, 53, 54, 114

respect to v, 55, 225
Weingarten map, 55
curvature of a plane
curve, 62
length, 68, 71
differential form, 72,
147, or connection form,
190
I-form dual to X, 72,
148
differential, 72, 109,
182
Cartesian coordinates,
72
Cartesian coorfIinate
I-forms, 72
value of (A) on X, 73
normal curvature in the
direction v, 82
principal curvatures,
86
247
248
g;,
~
K
H
d e t [ ~ l 1
Wn+1
grad
;/fp
hu
dcpp
T(S)
cp
Ei
1flv
sl..
P
second fundamental
form, 87
first fundamental form,
87
Gauss-Kronecker curva-
ture, 89
mean curvature, 89
determinant, 90
gradient, 96
Hessian, 98
height function, 100
differential of cp atp,
109
tangent bundle of S,
109
parametrized surface,
110, or singular surface,
142, 184
coordinate vector fields,
114
restriction of 1f to V,
121
normal space to S at
p, 127
I
V
A
gij
t
w(XI""'Xk)
/\
J
j*
exp
a
[VI' V
2
]
o
R ~
~
J
:tx,p)
x
R
g
Notational Index
focal point, 132, 133
volume, 140, 152, 182
area, 140
metric coefficients, 141
volume form, 147, 180
value of w on XI, ... ,X
k
,
148
exterior product, 148,
154
interior product, 148
pull-back, 148
exponential map, 167
boundary, 177, 184,
185
Lie bracket, 182
unit disc in R2, 184
lower half plane, 184
standard triangle, 184
rotation operator, 190
geodesic curvature, 192
index of X atp, 202
Euler characteristic,
204
Riemann tensor, 228
Riemannian metric,
231
Acceleration 39
Adjoint 60 (Ex. 9.10)
Angle 7
exterior 196
interior 199
of rotation 191, 201
Area 140
Asymptotic direction 162 (Ex. 18.5)
Bending 224
Binormal 66(&. 10.7)
Boundary
Qf a singular disc 184
of a singular half-disc 184
of a singular rectangle 207 (Ex.
21.2)
of a singular triangle 185
of a surface-with-boundary 177
Bounded 19n .
Cartan structural equations 209 (Ex.
21.6)
Cartesian coordinate function 72
Catenary 161
Catenoid 161
Center of curvature 65
Chart 123
Christoffel symbols 229 (Ex. 23.7)
Circle of curvature 64
Oosed
I-form 75
set 19n
. Subject Index
Compact 19
Coanpactly supported variation 156
Complete vector field II. (Ex. 2.7)
Cone 117 (Ex. 14.6)
Conformal i31 (Ex. 15.12)
Congruent 213
Conjugate
locus 175
point 174
Connected 25
Connection form 190
Consistency, of a basis with an
orientation 28, 180
Convex 95
Coordinate system 123
Coordinate vector field 114
Coordinates 123
Cartesian 72
spherical 111, 117 (Ex. 14.5)
Covariant
acceleration 46
derivative 45,55,225
Critical point 97
of a height function 101
isolated 103
non-degenerate 103 I
Cross product 7, 29 (Ex. 5.7, 5.9)
Curl 189 (Ex. 20.9)
Curvature
of a curve in R3 66 (Ex. 10.7)
Gaussian 89, lIS
Gauss-Kronecker 89, lIS
249
250
Curvature [cont.]
mean 89
normal 82
of a plane curve 62
principal 86, 115
Riemannian sectional 230 (Ex.
23.13)
total 78 (Ex. 11.10)
Curve
coordinate 114
parametrized 8, 49
plane 16
space 127
Cylindar 18
parametrized III
Definite quadratic form 87
Degree, of the Gauss map 207
Derivative .
covariant 45, 55
directional 54
of a function with respect to a vector
53,54
of a smooth map 60 (Ex. 9.13)
of a vector field along a parametrized
curve 39
of a vector field with respect to a
vector 54
Dot product 6, 39, 54
Energy 175 (Ex. 19.1)
Euclidean parallel 46
Euler characteristic 204
Evolute 137
Exact I-form 75
Exponential map 167
Exterior angle 196
Exterior derivative 182, 189 (Ex. 20.7)
Exterior product 148, 154 (Ex. 17.14)
Fermi derivative 52 (Ex. 8.8)
Fermi transport 52 (Ex. 8.8)
First variation formula 164
Fixed endpoint variation 164, 166
Flow lines 8
Focal locus 135
Focal point 132, 133
Frenet formulas 66 (Ex. 10.6, 10.7)
Function along a parametrized curve
38
Fundamental domain 71
Fundamental form
first 87
second 87
Subject Index
Fundamental theorem of algebra 81
(Ex. 11.20 (e))
Gauss-Bonnet theorem
global 204
local 197
Gaussian curvature 89, 115
and connection form 193
of an ellipsoid 91
and holonomy 195
integral of 194, 199, 204
of a surface of revolution 119 (Ex.
14.20)
See also Gauss-Kronecker curvature
Gauss-Kronecker curvature 89
and convexity 104
extrinsic formula for 90
and Gauss map 144-145, 206
of a graph 93 (Ex. 12.13)
intrinsic formula for 228
magnitude of 144
of a parametrized surface 115, 118
(Ex. 14.14)
and second fundamental form 92
sign of 144-145
Gauss lemma 170
Gauss map 31
degree of 207
and Weingarten map 61 (Ex. 9.14)
Geodesic 40
curvature 192
flow 60 (Ex. 9.7)
length minimizing properties 164,
172
spray 61, 168
triangle 199
vector field 60 (Ex. 9.7)
Global 91
Gauss-Bonnet theorem 204
parametrization of a plane curve 63,
69
Stokes' theorem 186
Globally convex 95
Gradient
line 102
vector field 8, 96
Graph 1
Green's theorem 188 (Ex. 20.5)
Subject Index
Height I
Height function 96
Hessian 98
Holonomy
angle 194
group 52 (Ex. 8.7)
Homotopy 79 (Ex. 11.17)
Hyperbolic metric 236,243 (Ex. 24.10)
Hyperplane 17
Hypersurface, 16
Indefinite 87
Index 202
Induced orientation 180
Integral
of a function on a surface 152, 182
of a kform 149, 151, 181
of a I-form 74
of a 2-form 185
Integral curve 8, 24
maximal 9, 24
Interior 177
angle 199
product 148
Intrinsic
distance 176 (Ex. 19.6)
geOmetry 220
Invariant 224
Inverse function theorem 121, 129
lnv.olute 137
Inward pointing 179
- Isolated '
critical point 103
singularity 202
Isometric 221
Isometry 221
local 220
Jacobi field 138
i-form 147
Lagrange multiplier 19, 100
Left - handed basis 28
Length ,

of a plane curve 71
of a vector 7
Level set I
Levi-Civita parallel 46
Lie bracket 60 (Ex. 9.12), 182
Line integral 74
Local 91
Gauss-Bonnet theorem 197
isometry 220
maximum 97
strict 98
minimum 97
strict 98
I-parametergroup 12 (Ex. 2.12)
Stokes' theorem 185
Local parametrization
of a plane curve 63
of a surface 123, 180-181
of a surface.with-boundary 181
Maximal
geodesic 41
integral curve 9,24
Mean curvature 89, 115
Meridian 44 (Ex. 7.8)
Metric
hyperbolic 236
Poincare 236
Riemannian 231
Metric coefficients 141
Minimal surface 160
MObius band 26, 113
Monkey saddle 21 (Ex. 4.4)
Multilinearity 147
Naturallift 61 (Ex. 9.15), 168
Natural orientation onR" 28
Non-degenerate
critical point 103
quadratic form 106 (Ex. 13.3)
Normal
cUrvature 82
section 83
space 127
to the boundary 179
variation 156, 164
vector field 23, 114
One-form 72
Open set 7n
Orientation 26
induced, on a boundary 180
natural, on II" 28 (Ex. 5.5)1
preserving 145
reversing 145
standard, on sn 145
vector field 115
Oriented n-surface 26, 180
251
252
Orthogonal transformation 211
Outward-pointing 179
Parallel
Euclidean 46
Levi-Civita 46
n-planes 17
on a surface of revolution 44 (Ex.
7.8)
translate 49
transport 49, 50
vector field 46
Parametrization
by arc length 68
global (of a plane curve) 63, 69
See also local parametrization
Parametrized
curve 8,49
surface 110
Partition of unity 150
Period 71
Piecewise smooth 50
Plane 16-17
parametrized III
Plane curve 16
Poincare metric 236, 242 (Ex. 24.9)
Poincare-Hopf theorem 204
Positive
rotation 27
~ ~ ~ ~ ~ t . . d ~ ~ ~ t i ~ ~ '11
Principal
curvature directions 86, 115
curvatures 86, 115
normal 66 (Ex. 10.7)
Product
exterior 148, 154 (Ex. 17.14)
of a function and a form 73, 148
of a function and a vector field 39,
54
interior 148
Pseudosphere 120 (Ex. 14.21 (c
Pull-back 148
Quadratic form 87
Radius of curvature 65
Reflection 211
Regular
map 110
parametrized curve 79 (Ex. 11.18)
point 14
rectangle 208 (Ex. 21.2)
triangle 196
Subject Index
Reparametrization
of a parametrized curve 43 (Ex.
7.3)
of a singular n -surface 145
Restriction 39
Riemannian
curvature 230 (Ex. 23.13)
geometry 231
metric 231
Riemann tensor 228
intrinsic formula for 230 (Ex. 23.12)
Right-handed basis 28
Rigid motion 210
Rotation
index 79 (Ex. 11.18)
positive 27
of R2 210
of Rn+ I 218 (Ex. 22.4)
rate 191
total angle of 191
Saddle point 98
Second fundamental form 87
and convexity 101
Sectional curvature 230 (Ex. 23.13)
Semi-definite 87
Shape operator 55
Singular
disc 184
na)'t-wsc )'&4
rectangle 207 (Ex. 21.2)
surface 142
triangle 184
Singulari ty 202
Skewsymmetry 147
Smooth
form 73,148
function 7, 23, 128, 129
parametrized curve 8, 49
vector field 7, 23, 114
Space curve 127
Speed 38
Sphere bundle 130 (Ex. 15.6)
Spherical
coordinates 111, 117 (Ex. 14.5),
153 (Ex. 17.8)
image 31
Spray 61, 168
Standard orientation on sn 145
Stationary 97, 159
Stereographic projection 125, 130 (Ex.
15.2), 232-234
Stokes' formula, classical 189 (Ex.20.1O)
Subject Index
Stokes' theorem 185, 186
Strictly convex 95
Structural equations 209 (Ex. 21.6)
Subordinate I SO
Sum
offorms 73,148
of vector fields 39, 54
Surface 16, 126
of revolution 18
parametrized 110
parametrized III
singular 142
Surface-with-bouAdary 177
Symmetry 219 (Ex. 22.7)
Tangent
bundle 109, 130 (Ex. 15.5)
to the boundary 179
vector 13
vector field 23, 45, 114
Tangentspace
of a parametrized surface 110
of R"+I 14
of a surface . l6, 127
of a surface-with-bounda.ry 179
Torsion 66 (Ex. 10.7)
Torus, parametrized 112, 113
Total
angle of rotation 190, 201
curvature 78 (Ex. 11.10)
Totally geodesic 242 (Ex. 24.8)
Translation 210
Triangle
geodesic 199
regular 196
singular 184
Triangulation 208 (Ex. 21.4)
Unit circle 16
Unit n-spbere 16
Variation
compactly supported 156
fixed endpoint 164
normal 156, 164
of a parametrized curve 163
of a parametrized surface 156
vector field 159, 163
Vector at a point 6
Vector field 7, 23
along a parametrized curve 38
along a map 113
complete II (Ex. 2.7)
coordinate 114
isolated singularity of 202
normal 23, 114
smooth 7,23, 114
tangent 23,45, 114
Vector part 114
Velocity 8
Volume
of a compact oriented n-surface
lSl, 182
of a parametrized n-surface 140
of a singular n-surface 142
Volume form 147, 180
Weingarten map 55, liS
Winding number 77, 81 (Ex. 11.22)
253