J.M.

Sullivan, TU Berlin A: Curves Diff Geom I, SS 2015

This course is an introduction to the geometry of smooth The length of an arbitrary curve can be defined (Jordan) as
curves and surfaces in Euclidean space (usually R3 ). The lo- total variation:
cal shape of a curve or surface is described in terms of its n 
curvatures. Many of the big theorems in the subject such
X
as the GaussBonnet theorem, a highlight at the end of the
semester deal with integrals of curvature. Some of these in-
tegrals are topological constants, unchanged under deforma-
tion of the original curve or surface.
Usually not as level sets (like x2 + y2 = 1) as in algebraic
geometry, but parametrized (like (cos t, sin t)).
Of course, by Euclidean space [DE: euklidischer Raum] we
mean the vector space Rn 3 x = (x1 , . . . , xn ) with the stan-
dard scalar product [DE: Skalarprodukt] (also called an in-
ha, bi = a b = ai bi and its associated norm
P
ner product)
|a| = ha, ai).
A. CURVES
Given any interval I R, a continuous map : I Rn is
called a (parametrized) curve [DE: parametrisierte Kurve] in
Rn . We write (t) = 1 (t), . . . , n (t) .


We say is C k if it has continuous derivatives of order up
to k. Here of course C 0 means nothing more than continu-
ous, while C 1 is a minimum degree of smoothness insufficient
for many of our purposes. Indeed, for this course, rather than
tracking which results require, say, C 2 or C 3 smoothness, we
will use smooth [DE: glatt] to mean C and will typically as-
sume that all of our curves are smooth.
Examples (parametrized on I = R):
(t) = (a cos t, a sin t, bt) is a helix in R3 ;
(t) = (t2 , t3 ) is a smooth parametrization of a plane
curve with a cusp;
(t) = (sin t, sin 2t) is a figure-8 curve in R2 ;
(t) = (t, t2 , . . . , tn ) is called the moment curve in Rn .
Define simple [DE: einfache] and closed [DE: geschlossene]
curves (and simple closed [DE: einfach geschlossene] curves).
A smooth (or even just C 1 ) curve has a velocity vector
[DE: Geschwindigkeitsvektor] (t) Rn at each point. The
Rb
fundamental thm of calculus says a (t) dt = (b) (a).
The speed [DE: Bahngeschwindigkeit] of is |(t)|. We say
is regular [DE: regulr] if the speed is positive (never van-
ishes). Then the speed is a (smooth) positive function of t.
(The cusped curve above is not regular at t = 0; the others are
regular.)
The length [DE: Lnge] of is len() = I |(t)| dt. We see
R
len() = TV() = sup (t ) (t ).
i i1
t0 <<tn I i=1
This is the supremal length of inscribed polygons. (One can
show this length is finite over finite intervals if and only if
has a Lipschitz reparametrization (e.g., by arclength). Lips-
chitz curves have velocity defined a.e., and our integral for-
mulas for length work fine.)
If J is another interval and : J I is an orientation-
preserving homeomorphism, i.e., a strictly increasing surjec-
tion, then : J Rn is a parametrized curve with the same
image (trace) as , called a reparametrization of . (Note: re-
verse curve : J Rn , (t) := (t) has the same trace in
reverse order orientation reversing reparam.)
For studying continuous curves, its sometimes helpful to
allow reparams that stop for a while (monotonic but not
strictly) or that remove such a constant interval.
We instead focus on regular smooth curves . Then if
: J I is a diffeomorphism (smooth with nonvanishing
derivative, so 1 is also smooth) then is again smooth
and regular. We are interested in properties invariant under
such smooth reparametrization. This is an equivalence rela-
tion. An unparametrized (smooth) curve can be defined as an
equivalence class. We study these, but implicitly.
R t For a fixed t0 I we define the arclength function s(t) :=
t0
|(t)| dt. Here s maps I to an interval J of length len(). If
is a regular smooth curve, then s(t) is smooth, with positive
derivative s = || > 0 equal to the speed. Thus it has a smooth
inverse function : J I. We say = is the arclength
parametrization [DE: Parametrisierung nach Bogenlnge] (or
unit-speed parametrization) of . We have (s) = ((s)),
so (s(t)) = ((s(t))) = (t). It follows that has constant
speed 1, and thus that the arclength of |[a,b] is b a.
The arclength parametetrization is hard to write down ex-
plicitly for most examples we have to integrate a square root,
then invert the resulting function. (There has been some work
in computer-aided design on so-called pythagorean hodo-
graph curves, curves with rational parametrizations whose
speed is also a rational function, with no square root. But this
still doesnt get us all the way to a unit-speed parametrization.)
The fact that the arclength parametrization always exists,
however, means that we can use it when proving theorems,
and this is usually easiest. (Even when considering curves
with less smoothness, e.g., C k , there is a general principle
that no regular parametrization is smoother than the arclength
parametrization.)
End of Lecture 13 Apr 2015
Although for an arbitrary parameter we have used the name
Z b Z b    t (thinking of time) and written d/dt with a dot, when we use
|(t)| dt  (t) dt = (b) (a). the arclength parametrization, well call the parameter s and
a a write d/ds with a prime. Of course, for any function f along
the curve, the chain rule says
That is, a straight line is the shortest path. (To avoid using
vector version of integral inequality, take scalar product with d f ds d f
(b) (a).) = , i.e., f 0 = f/ s = f/||.
ds dt dt

AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30

J.M. Sullivan, TU Berlin
Suppose now that is a regular smooth unit-speed curve.
Then its velocity 0 is everywhere a unit vector, the (unit) tan-
gent vector [DE: Tangenten(einheits)vektor] T (s) := 0 (s) to
the curve. (In terms of an arbitrary regular parametrization,
we have of course T = /||.)
We should best think of T (s) as a vector based at p = (s),
perhaps as an arrow from p to p + T (s), rather than as a point
in Rn . The tangent line to at the point p = (s) is the line
{p + tT (s) : t R}. (Note about non-simple curves.) (As
long as has a first derivative at s, this line is the limit (as
h 0) of secant lines through p and (s + h). If is C 1 near
s, then it is the arbitrary limit of secant lines through (s + h)
and (s + k).) While velocity depends on parametrization, the
tangent line and unit tangent vector do not.
We are really most interested in properties that are also in-
dependent of rigid motion. It is not hard to show that a Eu-
clidean motion of Rn is a rotation A SO(n) followed by a
translation by some vector v Rn : x 7 Ax + v. Thus could
be considered equivalent to A + v : I Rn , t 7 A(t) + v.
Of course, given any two lines in space, there is a rigid mo-
tion carrying one to the other. To find Euclidean invariants
of curves, we need to take higher derivatives. We define the
curvature vector [DE: Krmmungsvektor] ~ := T 0 = 00 ; its
length is the curvature [DE: Krmmung] := |~|.
Recall the Leibniz product rule for the scalar product: if v
and w are vector-valued functions, then (v w)0 = v0 w + v w0 .
In particular, if v w (i.e., v w 0) then v0 w = w0 v.
And if |v| is constant then v0 v. (Geometrically, this is just
saying that the tangent plane to a sphere is perpendicular to
the radius vector.) In particular, we have ~ T .
Example: the circle (t) = (r cos t, r sin t) of radius r
(parametrized here with constant speed r) has
T = ( sin t, cos t), ~ =
1
(cos t, sin t), 1/r.
r
Given regular smooth parametrization with speed :=
s = ||, the velocity is T , so the acceleration vector is
= T = T + T = T + 2 T 0 = T + 2~.


Note the second-order Taylor series for a unit-speed curve
around the point p = (0) (we assume without further com-
ment that 0 I):
s2
(s) = p + sT (0) + ~(0) + O(s3 ).
2 how fast the tangent vector T turns as we move along the curve
These first terms parametrize a parabola agreeing with to
second order (i.e., with the same tangent and curvature vec-
tor). Geometrically, it is nicer to use the osculating circle [DE:
Schmiegekreis], the unique circle agreeing to second order (a
line if ~ = 0). It has radius 1/ and center p + ~/2 . Thus we
can also write
(s) = p + cos(s)~/2 + sin(s)T/ + O(s3 ).
(Constant acceleration or second derivative gives a parabola
its points are equivalent by shearing. Constant curvature gives
a circle its points are equivalent by rotation.)
AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30
A: Curves Diff Geom I, SS 2015
Solving for ~ we get the formula
h, i
||2 ~ =
||2
for the curvature of a curve not necessarily parametrized at
unit speed.
Any three distinct points in Rn lie on a unique circle (or
line). The osculating circle to at p is the limit of such circles
through three points along approaching p. (Variants with
tangent circles, note on less smoothness, etc.)
Considering T : I Sn1 Rn , we can think of this as
another curve in Rn called the tantrix (short for tangent in-
dicatrix) of which happens to lie on the unit sphere. As-
suming was parametrized by arclength, the curve s 7 T (s)
has speed . Thus it is regular if and only if the curvature of
never vanishes. (Note on curves with nonvanishing curvature
in R2 versus R3 .)
End of Lecture 16 Apr 2015
A1. Plane Curves
Now lets consider in particular plane curves (n = 2). We
equip R2 with the standard orientation and let J denote the
counterclockwise rotation by 90 so that J(e1 ) = e2 and for
any vector v, J(v) is the perpendicular vector of equal length
such that {v, Jv} is an oriented basis.
Given a (regular smooth) plane curve , its (unit) normal
vector [DE: Normaleneinheitsvektor] N is defined as N(s) :=
J(T (s)). Since ~ = T 0 is perpendicular to T , it is a scalar
multiple of N. Thus we can define the (signed) curvature
of by N := ~ (so that = |~| = ). For an arbitrary
regular parametrization of , we find
det(, )
= .
||3
From N T and T 0 = N, we see immediately that N 0 =
T . We can combine these equations as
T
!0
0 T
! !
= .
N 0 N
Rotating orthonormal frame, infinitesimal rotation (speed
) given by skew-symmetric matrix. The curvature tells us
at unit speed.
Since T (s) is a unit vector in the plane, it can be expressed
as (cos , sin ) for some = (s). Although is not uniquely
determined (but only up to a multiple of 2) we claim that we
can make a smooth choice of along the whole curve. Indeed,
if there is such a , its derivative is 0 = . Picking
R s any 0
such that T (0) = (cos 0 , sin 0 ) define (s) := 0 + 0 (s) ds.
This lets us prove what is often called the fundamental the-
orem of plane curves [DE: Hauptsatz der lokalen Kurventhe-
orie] (although it really doesnt seem quite that important):
Given a smooth function : I R there exists a smooth
unit-speed curve : I R with signed curvature ; this
J.M. Sullivan, TU Berlin
curve is unique up to rigid motion. First note that integrat-
ing gives the angle function : I R (uniquely up to a
constant of integration), or equivalently gives the tangent vec-
tor T = (cos , sin ) (uniquely up to a rotation). Integrating T
then gives (uniquely up to a vector constant of integration,
that is, up to a translation).
Now suppose is a closed plane curve, that is, an L-
periodic map R R2 . As above, we get an angle func-
tion : R R but this is not necessarily periodic. Instead,
(L) = (0)+2n for some integer n called the turning number
[DE: Umlaufzahl] (or rotation index or . . . ) of . (It follows
that (s + kL) (s) = kn for any integer k and any s.) Note
RL
that the total signed curvature 0 ds of is 2n. (If we
reverse the orientation of we negate the turning
R number.)
We will later prove Fenchels theorem that ds 2 for
any curve in Rn (with equality only for convex plane curves).
A standard result is the Jordan curve theorem, saying that a
simple closed plane curve divides the plane into two regions,
one of which (called the interior [DE: Innere]) is bounded.
Assuming the curve is oriented so that its interior is on the left,
then the theorem on turning tangents, more often known
even in English by the German name Umlaufsatz, say that its
turning number is always +1. (This is a special case of the
GaussBonnet theorem, needed as a lemma for the general
case, so we will give a proof later.)
A2. The Four-Vertex Theorem
A vertex [DE: Scheitelpunkt] of a plane curve is an extremal
point of , that is a point where achieves a local minimum
or maximum, so that 0 = 0. Since any real-valued function
on a compact set achieves a global minimum and maximum,
any curve has at least two vertices.
Note that the osculating circle to at p crosses at p un-
less p is a vertex. Most peoples sketches of osculating cicles
are wrong! More generally, suppose and are two regular
curves with the same tangent at p. Then stays to the left of
in some neighborhood of p if > at p. And conversely of
course if stays to the left, then at least the weak inequality
holds at p.
The Four-Vertex Theorem [DE: Vierscheitelsatz] says that
any simple closed plane curve has at least four vertices.
(Note counterexample r = 1 + 2 sin in polar coords if curve
not embedded.) We give a proof due to Bob Osserman (1985).
Lemma: Given a compact set K in the plane (which might
be the trace of a curve ) there is a unique smallest circle
c enclosing K, called the circumscibed circle [DE: Umkreis].
(Existence via compactness of an appropriately bounded set of
circles; uniqueness by constructing smaller circle containing
intersection of two given ones.)
A: Curves Diff Geom I, SS 2015
3. thus c K contains at least two points, and if there are
only two they are antipodal on c.
For the case of a curve , by our previous remark, at any point
of c the curvature of is at least that of c.
End of Lecture 20 Apr 2015
Now lets prove the theorem. Let the curvature of the cir-
cumcircle c be k. If c includes an arc, there is nothing
to prove. Otherwise suppose c includes at least n 2
points pi . (At these points i.) We claim each arc i be-
tween consecutive pi and pi+1 contains a point with < k.
Then it also contains a vertex qi (a local minimum of ) with
< k. Since the arc from qi1 to qi includes the point pi with
k is also includes a vertex p0i (a local maximum of
with k. Thus we have found 2n 4 vertices as desired.
To prove the claim, consider the one-parameter family of
circles through pi and pi+1 (with signed curvatures decreasing
from k). The last one of these to touch i is tanget to i at at
least one interior point, and since i stays to the right of that
circle, its signed curvature is even less.
Where did we use the fact that the curve is simple? (Re-
call that the theorem fails without this assumption!)
When two curves are tangent at p and dont cross locally,
we got an inequality between their signed curvatures. But this
assumes their orientations agree at p. By the Jordan curve the-
orem, a simple curve bounds a compact region K. Clearly,
and K have the same circumcircle c. If both curves are
oriented to have the compact regions to the left, then these
orientations agree. Similarly, further application of the Jordan
curve theorem ensure that the oriented circular arc from pi to
pi+1 used above agrees in orientation with i .
A3. Evolutes and the Nesting Theorem
Given a curve : I Rn with nonvanishing curvature, its
evolute [DE: Evolute] : I Rn is the curve of centers of
osculating circles: (t) := (t) + ~(t)/(t)2 . Let us consider
in particular a unit-speed plane curve with = > 0 and
write r = 1/ for the radius of curvature. Then the evolute is
(s) = (s)+r(s)N(s). Its velocity is 0 = T +r0 N +rN 0 = r0 N,
so its speed is |r0 (s)|. (The evolute is singular where has
a vertex.) The acceleration of the evolute is r00 N + r0 N 0 =
r00 N r0 T/r, so its curvature is r|r10 | .
Now consider a planar arc with strictly monotonic, non-
vanishing curvature. By the formula above, its evolute also
has nonvanishing curvature, so in particular,R the distance
s2
|(s1 ) (s2 )| is stricly less than the arclength s |r0 (s)| ds =
R    1

Properties:
1. c must touch K (for otherwise we could shrink c).
2. cK cannot lie in an open semicircle of c (for otherwise
we could translate c to contradict (1).
AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30
 r0 ds = r(s1 ) r(s2 ). This simply says the distance be-
tween the centers of two osculating circles to is less than the
difference of their radii, that is, the circles are strictly nested.
This is the nesting theorem of Tait (1896) and Kneser (1914):
the osculating circles along a planar arc with stricly mono-
tonic, nonvanishing curvature are strictly nested.
J.M. Sullivan, TU Berlin A: Curves Diff Geom I, SS 2015

A4. The Isoperimetric Inequality
Another global result about plane curves is the isoperimet-
ric inequality [DE: isoperimetrische Ungleichung]. If an em-
bedded curve of length L bounds an area A then 4A L2 .
(Equality holds only for a circle.)
If R R2 is the region enclosed by the simple closed (C 1 )
curve : [a, b] R, (t) = (x(t), y(t)), then we have by
Greens theorem
Z Z Z b Z b
A= dx dy = x dy = xy dt = y x dt.
R a
(Actually, the formula gives an appropriately defined alge-
braic area even if the curve is not simple; no change if
parametrization backtracks a bit.)
The trick suggested by Erhard Schmidt (1939) to prove the
isoperimetric inequality is to consider an appropriate compar-
ison circle. We deal with a smooth curve . First find two
parallel lines tangent to such that lies in the strip between
them. Choose coords so make them the vertical lines x = r.
(Here 2r is the width of in the given direction.) Parametrize
by arclength over [0, L] by (x(s), y(s)) and parametriz the
p (s) = (x(s), y(s)): same x(s)
circle of radius r over [0, L] by
as for , and thus y(s) = r2 x(s)2 . (Note about non-
convex curves, etc.)
End of Lecture 23 April 2015
Note that the unit normal vector to is
R LN = (y , x ), so
0 0
for line segments with some constant c in place of /2. (We
could easily compute c = /2 by integrating a trig function,
but wait!) Next, by summing, it holds for all polygons (with
the same c). Finally, it holds for smooth curves (or indeed
for all rectifiable curves) by taking a limit of inscribed poly-
gons. (To know we can switch the averaging integral with
the limit of ever finer polygons, we can appeal for instance
to Lebesgues monotone convergence theorem.) To compute
c = /2 it is easiest to consider the unit circle with length 2
and constant projection length 4.
Note that everything we have said also works for curves in
a Rn (projected to lines in different directions) only the value
of c will be different. Similarly, for an appropriate c = cn,k
we get that the length of a curve in Rn is c times the average
length of projections to all different k-dimensional subspaces.
For any plane curve , the length of u is at least twice the
width of in the direction u. If is a convex plane curve, we
have equality, so CauchyCrofton says the length is times
the average width. For instance any curve of constant width 1
(like the Reuleaux triangle on an equilateral triangle of side
length 1, named after Franz Reuleaux, Rector at TU Berlin in
the 1890s) has length . A unit square has minimum width 1
and maximum width 2; since its length is 4, the average
width is 4/.
Writing the various different lines perpendicular to u as
R`u,a := {x : hx, ui = a} for a R, we see that len u =
#( `u,a ) da. Thus CauchyCrofton can be formulated as
R

hN(s), (s)i = xy + yx . We have A = 0 xy ds and r2 =

0 0 0 2Z
Z
1
len = # `u(),a da d.


RL
0 yx0 ds. Thus 4 0 R

Z L Z L Z L
A + r2 = xy0 yx0 ds = hN, i ds |N| || ds = Lr.
0 0 0 A6. Fenchels theorem

Thus by the arithmetic-geometric mean inequality,

Ar2 (A + r2 )/2 Lr/2.
Squaring and dividing by r2 gives the isoperimetric inequality.
It is not hard to check that if all these inequalities hold with
equality, then must be a circle.
Fenchels theorem says the total curvature of any closed
curve in Rn is at least 2. (Equality holds only for convex
plane curves.) To prove this for C 1 curves , recall that the
tantrix T (s) has speed (s) and thus its length is the total cur-
vature of . On the other hand, the tantrix lies in no open
hemisphere of Sn1 , for if we had hT (s), ui > 0 for all s then
we would get

A5. The CauchyCrofton Formula Z L D Z L E

0< hT (s), ui ds = u, T (s) ds
0 0
Given a unit vector u = u() = (cos , sin ) S1 R2 , the = u, (L) (0) = hu, 0i = 0,


orthogonal projection to the line in direction u is u : R2
R2 , x 7 hx, ui u. If : I R2 is a smooth plane curve, then a contradiction. Fenchels theorem is thus an immediate corol-
u = u is its projection (usually not regular!). lary of the theorem below on spherical curves.
The CauchyCrofton formula says the length of is /2
We will state all results for general n, but on first reading
time the average length of these projections. By average
one should probably think of the case n = 3 where lies on
length we mean
the usual unit sphere S2 R3 .
? ? 2 Z 2 To investigate spherical curves in more detail note first that
1
len(u ) du = len(u() ) d := len(u() ) d for points A, A0 Sn1 Rn the spherical distance (the length
S1 0 2 0
of the shortest spherical path, a great circle arc) between them
To prove this, first note that if is a line segment, the aver- is
age projected length is independent of its position and orienta-
(A, A0 ) = arccos A, A0 = 2 arcsin |A A0 |/2 .



tion and proportional to its length. That is, the theorem holds

AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30

J.M. Sullivan, TU Berlin
The points are antipodal [DE: antipodisch] if A = A0 (i.e.,
= , . . . ). A nonantipodal pair is connected by a unique
shortest arc, with midpoint M = (A + A0 )/|A + A0 |.
Lemma: suppose A, A0 nonantipodal with midpoint M; sup-
pose (X, M) < /2. Then 2(X, M) (X, A) + (X, A0 ).
(This can be used to show that the distance from X to a great
circle is a convex function when resticted to the semicircle
where the distance is at most 2.)
To prove this, first note that A, A0 , X all lie in some three di-
mensional subspace of Rn , so we work there, and in particular
on S2 . Consider a 2-fold rotation around M, taking A to A0
and X to some point X 0 . Using the triangle inequality and the
symmetry, we get
2(X, M) = (X, X 0 ) (X, A) + (A, X 0 ) = (X, A) + (X, A0 )
as desired.
End of Lecture 27 Apr 2015
Theorem: Suppose is a closed curve on Sn1 of length
L < 2. Then is contained in some spherical cap {x Sn1 :
(X, M) L/4} of (angular) radius L/4 < /2, and in particu-
A: Curves Diff Geom I, SS 2015
one max. At each intermediate height, there are exactly two
points of . Joining these pairs by horizontal segments gives
an embedded disk spanning , showing it is unknotted. For
a knotted curve, every height function must have at least four
critical points, meaning four intersections of the tantrix with
every great circle.
A7. Schurs comparison theorem
and Chakerians packing theorem
Schurs theorem is a precise formulation of the intuitive
idea that bending an arc more brings its endpoints closer to-
gether.
Suppose is an arc in Rn of length L, and consider a com-
parison arc in R2 Rn of the same length, such that with
respect to a common arclength parameter s, the curvature of
is positive and everywhere at least that of of : (s) (s).
Assuming that with its endpoints joined by a straight seg-
ment gives a convex (simple closed) curve, we conclude that
its endpoints are closer:
lar in some open hemisphere. (Note as promised that Fenchel    
is an immediate corollary.)
To prove this, pick two points A, A0 on dividing the ar-
clength in half. Then (A, A0 ) L/2 < . Let M be the
midpoint and let X be any point on . If (X, M) < /2, then
by the lemma,
(X, M) (X, A) + (X, A0 ) /2 len(AXA0 )/2 = L/4.


(L) (0) (L) (0).
Proof: by convexity, we can find s0 such that the tangent
T 0 := T (s0 to is parallel to (L) (0). Move by a rigid
motion so that (s0 ) = (s0 ) and they share the tangent vector
T 0 there. We have
 
Z L
(L) (0) (L) (0), T 0 =


Thus the distance from M to any point on is either at most T (s), T 0 ds,
0
L/4 or at least /2. By continuity, the same possibility holds
for all X; picking X = A we see it is the first possibility. while for , our choice of T 0 gives equality:
There are of course other approaches to proving Fenchels Z L
theorem. One goes through an integral geometry formula  

analogous to our last version of CauchyCrofton. (Well state
it just for curves in S2 but it holds with the same constant
in any dimension.) For u S2 , the great circle u is the set
of points orthogonal to u. Then the formula says the length
of equals times the average number of intersections of
with these great circles. (When itself is a great circle, this is
clear, since there are always 2 intersections.)
First note that the length of a spherical curve is the limit
of the lengths of spherical inscribed polygons (made of great
circle arcs). (Indeed the spherical inscribed polygon always
has length larger than the euclidean polygon with the same
vertices, which is already approaching the lenth of the curve
from below.) Then just as for CauchyCrofton, we check this
formula first for great circle arcs, then for polygons and then
follows since
by a (trickier) limiting argument for smooth curves.
With this formula, one can prove Fenchels theorem for
smooth curves by considering height functions h(s), ui. Each
has at least two critical points (min, max), but critical points
satisfy T (s) u . That is, the tantrix intersects every great
circle at least twice, and thus has length at least 2.
Without giving precise definitions about knots, we can
understand the FryMilnor theorem: a nontrivally knotted
curve in R3 has total curvature at least 4. For suppose for
some height function h(s), ui there was only one min and
AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30
(L) (0) = (L) (0), T 0 =
T (s), T 0 ds,
0
Thus it suffices to show T (s), T 0 T (s), T 0 (for all s).
We start from s0 (where both sides equal 1) and move out in
either direction. While T moves straight along a great circle
with speed , a total distance less than , we see that T moves
at slower speed and perhaps not straight. Thus is geometri-
cally clear that T is always closer to the starting direction. In
formulas,
Z s Z s
T (s), T 0 = cos ds cos ds T (s), T 0 .
s0 s0
ds is the length of the
R
(The last inequality
tantrix, while arccos T (s), T 0 is the distance between its end-
points.)
Note that this same proof can be made to work for arbitrary
curves of finite total curvature. The case of polygonal curves
is known as Cauchys arm lemma and was used in his proof
(1813) of the rigidity of convex polyhedra, although his proof
of the lemma was not quite correct.
Chakerian proved the following packing result (which again
can be generalized to all curves although we consider only
smooth curves): A closed curve of length L in the unit ball
J.M. Sullivan, TU Berlin
in Rn has total curvature at least L. To check this, simply
integrate by parts:
Z Z Z Z
len = hT, T i ds =
,~ ds || ds ds.

What about nonclosed curves? We just pick up a boundary
term in the integration by parts, and find that length is at most
total curvature plus 2.
A8. Framed space curves
We now specialize to consider curves in three-dimensional
space R3 . Just as for plane curves we used the 4-fold rotation
J, in 3-space we will use its analog, the vector cross product.
Recall that v w = w v is a vector perpendicular to both v
and w.
A framingRahmen along a smooth space curve is a
(smooth) choice of a unit normal vector U(s) at each point
(s). Defining V(s) := T (s) U(s) we have an (oriented) or-
thonormal frame {T, U, V} for R3 at each point of the curve,
and the idea is to follow how this frame rotates. As before,
expressing the derivatives in the frame itself gives a skew-
symmetric matrix:
0 curvature condition just says that and are linearly indepen-
U V T
T 0 dent, so that {, , } is an oriented basis. The orthonormal
U 0 U U .
U =
V V U 0 V
Here U , V and U are functions along the curve which de-
pend on the choice of framing. We see that T 0 = ~ =
U U + V V, so these are just the components of the curva-
ture vector in the chosen basis for the normal plane. (And
2 = U2 + V2 .) The third function U measures the twisting or
torsion of the framing U.
End of Lecture 30 Apr 2015
Sometimes in physical problems a framing is given to us by
material properties of a bent rod. Mathematically, the curve
might lie on a smooth surface in space; then we often choose
U to be the surface normal so that the conormal V is (like T )
tangent to the surface. (We will explore such Darboux frames
[DE: Darboux-Rahmen] in detail when we study surfaces.)
But when no external framing is given to us, there are two
ways to choose a nice framing such that one of the entries in
the matrix above vanishes. The first has no twisting (U = 0),
and such a {T, U, V} is called a parallel frame or Bishop frame.
Given any U0 at (s0 ) we want U 0 to be purely tangential,
indeed
U 0 = U T = ~, U T.
But this ODE has a unique solution. Since it prescribes U 0
U the solution will have constant length, and since hU 0 , T i =
hT 0 , Ui, the solution will stay normal to T . If we rotate a
parallel framing by a constant angle in the normal plane (that
is, replace U by cos U + sin V) then we get another parallel
framing (corresponding to a different U0 ). Indeed any two
parallel framings differ by such a rotation. Parallel frames are
AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30
A: Curves Diff Geom I, SS 2015
very useful, for instance in computer graphics when drawing
a tube around a curve. One disadvantage is that along a closed
curve, a parallel framing will usually not close up.
The second special framing comes from prescribing V = 0,
i.e., ~ = U U. That is, U should be the unit vector in the direc-
tion ~. Here the disadvantage is that things only work nicely
for curves of nonvanishing curvature , 0. Assuming this
condition, we rename U as the principal normal [DE: Haupt-
normaleneinheitsvektor] N and V as the binormal [DE: Bi-
normaleneinheitsvektor] B and call {T, N, B} the Frenet frame
[DE: Frenet-Rahmen]. We have
0
T 0 0 T
N = 0 N ,
B 0 0 B
where (s) is the curvature and (s) is called the torsion [DE:
Torsion] of . In terms of a unit-speed parametrization, we
have 0 = T , 00 = T 0 = ~ = N, so N = ~/. Finally,
N 0 = T + B so = hN 0 , Bi = |N 0 + T |. The expansion of
the third derivative in the Frenet frame is
000 = (N)0 = 0 N + N 0 = 2 T + 0 N + B.
Expressions in terms of an arbitrary parametrization of
with speed (t) are left as an exercise. Here the nonvanishing
frame {T, N, B} is the result of applying the GramSchmidt
process to this basis.
Of course N and B span the normal plane [DE: Nor-
malebene] to at p = (s). The curve stays to second order in
the osculating plane [DE: Schmiegeebene] spanned by T and
N, which contains the osculating circle. The plane spanned by
T and B is called the rectifying plane [DE: Streckebene] (since
the projection of to that plane has curvature vanishing at p).
The Taylor expansion of to third order around p = (0) is
3
   2 3
  3 
(s) p + s s6 2 T + s2 + s6 0 N + s6 B
where of course T , N, B, , and 0 are all evaluated at s = 0.
Exercise: look at the projections to the three planes above,
and see which quadratic and cubic plane curves approximate
them.
The fundamental theorem of space curves says that given
functions , : I R with > 0 determine a space curve
(uniquely up to rigid motion) with that curvature and tor-
sion. This is basically a standard theorem about existence and
uniqueness of solutions to an ODE. For any given {T 0 , N0 , B0 }
the matrix ODE above has a solution, which stays orthonor-
mal and thus gives a framing. (Changing the initial condition
just rotates the frames by a constant rotation.) As in the case of
plane curves, integrating T (s) recovers the curve (uniquely
up to translation).
Example: a curve with constant curvature and torsion is a
helix. Its tantrix traces out a circle on S2 at constant speed .
Any curve whose tantrix lies is a circle on S2 (i.e., makes con-
stant angle with some fixed vector u) is called a generalized
helix. Exercise: this condition is equivalent to / being con-
stant.
J.M. Sullivan, TU Berlin A: Curves Diff Geom I, SS 2015

Suppose now is a unit-speed curve with > 0. If {T, N, B} In a parallel framing, these are the entries of the top row.
0
is the Frenet frame and {T, U, V} is a parallel frame, then how That
P is, the curvature vector T is an arbitrary combination
are these related? We have of course i Ei of the normal vectors Ei , but each of them is parallel
with derivative i T only in the tangent direction. Given any
cos sin U
! ! !
N framing at an initial point, solving an ODE gives us a parallel
=
B sin cos V frame along the curve.
The generalized Frenet frame exists only under the (some-
for some = (s). Then ~ = N = cos U + sin V what restrictive) assumption that the first n 1 derivatives ,
meaning that U = cos and V = sin . Differentiating , . . . , (n1) are linearly independent, and {T, E2 , . . . , En } is
B = sin U + cos V gives then the GramSchmidt orthonormalization of these vectors.
For this frame, it is only the matrix entries just above the di-
N = B0 = 0 cos U + sin V +0T = 0 N


agonal that are nonzero. Thus
so that 0 = or = ds. (The constant of integration
R
Ei0 := i Ei+1 i1 Ei1
corresponds to the freedom to rotate the parallel frame.) We
see that the twisting or torsion of the Frenet frame really In particular T 0 = 1 E2 so 1 = is the usual curvature and E2
does give the rate 0 at which it rotates relative to the twist- is the principal normal (the unit vector in the direction of ~).
free Bishop frame. Sometimes it is useful to use a complex The i are called Frenet curvatures. A fundamental theorem
curvature (s)ei(s) = U (s) + iV (s). Well defined up to global says that for any functions i (s) with i > 0 for i < n 1, there
rotation by ei0 in the complex plane (corresponding again to is a curve with these Frenet curvatures; it is unique up to rigid
the freedom to rotate the parallel frame). motion.
It is clear that a space curve lies in a plane if and only if
0, if and only if is constant, if and only if the complex
curvature stays on some fixed line through 0.
As another example, the complex curvature of a helix traces
out the circle |z| = at constant speed.
Bishop (1975) demonstrated the usefulness of the parallel
frame by characterizing (C 2 regular) space curves that lie on
some sphere. Indeed, lies on a sphere of radius 1/d if and
only if its complex curvature lies on a line at distance d from
0 C. In an appropriately rotated parallel frame, this line
will be the line U d. (The characterization in terms of the
Frenet frame is more awkward, needing special treatment for
points where and 0 vanish.)
To prove this, note that by translating and rescaling we can
treat the case of S2 , i.e., h, i 1. It follows that T
so U := is a framing of itself. From 0 = T we see that this
framing is parallel. That is, U = , V = T is a Bishop
frame. The equation U 0 = T means U 1, as desired. (Note
that since the position vector on S2 is also the normal vector to
the spherical surface, {T, U, V} is also the Darboux frame for
S2 !) Conversely, suppose has a parallel frame {T, U, V}
with U 1, i.e., U 0 = T . Then U is a constant point P,
meaning lies on the unit sphere around P.
End of Lecture 4 May 2013

A9. Framings for curves in higher dimensions

A framing along a smooth curve in Rn is a choice of ori-

ented orthonormal basis {E1 , E2 , . . . , En } at each point of ,
where E1 (s) = T (s) is the unit tangent vector, and each Ei (s)
is a smooth function. Of course the other Ei (for i 2) are
normal vectors. The infinitesimal rotation of any framing is
given, as in the three-dimensional
  case, by a skew-symmetric
matrix, here determined by the n2 entries above the diagonal.
Again it is helpful to choose special framings where only n1
of these entries are nonzero.

AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30

J.M. Sullivan, TU Berlin
B. SURFACES
Given an open set U Rm and a map f : U Rn we write
D p f for the derivative of f at p U, the linear map Rk Rn
such that f (p + v) f (p) + D p f (v). We say p U is a
critical point of f if D p f is not surjective (which is automatic
if m < n); and we say q = f (p) Rn is a critical value.
Any other q Rn is called a regular value of f . We say f
is an immersion if D p f is injective at every p (which requires
m n).
Intuitively, a subset M Rn is a smooth embedded k-
dimensional submanifold if every point p M has an open
neighborhood U Rn in which M looks like an open set in
Rk . From analysis we recall several equivalent precise formu-
lations:
1. Diffeomorphism: There is an open V Rn and a
diffeomorphism : U V Rn taking U M to
V (Rk {0}).
2. Level set: There is a smooth map h : U Rnk such
that 0 is a regular value of h and U M = h1 (0).
3. Parametrization: There is an open set V Rk and a
smooth immersion f : V Rn that is a homeomor-
phism from V onto U M.
k
4. Graph: There is an open set V R and and a smooth
map h : V Rnk such that U M is the graph of h
up to permutation of coordinates in Rn .
Here of course, a diffeomorphism gives a level set represen-
tation, and a graph is a special kind of parametrization.
For the rest of this semester, we will consider surfaces
(k = 2) in R3 . An example is the graph of a smooth func-


tion f : U R, parametrized by (u, v) 7 u, v, f (u, v) or
given as the zero-set of F(x, y, z) := f (x, y) z.
Another example would be the unit sphere S2 , the level
set x2 + y2 + z2 = 1. It can be covered by six open hemi-
spheres on which it is a graph in one of the coordinate direc-
tions. Using stereographic projection we can parametrize all
but a single point of the sphere by an immersion from R2 .
The usual geographic coordinates (lattitude and longitude)
(, ) 7 cos cos , sin cos , sin give an immersion


(/2, /2) R R3 , which is injective if restricted to
(, ).
We will typically use parametrizations to describe our sur-
faces. Let x : U R3 be a smooth map defined on an open
subset U R2 . At a point (u, v) U we write
x x
xu (u, v) = = D(u,v) x(u ), xv (u, v) = = D(u,v) x(v )
u v
for the partial derivatives. (Here {u , v } form the standard ba-
sis for R2 , thought of as the tangent vectors at (u, v).) The
derivative D(u,v) x is injective if and only if xu and xv are lin-
early independent (if and only if xu xv , 0). If this is true at
all points of U, then x is an immersion.
Note that an immersion need not be one-to-one; even if it
is, it need not be a homeomorphism onto its image (figure 8,
AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30
B: Surfaces Diff Geom I, SS 2015
spiral examples). If it is, then of course its image is a smooth
submanifold. Given an immersion x, any point in U has a
neighborhood V such that x|V is a homeomorphism.
Given an immersion x parametrizing a surface M, the span
of xu and xv (the image of Dx) is two-dimensional, and is
called the tangent plane T p M at p = x(u, v). Orthogonal to
this is the normal line N p M, spanned by xu xv .
Note that we typically blur the distinction between a point
(u, v) U and its image p = x(u, v) M = x(U). We write,
for instance, xu (p) = xu (u, v) interchangeably.
Example (surfaces of revolution): Suppose we have a regu-
lar curve (t) = (r(t), 0, z(t)) in the x > 0 half of the xz-plane.
Consider the map
x(t, ) = r(t) cos , r(t) sin , z(t) .


This is an immersion (domain I R, but injective only on
smaller pieces), parametrizing a surface of revolution. Con-
sider injectivity issues, tangent, normal, etc. see homework.
Example (ruled surface): A surface swept out by straight
lines (a ruled surface) can be parametrized by a base curve
(t) and a director field (t) by setting x(t, u) = (t) + u(t).
End of Lecture 7 May 2015
B1. Curves, length and area
How do we describe a curve in a surface M? If x : U R3
is a surface patch and : I U R2 is a (regular smooth)
curve in U then = x is a (regular smooth) curve in R3
lying on the surface M. Conversely, any curve on M can be
described this way. We postpone a discussion of the details
and of the effects of changing coordinates (to an overlapping
surface patch).
Writing (t) = (u(t), v(t)) we have = (u, v) and by the
chain rule the velocity vector of = x is thus uxu +
vxv . We see that the tangent plane T p M spanned by {xu , xv } is
exactly the set of all velocity vectors to curves in M through
p = x(u, v).
The speed of is of course given by the Euclidean norm
of its velocity vector; the tangent space T p M inherits an inner
product h, i as a subspace of T p R3 = R3 . The basis {xu , xv }
is of course in most cases not orthonormal. The inner product
is a symmetric bilinear form and is expressed in this basis by
the symmetric matrix
hxu , xu i hxu , xv i
! !
g p :=
E F
:= .
F G hxv , xu i hxv , xv i
(Here, E, F and G are traditional names for the entries of this
matrix.) The matrix representation means that if a = au xu +
av xv and b = bu xu + bv xv are two tangent vectors, then their
inner product is
  hxu , xu i hxu , xv i! bu !
ha, bi = au av .
hxv , xu i hxv , xv i bv
Of course the associated quadratic form a 7 ha, ai is given
by the same matrix. This is called the first fundamental form
J.M. Sullivan, TU Berlin
of the surface, and we use g = g p as a name for the matrix and
for the bilinear/quadratic form. (Often I = I p , from the roman
numeral one, is used instead.)
Returning to the curve , we get
  u
! f : A Rn is said to be smooth if it has a smooth extension
|| = g p () = u v g p
2
= E u2 + 2F uv + Gv2 .
v
The length of Rthep curve is of course then the integral of
speed: len = g() dt.
Note that the velocity (u, v) of has the same expres-
sion (in the standard basis of R2 ) as the velocity of (in
our basis {xu , xv }). We often blur the distinction between
T (u,v) U = T (u,v) R2 and T p M, and that between and , etc. We
can think, for instance, of g p as defining a new inner product
on T (u,v) R2 (whose matrix is FE GF with respect to the standard


basis {u , v }).
We can use the first fundamental form to measure not only
length but also area. The parallelogram spanned by xu and xv
has area |xu xv | and we note
|xu xv |2 = |xu |2 |xv |2 hxu , xv i2 = EG F 2 = det g.
The area of the surface patch is then
Z Z p
|xu xv | du dv = det g du dv.
U U
Note also that a surface patch x(u, v) is regular (an immersion)
if and only if EG F 2 = det g is nonvanishing; this is often
the easiest way to test the linear independence of xu and xv .
Although it is easy to arrange that {xu , xv } is an orthonormal
basis so that g is the identity matrix at one given point of
interest (say, (0, 0) U), it is too much to hope that a general
surface have a parametrization in which {xu , xv } is an orthonor-
mal basis everywhere. (We will later classify the intrinsically
flat surfaces for which this is possible. As an example think
of generalized cylinders ruled surfaces with constant direc-
tor .)
There are, however, various special classes of parametriza-
tions which have some of the same advantages. We say a sur-
face patch x is orthogonal if
xu xv , that is if F = hxu , xv i = 0
or equivalently if g = E0 G0 is a diagonal matrix. An orthogo-
nal parametrization is conformal if |xu | = |xv |, that is, if E = G
or equivalently if g is a scalar multiple of the identity matrix.
This means exactly that the map x : U R3 preserves angles
between tangent vectors (or equivalently between curves). It
is known that any surface admits a conformal parametriza-
tion locally. (This is a version of the uniformization theo-
rem from complex analysis.) Conformal coordinates are also
called isothermal coordinates.
We have already mentioned the normal line N p M spanned
by xu xv . The parametrization x has an implicit orientation
which allows us to pick out a unit normal vector
xu xv
B: Surfaces Diff Geom I, SS 2015
B2. Smooth maps, change of parametrization, differentials
We usually talk about smoothness of maps defined on an
open subset of Rm . If A Rm is an arbitrary subset, then a map
f to some open U A. (It suffices to check this locally in a
neighborhood of each point. Standard properties like the fact
that the composition of two smooth maps is smooth follow
immediately.) In the case when A is a surface, wed like to
check that is the same as requiring smoothness in coordinates.
Lemma: If x : U M is a regular parametrization then
x1 : x(U) U is smooth. (Thus we say x is a diffeomor-
phism onto its image.)
Proof: Assume (w/o l.o.g.) that (0, 0) U. We will
check smoothness near p = x(0, 0). Consider the function
y : (t, u, v) 7 x(u, v) + t p , y : R U R3 . At the origin, its
partial derivatives ( p , xu , xv ) are linearly independent. That
is, D0 y is bijective. By the inverse function theorem, y is in-
jective and has a smooth inverse on some neighborhood of
p = y(0). But of course this inverse is locally the desired
extension of x1 , showing that x1 is smooth.
Suppose M R3 is a surface parametrized by x : U M =
x(U). The fact that x and x1 are both smooth immediately
shows:
1. f : M Rn is smooth f x is smooth.
2. f : Rn M is smooth x1 f : Rn R2 is
smooth.
Combining these facts, if N R3 is a second surface
parametrized by y : V N = y(V) then we can also consider
a map f : M N. It is smooth if and only if y1 f x is a
smooth map U V. (Note also that in this case, the smooth
extension f to a neighborhood of M in R3 can be chosen to
take values in N.)
Now suppose we have two parametrizations x : U M
and y : V M with overlapping images. That means on the
open subset W = x(U) y(V) of M we have two different
systems of coordinates. Then the map := y1 x : x1 (W)
y1 (W) is a diffeomorphism between these open subsets of U
and V (with inverse 1 = x1 y). Being a composition of
homeomorphisms, is a homeomorphism. But we also see
that (and symmetrically 1 ) is smooth.
If f : Rn M R3 with f (a) = p then of course Da f is a
linear map from Rn to T p M R3 . Similarly, given a smooth
map f : M Rn we get a differential D p f : T p M Rn ,
the restriction of D p f for any extension f. (Different exten-
sions will have different derivatives in the normal direction p
but not in tangent directions, since the derivative in any tan-
gent direction can be computed as the derivative along a curve
in M, where f = f is determined.)
End of Lecture 11 May 2015
= p :=  .
xu xv 
Note that a different parametrization (like y(u, v) := x(v, u))
may give the opposite normal vector . Some surfaces are
globally nonorientable, meaning that no continuous choice of
across the whole surface is possible.
B3. The Gauss map and the shape operator
A key tool for studying curves was the unit tangent vector
and its derivatives. A similar role for surfaces is played by the

AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30

J.M. Sullivan, TU Berlin
unit normal . Given a smooth surface M, the map : p 7
p S2 R3 is called the Gauss map of the surface M, and
is a smooth map : M S2 . Note that the Gauss map of S2
itself is the identity map. (Or the antipodal map, if we oriented
S2 with the inward normal.)
Going back to the general case, the differential of the Gauss
map at p M is a linear map D p : T p M T p S2 . But
these are the same plane the plane in R3 with normal . (Of
course any two planes are isomorphic vector spaces, but these
are naturally isomorphic.) Thus we can view D p as a linear
operator on T p M. Its negative S p := D p : T p M T p M is
called the shape operator (or Weingarten operator).
Recall that an operator A : V V on an inner product
space V is called self-adjoint if hAv, wi = hv, Awi for all
v, w V. This is equivalent to saying that the bilinear form
(v, w) 7 hAv, wi is symmetric (and thus induces a quadratic
form v 7 hAv, vi). Note that if A is 2-dimensional with basis
{e, f } then it suffices to check hAe, f i = he, A f i.
Proposition: The shape operator S p on T p M is self-adjoint.
Proof: Consider a parametrization x : U M of a neigh-
borhood D of p and useE {x D u , xv } as a basis for T p M. The claim
E
is that D p (xu ), xv = D p (xv ), xu . Write u := D p xu and
v := D p (xv ) for these partial derivatives of x (and xuv for
the mixed second partial of x). Differentiating h, xu i 0 in
the xv direction gives hv , xu i = h, xuv i, while differentiat-
ing h, xv i 0 in the xu direction gives hu , xv i = h, xuv i.
Thus hu , xv i = hv , xu i, proving the claim.
Given this proposition,
the shape operator S p defines a Now lets consider the shape operator S p on T p M. Its
quadratic form v 7 S p v, v on T p M, called the second funda-
mental form h p of M, often written using the Roman numeral
as II p (v) := h p (v). Note that arguments as in the proof show
hu , xu i = h, xuu i , hv , xv i = h, xvv i .
Thus the matrix of the second fundamental form w.r.t. the ba-
sis {xu , xv } is
hu , xu i hu , xv i
! !
L M h, xuu i h, xuv i
h p := := = .
M N hv , xu i hv , xv i h, xvu i h, xvv i
We see that to compute the first and second fundamental
forms of a parametrized surface, we start by computing the
first and second partial derivatives (xu , xv ; xuu , xuv , xvv ), then
compute the cross product xu xv and its length |xu xv |. The
scalar products among the first derivatives give the matrix g p .
The scalar products of the second derivatives with xu xv ,
divided by the length of this normal vector, give the matrix h p .
As usual, it is easier to find the matrix for the bilin-
ear/quadratic form h p than to find the matrix for the associ-
ated operator, the shape operator S p . (Since {xu , xv } is not
generally orthonormal, it is easier to find the scalar products
of u with the basis elements than to find its expression in the
basis.) But by linear algebra we know h p = g p S p , or equiva-
lently S p = g1
p h p . Of course the inverse of a 2 2 matrix is
easy to compute:
!1 ! points are of course elliptic.) At umbilic points, the princi-
E F 1 G F
g1
p = = .
F G EG F 2 F E
AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30
B: Surfaces Diff Geom I, SS 2015
The first and second fundamental forms are emphasized in
many textbooks because they are easiest to compute in coor-
dinates. But the shape operator S p at a point p M is more
directly meaningful. It encodes all the different notions of cur-
vature of the surface M at the point p, capturing the second-
order behavior of the surface, or more precisely, exactly those
parts which are independent of parametrization and invariant
under rigid motion.
B4. Curvatures of a surface
Recall a few facts about a self-adjoint linear operator A on
an inner product space V. Its eigenvalues are all real; its eigen-
vectors are perpendicular (since hv, wi = hAv, wi = hv, Awi =
hv, wi implies hv, wi = 0 for , ). That is, we can choose
an orthonormal basis of eigenvectors, and then A is of course
represented by a diagonal matrix. The largest and smallest
eigenvalues are the minimum and maximum of the quadratic
form hAv, vi over the unit sphere in V. (Of course, if v is a unit
eigenvector with eigenvalue then hAv, vi = .)
Especially important are the symmetric functions of the
eigenvalues. (These are the coefficients of the characteristic
polynomial det(I A), whose roots are the eigenvalues.) In
particular, the product of the eigenvalues is the determinant
det A and their sum is the trace tr A. The average eigenvalue
tr A/ dim V is also the average of hAv, vi over the whole unit
sphere.
eigenvalues k1 and k2 are called the principal curvatures (of M
at p); the eigenvectors are the principal curvature directions,
forming two orthogonal lines in T p M. We can choose unit
eigenvectors e1 and e2 such that {e1 , e2 , } is an oriented or-
thonormal basis. We define the Gauss curvature
K := k1 k2 = det S p
and the mean curvature.
!
k1 + k2 1
H := = tr S p .
2 2
Note that K is independent of orientation, while H changes
sign if we switch the sign of ; more intrinsic is the mean
~ = H. (Note also that some authors define
curvature vector H
the mean curvature with the opposite sign and/or without the
factor 1/2 despite the name mean.)
End of Lecture 18 May 2015
As we will see, the intrinsic local shape of the surface is de-
termined by the Gauss curvature K, in particular, qualitatively
by its sign. We say p M is an elliptic point if K(p) > 0 (that
is, the principal curvatures have the same sign) or a hyperbolic
point if K(p) < 0 (. . . opposite signs). A point where K(p) = 0
is called a parabolic point.
A point where k1 = k2 is called an umbilic point; in par-
ticular a planar point has k1 = k2 = 0. (Nonplanar umbilic
pal directions are not uniquely defined and the normal curva-
ture defined below is constant. Note that many authors use
10
J.M. Sullivan, TU Berlin
parabolic to mean what we call parabolic and nonplanar;
this no longer depends just on K.
The Gauss curvature K and the mean curvature H are
smooth functions on any smooth surface. The principal curva-
tures k1 and k2 are the two roots H H 2 K of the charac-
teristic polynomial k2 2Hk + K of the shape operator. These
are smooth functions only away from umbilic points (where
they coincide because the square root vanishes).
For a unit tangent vector w T
p M, the
 normal curvature
of M in direction w is h p (w) = S p w, w . Note that for an
arbitrary nonzero vector w T p M,
!
 want to use a surface with constant principal curvatures (or
w S p w, w h p (w)
hp = = .
|w| hw, wi g p (w)
We can write any unit normal vector as w = cos e1 + sin e2
and we find the normal curvature of M in this direction is
cos2 k1 + sin2 k2 , a weighted average of the principal cur-
vatures. Of course, the mean curvature is the average normal
curvature over the whole circle of directions; the principal cur-
vatures are the minimum and maximum of the normal curva-
ture.
The intersection of M with a normal plane at p a plane
spanned by p and some unit tangent vector w T p M is
a curve with T = w and ~ = h p (w). Orienting this nor-
mal plane such that {w, } is an oriented basis, we thus have
h p (w) = : the normal curvature is the (signed) curvature of
the normal slice . Later we will see how the normal curva-
ture is the normal component of the curvature of an arbitrary
curve through p in direction w.
Let us now
consider a surface given as a graph: x(u, v) =
u, v, f (u, v) , in particular at a point p where grad f = 0 so
that the surface is horizontal there. We have xu = (1, 0, fu ),
xv = (0, 1, fv ) so that at p this is an orthonormal basis for
T p M, meaning g p = I. Of course p = (0, 0, 1). Since the
normal (vertical) components of the second derivatives of x
are the second derivatives of f , we see that
!
fuu fuv
h p = hess f = .
fvu fvv
Of course, since we have an orthonormal basis, this is also
the matrix of the shape operator. Thus we have K = fuu fvv
2
fuv and 2H = tr(hess f ) = fuu + fvv = f . (In general, one
should think of mean curvature as a geometric version of the
Laplacian; in terms of the intrinsic LaplaceBeltrami operator
~ of course the unit tangent to , is the surface normal, and
M , we have for instance M x = 2H.)
If we start with any point p on an arbitrary surface M, we
can apply a rigid motion (or equivalently, choose new Eu-
clidean coordinates) to put it into a standard position as fol-
lows. First translate so that p = 0 is the origin, then rotate
so that p = (0, 0, 1) is vertical. Note that the surface is then
locally a graph z = f (x, y) with grad f = 0 at p as above. Fi-
nally, rotate around the vertical axis until the x- and y-axes are
principal directions. As above, with respect to the standard
basis for T p M = R2 , the matrix for S p is hess f ; this is now
) = S p(T ). Comparing with
the diagonal matrix k01 k02 . This means the second-order Tay-


lor expansion of f around 0 is f (x, y) = 0 + k1 x2 + k2 y2 + , the normal curvature of M in the direction T . It is the normal
where the remainder terms are third-order.
AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30
B: Surfaces Diff Geom I, SS 2015
Thus we see that at any point p M there is a uniquely
determined paraboloid (z = k1 x2 + k2 y2 in the rotated coordi-
nates) that has second-order contact with M at p. Two surfaces
tangent at p have second-order contact if and only if they have
the same principal curvatures and directions there (i.e., have
the same ocsulating paraboloid). Up to rigid motion, two sur-
faces agree to second order (at given points) if and only if they
have the same Gauss and mean curvatures there.
Note: for curves we preferred to talk about osculating cir-
cles (with constant curvature ) rather than osculating parabo-
las (with constant acceleration vector). For surfaces, we might
equivalently, constant K and H). But we will see later this
happens only for spheres and planes and cylinders. (Similarly,
you will show in homework that spheres and planes are the
only totally umbilic surfaces.) Although surfaces are in some
sense determined by their curvatures, this is much more com-
plicated than saying space curves are determined by (s) and
(s). First there are compatibility conditions (PDE not ODE:
compatibility basically says uv = vu ) and second theres no
standard parametrization (like arclength).
From the Taylor series or osculating paraboloid, we do see
for instance that near an elliptic point p, the surface is locally
convex it stays to one side of its tangent plane. This is not
true at a hyperbolic point; instead T p M cuts M locally in two
curves crossing at p; their tangent vectors at p are exactly the
directions with vanishing normal curvature, called asymptotic
directions.
We could also consider the intersections with nearby par-
allel planes (say at distances 2 to either side of the tangent
plane). Unless p is a planar point, these planes will intersect
M approximately in the curves k1 x2 + k2 y2 = 2 , which are
scaled (by ) versions of the Dupin indicatrix, defined to be
the set of w T p M such that S p w, w = 1. This is an el-
lipse at an elliptic point, a pair of hyperbolas (with common
asymptotes in the asymptotic directions) at a hyperbolic point,
and a pair of parallel lines at a nonplanar parabolic point.
End of Lecture 21 May 2015
B5. Curves on surfaces and the Darboux frame
Lets now consider an arbitrary curve on a surface M.
The Darboux frame along the curve is {T, , } where T is
:= T is called the conormal. As for our other frames, the
derivative (with respect to an arclength parameter for ) gives
a skew-symmetric matrix:
0
T 0 g n T
=
g 0 g .
n g 0
Of course depends only on the surface M, and so 0 =
D p (T
 the above, we find
n = S p (T ), T and g = S p (T ), . Thus n = h p (T ) is
part of the curvature ~ = g + n of . The tangential part
11
J.M. Sullivan, TU Berlin
g is called the geodesic curvature. The remaining derivative
g , the twisting of the Darboux frame, is called the geodesic
torsion. Like the normal curvature n , the geodesic torsion
g = h p (T, ) = h p (, T ) depends only on M (and T ). Curves
in M having tangent T at p differ (to second-order) only in
having different geodesic curvatures. (Walking in the moun-
tains, we have a choice of turning left or right; whether we
curve up or down is fixed by staying on the earths surface.)
Curves on M for which one of these quantities vanishes
special. Curvature lines are curves for which g = 0, meaning
that T is always a principal direction. (This is no condition
at an umbilic point.) We have 0 = n T , where n is one
of the principal curvatures. The Darboux frame is a paral-
lel (Bishop) frame along a curvature line. Curvature-line co-
ordinates are (necessarily orthogonal) coordinates for which
the coordinate lines are curvature lines. Locally away from
umbilic points, this happens exactly when both the first and
second fundamental forms have diagonal matrices in the basis
{xu , xv }. (The coordinates we used for surfaces of revolution
had this form.) This makes many computations much easier.
Asymptotic curves are those for which n 0, that is, T is
always an asymptotic direction. (This of course requires K
0.) The conormal is the principal normal N of an asymptotic
line; the Darboux frame is the Frenet frame. Locally near
a hyperbolic point, asymptotic coordinates always exist, and
are characterized by the second
fundamental form having an
off-diagonal matrix h = M0 M0 .
Geodesics are curves for which g = 0. Given a starting
point p and a starting direction T , there is always a unique
geodesic, the solution to the ODE T 0 = n . We will consider
this in more detail later. (The surface normal is the principal
normal = N and the curvature equals the normal curvature.)
Any straight line contained in a surface (for instance, the
rulings on a ruled surface) has constant T and is both an
asymptotic line and a geodesic. (The geodesic torsion g gives
the speed at which the surface normal and conormal rotate
around the line.)
A curvature line which is also a geodesic has constant
conormal ; equivalently it is the intersection of M with a
plane meeting M perpendicularly (like the generating curves
on a surface of revolution).
The surface normal is constant along a curvature line
which is also asymptotic; such a curve is the intersection of M
with a plane always tangent to M and consists of course of
parabolic points. (Example: top or bottom of round torus or
of tube around any plane curve.)
B6. Vector fields and line fields
A (smooth) vector field X on U R2 is a smooth map
U R2 interpreted as p 7 X p T p R2 = R2 . That is, we
think of X p as an arrow based at p. A flow line (or integral
curve or trajectory) of X is a curve in U whose velocity is
given by X, that is, (t) = X(t) for all t. This is a system of
ODEs in the two variables u and v. The standard theorems
on ODEs say give not only existence and uniqueness of flow
lines, but also smooth dependence on the initial point. That is:
AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30
B: Surfaces Diff Geom I, SS 2015
Theorem: Let X be a smooth vector field on U R2 . For
any p U there exists a neighborhood V 3 p, a time interval
I = (, ), and a smooth map : V I R2 (called the
local flow of X) such that for each q V the curve t 7 (q, t)
is the integral curve of X through q, meaning (q, 0) = q and
(q, t)/t = X(q,t) .
For fixed t I the map q 7 (q, t) is called the flow of X by
time t. Note that the uniqueness of integral curves implies that
flowing by time s and then
by time t is the same as flowing by
time s + t, i.e., (q, s), t = (q, s + t) (whenever both sides
are defined). Taking s = t we see that the flow by time t is
invertible: it is a diffeormorphism from V to its image in U.
End of Lecture 28 May 2015
Corollary: If X is a vector field on U and X p , 0 for some
p U, then there exists a neighborhood W 3 p and a smooth
function f : W R which is constant along each flow line
of X but has d f , 0 everywhere. (Such an f is called a local
first integral for X.)
Pf: Assume without loss of generality that p = (0, 0) and
X p = (1, 0). Let : V I U be a local flow and con-
sider its restriction to the two-dimensional cross-section
{u = 0} (transverse to X p ). This restriction (v, t) has non-
singular derivative at 0, so it locally has an inverse on some
open neighborhood of (0, 0), mapping this diffeomorphically
to some W 3 p. We can take f to be the v-coordinate of this
inverse.
Definition: A (smooth) vector field X on a surface M is
a function M R3 such that X p = X(p) T p M for each
p M. Note that X p = a(p)xu + b(p)xv = D(u,v) x(a, b) for
smooth real-valued functions a, b on M. (Smoothness in these
coordinates is equivalent to smoothness in R3 .) We see that,
just as Dx gives a pointwise isomorphism between T (u,v) R2
and T p (M), it gives a one-to-one correspondance between vec-
tor fields on U R2 and those on x(U) M.
Thus all local results about vector fields hold also on sur-
faces. (Literally just replace U by M in the theorem or corol-
lary above.) A stronger way to express the corollary is to say
that around a point where X p , 0 there are coordinates such
that X = xu . (The restriction (v, t) gives a new parametriza-
tion of W in terms of coordinates (v, t); the function f used
above is the v coordinate and we rename t as u to get X = xu .)
We can say: any nonzero vector field is locally constant in
appropriate coordinates.
Theorem: Suppose X and Y are two vector fields on M
which are linearly indpendent at some point p. Then there
exists a parametrization x : U M of some neighborhood
W 3 p such that xu ||X and xv ||Y on W.
Note: It is too much to ask that xu = X and xv = Y; coordi-
nate vector fields always commute (in the sense that the time-t
flow along X and the time-s flow along Y are commuting dif-
feomorphisms). But general vector fields X and Y do not have
this property.
Pf: Let u and v be first integrals of Y and X (respectively)
on some neighborhood V 3 p. The map (u, v) : V R2
has nonsingular differential at p. (Since u = 0 only along
curves tangent to X p while v = 0 only tangent to Y p , these can
never both vanish.) Thus it locally has an inverse, the desired
parametrization.
12
J.M. Sullivan, TU Berlin B: Surfaces Diff Geom I, SS 2015

Corollary: Any p M has a neighborhood with an orthog- We find the velocity of t is 0t = T + t0 + O(t2 ), and hence
onal parametrization.
|0t |2 = |T + t0 |2 + O(t2 ) = 1 + 2t 0 , T + O(t2 ).


Pf: We just need to find a pair of orthogonal vector fields.
Start with an arbitrary parametrization x of some neighbor-  RL
hood of p. Set X = xu and Y = p xu and apply the theorem. Therefore d 
dt t=0 |0t | = h0 , T i. Using len(t ) = 0
|0t | ds we
The new parametrization has coordinate lines in the (orthogo- find
nal) X and Y directions.   Z
d  d
In the theorem, note that X and Y stay linearly indepen-  len(t ) =  |0t | ds
dent (in particular nonvanishing) on the parametrized neigh- dt t=0 dt t=0
Z  Z
borhood. The theoremm only depends on equivalence classes d 
=  |0t | ds = , T ds.

0 
of X and Y under X f X (where f is a nonvanishing scalar dt t=0
function). These are line fields (or direction fields). Note:
globally, a line field may be nonorientable. Locally, however, Here smoothness justifies interchanging the derivative and in-
we can always pick a consistent orientation for the lines, so the tegral. Next we can integrate by parts, recalling that T 0 = ~ =
line fields always arises as above from a nonvanishing vector N; our assumptions mean that the endpoint terms vanish. We
field. The theorem is really about a pair of (nowhere equal) find
line fields. (Line fields have unparametrized integral curves.) d
 Z
As further applications of the theorem, we can derive local
existence of asymptotic and curvature-line coordinates.
Cor: If p M is a nonumbilic point, then some neighbor-
hood of p can be parametrized by curvature-line coordinates.
Pf: In a orientable neighborhood without umbilics, we can
distinguish the principal curvatures (say k1 < k2 ). Then we
get two line fields along the eigenspaces for k1 and k2 re-
spectively. Then just apply the theorem.
Cor: If p M is a hyperbolic point, then some neighbor-
hood of p can be parametrized by asymptotic coordinates.
Pf: In an orientable neighborhood where K < 0 we have
two asymptotic lines at each point, and can distinguish them
globally (one is to the left of the negative principal curvature
direction). Thus we get two line fields and can apply the the-
orem.
B7. First variation of length
We want to understand the geometric meaning of the mean
curvature H. In particular, if we consider variations of a sur-
face, we will see how to express the derivative of area in terms
of H. If a surface has H 0 then it is a critical point for area,
called a minimal surface.
First we consider the simpler case of the length of a (com-
pact) curve. Suppose t (s) is a smoothly varying family
of smooth curves in Rn . We assume that (s) = 0 (s) is
parametrized by its arclength s. (But s is not arclength for the
other curves t .) If is not closed, we assume the variation
is supported on a compact region away from the endpoints.
(That is, t (s) is independent of t for s outside this region.)
We can take a Taylor series in t and get
t (s) = (s) + t(s) + O(t2 ),
where is a variation vector field along . We will see that the
derivative of length depends only on this infinitesimal varia-
tion, and not on the higher order terms we have omitted. (One
could think of the vector field as being a tangent vector to
the infinite dimensional space of curves at the point .)
End of Lecture 1 June 2015
AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30
len() :=  len(t ) = ,~ ds.
dt t=0
We can think of the right-hand side as the inner product on
L2 (I, R3 ) (the tangent space at to the space of curves, where
the vector fields and ~ along live). Thus the formula can
be thought of as saying that ~ is the negative gradient of the
length functional.
A curve is length-critical if no variation changes its length
to first order. That is, we have len = 0 for all , which
happens if and only if 0. Of course we know that straight
lines minimize length.
We see that (as claimed above) the derivative len only
depends on and not on the higher-order terms. Also, it is
independent of the tangential part of if we keep the same
family of curves t but change their parametrizations, that cor-
responds to changing by a tangential field but clearly has no
effect on (the derivative of) length. Any family of curves can
be reparametrized so that the variation field is normal.
Note furthermore that len depends only the component
of in the principal normal direction. The so-called Hasi-
moto flow is the PDE = T ~ = B for a moving curve t in
R3 , which physically is an approximation to smoke-ring flow.
Since we move only in the binormal direction, this flow pre-
serves length; indeed is it a so-called integrable system which
also preserves a whole hierarchy of other invariants.
Curve-shortening flow is the PDE = ~ for a moving curve
t whose length decreases as fast as possible, since we follow
the (negative) gradient direction. It is one of the earliest ex-
amples of a geometric flow, and has interesting properties like
preserving embeddedness of plane curves.
B8. Minimal surfaces
We now want to do the similar calculation to find the first
variation of surface area. A more sophisticated approach
would use the characterization 2H ~ = M x and an intrisic ver-
sion of Stokes theorem. We will take a more hands-on ap-
proach in coordinates.
Consider an initial surface with an orthogonal parametriza-
tion x : U M. Let : U R have compact support in U
13
J.M. Sullivan, TU Berlin B: Surfaces Diff Geom I, SS 2015

and describe a normal variation of M. That is, we consider the B9. Isometries
family of surfaces xt := x + t. (Guided by our experience
with curves, we realize that nothing would change if we added What do we mean when we talk about intrinsic properties
tangential terms or higher-order terms.) of a surface, properties that only depend on the intrinsic ge-
We find xtu = xu + tu + tu and xtv = xv + tv + tv . ometry of the surface and not on how it sits in space? More
Recalling that we have assumed hxu , xv i = 0, this gives precisely, these are properties that are the same for any two
xu , xu = hxu , xu i + 2t hxu , u i + O(t2 ),

t t isometric surfaces.
Def: An isometry is a diffeomorphism : M N between
xu , xv = t hxu , v i + t hxv , u i + O(t2 ),

t t
two surfaces which preserves the scalar product on tangent
xv , xv = hxv , xv i + 2t hxv , v i + O(t2 ).

t t
spaces.  any p M and any v, w T p M, we have
That is, for
D p (v), D p (w) = hv, wi. It follows that preserves the

This can be written as gt = g 2th + O(t2 ).
length of curves: len( ) = len() for any curve in M.
Since in our orthogonal coordinates g = E0 G0 is a diagonal Example: If is a rigid motion of Rn then of course it re-
matrix, the off-diagonal entries are irrelevant for the first-order stricts to any surface M to give an isometry M M. Less
calculation of det gt . Writing h = ML M


N we get in fact trivially, R(, ) is isometric to the unit cylinder in R3 with
det gt = (E 2tL)(G 2tN) + O(t2 ) one vertical line removed. (We see from this simple example
that the mean curvature H, for instance, is not an intrinsic no-
= EG 2t(LG + NE) + O(t2 ). tion; the surprising result later will be that K is intrinsic.)
Taking the square root gives Note: If x : U x(U) = M is a parametrization and
: M N is a diffeomorphism then of course y :=
 LG + NE 
det gt = EG 1 t + O(t2 ), x : U N is a parametrization. We see that = y x1
p
EG is an isometry if and only if, at corresponding points, the first
but we recognize the fraction LG+NE
EG = 2H as twice the mean fundamental forms for x and y have the
same matrix with
 re-
spect to the coordinate bases. That is, xu , xv = yu , yv , etc.

curvature. Thus

d p Def: We say surfaces M and N are locally isometric if
det g =  det gt = 2H det g.
p p
dt t=0
To find the first variation of area, we simply integrate this
over U:
Z Z p
area(x) = dA = det g du dv
Z M p U
 Z
= det g du dv =
p
2H det g du dv
U U
Z formal (angle-preserving) maps : M N. Here the con-
= 2 H dA
M the
conformal factor)
We see that the mean curvature is the negative gradient for
area to save area one should move the surface in the direction
of the mean curvature vector. A surface is area-critical if and
only if area is zero for every variation , that is, if and only
if H 0. Such a surface is called a minimal surface. Least-
area surfaces spanning a given boundary are known to exist
and be smooth; they are thus minimal surfaces. (It can also
be shown that, given a minimal surface M, any sufficiently
small piece of M indeed any piece which is a graph in some
direction is the least-area way to span its boundary.)
Minimal surfaces have many interesting properties. For in-
stance the Gauss map : M
S2 is (anti)conformal, since
its differential has matrix 0k k0 in an orthonormal basis of
principal directions at a point with K = k2 . One can check
that in any conformal parametrization x : U M of a mini-
mal surface, the coordinate functions or more generally all
height functions hx, ui : U R for constant u S2 are har-
monic functions. Thus they can be thought of as the real parts
of complex holomorphic functions, leading to the so-called
Weierstrass representation. (Thinking of S2 as the Riemann
sphere C, the Gauss map itself is a meromorphic function.)
End of Lecture 4 June 2015
AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30
each point in either surface has a neighborhood isometric to
an open subset of the other surface.
Note: we can assume the neighborhoods are small enough
to be parametrized patches. Then we test local isometry by
finding parametrizations with the same first fundamental form
g(u, v) = g = FE GF .


Example: The plane and the cylinder are locally isometric.
Relaxing the condition of isometry, we can consider con-
dition is that there is a positive function : M R (called
such that for any v, w T p M we have
D p (v), D p (w) = (p)2 hv, wi.
We have seen the sense in which two surfaces are locally
isometric if and only if they have the same first fundamental
form gi j . A somewhat surprising result is that all surfaces are
locally conformal. (By transitivity, it suffices to prove that any
surface has conformal parametrizations. This is a PDE result
that we wont try to prove here.) The analog is not true for
higher-dimensional manifolds only certain special metrics
are conformally flat.
B10. Covariant derivatives
If M is a surface, and Y is a (vector-valued) function on M,
then we know what the directional derivative of Y at p M in
direction w T p M means: w Y(p) = D p Y(w) is the derivative
of Y along any curve (in M through p) with velocity vector w.
Now suppose Y : M R3 is a tangent vector field (meaning
Y p T p M for each p). In general, its directional derivatives
w Y will not be tangent to M. Indeed, since the tangent spaces
change as p M moves, a tangent vector is forced to change
in the normal direction just to stay tangent. We can make this
14
J.M. Sullivan, TU Berlin
precise using the second fundamental form since hY, i 0,
we get
w Y, = DY(w), = D(w), Y = S (w), Y = h(w, Y).
This normal change in Y is forced by the geometry of M.
The intrinsic change in Y is given by the tangential parts
of its directional derivatives, called covariant derivatives. We
write
w Y = (w Y)|| = w Y w Y, = D p Y(w)h(w, Y p ) T p M. vanishing Lie bracket: [xu , xv ] = 0. To verify this, note that
To define w Y and w Y it of course not necessary that Y be
defined on a whole neighborhood of p (in M) it suffices if Y
is a vector field (tangent to M) along some curve : I M
through p with velocity (parallel to) w. If Y is defined along
sometimes we write dt Y := (t) Y for the tangential part of the
derivative Y = dt Y (t) . (Here again, when we talk about t-
d

derivatives of Y, we are really differentiating the composition
Y .)
If is parametrized at unit speed, then ds
Y = T Y is the
tangential part of Y 0 . In particular, choosing Y = T and com-
paring with the Darboux equation T 0 = g + n , we see that
T T = g gives the geodesic curvature. The equation g = 0
for a geodesic can be written T T = 0. (A curve satisfies
= 0 if and only if it is a geodesic parametrized at con-
and second
fundamental
stant not necessarily unit speed.)
We say the vector field Y is parallel along if dt
Y 0.
Given Y p at any initial point p = (0), there is a unique way
to extend it to a parallel field Y along (solving the ODE
T Y = 0). Any curve from p to q thus gives a map T p M
T q M called parallel transport taking an initial vector at p
to the value at q of the parallel field along . It is important
to note that this parallel transport from p to q does depend on
the choice of its not a natural identification of the distinct
tangent spaces.
Important properties are that a parallel vector field has con-
stant length; a pair of parallel fields make constant angle; thus,
parallel transport is an orthogonal map T p M T q M, a map
respecting the scalar products. This is easy to confirm: par-
allel fields have derivatives only in the normal direction , so
hX, Yi0 = hX 0 , Yi + hX, Y 0 i = 0.
Given two vector fields X and Y on M, the covariant deriva-
tive X Y is defined at every point of M, giving a new vector
field. Note that X Y is R-linear in each argument:
X+X 0 Y = X Y + X 0 Y, X (Y + Y 0 ) = X Y + X Y 0 ,
aX Y = aX Y = X aY, a R.
If f : M R is a smooth function, then of course f X means
the vector field whose value at p M is ( f X) p := f (p)X p .
Since X Y at p depends only on X p , we find that f X Y =
f X Y. But on the other hand, the Leibniz product rule gives
X ( f Y) = X f Y + f X Y,


where we adopt the convention that X f := X f . Since any
vector field is a combination f xu + gxv , these formulas will
allow us to express covariant derivatives of arbitrary vector
AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30
B: Surfaces Diff Geom I, SS 2015
fields in terms of the covariant derivatives of the coordinate
vector fields.
End of Lecture 8 June 2015
If X and Y are two vector fields on M, then in general X Y
and Y X are unequal. The difference is called the Lie bracket:
[X, Y] := X Y Y X.
A special property of coordinate vector fields is that they have
xu xv is by definition the tangential part of xuv . Thus [xu , xv ] =
0 is a trivial consequence of xuv = xvu . Given two linearly
independent vector fields X and Y, we discussed the fact that
we cannot always find coordinates with X = xu and Y = xv .
Indeed the condition [X, Y] = 0 is exactly what is needed
this is part of the Frobenius Theorem (covered next semester).
B11. Christoffel symbols
For ease of writing equations in coordinates, we will change
notation a bit: we write (u1 , u2 ) := (u, v) and use the subscript i
for a partial derivative with respect to ui , so for instance xi :=
xui = x/ui . Then we can write the entries of the matrices
forms as gi j = xi , x j
for the first
and hi j = , xi j = i , x j .
We now want to explicitly calculate covariant derivatives in
coordinates. We start with the covariant derivatives xi x j of
the coordinate vector fields; since these are tangent vectors,
they can be expressed in terms of the coordinate basis. We in-
troduce the Christoffel symbols kij as their components. That
is, the kij are defined by
2
X
xi x j =: kij xk = 1i j x1 + 2i j x2 .
k=1
(The vanishing of the Lie bracket can now be expressed as
the symmetry kij = kji .) Since we already know the normal
component hi j = xi j , of xi j , we could write the equations
above as
xi j = xi x j = 1i j x1 + 2i j x2 + hi j .
(This is called the Gauss formula.)
At every point in the surface, we have a (nonorthonormal)
frame {x1 , x2 , }. The derivatives of expressed in this frame
and the normal components of the derivatives of the xi
are given by the second fundamental form and shape operator.
The tangential parts of the derivatives xi j are new given by
the Christoffel symbols.
Of course, as we saw with S and h, when dealing with
nonorthonormal bases, it is easier to compute scalar products
than components. Here we have
 DX ` E X
x ji , xk = xi x j , xk = i j x` , xk = `i j g`k =: i jk .
` `
15
J.M. Sullivan, TU Berlin B: Surfaces Diff Geom I, SS 2015

Here we multiply by the matrix g = (gi j ) to lower an index. B12. Compatability conditions
It is customary to write the inverse matrix as
! Suppose we are given symmetric matrices gi j and hi j vary-
1 G F
g := g =
i j
1
. ing smoothly on a given domain U R2 . Is there some
EG F 2 F E parametrization x : U R3 with these as first and second
fundamental form, respectively? Of course from g and h we
Then multiplying by g1 raises the index again: kij =
know the Christoffel symbols and the matrix for the shape op-
` g i j` . Of course we still have the symmetry iP jk = jik .
P k`
erator. Thus we try to solve the Gauss/Weingarten system
Suppose we write X and Y in coordinates as X = i xi and
Y = xi (for smooth functions , ). Then by linearity and
P i i i
xi j = 1i j x1 + 2i j x2 + hi j , i = S (xi ).
the product rule, we have
X
X i X  (Of course we also need that is the unit normal vector to the
X Y = i xi j x j = xi k + j kij xk surface given by x. As long as that holds at some initial point,
i, j i,k j the Gauss/Weingarten system is set up to ensure it stays true,
X  k X  since the scalar products of with itself and with the xi will
= i + j kij xk . be constant.)
i,k
ui j Unlike for ODEs, solutions to PDEs exist only if compat-
Now we consider derivatives of the coefficients of the first ibility equations are satisfied. (The basic idea is that given
fundamental form: functions g and h, the system f x = g, fy = h can have a solu-
tion f only if gy = f xy = fyx = h x .) We will write down the
gi j,k := xk gi j = xk xi , x j = xk xi , x j + xk x j , xi compatibility equations for our system (equating xi jk = xik j );





= xik , x j + x jk , xi = ki j + k ji .


 these are clearly necessary.
Using the notation k := xk = /uk for partial derivatives,
This is a set of eight equations. We could write them out differentiating the Gauss formula gives
explicitly in the classical notation, getting Eu = 2111 , etc. X
xi jk = k hi j + hi j k + k `i j x` + `i j x`k .



But lets just cyclically permute the equation above and use
the symmetry of the Christoffel symbols: `

gi j,k = ki j + k ji = ki j + jki , The Gauss/Weingarten system shows us how to write the

g jk,i = i jk + ik j = i jk + ki j ,
gki, j = jki + jik = jki + i jk .
Subtracting the top equation from the sum of the other two
gives g jk,i + gki, j gi j,k = 2i jk . More important than the exact
form of this equation is the fact that it confirms the intrinsic
nature of the covariant derivative: The Christoffel symbols,
and thus all our formulas for covariant derivatives, can be ex-
pressed in terms of the first fundamental form (and its deriva-
tives) alone.
After this excursion into very abstract notation, lets look
concretely at these equations in more classical notation. We
specialize to the case of an orthogonal parametrization (g12
0); this makes all the equations a bit simpler. The equations
2i jk = g jk,i + gki, j gi j,k become:
2111 = g11,1 = Eu , 2112 = g11,2 = Ev ,
2121 = g11,2 = Ev , 2122 = g22,1 = Gu ,
2221 = g22,1 = Gu , 2222 = g22,2 = Gv .
Of course multiplying by the inverse of a diagonal matrix
is easy, so kij = ` gk` i j` becomes 1i j = i j1 /E and 2i j =
P
i j2 /G. That is, we get
right-hand side in the basis {x1 , x2 , }. Each xi jk = xik j then
gives us three scalar compatibility equations; it turns out to
be enough to consider a few of these, since the rest are equiv-
alent by symmetries. First note that the normal component
is k hi j + `i j h`k . The two cases of interest are x112 = x121
P
and x221 = x212 ; the normal parts give the (Mainardi)Codazzi
equations (evidently first discovered by Peterson), the first of
our compatibility conditions:
2 h11 + 111 h12 + 211 h22 = 1 h12 + 112 h11 + 212 h21 ,
1 h22 + 122 h11 + 222 h12 = 2 h12 + 112 h12 + 212 h22 .
Here of course, the Christoffel symbols should be viewed as
functions of the gi j .
Recalling that the shape operator has matrix g1 h, we write
this in index notation as hij := k g jk hki , so that i = S (xi ) =
P
j hij x j . This lets us express the x2 component of x112 =
P
x121 . We get
X X
h11 h22 + 2 211 + `11 2`2 = h12 h21 + 1 212 + `12 2`1 .
` `
This can be written as

111 = Eu /2E, 112 = Ev /2E 122 = Gu /2E 2 211 1 212 +111 212 +211 222 112 211 212 221 = h11 h22 h21 h21 .

211 = Ev /2G, 212 = Gu /2G 222 = Gv /2G Expanding h11 = h11 g11 + h21 g21 and h21 = h12 g11 + h22 g21 , the
right-hand side becomes

g11 h11 h22 h21 h12 = g11 det S = g11 K.

End of Lecture 11 June 2015

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J.M. Sullivan, TU Berlin B: Surfaces Diff Geom I, SS 2015

Since the left-hand side is intrinsic (expressible in terms of the unspecified parameter t gives hardly any information about
first fundamental form alone), so is the Gauss curvature K. the shape of the curve. Any arc of monotonic curvature can
That is, we have Gausss Theorema Egregium (remarkable be parametrized by = t for instance.
theorem): The Gauss curvature K is an intrinsic notion, re- What is the situation for surfaces? Two surfaces are lo-
maining unchanged under local isometries, as when a surface cally isometric (intrinsically equivalent, one might say) if and
is bent without stretching. only if they have the same first fundamental form g in corre-
The equation above in the form sponding coordinates. This implies that they have the same
Gauss curvature K(u, v) in such coordinates. By Bonnets the-
det h
2 211 1 212 + 111 212 + 211 222 112 211 212 221 = g11 , orem, two surfaces are related by a rigid motion (extrinsically
det g equivalent, one might say) if and only if they have the same
first and second fundamental forms g and h in corresponding
again with the understanding that the Christoffel symbols
coordinates. This implies that they have the same Gauss and
should be expressed as functions of the gi j and their deriva-
mean curvatures K and H (or equivalently, the same principal
tives, is the Gauss equation, the last compatibility condition.
curvatures) in such coordinates.
A theorem of Bonnet (basically using standard results about
If we ask when surfaces with the same K are isometric, then
first-order PDEs) now says these compatibility conditions are
we are faced with the same problem as for curves of not know-
also sufficient. If symmetric matrix functions gi j and hi j (with
ing what parametrization is being used to compare the curva-
g positive definite) satify the Gauss and Codazzi equations,
ture functions. For instance, as long as p M is not a critical
then there is a surface with these fundamental forms, unique
point of the function K, then a neighborhood of p is foliated
up to rigid motion. We will not go into the details of the proof.
by lines of constant K and we can use v := K as one of the two
Let us return to the special case of orthogonal coordinates,
coordinates in a regular parametrization of this neighborhood.
and write the intrinsic formula for Gauss curvature more ex-
One case where this problem doesnt arise is that of surfaces
plicitly. We get
with constant Gauss curvature.
 Ev   Gu  EuGu EvGv Ev2 G2u Suppose we have two isometric surfaces with the same
2EK = v u + + , mean curvature (or equivalently the same principal curva-
G G 2EG 2G2 2EG 2G2
tures). This does not always imply that that they are related by
or equivalently a rigid motion. What happens is that, even though the eigen-
values of the shape operator are the same on both surfaces,
EvGv G2 the eigenvectors (the principal directions) can rotate. An im-
2EGK = Evv + Guu u
G G portant example is that of minimal surfaces: it turns out that
EuGu EvGv Ev2 G2u any minimal surface has an isometric conjugate minimal sur-
+ + face. Here the curvature directions have become asymptotic
2E 2G 2E 2G
  Ev   Gu  directions and vice versa. (In fact, these sit in a one-parameter
= EG v + u . family of isometric minimal surfaces with all possible asymp-
EG EG
totic directions.)
For conformal coordinates with conformal factor = e >
0 we have E = G = 2 and the formula becomes
B13. Surfaces of constant curvature
1   v   u 
K = 2 v + u = e2 .

There are many interesting facts about surfaces with con-
stant Gauss curvature or constant mean curvature. Our first
Bonnets theorem leaves many related open questions. One goal is a thereom of Minding saying any two surfaces with
is the following: to what extent the compatibility conditions the same constant K c are locally isometric. Then we turn
determine the second fundamental form from the first funda- to theorem of Liebmann that characterize the round sphere are
mental form? This is a rigidity question: when does a sur- the unique closed surface of constant K and the unique convex
face admit a unique isometric embedding into R3 ? Unlike hy- surface of constant H.
persurfaces in higher dimensions see Khnels book sur- We will use one further special kind of parametrization:
faces can always be locally embedded in many ways. Glob- Def: An orthogonal parametrization x : U R3 gives
ally, however, there are often rigidity results (like for convex geodesic parallel coordinates if |xu | 1.
surfaces) and other (abstract) surfaces cannot be globally em- Using the notation a = |xv |, we have in geodesic parallel
bedded at all. We may return to these results later. coordinates E 1 and G = a2 . Specializing our formula for K
End of Lecture 15 June 2015 to this case gives 2a2 K = au (2aau /a), that is, K = auu /a.
For curves, of course, there is no intrinsic geometry any Clearly, in geodesic parallel coordinates, the u-curves are
two curves are locally isometric, for instance by choosing ar- parametrized at unit speed: any pair of v-curves cut segements
clength parametrizations for both of them. Two plane curves of equal length from all the u-curves. We claim the u-curves
are related by a rigid motion if and only if they have the same (for each constant v) are geodesics, so that the v-curves should
(extrinsic) curvature (as a function of arclength). Note, how- really be considered as parallel curves at constant distance
ever, that specifying curvature as a given function (t) of an from each other. (The name geodesic parallel coordinates

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J.M. Sullivan, TU Berlin B: Surfaces Diff Geom I, SS 2015

In curvature-line coordinates with g =

then comes from the fact that the u- and v-coordinate lines are Lemma: E 0
and
0 G
geodesics and parallels, respectively.) h = L0 N0 , the Codazzi equations become
To check the claim, we must show xu xu = 0. This is equiv-
alent to 111 = 0 = 211 , or to 111 = 0 = 112 . But in orthogoal Lv = HEv , Nu = HGu .
coordinates, we had 111 = Eu /2 and 112 = Ev /2.
In terms of the principal curvatures, with L = k1 E, N = k2G,
Lemma: Any surface locally admits geodesic parallel coor-
the equations can be written as
dinates.
Proof: In fact we can start with any curve (v) in the surface 2Ev k1 2Gu k2
to be the curve u 0. Then each u-curve v c is determined Ev = , Gu = .
k2 k1 k1 k2
as the geodesic starting at (c) in the conormal direction. The
only thing that one needs to check is that the coordinates stay Proof: Dropping the terms involving h12 , the Codazzi equa-
orthogonal. But since the v-curves are geodesics, xuu is a nor- tions are
mal vector, so hxuu , xv i = 0. Thus
2 h11 + 211 h22 = 112 h11 , 1 h22 + 122 h11 = 212 h22 .
0 = Ev = v hxu , xu i = 2 hxu , xuv i
Substituting the values we computed for the Christoffel sym-
= 2 hxv , xuu i + hxu , xuv i = 2u hxu , xv i = 2Fu .


bols in arbitrary orthogonal coordinates gives
This implies F 0 since we know F vanishes along . Lv NEv /2G = LEv /2E, Nu LGu /2E = NGu /2G.
Note that the special case where is itself a unit-speed
geodesic gives what are called Fermi coordinates (along ), Recalling that the mean curvature is H = L/2E + N/2G gives
often used in Lorenzian geometry for general relativity the first form.
(choosing to be the wordline of some particle). In this case, Now differentiating the equations L = k1 E, N = k2G yields
not only is the first fundamental form the identity matrix along (v k1 )E + k1 Ev = Lv = HEv , etc., which simplifies to the final
the whole starting curve, but also its derivative in the conor- equations in the statment.
mal direction vanishes, so all the Christoffel symbols vanish Lemma (Hilbert): Suppose p is a nonumbilic point with
along that curve. (In particular our claim is that Eu = 0 = Gu k1 > k2 and suppose k1 has a local maximum while k2 has a
along and this follows from calculations like the one above local minimum at p. Then K(p) 0.
for Fu , using the additional fact that is a geodesic.) End of Lecture 18 June 2015
Thm (Minding): Two surfaces with the same constant Proof: Choose curvature-line coordinates in a neighbor-
Gauss curvature K are locally isometric. Indeed, give a point hood of p. By assumption, the and use the classical notation
in each surface and orthonormal frames at these points, the lo- of the last lemma. We have L = k1 E, N = k2G. Differen-
cal isometry can be chosen to map the one frame to the other. tiating these equations and comparing the Codazzi equations
Pf: Construct Fermi coordinates in each surface, starting gives (v k1 )E + k1 Ev = Lv = HEv , etc., that is,
with a unit-speed geodesic (through the given point in the di-
rection of the first frame vector). The first
fundamental form 2Ev k1 2Gu k2
in these coordinates will be given by 10 a02 and we have that Ev = , Gu = .
k2 k1 k1 k2
K = auu /a with a(0, v) 1. This can be viewed as the (ordi-
nary!) differential equation auu = Ka for a, which of course But by assumption the derivatives of the principal curvatures
has a unique solution given the initial conditions a(0) = 1, vanish at p, so by the final formulas of the last lemma, Ev =
au (0) = 0. Thus a is independent of v and is the same on both 0 = Gu there. Differentiating these formulas (and dropping
surfaces. terms involving first derivatives of ki to evaluate at p), we find
Note that of course we can solve this ODE explicitly. For that
K = 0 we have a 1 (as for the standard coordinates on R2 , 2E2vv k1 2G2uu k2
while for K > 0 we get a = cos( Ku), and for K < 0 we get Evv =
k2 k1
, Guu =
k1 k2
a = cosh( Ku).
Note that ordinary spherical coordinates (latitude, longi- at p. By assumption, at p we have k1 > k2 at p and also
tude) are Fermi coordinates (around the equator) for the round 2vv k1 0 2uu k2 . Thus Evv 0 and Guu 0 at p. The
sphere with K 1. The pseudosphere is an example of a sur- Gauss equation inorthogonal coordinates gave a nice formula
face with K 1, but no such surface is complete. for K involving EG. At a point where Ev = 0 = Gu , it is
Lemma: Any closed surface in R3 has at least one point easy to reduce this formula to 2EGK = Evv + Guu . It follows
(and hence an open set) where K > 0. immediately that K(p) 0.
Proof: Since M is compact, it is contained in some ball Note: Recall our earlier claim that the only surfaces with
around the origin. Let BR (0) be the smallest such ball. Its constant H and K (or equivalently, with constant principal cur-
boundary sphere (with normal curvatures 1/R) must be tan- vatures) are planes, spheres and cylinders. If k1 = k2 then we
gent to M. Since M stays inside, its normal curvatures in are in the totally umbilic case of planes or spheres. Otherwise,
particular both principal curvatures are at least 1/R. Thus at we can use the calculations above. We have 2vv k1 = 0 =
the point of tangency K > 1/R2 > 0. Evv = 0 and similarly Guu = 0, giving K 0. Surfaces with

18

AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30

J.M. Sullivan, TU Berlin
K 0 are called developable; we will study these later. Our
first few results will suffice to conclude that the developable
surfaces here with constant H are round cylinders.
Thm (Liebmann 1899): A smooth closed surface M R3
with constant Gauss curvature K is necessarily a round sphere.
Proof: By the first lemma, K > 0; the sphere we seek has
radius 1/ K. Denote the two principal curvatures by k1 k2 .
By compactness k1 attains a maximum at some p M (where
k2 has a minimum, since k1 k2 K). If k1 (p) = K = k2 (p),
the surface is totally umbilic and as we have seen already, it
is thus a piece of a sphere, indeed the whole sphere since M is
closed. Thus we may assume k1 > k2 at p. But then we are in
the scalar
the situation of Hilberts lemma, so K 0, a contradiction.
Thm (Liebmann 1900): A smooth closed surface M R3
with K > 0 and constant mean curvature H is necessarily a
round sphere.
Proof: We proceed exactly as before, letting k1 attain its
maximum at p. Again we just need to rule out the nonumbilic
case k1 > k2 . But here again Hilberts lemma applies to give
the contradiction K 0.
Note: One might ask if there are any other closed sur-
faces of constant mean curvature (CMC), perhaps even allow-
ing immersed surfaces with self-intersections. Heinz Hopf
(1955) conjectured not, and proved this in the case the surface
is simply connected (topologically a sphere). A.D. Alexan-
drov proved (1962) there are no embedded examples of any
genus. It was a surprise then in 1986 when Henry Wente
found an immersed CMC torus. Since then, general methods
for finding many examples have been developed.
B14. More on geodesics
We derived earlier the formula forR the
first
 variation of
length of a space curve: len() = ,~ ds. Of course,
if lies on a surface M, then this formula holds for all varia-
tions including those that keep on M. Their variation vector
fields are tangent to M. As before, up to reparametrization,
we can assume is normal to . Thus = is a varying R mul-
tiple of the conormal vector . We get len = g ds.
Although only straight lines are length-critical with respect to
all variations in space, we see that, considering only varia-
tions within M, a curve is length-critical if and only if it has
g 0, that is, if and only if it is a geodesic.
Here are a few facts without proof. We will return to them
next semester for more general manifolds. First, sufficiently
short arcs of any geodesic are length-minimizing. On any sur-
face, we can define a metric by setting d(p, q) to be the infi-
S1 .
mal length of paths from p to q. (One shows that this infi-
(s) (t)
mum never vanishes for p , q and that the metric topology
coincides with the usual topology on M.) If the infimum is
realized, that is, if a shortest path along M from p to q exists
then it is a geodesic. If M is closed, then shortest paths always
exist.
Now consider two nonvanishing vector fields X and Y, tan-
gent to M along some curve . As in our discussion of the
total curvature of plane curves, even though the angle be-
tween X and Y is only defined up to multiples of 2, given a
AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30
B: Surfaces Diff Geom I, SS 2015
choice of at the basepoint (0), there is a unique smooth an-
gle function along . For consideration of the angle, we might
as well assume that both vector fields have unit length.
So suppose X is a unit parallel field along , meaning dt
X=
0, and Y is any unit field. Let (t) be the angle from X to Y
at (t). As we observed earlier, parallel transport preserves
the angle between two vectors, so is constant if Y is also
parallel. In general, we claim that the rate of change in angle
measures the covariant derivative of Y.
Any unit Y is perpendicular to its derivative. In particular,
the covariant derivative dt Y, being perpendicular to as well,
is a scalar multiple Y,
of being given by the triple
Y, Y = Y, Y .
product dt
In terms of the parallel field X, we can write Y = cos X +
sin ( X). Taking the covariant derivative, we get
 
Y = sin X + cos ( X) = ( Y).
dt
Equivalently, = dt Y, Y .
B15. The Umlaufsatz
Note: from here on, these notes become more sketchy and
less detailed.
At the beginning of the semester, we mentioned the the-
orem on turning tangents, also known (even in English) as
the Umlaufsatz: a simple closed plane curve (oriented with
the bounded region to its left) has turning number 1 (or equiv-
alently total signed curvature 2). This is actually the pla-
nar case of the GaussBonnet Theorem. The local version of
GaussBonnet talks about a simple closed curve enclosing
a disk R on a surface M, and says the total geodesic curva-
ture of in M equals 2 minus the total Gauss curvature of R.
When M = R2 then of course K 0 and g = , so Gauss
Bonnet does reduce to the Umlaufsatz; we use the Umlaufsatz
in our proof of GaussBonnet.
End of Lecture 22 June 2015
Hopf was not the first to prove the Umlaufsatz, but we will
sketch his proof. Let the curve be parametrized at unit speed
as an L-periodic map : R R2 . Shift the parameter if nec-
essary, to ensure that (0) is an extreme point on the convex
hull. For convenience, rotate so that (0) is a point with lowest
y-coordinate along . Then T (0) = 0 (0) = e1 is horizontal.
Now define the secant map
(s) (t)
f (s, t) :=
Because has no self-intersections, this is well defined on
the diagonal strip s < t < s + L in the (s, t)-plane. On the
lower boundary s = t it is extended smoothly by f (s, s) =
T (s), while on the upper boundary it is extended smoothly by
f (s, s + L) = T (s). We will be interested in f restricted to
the triangle
:= (s, t) : 0 s t L .

19
J.M. Sullivan, TU Berlin B: Surfaces
Just as we lifted the S1 -valued map T (s) to a real-valued an-
gle function (s) when we defined turning number, here we
can lift the map f : S1
to a map : R such that
f (s, t) = cos (s, t), sin (s, t) . (For smooth functions like we
have here, this is easiest to do by considering what the deriva-
tives of must be. But such a lift exists for any continuous f ,
as one learns in algebraic topology.) The lift is unique up to
adding a constant multiple of 2. We choose the lift for which
(0, 0) = 0.
Along the diagonal, this (s, s) is the lift of T , so (L, L) is
by definition 2 times the turning number: our goal is to show
(L, L) = 2. Now consider the other sides of the triangle
, recalling that (0) was chosen to be a lowest point on the
curve.
Along the vertical side, f (0, t) must point upwards, that is,
it stays in the (closed) upper semicircle. Thus the angle func-
tion (0, t), starting at (0, 0) = 0 must stay in the interval
[0, ]. When we reach t = L, where f (0, L) = e1 we know
(0, L) is (modulo 2) so the only possibility in the interval
is (0, L) = .
Continuing along the horizontal side, f (s, L) always points
downwards, staying in the lower semicircle. Thus, starting
at (0, L) = , we see that (s, L) stays in the interal [, 2].
When we reach (L, L), which must be a multiple of 2, we
see it must be 2 as desired.
One basic idea here is that a continuous function with dis-
crete (integer) values is constant. This is a recurring theme
in topology. Algebraic topology associates to any topological
space X various algebraic objects (fundamental groups, ho-
mology groups, etc.) and to any continuous map f : X Y
homomorphisms between the associated groups. For the cir-
cle S1 , the fundamental group (or the first homology group)
is the integers; a map f : S1 S1 induces a homomorphism
f : Z Z this must be given by multiplication by some
d Z, called the degree of f .
Given a smooth closed plane curve , its tangent vector can
be viewed as a map T : S1 S1 . The turning number of
is the degree of this map. For smooth maps like this, one can
also bypass the machinery of algebraic topology and define
the degree via differential topology, as we did by lifting to the
angle function. Equivalently, the degree of f can be computed
by integrating the derivative of f Raround the circle just as we
computed turning number as 2 1
ds.
An alternative approach to degree is to note that almost ev-
ery value in the range of f is a regular value, attained only at
points where the differential of f is surjective. In particular, it
is attained only finitely many times, and each time has a well-
defined sign 1 depending on the orientation. The degree can
be computed at any regular value as the sum of these signs.
(Another possibly familiar example of degree is the winding
number used in complex analysis. If is a closed curve in
R2 r {0}, then the winding number of around 0 is the degree
of /|| : S1 S1 .)
We will want the Umlaufsatz not just for smooth curves but
for all piecewise smooth curves. As a warmup, consider what
it should say for polygons. The tangent vector T is constant
along each side of a polygon but then jumps at each corner.
If the interior angle is i , then the exterior or turning angle is
AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30
Diff Geom I, SS 2015
i := i P (, ). The total signed curvature should be
replaced by i ; this will beP 2 times the turning number.
Of course, the fact that i = 2 (or equivalently, i =
P
(n 2) for an n-gon) is standard in elementary geometry.
To prove it by induction starting from the known case of a
triangle, we just need to cut a larger polygon into pieces. (The
one nontrivial lemma is that any simple polygon has some
diagonal that can be drawn without crossing any edges. In
fact one can always find an ear, such a diagonal that cuts
of just a triangle. Note that this is also the key lemma for a
polygonal version of the Jordan curve theorem.)
How about piecewise smooth curves? (Note: important to
have smooth on closed subintervals to get well-defined one-
sided tangents.) Definition: over smooth parts plus turning
R
angles at junctions. But how do we choose the sign at cusps
where = ? (Note: do Carmos definition here doesnt
always work.) Right definition: + if cusp points out from
bounded region, if cusp points into bounded region. From
now on, we will write i [, ] for this turning angle at the
ith corner (with the correct choice of sign at cusps).
To prove the Umlaufsatz in this generality, one could try
to take a limit of smooth or polygonal approximations but
preserving embeddedness and controlling the limiting value
of total curvature is quite tricky. Hopf does it as follows: the
secant map on the open triangle still limits to the tangent di-
rection on all smooth points of the diagonal. The lifted map
will jump at the points (s, s) corresponding to corners. We
just need to show that the lifted map jumps by no more than
at each corner and that the sign is right where the jump
is . (The sign that naturally comes up here is given by the
orientation of a triangle consisting of the cusp and two nearby
points chosen such that the curve avoids the segment between
them. One can check that this is equivalent to our definition
above.)
B16. GaussBonnet: local form
Now we want to turn towards GaussBonnet. As a first
result for curves on surfaces, consider a parametrized surface
patch x : U M = x(U) and a simple closed (piecewise
smooth) curve M. Consider the angle that T = 0 makes
with xu . Then we claim this changes by 2 as we go around
. (Same convention as above for corners.)
Proof: pull everything back to U. If the metric g were stan-
dard, this would just be the Umlaufsatz. But we can con-
tinuously deform g to the Euclidean metric (through convex
combinations) an integer value must remain constant.
End of Lecture 25 June 2015
Let us define the total geodesic curvature TC() of a piece-
wise smooth curve as g ds + i , where the integral is
R P
taken over each smooth subarc. We have not yet formally de-
fined integrals over regions in a surface, but for any coordinate
chart x(U) and any region D U, we have (just as for surface
area)
Z "
K dA =
p
K det g du dv,
x(D) D
20
J.M. Sullivan, TU Berlin B: Surfaces Diff Geom I, SS 2015

and can check that this is independent of coordinates. The Interpretation in terms of holonomy of parallel transport.
local version of GaussBonnet then says (for a piecewise Gauss curvature as density limit over small disks around p.
smooth curve enclosing a disk R M to its left): Special case of sphere spherical polygons (esp. triangles).
So far we have GaussBonnet in the local form R K dA =
R
Z
K dA = 2 TC(). 2TC(R) for any disk R contained in an orthogonal coordi-
R nate patch and with peicewise smooth boundary. A comment
on orientation is in order. Of course any coordinate patch is or-
Additivity under splitting a region.
intable. If we switch orientation, then K is unchanged, so the
Following do Carmo, we prove this directly under the as-
whole GaussBonnet equation must be unchanged. Indeed,
sumption that R is contained in a orthogonally parametrized
our convention that R is oriented with R to the left depends
neighborhood x(U). (The case of larger disks is then a spe-
on the surface normal, so T switches sign. That means how-
cial case of one of the global versions of GaussBonnet.) We
ever that the conormal is unchanged, so the total geodesic
write D := x1 (R) U and write for the piecewise smooth
curvature of R is unchanged. A better way to express the ori-
boundary curve of D with = x .
entation convention for R might be to simply say the conor-
Let us first examine the right hand side. By the extension
mal should point inwards towards R.
to the Umlaufsatz, 2 is the total turning of the tangent vector
relative to xu (with the appropriate convention at corners). By
definition, TC is the total turning of the tangent vector relative B17. Global topology of surfaces
to a parallel field (with the same convention at corners). Thus
2 TC is the total turning of xu relative to a parallel field.
To consider the global forms of GaussBonnet, we need
Passing
to the orthogonal unit vectors e1 := xu / E and e2 :=
to discuss the topology of surfaces. A regular region R on
xv / G, we find that the rate of turning of xu (relative to a a smooth surface will mean a compact subset R which is the
parallel field) is closure of its interior and whose boundary is a finite disjoint
1
union (possibly empty) of simple closed, piecewise smooth
T e1 , e2 = T xu , xv .

 
curves. Topologically, R is therefore a compact 2-manifold
EG with boundary, a compact Hausdoff space locally homeomor-
With T = uxu + vxv , we have

phic to the closed half-plane (x, y) : y 0 . (That is, each
point p R has a neighborhood homeomorphic either to the
T xu , xv = u112 + v122 .


plane or to the half-plane.)
One way to build such a topological space is to start with a
But in orthogonal coordinates we computed 112 = Ev /2 and finite collection of triangles and zip certain pairs of edges
122 = Gu /2. Thus the total turning, the integral of the rate of together. (Any edge that is not paired remains part of the
turning, is boundary.) This is called a triangulation of the surface. A
Z difficult theorem of Rad (1925) says that any topological 2-
Gu v Ev u
dt. manifold with boundary can be triangulated. For our smooth
2 EG regions R in space, this is not so difficult. Although we skip
On the other hand, using our formula for K, we get the details, the idea is that if we tile R3 with a fine enough
cubic lattice adjusted to be transverse to R then each small
" cube contains just a single disk of R with piecewise smooth
Z
K dA = K EG du dv boundary: a polygon. Of course it is easy to cut an n-gon into
D
"R  n 2 triangles. Given an atlas of coordinate charts for a sur-
Ev   Gu 
= v + u du dv. face, note that we may assume the triangulation is fine enough
R 2 EG 2 EG that each triangle lies in one of the charts.
Now we recall Greens theorem in the plane: if P and Q are End of Lecture 29 June 2015
two functions on a region R bounded by a (piecewise smooth) We now want to give a topological classification of regu-
curve , then lar regions R, that is, of compact 2-manifolds with boundary,
" Z Z that is, of spaces obtainable by zipping triangles together. For
u Q v P du dv = P du + Q dv = (Pu + Qv) dt. this discussion, we use the word surface to mean such a topo-
R logical space (rather than a smooth surface in R3 as usual).
(This is a special case of Stokes Theorem, of course already We follow the description by Francis and Weeks of Conways
known to Gauss in other forms.) Weapply Greens theorem ZIP proof.
with P = Ev /2 EG and Q = Gu /2 EG to give Let us first describe the statement. To perforate a surface
is to delete an open disk. (A sphere with one perforation is
Ev u + Gu v a closed disk; a sphere with two perforations is an annulus
Z Z
K dA = dt. also called a cylinder.) To add a handle or cross-handle
D 2 EG
to a surface is to perforate it twice, and then sew in an an-
This agrees with the expression we got above for 2 TC, so nulus connecting the new boundaries. (Or equivalently, then
we have proved the GaussBonnet theorem. zip these boundaries to each other.) To add a cross-cap to a

21

AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30

J.M. Sullivan, TU Berlin
surface is to perforate it once and then sew in a Mbius band
along the new boundary. (Or equivalently, then zip the two
halves of the boundary together.)
Adding a cross-handle is the same as adding two cross-
caps. (The Klein bottle is the union of two Mbius bands.)
Thm: Any surface is a finite union of components, each
being a sphere with a certain number of perforations, handles,
and cross-caps.
Pf: The starting collection of triangles is of this form. It
suffices to show that a single zipping (involving one or two
components) preserves this. First consider the case where en-
tire boundary components are zipped together: either join two
components or add a (cross-)handle. If the two edges to be
zipped are instead the two halves of one boundary compo-
nent, we add a cross-cap or remove a perforation. Finally, if
the edges to be zipped are just subarcs of the cases considered
so far, then the effect is the same except that we are left with
one or two more perforations.
Note that adding a cross-cap (or a cross-handle) makes a
component non-orientable. An orientable component is thus
g,k , a sphere with g 0 handles and k 0 perforations.
On a non-orientable component there is no way to distinguish
handles from cross-handles. Thus it is has the form Nh,k , a
sphere with h 1 cross-caps and k 0 perforations. We can
restate the classification as follows.
Thm: A connected surface has the form g,k if orientable or
Nh,k if nonorientable.
Note that the closed nonorientable surfaces Nh,0 cannot be
embedded in R3 , while all the other types can be.
The Euler number of a triangulation is := V E + F.
This is clearly the sum of the Euler numbers of the compo-
nents. For a single triangle = 1. Zipping a pair of edges
leaves F unchanged and decreases E by one; the effect on V
varies. But tracing through the cases considered above shows
that the
Euler number depends only
on the topology. Indeed
g,k = 2 2g k while Nh,k = 2 h k. When thought
of as an invariant of a topological space, is called the Euler
characteristic.
Note that the topological type of a connected surface is thus
determined by its orientability, its Euler number , and its
number k of boundary components.
B18. GaussBonnet: global forms
Recall that a regular region R on a smooth surface M in R3
is compact with piecewise smooth boundary. Every point in R
has a neighborhood with an orthogonal parametrization, and
R can be triangulated by triangles, each containted in such a
parametrized neighborhood. To integrate a function f over R,
we sum over the triangles:
Z XZ XZ
f dA = f dA = f det gk duk dvk .
p
R Tk x1
k (T k )
Note that
R our local form of GaussBonnet applies to each tri-
angle: T K dA = 2 TC(T ).
Consider first a closed surface R = M. Counting edges
of triangles gives 2E = 3F, so (M) = V F/2. Now we
AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30
B: Surfaces Diff Geom I, SS 2015
sum the GaussBonnet relation over all triangles. Each R edge
is used twice, with
R opposite orientations, so the terms g ds
cancel out. Thus M K dA equals the sum over all triangles of
a + b + c , where a, b, c are the interior angles. This is the
sum of all interior angles minus F. But grouping the angle
sum around the vertices, it is 2V. Thus we get
Z
K dA = 2(V F/2) = 2(M).
M
An alternative way of doing the bookkeeping is to start with
total charge 2(M) by putting charges +2 at each vertex and
in each face and 2 on each edge. Then move the charges
from the vertices and edges into the faces, based on angles and
total curvatures. We are left with chargeR in each face, equal
(by the local form of GaussBonnet) to K.
For a general region R, we do the same thing. But along
boundary edges, g ds does not cancel out. Similarly, at
R
boundary vertices, the sum of interior angles is not 2. Also
2E = 3F must be corrected by the number of boundary edges.
Putting it all together, we get:
Z
K dA = 2(R) TC(R).
R
This is the most general form of GaussBonnet, with the pre-
vious versions (for disks and closed surfaces) as special cases.
There are several immediate applications.
Any closed surface in R3 with K > 0 has > 0 so it is
homeomorphic to a sphere or a projective plane; if it is
embedded it must be a sphere.
If there are two closed geodesics on a surface with K >
0, then they intersect (because otherwise they would
bound an annulus with = 0). (Note that Lyusternik
and Shnirelman proved that any sphere has at least three
different simple closed geodesics.)
A simple closed geodesic on a surface with K 0 can-
not
R bound a disk to either side (because such a disk has
K = 2).
There is no geodesic 1-gon or 2-gon (disk) on a surface
with K 0 (because geodesics that are tangent coin-
cide, so the exterior angles are not but strictly less).
The angle excess of a geodesic triangle has the same
sign as the average (or total) Gauss curvature in the tri-
angle.
B19. The Gauss image and total absolute curvature
The GaussBonnet theorem shows that K is a density im-
portant is its integral over a region. There is also an extrinsic
interpretation.
Near any point p M where K , 0 the Gauss map is
locally an immersion M S2 orientation-preserving if K >
0 and orientation-reversing if K < 0. Its Jacobian determinant
22
J.M. Sullivan, TU Berlin
K = det D gives the factor by which area is stretched here
we mean an algebraic signed area. (Think about curvature-
line coordinates.)
We can say R K dA equals the signed area of (R) S2 .
R
(And we can recover K(p) as the limit of area (R) / area(R)


as the region R shrinks down to the point p.)
UsingRthe appropriate notion of area with multiplicities, we
can say R K dA = area(|R ) for any region R M.
End of Lecture 6 July 2015
Consider a closed surface M R3 . An analog of the Jor-
dan curve theorem says that it divides space into one bounded
and one unbounded region; we can orient it with the outward
unit normal (pointing into the unbounded region). Thus M is
necessarily an orientable surface of some genus g 0.
By GaussBonnet, the area of the Gauss image (M) in S2
equals 2 = 4(1 g). That is, the Gauss map covers the
sphere 1 g times (in an oriented sense) the degree of the
Gauss map is 1 g. By degree theory, almost every point
w S2 has finitely many preimages, 1 g of them if counted
with signs. That is, if there are k preimages with K > 0 then
there are k + g 1 with K < 0.
(Note that the points with normal = w are exactly the
critical points of the function h, wi : M R.)
Now consider bringing a plane with given normal w S2
in from infinity until it first touches M. Any point of contact
p M has K 0, since M stays stays to one side of the plane.
This means every point w S2 has at least one preimage with
K 0. (That is, k 1 in the counts above.)
R Let M denote the
regions where K > 0. Then we have M K dA 4. With
+
R
GaussBonnet, this gives M K dA 4g. Subtracting these
gives M |K| dA 4(1 + g).
R
Equality holds in these last three inequalities if and only if
all points p M with K > 0 are extreme on the convex hull.
Such a surface is called tight. An interesting theory of tight
surfaces characterizes them, for instance, as exactly those sur-
faces having the two-piece property of being cut into no more
than two pieces by any plane.
Now consider the case that K > 0R holds on all
R of M. (So by
GaussBonnet, M is a sphere and K dA = |K| dA = 4.)
The Gauss map is bijective, indeed a diffeomorphism M
S2 . Each point p M is an extreme point on the convex hull,
that is, M is globally convex (as we mentioned before.
The results on total absolute curvature do not hold for ab-
stract surfaces. For instance, R2 /Z2 is a torus with a flat
(K 0) metric. An abstract surface of genus g > 1 can be
given a hyperbolic metric with K 1. By GaussBonnet its
area is then 2 = 4(g 1).
B20. Developable Surfaces
We now want to consider a surface M R3 with K 0.
Each point on M is parabolic a closed subset P M consists
of planar points; the open complement U := M r P consists
of nonumbilic points. (Note the example of a triangle joined
to three cylinders as in do Carmo; the example of a cylinder
AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30
B: Surfaces Diff Geom I, SS 2015
where P is, say, a Cantor set (R); and the example of two
cones where P is a single line at which the ruling is Lipschitz
but not C 1 as in Khnel.)
We follow a paper of Massey, as summarized in do Carmos
book.
At each p U there is a unique asymptotic direction. Inte-
grating these, we foliate U by a unique family of asymptotic
lines. The first claim is that these curves are straight lines in
space. Of course, along these asymptotic curves which are
also lines of curvature, the surface normal is constant. (But
compare top curve of round torus asymptotic=curvature line
of parabolic points, but not straight need to know conormal
derivative of K vanishes.)
Proof: Locally on U we can use curvature-line coordinates
where, say, the u-curves are the asymptotics. Then is a func-
tion of v alone. Now consider the real-valued function hx, i
on U. Since xu and u 0, its u-derivative vanishes,
so it is a also function of v alone: hx, i = (v). Differenti-
ating gives hx, v i = 0 (v). Note that v , 0 since we are at
nonplanar points; of course v (like ) is constant along each
asymptotic curve. Thus each of these equations is the equa-
tion of some plane in space (depending on v); the planes are
orthogonal. The u-curve v = const. lies in the intersection line
of these planes.
We next claim that we may assume u is the arclength pa-
rameter along each u-curve (asymptotic line).
Proof: Recall that in curvature-line coordinates with g =
E 0
and h = L 0
, the Codazzi equations become L =
0 G 0 N v
HEv and Nu = HGu . Here we have L 0, so Ev 0, Rmeaning
that E is a function of u alone. Thus defining s = E du
(independent of v), this is arclength along each u-curve. Then
(s, v)
are equally valid curvature-line coordinates, where g =
1 0 and h = 0 0
.
0G 0 N
The condition E 1 means that the new coordinates are
not only curvature-line coordinates but also simultaneously
geodesic parallel coordinates. As before we write G = a2
(with a = |xv |) and have K = auu /a. Thus here auu = 0,
meaning that a is a linear function along each asymptotic line
(that is, for each v).
Now consider again the Codazzi equation Nu = HGu =
2Haau , where the mean curvature satisfies 2H = N/G =
N/a2 . Combining these gives
Nu au
= ,
N a
meaning that for each v (i.e., along each asymptotic curve), N
is a constant multiple of a. That is N = c(v)a. Finally consider
the principal radius of curvature r = 2H1 2
= aN = c(v)
a
in the xv
direction. This (like a and N) is a linear function along each
asymptotic line.
Lemma: An asymptotic line through a point p U, even if
extended indefinitely, never reaches P.
Proof: The mean curvature H is continuous on M. It van-
ishes on P but along any asymptotic line in U is the (nowhere
vanishing) reciprocal of a linear function.
Prop: The boundary U = P M is a union of open line
segments. (Note: might be uncountable union!)
23
J.M. Sullivan, TU Berlin B: Surfaces Diff Geom I, SS 2015

Proof: Consider a boundary point p and some neighbor-

hood V parametrized as a graph over T p M. The set U V is
foliated by lines, which in the projection do not cross. Thus in
a smaller neighborhood V 0 of p their directions are given by a
Lipschitz function. Thus (consider the lines ` pi through points
in U V 0 approaching p) there is a a well-defined limiting
direction at p. Any point in U along the resulting line ` p is a
limit of points along the ` pi and in particular is in U.
Thm: A complete surface with K = 0 is a cylinder over
some plane curve.
Proof: First we claim that the direction of the asymptotic
lines is locally constant on U. Along any line, the radius of
curvature is a linear function, which can never vanish on a
smooth surface. Thus r is constant on each line. It follows
from the equations above (in local coordinates) that a = |xv |
is also constant, implying that xv is constant along each line.
That is, 0 = xvu = xuv . Thus xu (which we know is constant
along each line, of course) is locally constant as claimed.
At points of U we defined lines whose direction was a
limit; using the Lipschitz condition, we find the direction is
actually locally constant on U U. (We dont get, say, a
Cantor function!)
Finally consider the interior PrU of P. It consists of open
pieces of planes, bounded by complete lines. Each such piece
must then be an infinite strip, bounded by two parallel lines.
We can foliate it by further parallel lines.
Thus, as claimed, all of M is foliated in this way by parallel
lines.

24

AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30

 J.M. Sullivan, TU Berlin
A. MANIFOLDS
This course is about manifolds. An m-manifold is a space
that looks locally like Euclidean space Rm .
Examples of manifolds include a circle S1 , a sphere S2 or
a torus T 2 = S1 S1 or any surface in R3 . These generalize
for instance to an m-sphere Sm Rm+1 or an m-torus T m =
S1 S1 .
In multivariable calculus, one studies (smooth) m-sub-
manifolds of Rn ; these have several equivalent characteri-
zations (locally being level sets or images of smooth func-
tions). These are the motivating examples of (smooth)
manifolds. Indeed, we will see any manifold can be em-
bedded as a submanifold of some (high-dimensional) Rn .
But it is important to give an abstract definition of mani-
folds, since they usually dont arise as submanifolds.
The idea of manifolds is that they are spaces on which one
can do analysis (derivatives, integrals, etc.). This means
we are talking here not simply about topological mani-
folds, but about smooth (differentiable) manifolds. This
is a distinction we explain soon.
A1. Topological manifolds
Definition A1.1. A topology on a set X is a collection U
of subsets of X (called the open subsets) such that
, X U,
U, V U = U V U,
{U } U = U U.
S
All other topological notions are defined in terms of open
sets.
Definition A1.2. A subset A X is closed if its com-
plement X r A is open. Any subset Y X naturally
becomes a topological space with the subspace topology:
{U Y : U X open}. That is, the open sets in Y are
exactly the interestions of Y with open sets in X.
Definition A1.3. A space X is connected if and X are
the only subsets that are both open and closed. A space
is compact if every open cover has a finite subcover. (If
we talk about a subset Y X being connected or compact,
etc., we mean with respect to the subspace topology.)
Definition A1.4. A map f : X Y between topological
spaces is continuous if the preimage of any open set in Y
is open in X. A continuous bijection f : X Y whose
inverse is also continuous is called a homeomorphism an
equivalence of topological spaces.
Definition A1.5. Usually, one specifies a topology not by
listing all open sets, but by giving a base B. This is a col-
lection of basic open sets sufficient to generate the topol-
ogy: an arbitrary U X is defined to be open if and only
if it is a union of sets from B. The requirements on B to
form a base are (1) that B covers X and (2) that intersec-
tions B1 B2 of two basic open sets are open, that is, for
any x B1 B2 , there exists B3 B with x B3 B1 B2 .
AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30
A: Manifolds Diff Geom II, WS 2015/16
These conditions are familiar from metric spaces (X, d),
where the open balls B (x) := {y : d(x, y) < } form a base
for the metric topology. The topological spaces that will
arise for us are all metrizable, meaning the topology arises
from some metric. In particular, the standard topology
on Rn comes, of course, from the Euclidean inner prod-
uct (scalar product)phx, yi = x y = xi yi via the metric
P
d(x, y) = |x y| = hx y, x yi.
Definition A1.6. A space X is Hausdorff if any two dis-
tinct points x , y X have disjoint (open) neighborhoods.
It is regular if given a nonempty closed set A X and a
point x X r A, there are disjoint (open) neighborhoods
of A and x. (These are just two examples of the many
separation axioms in point-set topology.) A space X is
second countable if there is a countable base for the topol-
ogy.
Metric spaces are Hausdorff and regular (take metric
neighborhoods of radius d(x, A)/2). Eucldiean space is
second countable (take balls with rational centers and
radii). The importance of these notions is clear from the
Urysohn metrization theorem, which says that X is separa-
ble (that is, has a countable dense subset) and metrizable if
and only if it is Hausdorff, regular and second countable.
Definition A1.7. We say a space M is locally homeomor-
phic to Rm if each p M has an open neighborhood U
that is homeomorphic to some open subset of Rm . If
: U (U) Rm denotes such a homeomorphism,
then we call (U, ) a (coordinate) chart for M. An atlas
for M is a collection (U , S
) of coordinate charts which
covers M, in the sense that U = M.
Clearly we can rephrase the definition to say M is locally
homeomorphic to Rm if and only if it has an atlas of charts.
Less obvious (but an easy exercise) is that it is equivalent to
require each p M to have a neighborhood homeomorphic
to Rm .
Although one might expect this to be a good topological
definition of an abstract manifold, it turns out that there are
some pathological examples that we would like to rule out.
Certain properties from point-set topology are not auto-
matically inherited. For instance, examples like the line R
with the origin doubled (or with all x 0 doubled) fail
to be Hausdorff. The long line (obtained by gluing un-
countably many unit intervals) fails to be second countable
it is sequentially compact but not compact. The Prfer
surface is separable but not second countable. (Note there
are also much weirder examples, for instance in papers of
Alexandre Gabard.) For technical reasons, we also prefer
manifolds to have at most countably many components, as
is guaranteed by second countability.
Thus we are led to the following:
Definition A1.8. A topological m-manifold is a second-
countable Hausdorff space M = M m that is locally homeo-
morphic to Rm .
Regularity then follows, ensuring that our manifolds are
metrizable spaces. Indeed, we will later put a (Rieman-
nian) metric on any (smooth) manifold. It is also straight-
 J.M. Sullivan, TU Berlin A: Manifolds
forward to check various other local properties: A topo-
logical manifold M is locally connected, locally compact,
normal and paracompact (defined later when we need it).
Being separable and locally compact, it is also globally the
union of countably many compact subsets.
Note: For m , n, it is easy to see there is no diffeomor-
phism Rm Rn It is also true that there is no homeomor-
phism, but this requires the tools of algebraic topology like
homology theory. Any Rm is contractible, so they all have
the same (trivial) homology. The trick is to first remove
a point. Then Rm r {0} contracts to Sm1 , and spheres of
different dimension have different homology. This was the
start of topological dimension theory, and shows that every
(nonempty) manifold has a well-defined dimension.
Examples A1.9.
Rm is an m-manifold (with a single chart).
An open subset U M m of an m-manifold is itself
an m-manifold (restricting charts to U).
Any smooth surface M 2 R3 is a 2-manifold. (Get
a chart around p M by projecting orthogonally to
T p M.)
Other surfaces like polyhedral surfaces are also
topological manifolds.
More generally, any smooth m-submanifold in Rn is
an m-manifold. (We will consider such examples in
general later.)
RPm := Sm / = {lines through 0 in Rm+1 } is an m-
manifold called real projective space.
M m N n is an (m + n)-manifold (using product
charts).
For any smooth surface M 2 R3 , the tangent bundle
T M = {(p, v) : p M, v T p M} is a 4-manifold
One of our first tasks will be to define T p M for an abstract
smooth manifold M m ; in general we will find that it is a m-
dimensional vector space and that these can be put together
to form a 2m-manifold, the tangent bundle.
In some cases it is important to consider also manifolds
with boundary, modeled on the halfspace
H m := (x1 , x2 , . . . , xm ) Rm : x1 0 ,

whose boundary is H m = {x1 = 0}  Rm1 .
Definition A1.10. An m-manifold with boundary is then a
second-countable Hausdorff space locally homeomorphic
to H m . If a point p M is mapped to the boundary in
one chart, then this is true in every chart. Such points form
the boundary M M of M; it is an (m 1)-manifold
(without boundary, and perhaps empty). The complement
MrM is called the interior and is an m-manifold (without
boundary).
We will use manifolds with boundary later when we study
integration and Stokes theorem. Until then, we will ba-
sically neglect them, with the understanding that all our
theory extends in the obvious way. The following ter-
minology is standard even if confusing at first: a closed
manifold is a compact manifold without boundary.
AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30
Diff Geom II, WS 2015/16
Let us look at the lowest dimensions. A 0-manifold is a
countable discrete set. Equivalently, we can say a con-
nected 0-manifold is a point. In general, of course, any
manifold is a countable union of connected components,
so it makes sense to classify connected manifolds. It is
not hard to show that any connected 1-manifold is (home-
omorphic to) either R1 or S1 . If we allow manifolds with
boundary, there are just two more examples: the compact
interval, and the ray or half-open interval.
While the complete classification of noncompact surfaces
is known, we will only consider the compact case. We have
seen the examples S2 , T 2 and RP2 . It turns out that any
connected closed surface is a connect sum of these: either
an orientable surface g of genus g or a nonorientable sur-
face Nh . (And if we allow compact surfaces with boundary,
then all we get are these examples with some number k of
open disks removed, denoted g,k or Nh,k .)
The uniformization theorem, a classical result in complex
analysis and Riemann surface theory, implies that any sur-
face admits a metric of constant Gauss curvature. Indeed,
the sphere and the projective plane have spherical (K 1)
metrics, the torus and Klein bottle have euclidean (flat,
K 0) metrics, and all other closed surfaces have hyper-
bolic (K 1) metrics.
Guided by this, Bill Thurston conjectured a method to
understand compact 3-manifolds (with boundary). In
2003, Grigory Perelman proved this geometrization con-
jecture, establishing that any 3-manifold can be cut into
pieces, each of which admits one of eight standard geome-
tries. There is interesting work remaining to be done to
better understand the case of hyperbolic 3-manifolds.
In dimensions four and higher, there is in some sense no
hope of classifying manifolds. Given any finite group
presentation, one can build a closed 4-manifold with that
fundamental group. Since the word problem is known
to be undecidable, it is impossible in general to decide
whether 4-manifolds are homeomorphic. Much interest-
ing research thus restricts attention to the case of simply
connected manifolds (with trivial fundamental group).
In certain other ways, higher dimensions are easier to un-
derstand. One reason is that two generic 2-disks will have
empty intersection in dimensions five and above. Thus, for
instance, the Poincar conjecture was first proved in these
dimensions.
A2. Smooth structures
If (U, ) and (V, ) are two charts for a manifold M m , then
1 : (U V) (U V)
is a homeomorphism between open sets in Rm , called a
change of coordinates or transition function. The inverse
homeomorphism is of course 1 .
Since the transition functions are maps between Euclidean
spaces, we know how to test how smooth they are. Sup-
pose U Rm is open and f : U Rn . To say f is C 0
just means that it is continous. If f is differentiable at each
 J.M. Sullivan, TU Berlin
p U, then its derivative is a function D f : U Rnm .
We say f is C 1 if D f is continuous. By induction, we say
f is C r if D f is C r1 , that is, if Dr f is continuous. If f has
(continuous) derivatives of all orders, we say it is C . If
a C map f is real analytic, meaning that its Taylor series
around any p U converges to f , then we say f is C .
Definition A2.1. Fix r {0, 1, 2, . . . , , }. We say
two charts (U, ) and (V, ) for a manifold M m are C r -
compatible if the transition functions 1 and 1 then we have
are C r maps. (They are then inverse C r diffeomorphisms.)
A C r -atlas for M is a collection of C r -compatible coor-
dinate charts which covers M. A C r -structure on M is a
maximal C r -atlas, that is an atlas U = (U , ) such that

any coordinate chart (V, ) which is compatible with all
the (U , ) is already contained in U. A C r -manifold is a
topological manifold M m with a choice of C r -structure. A
chart for a smooth manifold will mean a chart in the given
smooth structure (unless we explicitly refer to a topolog-
ical chart).
Of course the case r = 0 is trivial: any atlas is C 0 and the
C 0 -structure is the set of all possible topological charts. (In
this case, of course, one should use the term homeomor-
phism instead of C 0 -diffeomorphism.)
This course is about smooth manifolds, where we use the
word smooth to mean C . When we say manifold
we will mean smooth manifold unless we explicitly say
otherwise. Of course many of our results will be valid even
for lower degrees of smoothness (usually C 1 or C 2 or C 3
would suffice) but we will not attempt to keep track of this.
Lemma A2.2. Any C r -atlas is contained in a unique max-
imal one.
Proof. Given an atlas U = (U , ) , let V be the col-

lection of all charts (V, ) that are compatible with every
(U , ). We just need to show that V is a C r -atlas, that
is that any charts (V1 , 1 ) and (V2 , 2 ) are compatible with
each other. But any p
V1 V2 is contained in some U ,
and on 1 V1 V2 U we can write
1 = 2 1 . 
2 1 1
1

At the end of this proof, we implicitly use three properties:
r
The composition of two C functions is C . r
The restriction of a C r function to an open subset is
Cr .
A map that is C r is some neighborhood of each point
in U is C r on U.
Without getting into formal details, these properties mean
that the class of C r diffeomorphisms form a pseudogroup
(of homeomorphisms on the topological space Rm ).
Although we have only defined C r structures, other kinds
of structures on manifolds arise from other pseudogroups.
For instance, a projective or Mbius structure on M arises
from an atlas where the transtion functions are all projec-
tive or Mbius transformations (respectively). An orienta-
tion on M arises from an atlas where all transition func-
tions are orientation-preserving. (We will return to this
AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30
A: Manifolds Diff Geom II, WS 2015/16
later. Note that it is easy to tell if a diffeomorphism is
orientation-preserving; for C 0 manifolds one needs homol-
ogy theory.)
Given a C r -structure on any manifold, for any s r, by the
lemma it extends to a unique C s -structure. On the man-
ifold m r
 m R , the standard C structure arises from the atlas
(R , id) consisting of a single chart. If we let U r denote
the collection of all charts C r -compatible with this one,
U0 U1 U2 U U.
End of Lecture 12 Oct 2015
The point of a smooth structure is to know which mappings
are smooth. Suppose f : M m N n is a (continuous) map
between two smooth manifolds. Given p M, we can find
(smooth) charts (U, ) around p M and (V, ) around
f (p) N. Then the composition
f 1 : U f 1 (V) Rn


is called the expression of f in these coordinates. (Writ-
ing (x1 , . . . , xm ) for a typical point in (U) Rm and
(y1 , . . . , yn ) for a typical point in (V) Rn , then we can
think of f 1 very explicitly as n real-valued func-
tions, giving the y j as a function of (x1 , . . . , xm ).)
Now it is easy to define smoothness:
Definition A2.3. The map f is smooth if for each p we can
find charts (U, ) and (V, ) as above such that f 1 ,
the expression of f in these coordinates, is smooth (as a
map between euclidean spaces). (If M and N are only C r -
manifolds, then it makes sense to ask if f : M N is C s
for s r but not for s > r.) A diffeomorphism f : M N
between two smooth manifolds is a homeomorphism such
that both f and f 1 are smooth. The set of all smooth maps
M N is denoted by C (M, N); we write C (M) :=
C (M, R).
Exercise A2.4. If f : M m N n is smooth, then its ex-
pression f 1 in any (smooth) coordinate charts is
smooth.
Note two special cases: if M = Rm (of course with the
standard smooth structure), then we can take = id and
thus consider f ; if N = Rn then we can take =
id and consider f 1 . For a map f : Rm Rn , we
take = id and = id and see that our new definition of
smoothness agrees with the one we started with for maps
between euclidean spaces.
The basic constructions of new manifolds from old open
subsets and products can be adapted to the smooth set-
ting.
If U M m is an open subset of a smooth manifold, then we
can restrict the smooth structure on M to a smooth struc-
ture on U (which we already know is a topological man-
ifold). In particular, each chart (V, ) for M gives a chart
(V U, |VU ) for U. (If we talk about a smooth map on an
open subset U of a smooth manifold M, then we implic-
itly mean smooth with respect to this restricted structure.)
 J.M. Sullivan, TU Berlin

Suppose we have a cover U of M and a map f : M N.
Then f is smooth if and only if its restriction to each U
is smooth. (This is a version of the pseudogroup property
above.)
If M m and N n are smooth manifolds, then it is a straight-
forward exercise to put a smooth structure on the manifold
M N. (Hint: Use only product charts (U V, ) essentially given combinatorially by a triangula-
obtained from smooth charts (U, ) and (V, ).)
A3. Exotic smooth structures
Suppose h : M m N m is a homeomorphism between
topological manifolds (so that M and N are really the
same topological manifold). Then h can be used to
move other structures between M and N. A trivial exam-
ple would be a real-valued function f : N R; it can be
pulled back to give the real-valued function f h on M.
Of interest to us is the case of a C r -structure U on N (a
maximal atlas). We can use the homeomorphism h to pull
it back to give a C r -structure h (U) on M:
the pull-back of
a chart (U, ) U is the chart h1 (U), h for M. Almost
by definition, h
: M N is then a C r -diffeomorphism
from M, h (U) to (N, U).
Since M and N are homeomorphic, they are really the same
topological manifold, and we might as well be considering
self-homeomorphisms h : M M. If h = id then clearly
h (U) = U; more generally this is true any time h is a dif-
feomorphism from the smooth manifold (M, U) to itself.
But suppose h is a homeomorphism that is not a diffeo-
morphism. Then h (U) is a distinct smooth structure on
the manifold M. Consider a couple of examples on the
line M = R, starting with its standard smooth structure
U; the pull-back structure h (U) is the one generated by
the single coordinate chart (R, h). If h : x 7 x3 then h is
smooth but its inverse is not, so with respect to h (U) it is
easier for maps into M to be smooth, but harder for maps
from M to be smooth.
(The reverse is true of course if we
start with x 7 3 x.) If on the other hand h : x 7 2x + |x|,
then neither h nor its inverse is smooth. (Note that in all
these examples, the meaning of smoothness changes only
near 0.)
Such examples are weird, but in fact they are all trivial.
As we noted

above, h is always a diffeomorphism from
M, h (U) to (M, U). Thus the two smooth manifolds
are diffeomorphic to each other really the same smooth
manifold. We have merely put on strange eyeglasses the
map h to relabel the points of M.
More interesting is the question of existence of exotic
smooth structures can two different (nondiffeomorphic)
smooth manifolds have a homeomorphism between them
(meaning that their underlying topological manifolds are
the same). There are still many interesting open questions
here, especially in dimension 4. The following facts are
known:
Up to diffeomorphism, there is a unique smooth
structure on any topological manifold M m in dimen-
sion m 3. Up to diffeomorphism, there is a unique
AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30
A: Manifolds Diff Geom II, WS 2015/16
smooth structure on Rm for m , 4.
The Hauptvermutung (known by that name even
in English) of geometric topology (formulated 100
years ago) suggested that every topological manifold
should have a unique piecewise linear (PL) structure
tion and a unique smooth structure. This is now
known to be false.
Every smooth manifold has a (PL) triangulation. For
every dimension m 4, there are topological m-
manifolds that admit no triangulation and in par-
ticular no PL or smooth structures. (For m = 4 this
has been known since the 1980s, but for m > 4 it
was just proven in 2013!)
There are uncountably many different smooth struc-
tures on R4 . It is unknown if there is any exotic
smooth structure on S4 .
In higher dimensions, some things get easier. In
dimensions m 7, for instance, there are exotic
spheres Sm , but these form a well-understood finite
group (e.g., there are 28 for m = 7). In general, the
differences between smooth and PL manifolds (and
to some extent between PL and topological mani-
folds) can be analyzed for m 5 by means of alge-
braic topology.
For compact, simply connected topological 4-mani-
folds, Freedman showed how to use invariants from
algebraic topology to check when they are homeo-
morphic. In most (but not all) cases we know which
of these topological manifolds admit smooth struc-
tures; it is not known how to classify the smooth
structures when they do exist.
Especially since we know there are exotic spheres in cer-
tain dimensions, it is important to say what we mean by
the standard sphere Sm as a smooth manifold. The right
answer is that it inherits a smooth structure as a smooth
submanifold of Rm+1 , but since we havent developed that
theory yet, we use explicit charts. Any obvious atlas will
give the same standard smooth sphere, for instance the two
charts of stereographic projection:
x
U = Sm r {em+1 }, (x, z) = , x Rm , z R,
1z
or the 2m + 2 charts of orthogonal projection:
U j = x Sm Rm+1 : sgn x j = 1 ,

j (x) = x1 , . . . , xbj , . . . , xm+1 .


It is a good exercise to check that all these charts are C -
compatible.
With our basic constructions, we then get many further
examples of smooth manifolds, like the m-torus T m =
S1 S1 (a product of circles) or the n2 -dimensional
matrix group GLn R Rnn (an open subset).
 J.M. Sullivan, TU Berlin
A4. Smooth maps, rank, immersions
Suppose f : M m N n is smooth, and g = f 1 is its
expression in some local coordinates (U, ) around p M
and (V, ) around f (p) N. Then we define the rank of f
at p to be the rank of g at x = (p), that is, the rank of the
Jacobian derivative matrix (g j /xi ) there.
That this is well-defined (independent of coordinates) fol-
lows from the chain rule: a change of coordinates (on one
side or the other) would multiply the Jacobian by an in-
vertible square matrix (on one side or the other), leaving
the rank unchanged. Note that the rank can be at most
min(m, n).
The rank theorem from multivariable calculus can be re-
stated most nicely for smooth manifolds. (When stated for
Euclidean spaces it needs to mention diffeomorphisms.)
Theorem A4.1 (Rank Theorem). Suppose f : M m N n
is a smooth map of constant rank k. Then for each p M
there are coordinate neighborhoods (U, ) of p and (V, )
of f (p) such that f 1 is the orthogonal projection
map
(x , . . . , x ) 7 (x , . . . , x , 0, . . . , 0),
1 m 1 k
where of course there are n k zeros at the right. (Note:
if we want, we can require that (U) = B1 (0) and (V) =
B1 (0).)
In particular, maps of maximum rank are important. We
say f is a submersion if f has constant rank n m. We
say f is an immersion if f has constant rank m n. For
m = n these notions coincide. A map f : M m N m is a
diffeomorphism if and only if it is bijective and has con-
stant rank m.
Now recall that smooth functions (unlike analytic func-
tions) are quite flexible. Starting with a function like
0,
x 0,
h : R R, h(x) =
e1/x , x > 0,
we can use it to give a smoothed step function (0 for x 0
and 1 for x 1), and then a smoothed bump function,
which can also be rotated into higher dimensions.
For the next proof, we thus fix a smooth function g on Rm
with g(x) 1 for |x| 1 and g(x) 0 for |x| 2.
Theorem A4.2. Suppose F and K are disjoint closed sub-
A: Manifolds Diff Geom II, WS 2015/16
Corollary A4.3. Suppose U M m is open, f : U R is
smooth and p U is given. Then there is a neighborhood
V U of p and a smooth map g : M R such that g f
on V and g 0 outside U.
Proof. Since M is locally compact, we can choose neigh-
borhoods
p V1 V1 V2 V2 U
with Vi compact. (Quite explicitly, we can take any coordi-
nate neighborhood (V3 , ) with p V3 U and
(p) = 0
and (V3 ) = B3 (0); then we set Vi := 1 Bi (0) .) Use the
theorem to find with 1 on V1 and 0 outside V2 .
Then define g to equal f on U and to be 0 outside V2 .
(Each of these is a smooth function on an open set; they
agree on the intersection. Thus they define a smooth g on
the union, which is all of M.) 
A5. Tangent vectors and tangent spaces
We know that the tangent space T p Rn at a point p Rn is
a copy of the vector space Rn ; a vector v T p Rn can be
viewed intuitively as an arrow from p to p+v. (Technically,
of course, a tangent vector knows where it is based, so we
could set T p Rn = (p, v) : v Rn , but usually we write
just v for (p, v).)
If is a curve through p := (0) in Rn , then its velocity
0 (0) is best viewed as a vector in T p Rn . If M m is an m-
submanifold through p Rn , then the tangent space T p M m
is an m-dimensional linear subspace of T p Rn , consisting of
all velocity vectors to curves lying in M.
For an abstract manifold M m , its tangent space T p M m
should still be the collection of velocity vectors to curves
through p M. But of course, there are always many
curves with the same tangent vector. One approach would
be to define tangent vectors as equivalence classes of
curves, but when are two curves equivalent? One could
say: when they agree to first order, but this begs the
question.
A good approach is to think about what we use tangent
vectors for: to take directional derivatives! If g : Rn R
is a real-valued function, and is a curve through p = (0)
with velocity v = 0 (0) there, then the directional deriva-
tive of g is the derivative along :
sets of a (smooth) manifold M m , with K compact. Then d 
v g = D p g(v) =  (g ).
there is a smooth function : M R with values in [0, 1] dt t=0
such that 0 on F and 1 on K.
Let us think about v as a map taking g to the real number
Proof. Each point p K has a coordinate neighborhood v g R. This is linear:
U p M r F such that (p) = 0 and p (U p ) = B3 (0)
Rm . Then we can define a smooth function g p : M R v (g + h) = v g + v h
by g p := g p on U p , extending it to be 0 outside U p .
and satisfies the Leibniz product rule:
The open sets V p := 1


p B1 (0) cover K M r F (since
there is one for each p K). By compactness, we get v (gh) = (v g)h(p) + (v h)g(p).
a finite subcover V p1 , . . . , V pk . Then if we define :=

1 ki=1 1 g pi , it is easy to check 1 on K and 0
Q

Such a map is called a derivation. Furthermore, it is local
on F.  in the sense that v g only depends on values of g in an

AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30

 J.M. Sullivan, TU Berlin
arbitrarily small neighborhood of p. A fact we will check
later is that there are no other local derivations at p Rn
besides these directional derivatives. Thus we can use this
as the definition of tangent vector.
So fix a point p in a (smooth) manifold M m . What is the
right domain for a derivation (think of a directional deriva-
tive) at p M? Consider the class
[
C= C (U)
U3p
of all real-valued functions g defined on some open neigh-
borhood of p. If two functions agree on some neighbor-
hood, then they must have the same derivatives at p, so we
consider them to be equivalent. More precisely, g : U R
is equivalent to h : V R if there is some open W 3 p
(with W U V) such that g|W = h|W . An equivalence
class is called a germ (of a smooth function) at p. The set
of germs at p is the quotient space C/ =: C (p). If g is a
function on a neighborhood of p, we often write simply g
for its germ (which might more properly be called [g]).
Note that if g C (p) is a germ, we can talk about its
value g(p) R at p, but not about its value at any other
point. (For M = Rm , a germ g at p also encodes all dervia-
tives at p that is, the Taylor series of g but also much
more information, since g is not necessarily analytic.)
The set C (p) of germs is an (infinite dimensional) algebra
over R, that is, a vector space with multiplication. (Exer-
cise: check that multiplication of germs makes sense, etc.)
We now define a tangent vector X p at p M to be a deriva-
tion on this algebra. That is, X p : C (p) R is a linear
functional:
X p (g + h) = X p g + X p h
satisfying the Leibniz rule:
X p (gh) = (X p g)h(p) + (X p h)g(p).
We let T p M denote the tangent space to M at p, that is, the
set of all such tangent vectors X p .
End of Lecture 19 October 2015
Clearly T p M is a vector space, with the obvious operations
(X p + Y p ) f := X p f + Y p f.
(In fact, this is just exhibiting T p M as a linear subspace
within the abstract dual vector space C (p) of all linear
functionals on C (p).
Note that if U M is open with p U, then T p U = T p M
since the set C (p) of germs is the same whether we start
with M or U.
Now suppose f : M m N n is a smooth map of manifolds
and consider a point p M and its image q := f (p) N.
If g is a germ at q, then g f is a germ at p. (Here of
course, we really compose f with any of the functions in
the equivalence class g.) This gives a map
f : C (q) C (p), f (g) := g f
between these algebras of germs, which we claim is linear,
indeed an algebra homomorphism. (Note that the upper
AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30
A: Manifolds Diff Geom II, WS 2015/16
star is used to indicate a pull-back, a map associated to f
acting in the opposite direction.)
Like any linear map between vector spaces, f induces a
dual map between the dual spaces; here we claim this re-
stricts to a map f : T p M T q N. Working out what the
dual map means, we find that for X p T p M and g C (q)
we have
f (X p ) (g) = X p f (g) = X p (g f ).



This linear map f is called the differential of f at p and
we will usually write it as D p f . (Other common notations
include d p f or simply f 0 .)
Theorem A5.1. Given a smooth map f : M m N n of
manifolds and a point p M, the construction above in-
duces a linear map f = D p f : T p M T f (p) N, the differ-
ential of f .
Proof. The many claims we made during the construction
are all routine to check. We gives just two examples. To
see that f (X p ) is actually a tangent vector at q := f (p), we
need to check the Leibniz rule:
f (X p )(gh) = X p (gh) f = X p (g f )(h f )



= X p (g f ) h(q) + X p (h f ) g(q)





= f (X p )g h(q) + f (X p )h g(q).



To see that f is linear, we compute:
f (X p + Y p )(g) = (X p + Y p )(g f )
= X p (g f ) + Y p (g f )
= f (X p ) + f (Y p ) (g).



It is now a straightforward exercise to check the functori-
ality of the operation f 7 f , that is, the following two
properties:
For f = id : M M, the maps f and f are also
the identity maps.
If h = g f (for maps between appropriate mani-
folds), then h = f g and h = g f .
(The second of these is of course the chain rule from cal-
culus.)
Corollary A5.2. If f : M N is a diffeomorphism, then
for any p M, the map D p f : T p M T f (p) N is an iso-
morphism. In particular, if (U, ) is a coordinate chart
for M m , then : T p M T (p) Rm is an isomorphism
Of course, this refers to T q Rm in the sense we have just de-
fined for abstract manifolds. It is time to go back and prove
the claim we made early on, that there are no derivations
on Rm other than the usual directional derivatives, that is,
that T p Rm  Rm .
We know we have a map Rm T p Rm which associates to
each v Rm the directional derivative v at p. This map is
clearly linear and is easily seen to be injective. Indeed, if
i : Rm R denotes the projection p 7 pi , then v i =
 J.M. Sullivan, TU Berlin A: Manifolds Diff Geom II, WS 2015/16

vi = i (v); now two distinct vectors v , w must differ in P i that if {e

Note  i } is the standard basis of Rm (so that v =

some component vi , wi , meaning v i , w i , so v , v ei ), then ei = xi is the corresponding standard ba-
w . The claim that now remains is just that this map is sis of T p Rm . Recall that, given a coordinate chart (U, )
surjective there are no other derivations. around p M m , the differential D p = : T p M
T (p) Rm  Rm is an isomorphism. Under this isomor-
Lemma A5.3. Suppose X p T p Rm and g C (p) is
constant (in some neighborhood of p). Then X p g = 0. phism, the x i correspond to the elements of a basis for
T p M, which we write as
Proof. By linearity of X p it suffices to consider g 1. By

!
the Leibniz rule, i = i,p :=
1
.
xi
X p (1) = X p (1 1) = X p (1) 1 + X p (1) 1 = 2X p (1)
Suppose a function f C (U) has coordinate expression
which clearly implies X p (1) = 0.  f 1 : (U) R, then at p U we get
Our next lemma can be thought of as a version of Taylors 
! 
theorem. (Note that one could let B be an arbitrary star- i f =
1
( f ) = f 1
.
xi xi
shaped region around p.)
In particular, if we consider the individual components
Lemma A5.4. Let B := B (p) where p Rm and > 0.
x j = j of the coordinates as real-valued functions,
For any g C (B), we can find a collection of m functions
g we find i j ) = j /xi = ij . We can express any
hi C (B) with hi (p) = x i (p), such that on B we have
X p T p M in terms of our basis {i } as follows:
X
g(x) = g(p) + (xi pi )hi (x). m
X
Xp = X p (i ) i


i
i=1
Proof. If we set
Consider a smooth map f : M m N n between manifolds,
1
g
Z
i
p + t(x p) dt and choose local coordinates (U, ) around p M and


h (x) :=
0 x i
(V, ) around q := f (p) N. (We write xi = i and
then the desired properties follow from the fundamental y j = j .) In these coordinates, f is represented by the
theorem of calculus in the form map f 1 of Euclidean spaces, or more explicitly as
Z 1 functions y j = f j (x1 , . . . , xm ). Here the derivative is given
d
g(x) = g(p) + g p + t(x p) dt, by the Jacobian matrix


0 dt
y j f j
! !
noting that this t-derivative is the directional derivative of J= = .
g in direction x p.  xi xi

Theorem A5.5. The map v 7 v is a (natural) isomor- Let us write {i } as usual
for the coordinate frame of T p M,
phism Rm T p Rm . where i = 1
/x . For T q N, we use the notation
i

j = /y . We find that J is the matrix of D p f with

1 j
Proof. As noted above, all that remains is to prove surjec- respect to these bases. That is,
tivity. Given X p T p Rm , define v Rm by vi := X p (i ).
We claim v = X p . By definition, these agree on (the germs X y j !
D p f i,p ) = j,q ,
of) the projections i . Now suppose g C
(p) is any xi (p)
j
germ. Finding a representative g C B (p) for some
> 0, we can use the second lemma to write or equivalently, if X p = vi i,p and f (X p ) = w j j,q ,
P P
then we have
X
g = g(p) + (i pi )hi .
i y
j
!
i X
w =
j
v .
Then by the definition of derivation, i
xi (p)

X
X p g = X p g(p) + X p i X p pi hi (p)



We should have waited until now to define the rank at p
M of a map f : M m N n . It is simply the rank of the
X
+ (X p hi ) i (p) pi .


linear map D p f : T p M T f (p) N. In coordinates this is,
Here the last sum (which would seem to involve second of course, the rank of the Jacobian matrix above, as we
derivatives of g) vanishes simply because i (p) = pi . And defined before.
i
One special case is when f = id M is the identity map. That


the terms X p p and X p g(p) vanish by the first lemma.
Thus we are left with is, we have overlapping coordinate charts (U, ) and (V, )
X
X i g for M m . At any point p U V, we have two different
Xpg = (X p i ) hi (p) = v i (p) = v (g) coordinate bases for T p M, which we write as {i } (with
x
i
respect to ) and { i } (with respect to ). Then the change-
as desired.  of-basis matrix is just the Jacobian matrix of the coordinate

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 J.M. Sullivan, TU Berlin A: Manifolds
expression of id M , which here is just the transition function
1 . (This is the basis for a definition of tangent vectors
still popular among physicists: a tangent vector is its ex-
pression in a coordinate base, with the rules for changing
this covariantly when we change coordinates.)
As usual, we also consider the special cases where one of
the manifolds M or N is (a submanifold of) R. For R of
course we use the standard chart (the identity map), and we
write t for the corresponding basis vector for the tangent
space to R at any point.
A map : (a, b) M m is a curve in M. Its tangent vector
at p := (t) M is 0 (t) := Dt (t ) T p M.
The opposite case is a real-valued function f C
(M).
For X T p M, we have D p f (X) T f (p) R, so D p f (X) =

For each f C (M), the function X f is also
t for some R. Of course, this is just the direc-
tional derivative X f . For instance, in local coordinates,
(D p f )(i ) = (i f )t . We write d f = d p f : T p M R for
the linear map X 7 X f . The dual vector space T p M is
called the cotangent space and its elements are cotangent
vectors (or covectors for short). Thus d p f T p M is the
covector given by d f (X) := X f ; this is just another way to
view the differential since we have D p f (X) = d p f (X)t .
A6. The tangent bundle
Definition A6.1. The tangent bundle T M = T (M) to
a smoothSmanifold M m is, as a set, the (disjoint) union
T M := pM T p M of all tangent spaces to M; there is
obviously a projection : T M M with 1 {p} = T p M.
We can equip T M in a natural way with the structure of a
smooth 2m-manifold. Start with a (smooth) atlas for M.
Over any coordinate chart (U, ), therePis a a bijection
D : T U (U)

R R sending i v i T p U =
m 2m i
T p M to (p), v . We define the topology on T M by speci-
fying that these maps D are homeomorphisms; they then
form an atlas for T M as a topological 2m-manifold.
Exercise A6.2. These charts for T M are C -compatible,
and thus define a smooth structure on T M.
Note that T M is an example of a vector bundle, which is
a special kind of fiber bundle to be defined later. Without
going into details, a fiber bundle with base B and fiber F is
a certain kind of space E with projection : E B such
that the preimage of any point b B is isomorphic to F.
A trivial bundle is E = F B projecting to the second
factor. Any fiber bundle is required to be locally trivial in
the sense that B is covered by open sets U over which the
bundle is trivial (F U). A section of a bundle : E B
is a continuous choice of point in each fiber, that is, a map
: B E such that = idB .
Definition A6.3. A (smooth) vector field X on a manifold
M m is a smooth choice of a vector X p T p M for each
point p M. That is, X is a (smooth) section of the bundle
: T M M, meaning a smooth map X : M T M such
that X = id M . We write X = X(M) = (T M) for the set
of all vector fields.
We define addition of vector fields pointwise: (X + Y) p =
X p +Y p . Similarly, we can multiply a vector field X X(M)
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Diff Geom II, WS 2015/16
by a smooth function f C (M) pointwise: ( f X) p =
f (p)X p . That is, the vector fields X(M) form not just a real
vector space, but in fact a module over the ring C (M) of
smooth functions.
Given a vector field X and a function f , we can also define
X f C (M) by (X f )(p) := X p f R. Note the distinc-
tion between the vector field f X (given by pointwise scalar
multiplication) and the function X f (given by directional
derivatives of f ).
Exercise A6.4. Each of the following conditions is equiv-
alent to the smoothness of a vector field X as a section
X : M T M:
smooth.
If we write X|U =: v i in a coordinate chart
P i
(U, ), then the components vi : U R are smooth.
End of Lecture 26 October 2015
A7. Submanifolds
The canonical example of an m-dimensional submanifold
of an n-manifold is Rm 0 Rn , the set of vectors whose
last n m components vanish.
Definition A7.1. Given a manifold N n , we say a subset
M N is an m-submanifold if around each point p M
there is a coordinate chart (U, ) for N in which M looks
like Rm 0 Rn . That is, in such a preferred chart we
have
(M U) = (U) (Rm 0).
It is straightforward then to check that M (with the sub-
space topology) is an m-manifold. Indeed, the preferred
charts form a C atlas for M m .
Two alternative local characterizations as for submani-
folds in Rn are then immediate. A submanifold M m N n
can be described locally (that is, in some neighborhood
U N of any point p M) as
1. the zero level set of a submersion N n Rnm (here
composed with projection onto the last n m co-
ordinates), or
2. the image of an immersion Rm N n (here the stan-
dard inclusion Rm , Rn composed with 1 ).
We now want to consider in more detail the description
of submanifolds via immersions. Immersions from Rm are
also known as regular parametrizations. Recall that last
semester we used such regular parametrizations to describe
curves and surfaces in R3 . It is of course important that the
parametrization be an immersion, in order to be sure that
the image is a smooth submanifold.
Examples A7.2. Consider the following examples of im-
mersions based on smooth plane curves.
 J.M. Sullivan, TU Berlin A: Manifolds
1. t 7 (cos 2t, sin 2t) is a periodic parametrization
of a simple closed curve, a 1-submanifold. This im-
mersion is not injective, but becomes injective if we
consider the domain to be the circle R/Z  S1 .
2. If r : R (1, 2) is strictly monotonic, then

one standard result from point-set topology which guaran-
t 7 r(t) cos 2t, r(t) sin 2t
is an injective immersion whose image is a submani-
fold, a spiral curve in the plane. Note that this image
is not a closed subset of R2 (because the immersion
is not proper).
3. t 7 (cos 2t, sin 4t) is again a closed curve, this
time a figure-eight. It descends again to the quotient
cirle R/Z, but is not injective even there. The image
is not a submanifold.
4. If we restrict this last example to the open interval
(1/4, 3/4), which of course is diffeomorphic to R,
we get an injective immersion whose image is still
the whole figure-eight curve, not a submanifold.
5. One can build an injective immersion whose image
is not even locally connected. For instance, join the
topologists sine curve, the curve t 7 (1/t, sin t)
for t 2, to a downward ray in the y-axis, the curve
t 7 (0, t) for t 1, via a smooth intermediate arc
for t [1, 2].
6. For any slope R, we can project the line t 7
(t, t) of slope from R2 to the quotient torus T 2 =
R2 /Z2 . For = p/q Q, this gives a periodic curve,
that is, a circle submanifold in T 2 called a (p, q)-
torus knot. For irrational on the other hand, the
immersion is injective but its image X is dense in T 2
and thus is not a submanifold (in our sense).
In some other contexts, mainly that of Lie groups, exam-
ples like this last one can be considered as submanifolds. A
Lie group is smooth manifold with the structure of an alge-
braic group, where the group operations are smooth maps;
we will discuss these later. The torus T 2 is an example of a
(compact, 2-dimensional) Lie group (under addition). The
dense subset X consisting of points of the form (t, t)
is a subgroup; from the point of view of Lie groups this
is a 1-dimensional Lie subgroup. Of course X T 2 with
the subset topology is not a manifold. Instead we simply
use the bijective immersion R X to transfer the stan-
dard smooth manifold structure from R to X. (Indeed, any
time we have an injective immersion f : M m N n , it is
a bijection onto its image, and could be used to transfer
the topology and smooth structure from M to that image,
making f by definition a diffeormorphism, though not to a
subspace of N.)
Definition A7.3. A continuous injection f : X Y of
topological spaces is a topological embedding if it is a
homeomorphism onto its image f (X). A (smooth) embed-
ding f : M m N n of manifolds is an immersion that is a
topological embedding.
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Diff Geom II, WS 2015/16
We will show that the image of a smooth embedding is a
submanifold (and vice versa); the embedding is then not
merely a homeomorphism but indeed a diffeomorphism
onto its image.
Above we saw many examples of injective immersions of
manifolds which were not embeddings. However, there is
tees that this never happens when M is compact.
Proposition A7.4. If X is compact and Y is Hausdorff,
then any continuous bijection f : X Y is a homeomor-
phism.
For the proof, recall that a map f : X Y is open if the
image of every open set U X is open in Y, and f is closed
if the image of every closed set A X is closed in Y. If f
is a bijection, then these notions are equiavalent, and also
equivalent to f 1 being continuous.
Proof. We need to show f 1 is continuous, or equivalently
that f is a closed map. So suppose A X is closed; we
need to show f (A) is closed in Y. Since X is compact,
A is also compact. Since f is continuous, f (A) is then
compact. But a compact subset of the Hausdorff space Y
is necessarily closed. 
Two examples related to the quotient map I S1 (where
I = [0, 1] and the quotient identifies the endpoints {0, 1} to
a single point) show why the two conditions are necessary.
First, we can get a bijection by restricting this map to the
noncompact interval [0, 1). Second, we can get a bijection
by replacing S1 by a non-Hausdorff circle with a doubled
basepoint (like our line with doubled origin).
Corollary A7.5. If X is compact and Y is Hausdorff, then
any (continuous) injection f : X Y is a topological em-
bedding.
Corollary A7.6. If M is a compact manifold, then any in-
jective immersion f : M m N n is a smooth embedding.
Now we show that the concepts of smooth embedding and
submanifold coincide in the following sense:
Theorem A7.7. If f : M m N n is an embedding, then
f (M) N is a submanifold and f : M f (M) is a dif-
feomorphism. If M m N n is any submanifold, then the
inclusion i : M , N is an embedding.
Proof. For the first statement, consider a point p M and
its image q = f (p) f (M) N. Because f has constant
rank m n, by the rank theorem, we can find coordinates
(U, ) around p M and (V, ) around q N in which f
looks like the embedding Rm , Rn . It is tempting to hope
that (V, ) is the preferred chart we seek in the definition
of submanifold but we have not yet used the fact that
f is an embedding and the problem is that other parts of
f (M) might enter V, while we want f (U) = f (M) V.
But since f is an embedding, f (U) is open in f (M) in
the subspace topology from N. By definition of subspace
topology, this means there is an open subset W N such
that f (U) = W f (M). Now we simply restrict (V, ) to
 J.M. Sullivan, TU Berlin A: Manifolds
W V and we find these are preferred coordinates showing
f (M) as a submanifold of N (around q).
We essentially proved the second statement when we put a
smooth structure on the submanifold M N: we remarked
then that the manifold topology on M was the subspace
topology from N, which exactly means the inclusion is a
topological embedding. The fact that it is an immersion is
also obvious in a preferred coordinate chart.  Definition A8.1. We say a vector field X is invariant
under
m n
Suppose M N is a submanifold. Then at any p M
we can view T p M T p N in a natural way as a vector
subspace (using the injective differential D p i of the inclu-
sion map i). More generally, if M is described (locally)
as the image of a regular parameterization, an immersion
Rm U N, then T p M is the image of its differen-
tial. If instead M is (locally) the zero set of a submersion
f : N Rnm , then T p M is the kernel of D p f .
A8. Vector fields and their flows
Suppose f : M m N n is a smooth map and X is a vector
field on M. For any point p M, we can use f = D p f
to push a vector X p T p M to a vector at f (p) N. If
there exists a vector field Y on N such that for each p M
we have Y f (p) = D p f (X p ), then we say Y is f -related to X.
Of course, when f is not injective, it might be impossible
to find an f -related vector field; when f is not surjective,
Y is not uniquely determined away from f (M). But when
f is a diffeomorphism, there clearly is a unique Y that is
f -related to any given X, and then we write Y = f (X).
If f : M M is a diffeomorphism it can happen that a
vector field X is f -related to itself: X = f (X). In this case,
we say X is f -invariant. As a simple example, consider
the radial field X p = p on Rm . It is invariant under any
homothety f : p 7 p. This may seem like a very spe-
cial situation, but in fact our goal now, given an arbritrary
vector field X, is to construct a one-parameter family of
diffeomorphisms t : M M under which X is invariant.
Recall that if G is an algebraic group and X is any set, then
an action of G on X is a map : G X X, often written
as
(g, x) 7 g x := g (x),
satisfying the following properties:
e = idX , gh = g h .
(That is, in the typical group theory notation, e x = x and
(gh) x = g (h x).) Each g : X X is a bijection (with
inverse g1 ). The action partitions the set X into orbits
G x := {g x : g G},
which are the equivalence classes under the equivalence
relation x g x.
We are interested in smooth actions of the (1-dimensional
Lie) group (R, +) on a smooth manifold M m . Such an ac-
tion is a smooth map : R M M, again written as
(t, p) 7 t (p), satisfying
0 = id M , s t = s+t .
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Diff Geom II, WS 2015/16
It follows that each t : M M is a diffeomorphism, with
inverse t . Note that since R is an abelian group (s + t =
t + s), these diffeomorphisms all commute:
t s = s+t = s t .
This is often simply called a one-parameter group action
or a (global) flow on M.
the action if it is invariant under each t , that is, if t X =
X for all t.
This may seem like a very special situation, but we will see
it is quite natural.
Our notation t (p) := (t, p) emphasizes the diffeomor-
phisms t obtained by fixing t R. If instead, we fix a
point p M, we of course get a curve p : R M defined
by p (t) := t (p). The trace of this curve is the orbit of
p M under the action . It is helpful to rewrite the defin-
ing property s t = s+t of a flow in terms of these flow
curves. For any point q := p (s) = s (p) along p , we find
that the curve q is just a reparametrization of p ; indeed
q (t) = t (q) = t s (p) = t+s (p) = p (s + t).


Equivalently, q = s p :
q (t) = s t (p) = s p (t) .



Definition A8.2. The infinitesimal generator of the flow
is the vector field X on M defined by X p := 0p (0), the
velocity vector of the curve p at p = p (0).
End of Lecture 2 November 2015
An equivalent way to define the infinitesimal generator X
comes from looking at a standard vertical vector field on
R M, defined by
T (t,p) (R M) = T t R T p M 3 (t , 0) =: V(t,p) .
Then it is easy to check that X p = D(0,p) (V).


Theorem A8.3. Suppose is a flow on M with infinitesi-
mal generator X. Then X is -invariant. That is, for any
s R and p M we have
s (X p ) = Xs p .


Proof. Write q = s (p) so that X p = 0p (0) and Xq = q0 (0).
Then the desired formula follows immediately from the
observation above that q = s p . 
Corollary A8.4. If X p = 0 then the curve p is the con-
stant map p (t) p. If X p , 0, then the curve p is an
immersion. If it is not injective on R then it is s-periodic
and injective on R/sZ for some s > 0.
Proof. First note that
0p (t) = X p (t) = t X p .


Since t is a linear isomorphism, these vectors either re-
main zero or remain nonzero. Finally, if we have a non-
injective curve with p (t + s) = p (t) for some s and t,
then the same holds for this s and every t, that is, p is
s-periodic. 
10
 J.M. Sullivan, TU Berlin A: Manifolds Diff Geom II, WS 2015/16

Recall that these curves are the orbits of the flow and Like any local result, this can be transferred immediately to
form a partition of M. (Each orbit is topologically an open the context of an arbitrary manifold, where its restatement
arc or a closed loop or a single point.) has a more geometric flavor.
Note also that the vector field X is -related to the vector
Definition A8.8. A local flow around p M is a map
field V = (t , 0) on R M since
X(t,p) = D(t,p) V(t,p) .

: (, ) V M

As we have seen, any flow has an infinitesimal genera- (for some > 0 and some open V 3 p) such that 0 (q) = q
tor X. What if we start with a vector field X on M: does it for all q V, and
generate a flow? We will see that the answer is always yes
t s (q) = t+s (q)


when M is compact; in general the flow might exist only
for small t (depending on p).
whenever both sides are defined. The flow lines are the
Definition A8.5. Given a vector field X on a manifold M, curves q (t) := t (q); the infinitesimal generator is the vec-
a curve : J M (where J R is some open interval) is tor field Xq = q0 (0) tangent to the flow lines.
called an integral curve of X if 0 (t) = X(t) for all t J.
Theorem A8.9. Any vector field X on a manifold M has a
As we have seen, any R-action has an infinitesimal gen- local flow around any point p M.
erator X. Then each orbit p (t) = t (p) is an integral curve
of X, defined on J = R. In other cases, the integral curve Note that if we prove this theorem by appealing to the pre-
does not exist for all time, since it flows out of M in finite vious theorem on Rm , then the neighborhood V we con-
time. For instance, consider the flow t (x) = x + te1 on Rm , struct (and even the values of ) will be in some coordinate
whose infinitesimal generator is X = 1 . If we replace Rm chart around p. But this doesnt affect the statement of the
by an open subset (like Rn r {0} or Rn r B1 (0)) then we theorem.
sometimes leave this open subset in finite time.
Theorem A8.10. On a compact manifold M m , any vector
Think for a minute about dimension m = 1. Up to dif- field X has a global flow.
feomorphism, there is no difference between reaching the
end of a finite open interval like (0, 1) and reaching .
Proof. For any p M we have a local flow, defined on
A classical example is the flow of t2 t on R, that is, the
some ( p , p ) V p . By compactness, finitely many of the
solution of the ODE du/dt = u2 , which blows up in finite
V p suffice to cover M. Let > 0 be the minimum of the
time. So it is too much to hope for a global solution in
corresponding (finitely many) p . Then we know that the
general. But of course, standard theorems on ODEs guar-
flow of X exists everywhere for a uniform time t (, ).
antee local existence and uniqueness of solutions, which
But then, for instance using nt = t t , we can
can be viewed as integral curves of a vector field. (In an
construct flows for arbitrary times. 
ODE course, you might learn about minimal smoothness
conditions for existence and for uniqueness; certainly C
or even C 1 suffices for both.)
A9. Lie brackets and Lie derivatives
Theorem A8.6. Suppose U Rm is open and f : U Rm
is smooth. Then for each p U, there is a unique solution
to the equation dx/dt = f (x) with initial condition x(0) = Definition A9.1. A Lie algebra is a vector space L with
p; it is smooth and is defined on some maximal open time an antisymmetric (or skew-symmetric) product
interval (a p , b p ) 3 0.
L L L, (v, w) 7 [v, w] = [w, v]
A proof of this basic result (using the Banach fixed-
point theorem for contraction mappings) can be found in that is bilinear (i.e., linear in v and in w, where it suffices
Boothby. Somewhat more subtle is the smooth depen- to check one of these:
dence on parameters as given in the next theorem. (See
Conlons textbook for a proof.) In our version, there are no [v + v0 , w] = [v, w] + [v0 , w],
parameters other than the initial point p.
noting this could also be called a distrubutive law) and sat-
Theorem A8.7. Suppose U Rm is open and f : U Rm isfies the Jacobi identity
is a smooth function. For any point p U there exists
> 0, a neighborhood V U of p, and a smooth map u, [v, w] + v, [w, u] + w, [u, v] = 0.
     

x : (, ) V U A trivial example is any vector space with the zero prod-

satisfying uct [v, w] := 0. The Jacobi identity may not at first seem
intuitive, but in fact there are some familiar nontrivial ex-
x amples.
(t, q) = f x(t, q) , x(0, q) = q


t Example A9.2. Three-space R3 with the usual vector cross
for all t (, ) and q V. product [v, w] := v w = v w is a Lie algebra.

11

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 J.M. Sullivan, TU Berlin
Example A9.3. The ordinary matrix product on Rnn is bi-
linear but neither symmetric nor antisymmetric. But the
matrix commutator [A, B] := AB BA is clearly antisym-
metric. To check the Jacobi identity, we compute
A, [B, C] = ABC ACB BCA + CBA
 
and then cyclically permute. The bracket notation for Lie
algebras comes from this earlier use of brackets for com-
mutators.
Example A9.4. More generally (and more abstractly), sup-
pose V is any vector space, and consider the set End(V) :=
L(V, V) of linear endomorphisms (self-maps) on V. Then
the commutator
[A, B] := A B B A
is again a Lie product.
Now consider the set X(M) of smooth vector fields on a
manifold M m . As we have observed, this is an (infinite-
dimensional) vector space over R and indeed a module
over C (M), where for X, Y X and f C the vector
field f X + Y is defined pointwise:
( f X + Y) p = f (p)X p + Y p .
But we also recall that a vector field X X gives (or indeed
can be viewed as) a map C (M) C (M) via f 7 X f ,
taking directional derivatives of f in the directions X p .
That is, we can view vector fields as endomorphisms of
C (M):
X(M) End C M .


As Lie observed, the commutator product on End(C M)
in fact restricts to the subspace X:
Theorem A9.5. The space of vector fields X(M) is a Lie
algebra with the Lie bracket
[X, Y] f := X(Y f ) Y(X f ).
Note that the ordinary composition product does not re-
strict: the mapping f 7 X(Y f ) is an endomorphism of
C (M) which should be thought of as taking a second
derivative of f in particular directions; this does not cor-
respond to a vector field, because second derivatives do
not satisfy the Leibniz product rule. But partial derivative
commute; in the commutator above the second-order terms
cancel, leaving only first-order terms, that is, a vector field
A: Manifolds Diff Geom II, WS 2015/16
is a vector field, that is, that it is local and satisfies the
Leibniz product rule. But locality the fact that the value
of [X, Y] f at p depends only on the germ of f at p and not
on its values elsewhere is clear, giving
[X, Y] p : C (p) R, f 7 X p (Y f ) Y p (X f ).
To show [X, Y] p T p M we now check the Leibniz rule:
[X, Y] p ( f g) = X p Y( f g) Y p X( f g)



= X p f Yg + gY f Y p f Xg + gX f



= (X p f )(Y p g) + f (p)X p (Yg)
+ (X p g)(Y p f ) + g(p)X p (Y f )
(Y p f )(X p g) f (p)Y p (Xg)
(Y p g)(X p f ) g(p)Y p (X f )
= f (p)[X, Y] p g + g(p)[X, Y] p f 
Exercise A9.6. Of course the Lie bracket [X, Y] is R-
bilinear, but it is not C (M)-bilinear. Instead we have
[ f X, gY] = f g[X, Y] + f (Xg)Y g(Y f )X.
(Hint: consider first the case [ f X, Y] = f [X, Y] (Y f )X
and then use that twice, with the antisymmetry.)
Lemma A9.7. Let i X(U) denote as usual the coordi-
nate basis vector fields on a chart (U, ). Then their Lie
brackets vanish: [i , j ] = 0 for all i, j = 1, . . . , m.
Proof. Let f be a germ at p U, and write f for the
germ f 1 at (p) R
m . By definition of i , we have
(i f )(p) = f/x (p) . Then for the Lie bracket we
i

get:
[i , j ] p f = i ( j f )(p) j (i f )(p)
2 f 2 f
= (p) (p) = 0,



i j
j i
dx dx dx dx
using the fact that the mixed partials commute. 
Exercise A9.8. Using this lemma and the result of the pre-
vious exercise, compute the formula for the Lie
P bracket
[X, Y] in coordinates, if X = i i and Y = i i in a
P
chart (U, ).
Of course, vector fields are used to take derivatives of func-
tions. If X X(M) and f C (M) then (X f )(p) = X p f is
a directional derivative of f . If is an integral curve of X
through p and its (local) flow, then
 
d d
X p f =  f p (t) =  f t (p) .



[X, Y]. To understand why there can be first-order terms dt t=0 dt t=0
remaining, recall the formula for the second derivative of a
function f along a curve in Rn passing through (0) = p Now suppose we want to take a derivative of a vector
with velocity 0 (0) = v and acceleration 00 (0) = a: field Y along a curve . The problem is that for each
 q = (t), the vector Yq lives in a different tangent space
d2  T q (M). So we cannot compare these vectors or ask for
 f (t) = D p f (v, v) + D p f (a).

2
2
dt t=0 their rate of change along without some sort of addi-
tional information. Later in the course, we will introduce
Proof. We need to check that the endomorphism the notion of a connection (for instance coming from a
Riemannian metric), which does allow us to differentiate
[X, Y] : C (M) C (M) a vector field along a curve. But Lie suggested a different

12

AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30

 J.M. Sullivan, TU Berlin
approach. Suppose we have not just one (integral) curve
p but a whole vector field X and its associated local flow
around p. Then we can use
D p t = t : T p M T t p M
to identify the tangent spaces along the integral curve p .
In particular, for each t (in the interval (, ) of definition)
we have t Yt p T p M.

space E with a projection : E M. When there is no
Definition A9.9. If X, Y X(M) then the Lie derivative
LX Y of Y with respect to X is the vector field defined by
A: Manifolds Diff Geom II, WS 2015/16
A10. Vector bundles
When we defined the tangent bundle T M of a manifold
M m , we mentioned that it is a specific example of a smooth
vector bundle over M, with fibers the tangent spaces T p M.
In general, a bundle over a base space M consists of a total
confusion, we often refer to E as the bundle. The fiber over
p M is simply the preimage E p := 1 {p}. If S M, we
write ES for the restriction of E to S , that is, the bundle
|S : ES = 1 (S ) S . If : E M and 0 : E 0 M

d 
LX Y) p :=  t Yt p T p M.


dt t=0 are two bundles, then : E E 0 is fiber-preserving if
0 = , that is, if (E p ) E 0p for each p.
It would be straightforward but tedious to check in coor-
Of course, we only call : E M a bundle if the fibers are
dinates that this is a smooth vector field. For us, that will
all isomorphic (in an appropriate sense, to some F); and if
follow from the theorem below, saying that the Lie deriva-
E is locally trivial, locally looking like a product with F.
tive is nothing other than the Lie bracket:
We now give a precise definition for the case of interest
LX Y = [X, Y] = [Y, X] = LY X. here.
For this we first need the following lemma, a modification
Definition A10.1. A (smooth) vector bundle of rank k is a
of the Taylor-type lemma we used to prove T p Rm  Rm .
map : E m+k M m of manifolds such that
Lemma A9.10. Suppose a vector field X X(M) has local
flow : (, ) V M around p M. Given any f each fiber is a vector space of dimension k,
C (M), there exists a smooth function g : (, ) V R, each point in M has a trivializing neighborhood U,
which we write as (t, q) 7 gt (q), such that meaning there is a fiber-preserving diffeomorphism
f t (q) = f (q) + tgt (q),


Xq f = g0 (q). EU U Rk that is a vector space isomorphism on
each fiber.
Proof. First we define ht (q) := dtd f t (q) = Xt q f , and


R1 Exercise A10.2. If M m N n is a submanifold and : E
then we set gt (q) := s=0 h st (q) ds. For t = 0 this clearly N is a vector bundle of rank k over N, then the restriction
means g0 (q) = h0 (q) = Xq f . Using a change of variables E M is a vector bundle of rank k over M.
and the fundamental
theorem of calculus, for arbitrary t we
get tgt (q) = f t (q) f (q) as desired.  Remark A10.3. The tangent bundle T M is a rank-m bun-
dle over M m . Any coordinate chart (U, ) is a trivializing
Theorem A9.11. For any vector fields X, Y on M, the Lie neighborhood where the fiber-preserving diffeomorphism
derivative and Lie bracket coincide, that is, we have LX Y = is
[X, Y].
(, D) : X p 7 p, D p (X p ) .


Proof. Suppose
f C (p) is a germ at p M. We want
to show LX Y p f = [X, Y] p f . Choose a representative The restriction D p : T p M Rm to each fiber is indeed
f C (U) for the germ and use the lemma (applied to the linear.
manifold U) to find gt such that g0 = X f and f t = f +tgt ,
or negating t as we will, f t = f tgt . Then starting Suppose : E M is a vector bundle. We can cover M
from the definition of LX Y we find by open sets U that are (small enough to be) both coordi-
nate charts for the manifold M and trivializing neighbor-
1 
LX Y p f = lim t Yt p f Y p f hoods for the bundle E. That is, we have diffeomorphisms



t0 t
: U (U) Rm and : EU U Rk , the latter being
1 
= lim Yt p f t Y p f fiber-preserving and linear on each fiber. Composing these


t0 t gives a diffeomorphism
1 
= lim Yt p f tgt Y p f


t0 t (, id) : EU (U) Rk Rm+k ,

d 
= 


Y p f lim Yt p gt which is a coordinate chart for the manifold E.
dt t=0 t t0

d 
=  Y f t (p) Y p g0



dt t=0
= X p (Y f ) Y p (X f ) = [X, Y] p f
m n
Exercise A9.12. Suppose f : M N is a smooth map
and Y X(N) is f -related to X X(M) while Y 0 is f -
related to X 0 . Then [Y, Y 0 ] is f -related to [X, X 0 ].
End of Lecture 9 Nov 2015
AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30
Definition A10.4. A section of a vector bundle : E M
is a smooth map : M E such that = id M , meaning
 (p) E p for each p M. The space of all (smooth)
sections is denoted (E).
Vector fields, for example, are simply sections of the tan-
gent bundle: X(M) = (T M). As in that example, (E)
is always a module over C (M), using pointwise addition
13
 J.M. Sullivan, TU Berlin
and scalar multiplication: if , (E) and f C M,
then + f is defined pointwise by
( + f ) p = p + f (p) p E p .
Sometimes we talk about local sections (EU ) that
are not defined globally on all of M but only on a subset
U M. A trivialization of E over U is equivalent to a
frame, that is, a set of k sections i (EU ) such that at
each p U, the i (p) form a basis for E p .
Operations on vector spaces yield corresponding opera-
tions (acting fiberwise) on vector bundles. For instance,
if E M and F M are two vector bundles over M (of
ranks k and l, respectively) then their direct sum (or Whit-
ney sum) E F M is a vector bundle of rank k +l, where
we have (E F) p = E p F p fiberwise. Any neighborhood
which trivializes both E and F will trivialize their sum.
A11. Dual spaces and one-forms
We next turn to various constructions on a single vector
space V. Even though much of what we say could extend
to arbitrary spaces, we assume V is a real vector space of
finite dimension k; later it will be a tangent space to a man-
ifold.
The dual space V := L(V, R) is defined to be the space of
all linear functionals V R (also called covectors). The
dual space V is also k-dimensional.
As we have mentioned before, a linear map L : V W
induces a dual linear map L : W V in the opposite
direction, defined naturally by (L )(v) = (Lv). This
construction is functorial in the sense that id = id and
0

L L = (L0 ) L . One can check that L is surjective if
and only if L is injective, and vice versa.
While there is no natural isomorphism V V , any ba-
sis {e1 , . . . , ek } for V determines a dual basis {1 , . . . , k }
for V by setting
0,
i , j,
(e j ) = j =
i i
1,
i = j.
The covector i is the functional that gives the iP th
compo-
nent of a vector in the basis {ei }, that is, v = i (v)ei ,
P we could also write as v = (v). Similarly,
i i
which
= (ei )i .
There is a natural isomorphism V V , where v V
induces the linear functional 7 (v) on V . Given a
linear map L : V W, we have L = L.
Applying duality to each fiber E p of a vector bundle gives
the dual bundle E with (E ) p = (E p ) . It is trivialized
over any trivializing neighborhood for E, as one sees by
choosing a frame and taking the dual frame.
Applying duality to T p M gives the cotangent space T p M
to M at p. These fit together to form the cotangent bundle,
which (just like the tangent bundle) is trivialized over any
coordinate neighborhood.
A (smooth) section of the cotangent bundle is called a
covector field or more often a (differential) one-form. We
AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30
A: Manifolds Diff Geom II, WS 2015/16
write 1 (M) = (T M) for the space of all sections. A
one-form 1 (M) acts on a vector field X X(M)
to give a smooth function (X) C (M) via (X)(p) =
p (X p ) R. In a coordinate chart (U, ) we have the ba-
sis vector fields i ; taking the dual basis pointwise we get
the basis one-forms dxi satisfying dxi ( j ) = ij . Any one-
form 1 (U) can be written as = i dxi , where the
P
components i = (i ) C U are smooth functions.
An important way to construct one-forms is as the differen-
tials of functions. If f C M then D p f : T p M T f (p) R,
under the identification T t R  R, can be thought of as a
covector d f p at p. If X X(M) is a vector field, then
d f (X) = X f , meaning d f p (X p ) = X p f for each p M.
While X p f depends on the germ of f at p, it only depends
on d f at p: the covector d f p encodes exactly all the direc-
tional derivatives of f at p.
Note that the notation dxi we used above for the coordinate
basis one-forms in a coordinate chart (U, ) is consistent:
these are indeed the differentials of the coordinate compo-
P x := i : U R. In coordinates, we
i i
nent functions
have d f = (i f )dx , where we recall that i f is the ith
partial derivative of the coordinate expression f 1 of f .
An interesting example of a one-form is the form d on S1 .
We cover S1 with coordinate charts of the form
(cos , sin ) 7 (0 , 0 + 2).
On each such chart, we write d for the coordinate basis
one-form (which would also be called dx1 ); then we note
that on the overlaps, these forms d agree (independent of
the omitted point 0 ).
Unlike for most manifolds, the tangent bundle T S1 is
(globally) trivial; thus T S1 is also trivial. Any one-form
is written as f d for some smooth function f . The form d
can be thought of as dual to the vector field ( sin , cos )
on S1 , which is 1 in any of the charts above.
The notation d is slightly confusing, since this one-form
is not globally the differential of any smooth function
on S1 . Thus on S1 , this is a one-form which is closed
but not exact, meaning that d looks like a differential
locally but not globally. This shows, in a sense we may
explore later, that the space S1 has nontrivial first coho-
mology, that is, that it has a one-dimensional loop.
One forms are in some sense similar to vector fields, but
we will see later how they (as well as differential forms of
higher degree) are often more convenient. This is mainly
because, while a map f : M N does not in general act
on vector fields, it can be used to pull one-forms on N back
to M. To see this, note that
f = D p f : T p M T f (p) N
at each p M induces a dual map
f := (D p f ) : T f (p) N T p M.
Given 1 (N), we define f 1 (M) by ( f ) p =
f ( f (p) ) T p M.
A special case is the restriction | M of a form 1 N
to a submanifold M m N n , which is simply the pullback
under the inclusion map. For any X p T p M T p N at any
p M N we of course simply have | M (X p ) = (X p ).
14
 J.M. Sullivan, TU Berlin A: Manifolds
A12. Bilinear forms and Riemannian metrics
A bilinear map b : V V R is called a bilinear form
on V. If {e1 , . . . , ek } is a basis
P i for V, thenPb isi given
by bi j = P b(ei , e j ): if v = v ei and w = w ei then
b(v, w) = i, j bi j vi w j . The bilinear form b is called sym-
metric if b(w, v) = b(v, w) (i.e., if bi j = b ji ) and an-
tisymmetric or alternating if b(w, v) = b(v, w) (i.e., if
bi j = b ji ). Any bilinear form b can be uniquely decom-
posed b = b+ + b into a symmetric part b+ and an anti-
symmetric part b , defined by 2b (v, w) = b(v, w)b(w, v).
Given a linear map L : V W, we can pull back any bi-
linear form b on W to a bilinear form L b on V, defined by
(L b)(v, v0 ) = b(Lv, Lv0 ).
We will consider antisymmetric differential forms later.
For now we restrict attention to symmetric bilinear forms
on V. These are in one-to-one correspondance with
quadratic forms q : V R: of course q(v) := b(v, v) de-
pends only on the symmetric part of b and we can recover b
from q via the formula
2b(v, w) := q(v + w) q(v) q(w).
(Note that much of our discussion would fail for vector
spaces over fields of characteristic 2, where 2 = 0.)
A symmetric bilinear form b (or the associated quadratic
form q) is called positive semidefinite if q(v) = b(v, v) 0
for all v V. It is called positive definite if q(v) = b(v, v) >
0 for all v , 0. A positive definite form on V is also
called an inner product (or scalar product) on V. An inner
product is what we need to define the geometric notions of
length (or norm) kvk := b(v, v) and angle
b(v, w)
(v, w) := arccos
kvk kwk
between vectors in V. The pullback L b of a positive defi-
nite form is always positive semidefinite, but it is positive
definite if and only if L is injective.
Of course the standard example ofPan inner product is the
Euclidean inner product b(v, w) = vi wi on Rm .
The quadratic
 forms on V form a vector space Q(V) of
dimension m+1 2 . The positive definite forms form an open
convex cone in this vector space, whose closure consists
of all positive semidefinite forms. (A convex cone is a set
closed under taking positive linear combinations.)
Again, we can apply this construction to the fibers of any
vector
k+1
 bundle E. If E has rank k, then Q(E) has rank
2 . In case of the tangent bundle T M, we get a vec-
m+1
tor bundle Q(T M) of rank 2 . A positive definite sec-
tion g Q(T M) is called a DRiemannian


E metric on M.
It consists of an inner product X p , Y p := g p (X p , Y p ) on
each tangent space T p M, which lets us measure length and
angles between tangent vectors at any p M.
In a coordinate chart (U, ), the metric g is given by com-
ponents gi j := g(i , j ) C U so that
X X  X
g i i , j j = gi j i j .
i, j
AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30
Diff Geom II, WS 2015/16
The matrix (gi j ) is of course symmetric and positive defi-
nite at each p U.
The standard Riemannian metric g on the manifold Rm
comes from putting the standard Euclidean inner product
on each T p Rm = Rm . That is, in the standard chart (Rm , id)
we have gi j = i j .
If f : M m N n is a smooth map, then we can pull back
sections of Q(T N) to sections of Q(T M) in the natural
way:
( f g)(X p , Y p ) := g( f X p , f Y p ).
If g is a Riemannian metric, then of course f g will be
positive semidefinite at each p M, but it will be a Rie-
mannian metric if and only if f is an immersion (meaning
that D p f is injective for every p M, and in particular
m n). Again, an important special case of this pull-back
metric is when f is the inclusion map of a submanifold;
then we speak of restricting the Riemannian metric g on N
to g| M on the submanifold M N.
In particular, the standard metric on Rn restricts to give a
Riemannian metric on any submanifold M m Rn . Last
semester, we studied the case m = 2, n = 3, and called this
metric g(v, w) = hv, wi the first fundamental form.
End of Lecture 16 Nov 2015
A13. Partitions of unity
The sections of any vector bundle E M form a vec-
tor space. In particular, there is always the zero section
p = 0 E p . An interesting question is whether there is
a nowhere vanishing section. A trivial bundle M Rr of
course has constant nonzero sections. Sometimes it turns
out that the tangent bundle T M is trivial this happens for
instance for S1 or more generally the m-torus T m . Other
times, there is no nonvanishing section of T M. For in-
stance the Hopf index theorem shows this is the case for
any closed orientable surface M 2 other than the torus T 2 .
Over S1 there is also a nontrivial line bundle, whose total
space is topologically a Mbius strip. This bundle has no
nonvanishing section.
From this point of view, it might be surprising that the
bundle Q(T M) has nonvanishing sections for any mani-
fold M m , indeed sections which are positive definite ev-
erywhere. In other words, any manifold M can be given
a Riemannian metric. This follows from the fact that any
manifold can be embedded in Rn for sufficiently large n,
or can be proven more directly by taking convex combi-
nations of standard metrics in different coordinate charts.
Either of these approaches requires the technical tool of a
partition of unity, a collection of locally supported func-
tions whose sum is everywhere one. This gives a general
method for smoothly interpolating between different local
definitions. We do not want to get into questions of sum-
ming infinite sequences; thus we impose a local finiteness
condition.
Definition A13.1. A collection {S } of subsets of a topo-
logical space X is called locally finite if each p X has a
neighborhood that intersects only finitely many of the S .
15
 J.M. Sullivan, TU Berlin
Definition A13.2. The support supp f of a function
f : X Rn is the closure of the set where f , 0.
Lemma A13.3. If f : M R are P smooth functions such
that {supp f } is locally finite, then f defines a smooth
function M R.
Proof. The local finiteness means that each p M has a
neighborhood U which P meets only a finite number of the
supp f . On U, the sum f is thus a sum of a fixed finite
collection of smooth functions, hence smooth.  difference except for allowing uncountably many compo-
Note that saying the collection of supports supp f is lo-
cally finite is stronger than saying each p M is contained
in finitely many supp f , which in turn is stronger than say-
ing only finitely many f P are positive at each p M. This
would suffice to evaluate f (p) as a finite sum at each p.
The stronger conditions ensure that the sum is a smooth
function.
Definition A13.4. A (smooth) partition of unity on a man-
ifold M is a collection of functions : M R such that
0,
{supp } is locally finite,
1.
P
A trivial example is the single constant function 1. The
interest in partitions of unity comes from examples where
the support of each is small in some prescribed sense.
Definition A13.5. Given an open cover {U }, a partition
of unity { } is subordinate to the cover {U } if for each
there exists = () such that the support supp is
contained in U .
Note that if we want, we can then define a new partition
of unity { } also subordinate to {U } and now indexed by
the same index set. Simply set to be the sum of those
for which = (). (Note that this is not the sum of all
supported in U .)
To give the flavor of results about partitions of unity,
we start with the easy case of a compact manifold. All
manifolds have a related property called paracompactness,
which will be enough to extend this result.
Proposition A13.6. Given any open cover {U } of a com-
pact manifold M m , there exists a partition of unity subor-
dinate to this cover.
Proof. For each p M, we have p U for some
= (p), and we can choose a smooth nonnegative func-
tion f p supported in U with f p > 0 on some neighbor-
hood V p 3 p. Since M is compact, a finite subcollection

V p1 , . . . , V pk covers M. Then f := i f pi is a positive
P finite.
smooth function on M, so we can define a finite collec-
tion of smooth functions i := f pi / f . These form a (finite)
partition of unity, subordinate to the given cover.
Definition A13.7. An open cover {V } is a refinement of
another open cover {U } if each V is contained in some
U . A space X is paracompact if every open cover has a
locally finite refinement.
AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30
A: Manifolds Diff Geom II, WS 2015/16
Example A13.8. The cover (n, n) : n N+ of R is not

locally finite, but any covering of
 R by bounded open sets
is a refinement, so for instance (k 1, k + 1) : k Z is a
locally finite refinement.
A standard result in point set topology says that any sec-
ond countable, locally compact Hausdorff space is para-
compact. It is also true that any metric space is paracom-
pact. Some authors replace second countable by para-
compact in the definition of manifold, which makes no
nents. (The long line, for instance, is not paracompact.)
It is known that a topological space X admits a continu-
ous partition of unity subordinate to any given open cover
if and only if X is paracompact and Hausdorff. We will,
however, explicitly prove what we need for manifolds.
Lemma A13.9. Every manifold M has a countable base
consisting of coordinate neighborhoods with compact clo-
sure.
Proof. Start with any countable base {Bi } and let B be the
subcollection of those Bi that are contained in some co-
ordinate neighborhood and have compact closure. Now
suppose we are given an open subset W M and a point
p W. Choose a coordinate chart (U, ) around p such
that
U W, (p) = 0, B2 (0) (U)
and set V := 1 B1 (0) . Then V has compact closure.


Since {Bi } is a base, we have p Bi V U for some i.
But then this Bi is also contained with compact closure
in the coordinate neighborhood U; thus Bi B. Since p
and U were arbitrary, this shows B is a base. 
Lemma A13.10. Every manifold M has a compact ex-
haustion, indeed a nested family of subsets
, W1 W 1 W2 W 2
with Wk open and W k compact, whose union is M.
Proof. Choose a countable base {Bi } as in the last S lemma.
We will choose 1 = i1 < i2 < and set Wk := ii=1 k
Bi .
These automatically have compact closure and are nested.
We just need to choose each ik large enough that Wk
W k1 . But this is possible, since W k1 is compact and thus
covered by some finite collection S of the S
Bi s. Finally, since
ik k we have that Wk Bk so Wk Bk = M. 
Corollary A13.11. Given a manifold M, we can find
countable families of subsetsSKi Oi M, for i N+ ,
with Ki compact, Oi open, Ki = M, and {Oi } locally
Proof. Using the nested Wi from the lemma, simply set
 Ki := W i r Wi1 and Oi := Wi+1 r W i2 (where we take
W0 = = W1 ). The local finiteness follows from the fact
that any p is contained in some W j+1 r W j1 , which meets
only four of the Oi . 
Corollary A13.12. Any manifold M is paracompact.
16
 J.M. Sullivan, TU Berlin
Proof. Suppose {U } is an open cover. Choose Oi and Ki
as in the last corollary. For each i, the compact set Ki is
covered by the sets Oi U , and thus by a finite subcol-
lection, which we name Oij for j = 1, . . . , ki . The union of
these finite collections, over all i, is a locally finite refine-
ment.
We are now set up to adapt the construction of partitions
of unity from the compact case to the general case.
Theorem A13.13. Given any covering {U } of a manifold
M, there exists a partition of unity {i } subordinate to this
covering.
Proof. Find Ki Oi as above. Fixing i, for each p Ki we
have p U Oi for some = (p). Choose a smooth
nonnegative f p with support in U Oi such that f p > 0
on some neighborhood V p 3 p. Finitely many of these
neighborhoods cover the compact set Ki . Now letting i
vary, we have a countable family of bump functions fi j ,
whose supports form a locally finite family. Thus dividing
by their well-defined, positive, smooth sum gives a parti-
tion of unity.  On Vi we have fi 1, so the ith block in g equals i , with
Note that if K M is compact, then for any partition of
unity {i } for M, only finitely many i have support meet-
ing K. (Each p K has a neighborhood meeting only
finitely many supp i ; by compactness finitely many such
neighborhoods cover K.)
Now we turn to some applications of these ideas. Note that
if { } is a partition of unity subordinate to a cover {U }
and we have functions f C (U ), then f P defines
a smooth function on M supported in U . Then f
makes sense as a locally finite sum of smooth functions.
The same works for sections
of any vector bundle E M:
local sections E U
can be combined to get a global
section (E).
P
m manifold M m with a
fixed Riemannian metric g. Where
Theorem A13.14. Any manifold M admits a Riemannian
metric.
Proof. Let g0denote the
standard (flat) Riemannian metric
on Rm . Let (U , ) be an atlas for M. In each chart
the pullback g := (g0 ) is a Riemannian metric on U .
Now let { } be a partition of unity subordinate to {U }.
We can consider each g as a global section of Q(T M),
supported of course in U . Then g is a Riemannian
P
metric on M, since locally near any point it is a convex
combination of finitely many Riemannian metrics g . 
An alternative proof of the existence of Riemannian met-
rics simply uses the fact that any manifold M m can be em-
bedded in Rn for large enough n.
It is not too hard to show that n = 2m + 1 actually suffices
a generic projection from higher dimensions to dimension
2m + 1 will still give an embedding but we omit such
discussions. Harder is the Whitney trick used to get down
to n = 2m. Most manifolds actually embed in R2m1
the only exceptions (besides S 1 ) are closed nonorientable
manifolds of dimension m = 2k , like closed nonorientable
surfaces.
AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30
A: Manifolds Diff Geom II, WS 2015/16
We will restrict to compact manifolds and not attempt to
get an optimal n. Rather than using a partition of unity
directly, we will repeat the easy proof of the compact case,
using some of the functions involved in the construction
directly.
 The theorems are also true in the noncompact case; the
proof uses decompositions like the Ki and Oi above but re-
quires knowing that each compact piece can be embedded
in the same dimension, say in R2m+1 .
Theorem A13.15. Any compact manifold M m can be em-
bedded in some Euclidean space Rn .
Proof. For each point p M, find a nonnegative function
f p : M R with f 1 in some neighborhood V p 3 p and
with support in a coordinate chart (U p , p ). By compact-
ness, a finite number of the V p suffice to cover M. Call
these points p1 , . . . , pk and simply use the indices 1, . . . k
for the associated objects. Define a map g : M Rk(m+1)
as follows:
g(p) := f1 (p)1 (p), . . . , fk (p)k (p), f1 (p), . . . , fk (p) .


injective differential. Thus g is an immersion on each Vi ,
thus on all of M. By compactness, it only remains to show
that g is injective. If g(p) = g(q) then in particular we have
fi (p) = fi (q) for all i. Choose i such that p Vi Ui .
Then fi (q) = 1 implies q Ui . But then we also have
i (p) = fi (p)i (p) = fi (q)i (q) = i (q).
Since i is injective on Ui , it follows that p = q. 
A14. Riemannian manifolds as metric spaces
We fix a Riemmanian manifold (M, g), that is, a smooth
convenient, we write X p , Y p := g p (X p , Y p ) for the inner
q
X p , X p for the length of a tangent
product and kX p k :=
vector.
Definition A14.1. Suppose : [a, b] M is a piecewise
smooth curve. The length of (with respect to the Riem-
manian metric g) is
Z b
len() := k0 (t)k dt.
a
Note that by the chain rule, this length is invariant under
reparametrization. The arclength function along is
Z t
s(t) := len |[a,t] = k0 (t)k dt.


a
and assuming is a piecewise immersion we can
reparametrize by arclength so that k0 k 1.
Note that if the standard Riemannian metric on Rn is re-
stricted to a submanifold M m , then the length of a curve
in M as defined above is the same as its length in Rn as
considered last semester.
17
 J.M. Sullivan, TU Berlin A: Manifolds Diff Geom II, WS 2015/16

Definition A14.2. The distance between two points p, q by at most a constant factor. For finite dimensional vector
M is the infimal length spaces, all norms are equivalent. We sketch a proof of the
case we need.
d(p, q) := inf len()

Lemma A14.4. Any two inner products on Rm induce
taken over all piecewise smooth curves in M from p to q. equivalent norms.

Note that we could easily apply our definition of length P Let kvk denote the standard Euclidean norm, and
Proof.
to more general curves, say to all rectifiable or Lipschitz let gi j vi w j denote an arbitrary inner product on Rm . On
curves. Since any curve can be smoothed, in the infimum the compact
pP unit sphere S
m1
= {v : kvk = 1} the other
defining d it is not important whether we allow all rectifi- norm gi j v v achieves its minimum c > 0 and its max-
i j

able curves or restrict to smooth curves. We have chosen imum C. Then by homogeneity, we have
an option in the middle. qX
End of Lecture 23 Nov 2015
ckvk gi j vi v j Ckvk

Note that (no matter which smoothness class is chosen) the
infimum is not always realized, as one sees for instance if
M = R2 r {0}.
The theorem below will show that (M, d) is a metric space
compatible with the given topology on M. Of course when
M is not connected, points p and q in different components
are not connected by any path, so d(p, q) = + by the
above definition. It is easiest to use a definition of metric
spaces that allows infinite distance. If this is not desired,
the following discussion should be restricted to connected
manifolds. Note that a connected component of a man-
ifold is automatically path-connected; any pair of points
can actually be joined by a smooth path, whose length is
necessarily finite.
A few properties of d are immediate. The constant path
shows d(p, p) = 0. The inverse path shows d(p, q) =
d(q, p). Concatenating paths gives the triangle inequality
d(p, r) d(p, q) + d(q, r). (This is one reason we chose to
allow piecewise smooth paths.) That is, we see easily that
d is a pseudometric, and to see it is a metric we just need
to show that d(p, q) = 0 holds only for p = q.
Lemma A14.3. Consider Rm with the standard Rieman-
nian metric. Then d(p, q) = kp qk.
Proof. Since both sides are clearly translation invariant, it
suffices to consider q = 0. It is easy to compute the length
of the straight path from p to 0 as kpk. We must show no
other path has less length (and may assume p , 0). So
suppose (0) = p and (1) = 0. We may assume (t) , 0
for t < 1, since otherwise we replace by |[0,t] , which is
not longer. Thus for t < 1 we can write (t) = r(t)(t)
where k(t)k = 1 and r(t) > 0. We have r(0) = kpk and
r(t) 0 as t 1. Since h, i 1, we get h, 0 i 0.
The product rule 0 = r0 + r0 then gives
k0 k2 = |r0 |2 kk2 + r2 k0 k2 |r0 |2 .
Thus
for all v, as desired. We note that the optimal constants
depend smoothly on g. 
Corollary A14.5. Suppose g is a Riemannian metric on
an open set U Rm and K U is compact. Then there
exist constants 0 < c C such that
p
ckvk g(v, v) Ckvk
for all p K and all v T p U = T p Rm  Rm . In particular,
for any curve in K from p to q we have
ckp qk c len0 leng C len0 ,
where len0 is the length relative to the standard Euclidean
metric and leng is the length relative to g.
Proof. For each p K the lemma gives us c p C p . As-
suming we choose the optimal constants at each point, they
depend smoothly on g p thus smoothly on p. By compact-
ness we can set c := minK c p and C := maxK C p . Integrat-
ing the bounds for tangent vectors gives the final statement
for any curve . 
This corollary gives the key uniformity needed for the fol-
lowing theorem.
Theorem A14.6. Let (M, g) be a Riemannian manifold.
With the distance function d above, it is a metric space
(M, d). The metric topology agrees with the given manifold
topology on M.
Proof. We have noted that d is symmetric and satisfies the
triangle inequality. We must prove d(p, q) = 0 = p = q
and show that the topologies agree.
Let D denote the closed unit ball in Rm . Given p , q
in M, we can find coordinates (U, ) around p such that
(p) = 0, (U) D and q < 1 (D). On D use the last
corollary to get c, C comparing (1 ) g with the standard
metric. Any path from p to q must first leave 1 D. Its g-
Z 1 Z 1 Z 1  length is at least the g-length of this initial piece, which is

k0 k dt |r0 | dt  r0 dt = r(0) r(1) = kpk the 1 g-length of its image . Since connects 0 to D,

0 0 0 it has Euclidean length at least 1, so 1 g-length at least c.
as desired.  Since this is true for any , we find d(p, q) c > 0.
We have just seen that a Euclidean ball in a coordinate
Two norms on a vector space induce the same topology if chart contains a small metric ball. Thus open sets in the
and only if they are equivalent in the sense that they differ manifold topology are open in the metric topology. To

18

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 J.M. Sullivan, TU Berlin A: Manifolds Diff Geom II, WS 2015/16

get the converse, consider again coordinates around p with

D (U), and find C as in the corollary. If (q) is in the
-ball around 0 = (p), then they can be joined by a path
of Euclidean length less than < 1. Thus p and q can be
joined by a path of g-length less than C. 

19

AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30

 J.M. Sullivan, TU Berlin
B. DIFFERENTIAL FORMS
We have already seen one-forms (covector fields) on a
manifold. In general, a k-form is a field of alternating k-
linear forms on the tangent spaces of a manifold. Forms
are the natural objects for integration: a k-form can be in-
tegrated over an oriented k-submanifold. We start with ten-
sor products and the exterior algebra of multivectors.
B1. Tensor products
Recall that, if V, W and X are vector spaces, then a map
b : V W X is called bilinear if
b(v + v0 , w) = b(v, w) + b(v0 , w),
b(v, w + w0 ) = b(v, w) + b(v, w0 ),
b(av, w) = ab(v, w) = b(v, aw).
The function b is defined on the set V W. This Cartesian
product of two vector spaces can be given the structure of
a vector space V W, the direct sum. But a bilinear map
b : V W X is completely different from a linear map
V W X.
The tensor product space V W is a vector space designed
exactly so that a bilinear map b : V W X becomes a
linear map V W X. More precisely, it can be charac-
terized abstractly by the following universal property.
Definition B1.1. The tensor product of vector spaces V
and W is a vector space V W with a natural bilinear map
V W V W, written (v, w) 7 v w, with the prop-
erty that any bilinear map b : V W X factors uniquely
through V W. That means there exists a unique linear
map L : V W X such that b(v, w) = L(v w).
This does not yet show that the tensor product exists, but
uniqueness is clear: if X and Y were both tensor products,
then each defining bilinear map would factor through the
other we get inverse linear maps between X and Y, show-
ing they are isomorphic.
Note that the elements of the form v w must span V W,
since otherwise L would not be unique. If {ei } is a basis
for V and { f j } a basis for W then bilinearity gives
X  X  X
vi ei wj fj = vi w j ei f j .
i j i, j
Clearly then {ei f j } spans V W indeed one can check
that it is a basis. This is a valid construction for the space
V W as the span of the ei f j but it does depend on
the chosen bases. If dim V = m and dim W = n then we
note dim V W = mn.
A much more abstract construction of V W goes through
a huge infinite dimensional space. Given any set S , the free
vector spaceP on S is the set of all formal finite linear com-
binations ai si with ai R and si S . (This can equally
well be thought of as the set of all real-valued functions
on the set S which vanish outside some finite subset.) For
AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30
B: Differential Forms Diff Geom II, WS 2015/16
instance, if S has k elements this gives a k-dimensional
vector space with S as basis.
Given vector spaces V and W, let F be the free vector
space over the set V W. (This consists of formal sums
ai (vi , wi ) but ignores all the structure we have on the set
P
V W.) Now let R F be the linear subspace spanned by
all elements of the form:
(v + v0 , w) (v, w) (v0 , w),
(v, w + w0 ) (v, w) (v, w0 ),
(av, w) a(v, w), (v, aw) a(v, w).
These correspond of course to the bilinearity conditions
we started with. The quotient vector space F/R will be the
tensor product V W. We have started with all possible
v w as generators and thrown in just enough relations to
make the map (v, w) 7 v w be bilinear.
The tensor product is commutative: there is a natural linear
isomorphism V W W V such that vw 7 wv. (This
is easiest to verify using the universal property simply
factor the bilinear map (v, w) 7 w v through V W to
give the desired isomorphism.)
Similarly, the tensor product is associative: there is a natu-
ral linear isomorphism V (W X) (V W) X. Note
that any trilinear map from V W X factors through this
triple tensor product V W X.
Of special interest are the tensor powers of a single vector
k
space V. We  write V := V V. If {ei } is a basis
for V, then ei1 eik is a basis for V k . In particular
if V has dimension m, then V k has dimension mk . There
is a natural k-linear map V k V k and any k-linear map
V k W factors uniquely through V k .
One can check that the dual of a tensor product is the tensor
product of duals: (V W) = V W . In particular,
we have (V )k = (V k ) . The latter is of course the set
of linear functionals V k R, which as we have seen is
exactly the set of k-linear maps V k R.
Definition B1.2. A L graded algebra is a vector space A de-
composed as A = k=0 Ak together with an associative
bilinear multiplication operation A A A that respects
the grading in the sense that the product of elements
Ak and A` is an element of Ak+` . Often we consider
graded algebras that are either commutative or anticommu-
tative. Here anticommutative has a special meaning: for
Ak and A` as above, we have = (1)k` .
Example B1.3. The tensor algebra of a vector space V is
M
V := V k .
k=0
Here of course V 1  V and V 0  R. Note that the tensor
product is graded, but is neither commutative nor anticom-
mutative.
B2. Exterior algebra
We now want to focus on antisymmetric tensors, to de-
velop the so-called exterior algebra or Grassmann algebra
20
 J.M. Sullivan, TU Berlin B: Differential Forms
of the vector space V.
Just as we constructed V V = V 2 as a quotient of a huge
vector space, adding relators corresponding to the rules for
bilinearity, we construct the exterior power V V = 2 V
as a further quotient. In particular, letting S V V denote
span of the elements v v for all v V, we set V V :=
(V V)/S . We write v w for the image of v w under the
quotient map. Thus v v = 0 for any v. From
(v + w) (v + w) = 0
it then follows that v w = w v. If {ei : 1 i m} is a
basis for V, then
{ei e j : 1 i < j m}
is a basis for V V.
Higher exterior powers of V can be constructed in the same
way, but formally, it is L
easiest to construct the whole ex-
terior algebra V = k V at once, as a quotient of
the tensor algebra V, this time by the two-sided ideal
generated by the same set S = {v v} V V V.
This means the span not just of the elements of S but also
of their products (on the left and right) by arbitrary other
tensors. Elements of V are called multivectors and ele-
ments of k V are more specifically k-vectors.
End of Lecture 30 Nov 2015
Again we use to denote the product on the resulting (still
graded) quotient algebra. This product is called the wedge
product or more formally the exterior product. We again
get v w = w v for v, w V. More generally, for any
v1 , . . . , vk V and any permutation k of {1, . . . , k},
this implies
v1 vk = (sgn ) v1 vk .
A special case is the product of a k-vector with an `-
vector where we use a cyclic permutation to get the anti-
commutative law = (1)k` . throughout.)
If {ei : 1 i m} is a basis for V, then
{ei1 ik := ei1 eik : 1 i1 < < ik m} phism between Gk V and Gmk V. It extends to a linear,
 
is a basis for k V. In particular, dim k V = mk ; we have
0 V = R but also m V  R, spanned by e12m . For k > m
there are no antisymmetric tensors: k V = 0. The exterior
P m
algebra has dim V = m k=0 k = 2m . The determinant
has a natural definition in terms of the exterior algebra: if
we havePm vectors v j V given in terms of the basis {ei }
as v j = i vij ei then
v1 vm = det vij e12m .


(The components of the wedge product of k vectors vi are

by the various k k minor determinants of the matrix
given
vij .)
The exterior powers of V with the natural k-linear maps
V k k V are also characterized by the following univer-
sal property. Given any alternating k-linear map V k X to
any vector space X, it factors uniquely through k V. That
AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30
Diff Geom II, WS 2015/16
is, alternating k-linear maps from V k correspond to linear
maps from k V. (One can also phrase the universality for
all k together in terms of homomorphisms of anticommu-
tative graded algebras.)
So far we have developed everything abstractly and alge-
braically. But there is a natural geometric picture of how k-
vectors in k V correspond to k-planes (k-dimensional lin-
ear subspaces) in V. More precisely, we should talk about
simple k-vectors here: those that can be written in the form
v1 vk . We will see that, for instance, e12 +e34 2 R4
is not simple.
A nonzero vector v V lies in a unique oriented 1-plane
(line) in V; two vectors represent the same oriented line if
and only if they are positive multiples of each other. Now
suppose we have vectors v1 , . . . , vk V. They are linearly
independent if and only if 0 , v1 vk k V. Two
linearly independent k-tuples (v1 , . . . , vk ) and (w1 , . . . , wk )
represent the same oriented k-plane if and only if the
wedge products v1 vk and w1 wk are pos-
itive multiples of each other, that is, if they lie in the same
ray in k V. (Indeed, the multiple here is the ratio of k-
areas of the parallelepipeds spanned by the two k-tuples,
given as the determinant of the change-of-basis matrix for
the k-plane.)
We let Gk (V) denote the set of oriented k-planes in V,
called the (oriented) Grassmannian. Then the set of simple
k-vectors in k V can be viewed as the cone over Gk (V). (If
we pick a norm on k V, say induced by an inner product
on V, then we can think of Gk (V) as the set of unit sim-
ple k-vectors, say those arising from an orthonormal basis
for some k-plane.)
(Often, especially in algebraic geometry, one prefers to
work with the unoriented Grassmannian Gk (V)/. It is
most naturally viewed as lying in the projective space
P(V) := V r {0} / R r {0} .



In algebraic geometry one typically also replaces R by C
If we give V an inner product, then any k-plane has a
unique orthogonal (m k)-plane. This induces an isomor-
norm-preserving isomorphism
? : k V mk V
called the Hodge star operator. (Recall
 that both these
m
spaces have the same dimension k .) If v is a simple k-
vector, then ?v is a simple (m k)-vector representing the
orthogonal complement. In particular, if {ei } is an oriented
orthonormal basis for V, then
? e1 ek = ek+1 em


and similarly each other vector in our standard basis for
k V maps to a basis vector for mk V, possibly with a
minus sign.
Classical vector calculus in three dimensions uses the
Hodge star implicitly: instead of talking about bivectors
and trivectors, we introduce the cross product and triple
21
 J.M. Sullivan, TU Berlin B: Differential Forms Diff Geom II, WS 2015/16

product: 1 V = V we set

v w := ?(v w), [u, v, w] := hu, v wi = ?(u v w). := .

But even physicists noticed that such vectors and scalars More generally, for k V and ` V we use an
transform differently (say under reflection) than ordinary alternating sum over all permutations k+` :
vectors and scalars, and thus refer to them as pseudovec-
tors and pseudoscalars. ( )(v1 , . . . , vk+` ) :=
For dim V = m, we can use these terms as follows: 1 X
(sgn ) (v1 , . . . , vk ) (v(k+1) , . . . , v(k+`) ).
k!`!
scalars are elements of R = 0 V,
vectors are elements of V = 1 V, The factor is chosen so that if {ei } is a basis for V and {i }
pseudovectors are elements of ?V = m1 V, and is the dual basis for 1 V = V then
pseudoscalars are elements of ?R = m V. := i1 ik
 i1 ik

Of course, these are in a sense the easy cases. For these k, is the basis of k V dual to the basis {ei1 ik } for k V.
any k-vector is simple. We can identify both G1 V and Putting these spaces together, we get an anticommutative
Gm1 V as the unit sphere in V = 1 V  m1 V. For graded algebra
2 k m 2 on the other hand, not all k-vectors are
m
simple, and Gk V has lower dimension than the unit sphere M
in k V. Indeed, it can be shown that the set of simple k- V := k V.
k=0
vectors (the cone over Gk V) is given as the solutions to a
certain set of quadratic equations
P called the Grassmann
 
Again the dimension of each summand is mk so the whole
Plcker relations. For instance ai j ei j 2 R4 is a simple algebra has dimension 2m .
2-vector if and only if
If L : V W is a linear map, then for each k we get an
a12 a34 a13 a24 + a14 a23 = 0. induced map L : k W k V defined naturally by

This shows that G2 R4 is a smooth 4-submanifold in the L (v1 , . . . , vk ) = (Lv1 , . . . , Lvk ).

unit sphere S5 2 R4 .
If we choose an inner product on V, then thinking about
how oriented orthonormal bases for a k-plane and its or-
thogonal complement fit together, we see
that we can iden-
tify Gk V = S O(m)/ S O(k) S O(m k) . In particular, it
is a smooth manifold of dimension k(m k).
B3. Differential forms
Many textbooks omit discussion of multivectors and con-
sider only the dual spaces. (This is presumably because the
abstract definition of tensor powers and then exterior pow-
ers as quotient spaces seems difficult.) Recall that vector
subspaces and quotient spaces are dual operations, in the
sense that if Y X is a subspace, then the dual (X/Y)
of the quotient can be naturally identified with a subspace
of X , namely with the annihilator Y o of X , consisting of
those linear functionals on X that vanish on Y:
(X/Y)  Y o X .
Using this, we find that
k V := (k V) V k

by
is the subspace of those k-linear maps V k R that are
alternating.
While it is easy to construct the wedge product on multi-
vectors as the image of the tensor product under the quo-
tient map, the dual wedge product on V requires con-
structing a map to the alternating subspace. For ,
Of course, we have introduced these ideas in order to apply
them to the tangent spaces T p M to a manifold m
m M . We get
dual bundles k T M and k T M of rank k .
Definition B3.1. A (differential) k-form on a manifold M m
is a (smooth) section of the bundle k T M. We write
k M = (k T M) for the space of all k-forms, which
is a module over C ML= 0 M. Similarly we write
M = ( T M) = k M for the exterior algebra
of M.
If k M is a k-form, then at each point p M the
value p k T p M is an alternating k-linear form on T p M
or equivalently a linear functional on k T p M. That is, for
any k vectors X1 , . . . , Xk T p M we can evaluate
p (X1 , . . . , Xk ) = (X1 Xk ) R.
In particular, p naturally takes values on (weighted) k-
planes in T p M; as we have mentioned, k-forms are the nat-
ural objects to integrate over k-dimensional submanifolds
in M.
If f : M m N n is a smooth map and k N is a k-form,
then we can pull back to get a k-form f on M defined
( f ) p (X1 , . . . , Xk ) = f (p) ((D p f )X1 , . . . , (D p f )Xk ).
(Of course this vanishes if k > m.) As a special case, if
f : M N is the embedding of a submanifold, then f =
| M is the restriction of to the submanifold M, in the
sense that we consider only the values of p (X1 , . . . , Xk )
for p M N and Xi T p M T p N.

22

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 J.M. Sullivan, TU Berlin B: Differential Forms Diff Geom II, WS 2015/16

Exercise B3.2. Pullback commutes with wedge product in Theorem B4.3. For any manifold M m , the differential map
the sense that d : 0 M 1 M has a unique R-linear extension to an
antiderivation d : M M satisfying d2 = d d = 0.
f ( ) = ( f ) ( f ) This antiderivation has degree 1 in the sense that it sends
k M to k+1 M; it is called the exterior derivative.
for f : M N and , N.
Proof. First suppose g, f i C M so that g d f 1 d f k
In a coordinate chart (U, ) we have discussed the coordi-
k M. The two conditions on d together automatically im-
nate bases {i } and {dxi } for T p M and T p M, respectively,
ply that
the pullbacks under of the standard bases on Rm . Simi-
larly, d g d f 1 d f k = dg d f 1 d f k k+1 M.


n o
dxi1 dxik : 1 i1 < < ik m In a coordinate chart (U, ) of course every k-form can
be expressed as a sum of terms of this form. The propo-
forms the standard coordinate basis for k-forms; any sition above shows we can work locally in such a chart.
k (M) (or more properly its restriction to U) can be ex- Thus we know the exterior derivative (if it exists) must be
pressed uniquely as given in coordinates by
X
|U = i1 ik dxi1 dxik
X
X XX
d I dxI = dI dxI = i I dxi dxI
i1 <<ik I I I i
XX
for some smooth functions i1 ik CP
U. To simplify = i I dx dx dxik .
i i1

notation, we often write this as |U = I I dxI in terms I i

of the multi-index I = (i1 , . . . , ik ).
B4. Exterior derivative
Zero-forms are of course just scalar fields, that is, smooth
functions. We have also already considered one-forms,
which are simply covector fields. In particular, given
f 0 M, its differential d f 1 M is a one-form with
d f (X) = X f for any vector field X. We now want to gener-
alize this to define for any k-form its exterior derivative,
a (k + 1)-form d.
Definition B4.1. An antiderivation on the graded alge-
bra ( M, ) is a linear map D : M M satisfy-
ing the following version of the Leibniz product rule for
k M and ` M:
D( ) = (D) + (1)k (D).
To remember the sign here, it can help to think of D as
behaving like a one-form when it moves past .
Proposition B4.2. Any antiderivation on M is a local
operator in the sense that if = on an open set U then
D = D on U.
Proof. By linearity it suffices to consider the case 0,
k M. Given any p U, we can find a function f
C M supported in U with f (p) = 1. Then f 0 on M
and it follows that
0 = D( f ) = (D f ) + f (D).
At p this gives 0 = D f 0 + 1(D) p = (D) p as desired.
 above gives f (dyi ) = d f i . Since pullback commutes with
End of Lecture 7 Dec 2015
(Note that terms here where i = i j will vanish; for the other
terms, reordering the factors in this last wedge product
to put i in increasing order with the i j s and thus obtain a
standard basis element will introduce signs.)
Now a straightforward calculation shows that the operator
d defined by this formula really is an antiderivation locally:
d (a dxI ) (b dx J )


= d(ab) dxI dx J = (da)b + a(db) dxI dx J


= (da dxI ) (b dx J ) + (1)k (a dxI ) (db dx J ),
where I = (i1 , . . . , ik ) is a k-index. Clearly this antideriva-
tion has degree 1 as claimed.
Now since d is determined uniquely, if we have overlap-
ping charts (U, ) and (V, ), then on U V we must get
the same result evaluating d in either chart. Finally, since
the exterior algebra operations + and are defined point-
wise, to check that d is an antiderivation and d2 = 0 it
suffices that we know these hold locally. 
Proposition B4.4. The pullback of forms under a map
f : M m N n commutes with the exterior derivative. That
is, for N we have d( f ) = f (d).
Proof. It suffices to work locally around a point p M.
Let (V, ) be coordinates around f (p). By linearity we can
assume = a dyi1 dyik in these coordinates. For
k = 0 we have = a C N. For any X p T p M we have
( f da)(X p ) = (da)( f X p ) = ( f X p )a
= X p ( f a) = (d f a)(X p ).
Note that if ( f 1 , . . . , f n ) = f is the coordinate expres-
sion of f (on some neighborhood of p) then the formula
wedge products, for k > 0 we then have
f = ( f a) d f i1 d f ik

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 J.M. Sullivan, TU Berlin B: Differential Forms Diff Geom II, WS 2015/16

and so An equivalent definition of orientation (analogous to that

of smooth structures) is through a coherently oriented atlas
d( f ) = d( f a) d f i1 d f ik for M. Here two charts (U, ) and (V, ) are coherently
= f (da) d f i1 d f ik oriented if the transition function 1 is an orientation-
preserving diffeomorphism of Rm .
= f da dyi1 dyik = f (d).



Suppose now M m is an oriented Riemannian manifold. At
any p M there is a unique p m T p M such that
The contraction of a form with a vector field (also known p (e1 , . . . , em ) = +1 for any oriented orthonormal basis
as interior multiplication) has a seemingly trivial defini- {e1 , . . . , em } for T p M. These fit together to give the Rie-
tion: if k M and X X(M) then X k1 is given mannian volume form m M. In terms of the Hodge
by star, we have = ?1.
X (X2 , . . . , Xk ) := (X, X2 , . . . , Xk ). Given an oriented coordinate chart (U, ) then at any p
U we have the coordinate basis {i } for T p M but can also
choose an oriented orthonormal basis {ek }. P
Then of course
First note that this is a purely pointwise operation, so we
for some matrix A = aki we have i = k aki ek . Since


could define it on k V for a single vector space even
hek , e` i = k` , we get
proving the next proposition at that level but we wont
bother. (It is the adjoint of the operator on k V given by  DX k X ` E X k k
gi j = i , j = ai ek , a j , e` = ai a j .

left multiplication by X.)

Next note that for a 1-form, X () = (X) 0 M. For a
0-form f 0 M = C M we set X f = 0.
Proposition B4.5. For any X, the operation X is an an-
tiderivation on M of degree 1 whose square is zero.
Proof. It is clear that X X = 0 since
X X (. . .) = (X, X, . . .) = 0.
k
As a matrix equation, we can write gi j = AT A, which


implies det(gi j ) = (det A)2 . Since both bases are positively
oriented, we know det A > 0, so det A = + det g. (Note
p
that while abbreviating det(gi j ) as det g is common, it un-
fortunately hides the fact that this is an expression in par-
ticular coordinates.)
Now we compute

p (1 , . . . , m ) = (det A) p (e1 , . . . , em ) = det A = det g.

p
The antiderivation property is
Equivalently, we have the coordinate expression
X ( ) = (X ) + (1)k (X )
= det g dx1 dxm .
p
for k M; we leave the proof as an exercise. 
On an oriented Riemannian manifold (M m , g), any m-form
We will later discuss Cartans Magic Formula, relating this
is a multiple = f = ? f of the volume form , with
contraction to exterior and Lie derivatives.
f C M.

B5. Volume forms and orientation

B6. Integration

An orientation on an m-dimensional vector space V is a

choice of component of m V r {0}  R r {0}, that is a
choice of a nonzero m-form in m V (up to positive
real multiples). If V is oriented by , then an ordered ba-
sis {e1 , . . . , em } for V is said to be positively oriented if
(e1 , . . . , em ) > 0. Often an orientation on V is defined
through such a basis (to avoid the machinery of the exte-
rior algebra).
A volume form on a manifold M is a nowhere vanishing
m-form m M. We say M is orientable if it admits a
volume form. (The Mbius strip and the Klein bottle are
examples of nonorientable 2-manifolds.) An orientation
of M is a choice of volume form, up to pointwise multipli-
cation by positive smooth functions > 0 C M. This
is the same as a continuous choice of orientations of the
tangent spaces T p M. A connected orientable manifold has
exactly two orientations.
The standard orientation on Rm is given by dx1 dxm ,
so that {e1 , . . . , em } is an oriented basis for each T p M.
We will base our integration theory on the Riemann inte-
gral. Recall that given an arbitrary real-valued function f
on a box B = [a1 , b1 ] [am , bm ] Rm we define up-
per and lower Riemann sums over arbitrary partitions into
small boxes the function f is Riemann integrable if these
have the same limiting value, which we call
Z
f dx1 dxm .
B
Recall also that A Rm has (Lebesgue) measure zero if
for each > 0 there is a covering of A by countably many
boxes of total volume less than . The image of a set of
measure zero under a diffeomorphism (or indeed under any
locally Lipschitz map) again has measure zero. Thus we
can also speak of subsets of measure zero in a manifold M.
Given a function f : D R with D Rm , we define its
extension by zero f : Rm R by setting f = f on D
and f = 0 elsewhere. Lebesgue proved the following: A

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 J.M. Sullivan, TU Berlin B: Differential Forms Diff Geom II, WS 2015/16

bounded function f : D R defined on a bounded do- First consider a single (oriented) chart (U, ) and assume
main D Rm is Riemann integrable if and only if f is m c U. Then we define
continuous almost everywhere, meaning that its set of dis- Z Z
continuities has measure zero. := 1 .


(U)
For instance, the characteristic function D is Riemann in- U

tegrable if D is bounded and its boundary D has measure We claim this is independent of : if (U, ) is another ori-
zero. Then we call D a domain of integration. ented chart, then using the diffeomorphism 1 we find
Because a continuous function f on a compact set is Z Z Z
bounded, we find: If U Rm is open and f : U R 1 = 1 1 = 1 .





has compact support in U, then f is Riemann integrable. (U) (U) (U)

We write kc M k M for the subspace of k-forms with In general, we choose a partition of unity { f } subordinate
compact support. (If M is compact, then of course kc = to an oriented atlas (U , ) . For any m c M, note
k .) that = f is a finite sum and each summand has
P
compact support in the respective U . We define
Definition B6.1. If m c U is an m-form with compact
support in U Rm then of course we can write uniquely
Z XZ
:= f .
= f dx1 dxm . We define M U

Z Z Z
We just need to check this is independent of the choice of
= f dx1 dxm := f dx1 dxm .
U U U atlas and partition of unity.
So suppose {g } is a partition
of unity subordinate to an-
Note that we use the standard basis element for m Rm other oriented atlas (V , ) . Then we have
dx1 =
R
2
here.
R Otherwise we have for instance f dx XZ XZ X
f dx1 dx2 . f = f g
U U
Lemma B6.2. If : U V is a diffeomorphism of con- XXZ XXZ
nected open sets in Rm and an m-form with compact = f g = f g .
support in V, then U U V

Z Z But byPsymmetry, we see that the last expression also

= , equals V g , as desired.
R
U V

Note: If M denotesRthe manifold R M with opposite orien-

where the sign depends on whether is orientation- tation, then we have M = M
preserving or not.
Note: for m = 0, a compact oriented 0-manifold is aPfinite
collection of points with signs 1: we write M = pi
Proof. Use xi for the standard coordinates on U and y j for P
q j . (Here we cannot use charts to test orientation.) The
those on V. Then = f dy1 dym for some func-
tion f . Writing i = yi , the Jacobian matrix of is
integral of P
a zero-formP(function) f : M R is defined to
be M f = i f (pi ) j f (q j ).
R
J := (i /x j ). We have di = dyi and so
We have developed this theory for smooth forms, partly
d1 dm = det J dx1 dxm . just because we have no notation for possibly discontin-
uous sections of m T M. As long as is bounded, van-
Thus ishes outside some compact set and is continuous almost
everywhere, we can R repeat the calculations above with no
changes to define M .
Z Z
= ( f ) d1 dm (1)
U U
Z End of Lecture 14 Dec 2015
= ( f ) det J dx1 dxm . (2) On an oriented Riemannian manifold M (or any manifold
U
with a specified volume form ), we define the volume
On the other hand, the standard change-of-variabes for- integral of a function f C M as
mula says Z Z Z
Z Z Z f d vol := f = ? f.
M M M
= f dy dy =
1 m
( f ) | det J| dx1 dxm .
V V U Note that if we switch orientation, the volume form on M
Since U is connected, det J has a constant sign, depending Ris , so the volume integral is independent of orientation:
=
R
f d vol f d vol.
on whether is orientation-preserving.  M M
For a domain D M (compact with boundary of measure
zero) we define its volume to be
Now suppose M m is an oriented manifold, and m
c M Z Z Z
is
R a compactly supported m-form. Then we will define
R. vol D := 1 d vol = := D 0.
M D D M

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 J.M. Sullivan, TU Berlin B: Differential Forms Diff Geom II, WS 2015/16

The volume of the manifold is vol(M) := M 1 d vol =

R
These special cases are of course normally formulated not
. This works directly if M is compact; for a non-
R
with differential forms and the exterior derivative, but with
M
compact manifold we can take a limit over an appropriate gradients of functions, and divergence and curl of vector
compact exhaustion and reach either a finite value or +. fields. More precisely, on any Riemannian manifold, we
use the inner product to identify T p M and T p M and thus
vector fields with one-forms. The gradient f of a function
B7. Manifolds with boundary f C M is the vector field corresponding in this way to
d f . In particular, for any vector field X, we have

Suppose M m is an manifold with boundary; its boundary g( f, X) = h f, Xi = d f (X) = X f.

M is an (m 1)-manifold. At p M M we see
that T p M T p M is a hyperplane, cutting T p M into two On R3 we further use the Hodge star to identify vectors
parts, consisting of the inward- and outward-pointing vec- with pseudovectors and thus one-forms with two-forms,
tors at p. and to identify scalars with pseudoscalars and thus zero-
forms with three-forms. Then div, grad and curl are all
An orientation on M induces an orientation on M as fol- just the exterior derivative. Explicitly, we identify both the
lows. Suppose (v, v1 , . . . , vm1 ) is an oriented basis for one-form p dx + q dy + r dz and the two-form p dy dz +
T p M, where v is outward-pointing and vi T p M. Then q dz dx + r dx dy with the vector field p x + qy + rz ,
(v1 , . . . , vm1 ) is by definition an oriented basis for T p M. and the three-form f dxdydz with the function f . Then
(There are four obvious possible conventions here either d : 0 1 is the gradient as above, d : 1 2 is the
and inward- or outward-pointing vector could be put either curl, and d : 2 3 is the divergence.
before or after the basis for T p M. Our convention works
best for Stokes Theorem. Our version of Stokes theorem is (as mentioned above)
certainly not the most general. For instance, we could eas-
Equivalently, suppose the orientation of M is given by a ily allow manifolds with corners, like compact domains
volume form , and we pick a vector field X X(M) with piecewise smooth boundaries. (It should be clear that
which is outward-pointing along M. Then the contraction the divergence theorem in R3 is valid for a cube as well as
X () restricted to M is a volume form on the boundary a sphere.)
which defines its orientation.
Theorem B8.2 (Stokes). Suppose M m is an oriented man-
ifold with boundary and is an (m 1)-form on M with
B8. Stokes Theorem compact support. Then
Z Z
d = .
Suppose M m is an oriented manifold with boundary and M M
is an (m 1)-form Rwith compact support on M. Stokes
Theorem then says M d = M . We see d2 = 0 is dual
R
Proof. Both sides are linear and integrals are defined via
to the condition that (M) = : partitions of unity. In particular
Z Z Z X  X  X X
0= d =
2
d = = 0. d = d( f ) = d f + f d = f d,
M M M
we see that it suffices to consider the case when is
Stokes Theorem is quite fundamental, and can be used
compactly supported inside one oriented coordinate chart
for instance to define d for nonsmooth forms, or M for
(U, ). We may also assume that (U) = Rm or (U) =
generalized surfaces M.
H m , depending on whether U is disjoint from M or not.
Remark B8.1. Of course in M , the integrand is really
R
Since the statement of the theorem is invariant under pull-
the restriction or pullback |M = i of to M. This is back by a diffeomorphism, we have shown it suffices to
now a top-dimensional form on the (m 1)-manifold M. consider the cases (a) M = Rm and (b) M = H m .
When M is a manifold without boundary (M = ) of After scaling, we can assume that is compactly sup-
course Stokes Theorem reduces to M d = 0. It turns out
R
ported within the cube (a) Q := (1, 0)m or (b) Q :=
that on a connected orientable closed manifold M m , anR m- (1, 0] (1, 0)m1 . In either case, we write
form can be written as d for some if and only if M m
X
vanishes; we will return to such questions after proving the = (1) j1 j dx1 dx
cj dxm
theorem. j=1
Stokes himself would probably not recognize this gener-
alized version of his theorem. The modern formulation in with supp j Q, so that
terms of differential forms is due mainly to lie Cartan. X j
The classical cases are those in low dimensions. For M an d = dx1 dxm ,
interval (m = 1), we just have the fundamental theorem x j
of calculus; for a domain in R2 , we have Greens theorem; meaning that
for a domain in R3 , we have Gausss divergence theorem;
and for a surface with boundary in R3 we have the theorem
Z X Z j
d = dx1 dxm .
Q x
attributed to Stokes. j
M

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 J.M. Sullivan, TU Berlin B: Differential Forms Diff Geom II, WS 2015/16

Now for each j we have Theorem B9.2. If M m is an orientable closed manifold

with n components, then H 0 (M)  Rn .
j j j  1
Z Z 0 Z 0 Z 0
= cj dxm .
dx dx dx
Q x 1 x Proof. Note that B0 = 0 so H 0 = Z 0 , which is the space
j j
1 1
of functions with vanishing differential. But these are just
By the fundamental theorem of calculus, the inner inte-
the locally constant functions, so it is clear this space is
gral in parentheses equals j (. . . , 0, . . .) j (. . . , 1, . . .).
n-dimensional. 
Since has compact support in Q, this vanishes for j > 1.
R (a) it vanishes even for j = 1, completing the proof
In case For orientable closed manifolds M m , Poincar duality (re-
that M d = 0. lated to the Hodge star operation) gives a connection be-
In case (b) we have obtained tween co/homology in complementary dimensions. As
Z Z 0 Z 0 an example, if such a manifold has n components, then
d = 1 (0, x2 , . . . , xm ) dx2 dxm . H m (M)  Rn . We prove the dimension is at least this big.
Hm 1 1
Theorem B9.3. If M m is an orientable closed manifold
Now consider the restriction of to H m , the pullback with n components, then H m (M) has dimension at least n.
under the inclusion map i. Since i dx1 = 0 we immediately
get Proof. Denote the
R components by Mi . By Stokes, inte-
i = dx dx .
1 2 m gration 7 M over each component gives a map
i
R m = Z m R vanishing on Bm , and thus a map H m R;
Comparing this to the formula for M d shows we are together these give a map to Rn . Choosing a Riemannian
done.  metric on Mi , its volume form has positive integral; these
n forms show that our map H m Rn is surjective. 

B9. De Rham cohomology

B10. Lie derivatives
Definition B9.1. We say a k-form on M is closed if m

d = 0; we say is exact if there is a (k 1)-form such
that d = . For clarity, write dk := d|k : k k+1 .
We write Bk (M) for the space of exact forms and Z k (M)
for the space of closed forms. That is, Z k = ker dk and
Bk = Im dk1 .
Since by definition d2 = 0, it is clear that exact forms are
closed. (Algebraically, we have Bk Z k k .) An in-
teresting question is to what extent the converse fails to be
Earlier we defined the Lie derivative of a vector field Y
with respect to a vector field X. This is a derivative along
the integral curves of X, where we use (pushforwards un-
der) the flow t of X to move vectors of Y between different
points along these curves.
The Lie derivative of a differential k-form is defined in
the same way, except that the pushforward under t is
replaced by a pullback under t . That is, we define:
true. The answer is measured by the de Rham cohomology d

d

LX p :=  t t (p) =  (t ) p .


H k (M) := Z k /Bk , the quotient vector space (over R). A dt t=0 dt t=0
typical element is the equivalence class [] = { + d} of
a closed k-form . Note that this is again a k-form. In the particular case of
If we consider all degrees k together, we set k = 0 where = f C M we can ignore the pullback
LX f is simply the derivative of f along the integral curve,
Z := Z 0 Z m = ker d, B := B0 Bm = Im d. that is, LX f = X f .
Defining Proposition B10.1. The Lie derivative LX on forms satis-
fies the following properties:
H := Z/B = H 0 H m
1. it is a derivation on M, that is, an R-linear map
we find this cohomology ring is not just a vector space but satisfying
indeed an algebra under the wedge product. To check the
details, start by noting that if 0 is closed, then LX ( ) = (LX ) + (LX );
( + d) 0 = 0 + d( 0 ). 2. it commutes with the exterior derivative, that is,

An important theorem in the topology of manifolds says LX (d) = d(LX );

that this cohomology agrees with other standard defini-
tions, in particular that it is dual to singular homology. 3. it satisfies the product formula for a k-form
(This is defined via cycles of simplices modulo boundaries, applied to k vector fields Yi X(M) we have
and can be thought of as counting loops or handles in di-
LX (Y1 , . . . , Yk )


mension k.) The key here is Stokes Theorem: a closed
form integrates to zero over any boundary, so closed forms k
X
= (LX )(Y1 , . . . , Yk ) + Y1 , . . . , LX Yi , . . . , Yk .


can be integrated over homology classes. Furthermore an
exact form integrates to zero over any cycle. i=1

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 J.M. Sullivan, TU Berlin B: Differential Forms Diff Geom II, WS 2015/16

Proof. 1. This follows directly from the fact that pull- Proof. We know that LX is a derivation commuting with d.
back commutes with wedge product and from the Since d2 = 0, it is easy to check the right-hand side also
product rule for d/dt: commutes with d. Furthermore it is a derivation: for
 k M we get
d
LX ( ) p =  ( ) p



dt t=0 t dX ( ) + X d( )

d 
=  (t ) p (t ) p = d((X ) ) + (1)k d( X )
dt t=0
 !  ! + X ((d) ) + (1)k X ( d)
d  d 
= ( ) p p + p

( ) p

= (dX ) + (1)k (X ) (d) +
dt t=0 t dt t=0 t
 
= (dX ) + (X d) + (dX ) + (X d).
= (L x ) p p + p (LX ) p .
Thus if the formula holds for and , it also holds for
2. This follows from the fact that d is linear and com- and for d. By linearity and locality, this means it is
mutes with pullback: enough to check it for 0-forms:
 
d d (dX + X d) f = X d f = (d f )(X) = X f = LX f.
LX d =  t d =  dt 
dt t=0 dt t=0
 d   Proposition B10.3. Suppose X and Y are vector fields on
=d  = dLX .
M m and is a 1-form. Then
dt t=0 t

3. The proof follows (as for the product rule for d/dt) d(X, Y) = X(Y) Y(X) ([X, Y]).
from a clever splitting of one difference quotient into
two or more. We will write out the proof only for Proof. We use Cartans Magic Formula and the product
k = 1, considering (Y). We find rule for LX :

d(X, Y) = (X d)(Y)
 
LX (Y) p = lim 1t t p Yt p p (Y p )



t0

 = (LX )(Y) (dX )(Y)
= lim 1t t p Yt p p t Yt p


= X (Y) [X, Y] d (X) (Y)




t0
= X (Y) [X, Y] Y (X) .





 
+ lim 1t p t Yt p p (Y p ) .


t0

Note that by linearity and locality it suffices to con-

Here the second limit clearly gives
sider = f dg. So an alternate proof simply computes
 d   each term for this case, getting for instance X(Y) =
p  t Yt p = p LX Y . X( f dg(Y)) = X( f Yg) = (X f )(Yg) + f XYg.


dt t=0
Theorem B10.4. Suppose k (M m ) is a k-form and
For the first limit, we can rewrite the first term as

 X0 , . . . , Xk X(M) are k + 1 vector fields. Then
t t p t Yt p , so that both terms are applied to
the same vector. The limit becomes (d)(X0 , . . . , Xk )
t (t p ) p
X
lim t Yt p ,

= (1)i Xi (X0 , . . . , X
bi , . . . , Xk )

t0 t 0ik
X
where the form clearly limits to (LX ) p and the vec- + (1)i+ j [Xi , X j ], X0 , . . . , X
bi , . . . , Xbj , . . . , Xk )
.
tor to Y p . 0i< jk


Note that the case k = 0 is simply d f (X) = X f , and the
case k = 1 is the last proposition. The general proof by
End of Lecture 4 Jan 2016 induction on k is left as an exercise; the hint is to use Car-
tans magic formula as in the proof of the proposition to
Since the Lie derivatives of functions and vector fields are write
known, we can rewrite the product formula as a formula
for LX as follows:
(d)(X0 , . . . , Xk )
(LX )(Y1 , . . . , Yk ) = (LX0 )(X1 , . . . , Xk ) (dX0 )(X1 , . . . , Xk ).
k

X
= X (Y1 , . . . , Yk ) Y1 , . . . , [X, Yi ], . . . , Yk .


i=1

Proposition B10.2 (Cartans magic formula). For any

vector field X we have LX = dX + X d.

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 J.M. Sullivan, TU Berlin C: Riemannian geometry Diff Geom II, WS 2015/16

C. RIEMANNIAN GEOMETRY Example C1.2. Consider the round sphere S2 R3 and

To take derivatives of a vector field along a curve requires
comparing tangent spaces at different points. The Lie
derivative uses diffeomorphisms to do this, which is not
entirely satisfactory since we need not just a curve but a
whole vector field.
Another approach is through connections or covariant
derivatives. In particular, there is a natural connection on
any Riemannian manifold, which is the starting point for
studying its geometry.
let (t) := (cos t, sin t, 0) be the equator parametrized by
arclength. Consider the vector field X along given by the
tangent vector
X(t) := 0 (t) = ( sin t, cos t, 0).
Since dX/dt = 00 (t) = (t) is normal to S2 , we find
DX/dt 0.
In general, a parametrized curve on M is called a
geodesic if its velocity vector field X = satisfies DX/dt
0. On the sphere, the geodesics are exactly the great circles
parametrized at constant speed.

C1. Submanifolds in Euclidean space Now we want to work out coordinate expressions for the
covariant derivative. So let (U, ) be a coordinate chart
for M m Rn and write V := (U) Rm . Write {ui :
Suppose M m Rn is a submanifold. A map X : M T Rn , i = 1, . . . , m} for the coordinates on Rm . Because M is
p 7 X p T p Rn is called an Rn -valued vector field along embedded in Rn , we can also write the inverse map
M. Of course T p Rn  Rn , so we can identify X with a
function X : M Rn . 1 =: = (1 , . . . , n ) : V U M Rn
But T p Rn also has an orthogonal decomposition (with re-
spect to the standard Euclidean inner product) into spaces explicitly in coordinates. (Here we use {x : = 1, . . . , n}
tangent and normal to M: for the coordinates on Rn and have = x .) The
standard coordinate frame for T U is of course given by
T p Rn = T p M N p M.   X
i = = .
We let k and denote the orthogonal projections onto ui
ui x
these subspaces, so that X p = k X p + X p .
Now if : [a, b] M is a curve (embedded) in M, then A curve in M will be given in coordinates as
we have the function X : [a, b] Rn and can take its
(t) = u1 (t), . . . , um (t)


derivative. We can view this derivative as an Rn -valued
function on the 1-submanifold M Rn instead of on
[a, b] (technically we compose with 1 ). Again such a for some real-valued functions ui (t).
map to Rn can be identified with an Rn -valued vector field A vector field Y (tangent to M) along can be expressed
along (viewing its value at each point p as lying in T p Rn ). in the coordinate basis as
We call this vector field the derivative dX/dt of X along . X
Y(t) = Y(t) = bi (t)i
Both the original field X and its derivative dX/dt can be
i
decomposed (via k and ) into parts tangent and normal
to M. These decompositions are not in any definite rela- for some real-valued functions bi (t). Its derivative and co-
tion to each other. Consider for instance vector fields along variant derivative along are then
a surface in R3 as we studied last semester. The deriva-
tives of the unit normal vector field are tangent vectors; the dY X dbi di
derivatives of tangent vector fields will usually have both = i + bi ,
dt i
dt dt
tangent and normal components.
DY X dbi Di
Definition C1.1. Suppose X is a smooth vector field on = i + bi .
dt dt dt
M m Rn and is a curve in M. Then the vector field i

DX  dX  To compute the covariant derivative Di /dt of the coordi-

:= k nate basis vectors, we recall that a time derivative along
dt dt
is a directional derivative in direction , so we get
along , which is tangent to M, is called the covariant  d X  X X 2 du j  
derivative of X along . Di
= k = k .
dt dt ui x j
u j ui dt x
Note that we only need X to be defined along . Note also
that we could apply this definition to any Rn -valued field Here the /x are the standard basis vectors in Rn . Their
X, but there is little reason to do so our goal is to focus on tangent parts can of course be expressed in the coordinate
the geometry of M. Indeed, we will see that this covariant basis:
derivative can be defined in a way depending only on the   X
Riemannian metric on M and independent of the particular k = ck k
embedding M Rn . x k

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 J.M. Sullivan, TU Berlin C: Riemannian geometry Diff Geom II, WS 2015/16

for some smooth functions ck C (U). it is C -linear in X:

We now define the so-called Christoffel symbols
f X Y = f X Y;
X 2
kij := ck ,
j ui
it satisfies a product rule in Y:

u
X ( f Y) = (X f )Y + f X Y;
noting the symmetry kij = kji . We have kij C (U) for
1 i, j, k m. it is symmetric in the following sense:
Using these, the expression above for the covariant deriva-
X Y Y X = [X, Y] = LX Y;
tive of i becomes
it is compatible with the Riemannian metric:
Di X k du j
= i j k .
dt dt X Y, Y 0 = X Y, Y 0 + Y, X Y 0 .




j,k

We can consider in particular the covariant derivative along The first two properties are easily verified. The symmetry
a u j -coordinate curve, where u j = t and each other ui is is equivalent to the fact that kij = kji . The metric property
constant. We write this as is left as an exercise.
Di X k
= i j k .
u j k C2. Connections

That is, the Christoffel symbol kij is the k component of

Let us now move to a very general situation. Suppose E is
the covariant derivative of i in direction j .
a vector bundle over a manifold M. A connection on E
We can now return to the general case of the covariant allows us to take covariant derivatives of sections of E.
derivative of Y along ; our formula becomes These are directional derivatives in the direction of some
vector field X X(M) and are again sections of the same
DY X dbk X k i du j  bundle E. That is, given a section (E), its covariant
= + i j b k .
dt k
dt i, j
dt derivative (with respect to ) in direction X is the section
X (E). The formal definition is as follows:
Note here that we dont see the coordinates in Rn at all; the
vector field Y and curve on M are expressed in the stan- Definition C2.1. Given a vector bundle E M, a con-
dard instrinsic ways in the coordinate chart (U, ). The em- nection on E is a bilinear map : X(M) (E) (E),
bedding of M Rn enters only in the computation of the written (X, ) 7 X , which is C (M)-linear in X and
Christoffel symbols kij , and our goal is to show these re- satisfies a product rule for :
ally only depend on the Riemannian metric induced on M
by the embedding. f X = f X , X ( f ) = (X f ) + f X .
Now suppose Y = bk k is a vector field defined on all We call X the covariant derivative of .
P
of M (rather than just along ) its components bk are
now functions on U. We note that the covariant derivative Note that the tensoriality (C M-linearity) implies that the
DY/dt at a point p = (t0 ) doesnt depend on the whole dependence on X is pointwise: X ) p depends only on
curve but only on its velocity vector X p := P (t0 ) there. X p and can be written as X p . This covariant deriva-
In particular, if we set a j := du j /dt then X p = a j j , and tive of course depends on more than just p , but as for the
the time derivative dbk /dt appearing in the formula is the other derivatives we have studied, the product rule means
directional derivative X p (bk ). that the definition is local: if and have the same germ
To emphasize this viewpoint, we introduce new notation at p (that is, agree in some open neighborhood U) then
and write this covariant derivative of Y at p in the direction X p = X p . The trick is again to pick a bump function
X p as X p Y. If X and Y are vector fields on M, we write f supported within U with f 1 on some smaller neigh-
X Y for the vector field whose value at p is X p Y. The borhood of p, so then f = f . We calculate
formulas above mean that if X = a j j and Y = bk k
P P
X p = 1X p + 0 p = f (p)X p + (X p f ) p = X p ( f )
in some coordinate chart, then
X X  with the same for . Indeed, it suffices that and agree
X Y = a j ( j bk ) + kij bi a j k . locally along some curve with (0) = X p ; this can per-
j,k i
haps most easily be seen in coordinates as below.
We have thus defined a connection, meaning an operation There are many other ways to rephrase this definition, for
instance in terms of sections of various induced bundles.
: X(M) X(M) X(M), : (X, Y) 7 X Y. For any fixed , we can consider as a map taking a
vector field X to the section X . But the pointwise de-
This is clearly bilinear (over R) and we claim it satisfies pendence on X means that this acts pointwise as a linear
the following four properties: map T p M E p . That is, can be viewed as a section

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 J.M. Sullivan, TU Berlin C: Riemannian geometry
of the bundle L(T M, E) = E T M; such a section can be
called a vector-valued one-form. In this picture, the con-
nection is a map from (E) to (E T M). While this
is the approach taken in many books, we will stick to our
more down-to-earth approach.
End of Lecture 11 Jan 2016
We have already seen one example of a connection: the
one on T M induced by an embedding M Rn , which
satisfied not only the properties in this definition but also
two further properties. As in that case, any connection can
be expressed in coordinates via Christoffel symbols.
Suppose U is a coordinate neighborhood for M and a triv-
ializing neighborhood for E, with {i : 1 i dim M} the
coordinate frame for T M and {ea : 1 a rk E} a frame
for E. Then a connection is expressed in coordinates
bia defined by Pi ea = b bia eb , so
P
the Christoffel symbols P
that in general for X = vi i and = a ea we have
X  X 
X = vi i b + bia a eb .
i,b a all X we have X g = 0.
Any collection of smooth functions bia describes a connec-
tion.
Any connection induces a notion of parallel transport
along a curve. If is a curve (from p to q) in M, then
a section of E (defined at least on more formally a
section of E) is said to be parallel along (with respect
to the connection ) if (t) 0 along . This corre-
sponds to a first-order ODE , which has a unique solution
given any initial value. That is, given any p E p , there is
a unique extension to a parallel section along . In par-
ticular, looking at its value q at the endpoint q, we get a
linear map P : E p Eq called parallel transport along
(w.r.t. ).
If is a closed curve a loop based at p then we call
P : E p E p the holonomy of around . Note that
this need not be the identity; instead it demonstrates the
curvature of the connection .
The tangent space to E at each point has a natural vertical
subspace of dimension k at each point: the tangent space to
the fiber E p or equivalently the kernel of the differential of
the projection E M. Another way to view a connection
is as a choice of a complementary horizontal subspace of
dimension m. A section is parallel along if D() lies
in these horizontal subspaces.
C3. The Levi-Civita Connection
Specializing to the case of connections on the tangent bun-
dle E = T M, we can compare X Y and Y X. It is too much
to hope that these are the same for any vector fields X and
Y the behavior when we replace X by f X is different. But
this kind of effect is captured also in the Lie bracket of the
vector fields. We define the torsion of the connection as
T (X, Y) := X Y Y X [X, Y]. This expression is C M-
linear in each of its arguments. The connection is said
to be symmetric or torsion-free if T (X, Y) = 0 for all X and
Y, that is, if X Y Y X = [X, Y]. (This is of course one
AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30
Diff Geom II, WS 2015/16
of the properties we observed for the connection induced
from an embedding M Rn .) In terms of Christoffel sym-
bols in a coordinate basis (where [i , j ] = 0), we find that
is torsion-free if and only if kij = kji .
On a Riemannian manifold (M, g) we can also ask whether
a connection on T M is compatible with the metric. A
metric connection is one satisfying
X Y, Z = X Y, Z + Y, X Z .
One interpretation of this equation is as saying that the
metric tensor g is parallel with respect to . Just as we
saw for the Lie derivative, a connection on one bundle nat-
urally induces connections on the dual bundle and its ten-
sor powers such that product rules hold. In particular, we
by could define the covariant derivative X g via
X g(Y, Z) = (X g)(Y, Z) + g(X Y, Z) + g(Y, X Z).


Then clearly is a metric connection if and only if for
We will now show that any Riemannian manifold has a
unique torsion-free metric connection ; this is called the
Levi-Civita connection. Note that we have already con-
structed such a connection on any manifold M Rn em-
bedded in Euclidean space. We give a proof due to Koszul,
using the fact that a vector field X Y on a Riemannian
manifold is specified by its inner products with arbitrary
vector fields Z.
Theorem C3.1. Any Riemannian manifold (M, g) has
a unique Levi-Civita connection, characterized by the
Koszul formula
2g(X Y, Z) = X g(Y, Z) + Y g(X, Z) Z g(X, Y)




+ g [X, Y], Z g [X, Z], Y g [Y, Z], X .




Proof. Because the metric is fixed, we write g(, ) as h, i.
The uniqueness amounts to checking that any Levi-Civita
connection does satisfy the Koszul formula. We use the
metric property to expand each of the first three terms; the
first (for instance) becomes hX Y, Zi + hX Z, Yi. We use
the symmetry to expand each of the last three terms; the
first (for instance) becomes hX Y, Zi hY X, Zi. Adding
everything we find that most terms cancel out; we are left
with 2 hX Y, Zi.
It remains to show that the formula does define a Levi-
Civita connection. First, we claim that the right-hand side
is tensorial (meaning C M-linear) in Z:
X Y, f Z + Y X, f Z f Z X, Y
+ [X, Y], f Z [X, f Z], Y [Y, f Z], X
= (X f ) Y, Z + f X Y, Z + (Y f ) X, Z + f Y X, Z
f Z X, Y + f [X, Y], Z
f [X, Z], Y (X f ) Z, Y
f [Y, Z], X (Y f ) Z, X

= f X Y, Z + Y X, Z Z X, Y

+ [X, Y], Z [X, Z], Y [Y, Z], X
31
 J.M. Sullivan, TU Berlin C: Riemannian geometry Diff Geom II, WS 2015/16

This means for any fixed X and Y, the right hand side along , meaning X Y = 0 = X Z. Then the metric con-
is (Z) for some one-form . But using the metric g, dition implies
this one-form equivalent to a vector field W defined by
X Y, Z = X Y, Z + Y, X Z = 0,




2g(W, Z) = (Z).
This construction : (X, Y) 7 W is clearly bilinear in X that is, Y, Z is constant along . In particular, the length


and Y. The facts that it is tensorial in X and satisfies the of any parallel field is constant, as is the angle between two
product rule in Y are verified by calculuations similar to parallel fields.
the one above. The the Koszul formula defines a connec-
tion . What remains to show is that it is symmetric and It follows that parallel fields along with respect to two
compatible with g. different metric connections will thus differ from one an-
other by some rotation the torsion-free Levi-Civita con-
To check the symmetry, note that the right-hand side of nection is in some sense the one for which parallel fields
the Koszul

formula
 is symmetric in X and Y except for the rotate the least.
term [X, Y], Z . Thus
End of Lecture 18 Jan 2016
2 X Y, Z 2 Y X, Z = [X, Y], Z [Y, X], Z





The metric condition means parallel transport P : T p M
= 2 [X, Y], Z .


T q M is an orthogonal transformation between these inner
product spaces; the holonomy around any loop based at
Since this holds for all Z, we conclude the connection is p is an element of O(T p M). (If M is orientable, then the
torsion-free: X Y Y X = [X, Y]. holonomy actually lives in S O(T p M). On an oriented sur-
To check the metric property, note that the right-hand

side face, for instance, the holonomy around any loop is rota-
tion by some angle .) Note that it is easy to extend the no-

is antisymmetric in Y and Z except for the term X Y, Z .
Thus tion of parallel transport to the case of a piecewise smooth
curve , simply by transporting along each smooth piece
2 X Y, Z + 2 Y, X Z = 2X Y, Z




in order.
Consider the example of the round sphere S2 R3 . Look
as desired. 
at a right-angled triangle; at a lune of angle ; at a general
Now we want to consider what the Levi-Civita connection triangle. In each case we find the holonomy is 2 minus the
looks like in coordinates. We know the Christoffel symbols sum of the exterior angles, which also equals the enclosed
for a torsion-free connection will be symmetric: kij = kji . area.
In terms of the components gi j := g(i , j ) of the metric These are special cases of the GaussBonnet theorem: for
tensor, we can express the metric property of as follows: any disk D on any surface, the holonomy around D is
Z
k gi j = k g(i , j ) 2 TC(D) = K dA.
= g k i , j + g i , k j D



On the sphere we have K 1 so the right-hand side is just
X
= `ki g` j + `k j g`i .
`
the area.
The Gauss curvature at a point p on a surface can be mea-
We can express this more simply in terms of another form sured by measuring the holonomy angle around a small
of Christoffel symbols. If we define loop based at p and dividing by the area of the loop.
X
i jk := `i j gk` = g i j , k ,


`
C5. Riemannian curvature
then we get k gi j = ki j + k ji . Using the symmetry i jk =
jik , we can solve this system to give The idea of Riemannian curvature is that given a two-plane
in T p M, the holonomy around an infinitesimal loop in this
2i jk = i g jk + j gik k gi j . plane will give an infinitesimal rotation of T p M. The two-
plane is specified by a two-vector, and the infinitesimal ro-
Writing gk` for the matrix inverse of gi j , we have



tation is given by an operator on T p M saying in which di-
X X gk`   rection each vector moves.
kij = gk` i j` = i g j` + j gi` ` gi j . So suppose we have vector fields X and Y near p M. We
` `
2
consider parallel transport for time s along X followed by
time t along Y, and compare this with going the other way
around. Of course if [X, Y] , 0 this isnt even a closed
C4. Parallel transport and holonomy loop, but lets assume [X, Y] = 0. Then the holonomy
around this loop will be approximately st times what we
Suppose is any metric connection on a Riemannian man- call the curvature R(X, Y).
ifold M, and is a smooth curve from p to q in M with In general, of course we need to correct by [X, Y]. Re-
velocity vector X = . Suppose Y and Z are parallel fields call that this Lie bracket is the commutator of directional

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 J.M. Sullivan, TU Berlin C: Riemannian geometry
derivatives:
0 = X(Y f ) Y(X f ) [X, Y] f.
This inspires the definition of the Riemannian curvature
operator



R(X, Y)Z := X Y Z Y X Z [X,Y] Z.
Lemma C5.1. On any Riemannian manifold the curva-
ture operator R(X, Y)Z is tensorial its value at p depends
only on X p , Y p and Z p . In particular, R(X p , Y p ) is a linear
operator on T p M.
The proof proceeds by checking that
R( f X, Y)Z = R(X, f Y)Z = R(X, Y)( f Z) = f R(X, Y)Z,
which follows from the product rules we have for the Lie
bracket and covariant derivative. The details are left as an
exercise.
The definition implies directly that R(X, Y) = R(Y, X).
This antisymmetry means that we can think of this linear
operator as depending on X Y.
On an inner product space like T p M, a linear operator is
equivalent to bilinear form. Hence we get the Riemannian
curvature tensor


R(X, Y, Z, W) := R(X, Y)Z, W .
In coordinates (U, ), with respect to the coordinate frame
{i }, the curvature has components given by
X
R(k , ` )i =: Rij k` j ,
X
R(k , ` )i , j =: Ri jk` = i k` .
g jm Rm
m
Theorem C5.2. The Riemannian curvature satisfies the
following symmetries:
(1) R(X, Y) = R(Y, X),
R(X, Y)Z, W = R(X, Y)W, Z ,
(2)
(3) R(X, Y)Z + R(Y, Z)X + R(Z, X)Y = 0,
(4)
R(X, Y)Z, W = R(Z, W)X, Y .
 this symmetry of course holds for arbitrary two-vectors,
Note that we have already proved the antisymmetry (1).
The further antisymmetry (2) is equivalent to saying that
R(X, Y) is an infinitesimal rotation.
All four symmetries involve different permutations of the
vector fields X, Y, Z, W, and are related to each other. (A
more sophisticated approach would study them in terms of
representations of the symmetric group S 4 .) For instance,
it is easy to see that, given (4), properties (1) and (2) are
equivalent.
Instead, we start by observing that (4) is an algebraic con-
sequence of the first three. For this, write (3) as
R(X, Y)Z, W + R(Y, Z)X, W + R(Z, X)Y, W = 0.
Then cyclically permute XYZW to get
R(Y, Z)W, X + R(Z, W)Y, X + R(W, Y)Z, X = 0.
AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30
Diff Geom II, WS 2015/16
Add these two and subtract the remaining two cyclic per-
mutations. Using the antisymmetries (1) and (2), the result
follows.
End of Lecture 25 Jan 2016
Proof. It remains to show properties (2) and (3). By ten-
soriality, it suffices to prove (3) for the commuting basis
vector fields X = i , Y = j , Z = k . We will abbreviate
i := i . First note that R(i , j )k = i ( j k ) j (i k ).
Thus the sum of three terms can be written as
i j k k j + j k i i k + k i j j i .




Because the connection is torsion-free, each of the expres-
sions in parentheses is a Lie bracket like [ j , k ], but these
all vanish.
For (2) it also suffices to consider X = i , Y = j . Since
the symmetric part of a bilinear form in determined by its
associated quadratic form, to show the antisymmetry (2) it
suffices to prove
0 = R(i , j )Z, Z = i ( j Z) j (i Z), Z .
That is, it suffices to prove that i ( j Z), Z is symmetric
in i and j. To do so, consider second derivatives of the
function hZ, Zi:
j i hZ, Zi = j 2 Z, i Z


= 2 Z, j (i Z) + 2 j Z, i Z .
The last term is clearly symmetric, and the left-hand side
is symmetric since [i , j ] = 0, so we are done. 
The antisymmetry properties (1) and (2) mean that the cur-
vature tensor really can and should be thought of as a bi-
linear form on the space of two-vectors:
S (X Y, Z W) := R(X, Y)Z, W
(extended by bilinearity to nonsimple two-vectors). Prop-
erty (4) is then simply the symmetry of S :
S (X Y, Z W) = S (Z W, X Y);
not just simple ones. In these terms, property (3) gets no
simpler:
S (X Y, Z W) + S (Y Z, X W) + S (Z X, Y W) = 0.
If X, Y is an orthonormal basis for a two-plane T p M,
then K() := S (X Y, X Y) = R(X, Y, Y, X) is called
the sectional curvature of . It turns out that this equals
the Gauss curvature of the flattest surface N M with
T p N = , say foliated by geodesics through p tangent
to .
Since any symmetric bilinear form is determined by the
associated quadratic form, it is not surprising that the sec-
tional curvatures of two-planes determine R completely
but note that here we are considering only simple two-
vectors. The following lemma (applied to the difference
of two possible tensors with the same sectional curvatures)
takes care of this problem.
33
 J.M. Sullivan, TU Berlin C: Riemannian geometry
Lemma C5.3. Suppose S is a symmetric bilinear form on
2 V satisfying
S (X Y, Z W) + S (Y Z, X W) + S (Z X, Y W) = 0.
If S (X Y, X Y) = 0 for all X and Y, then S = 0.
Proof. First compute
0 = S (X + Y) Z, (X + Y) Z


= S (X Z, Y Z) + S (Y Z, X Z)
= 2S (X Z, Y Z).
Now using this we get
0 = S X (Z + W), Y (Z + W)


= S (X Z, Y W) + S (X W, Y Z).
Then we use this to show
S (Y Z, X W) = S (X W, Y Z) = S (X Z, Y W)
= S (Z X, Y W).
That is, S is invariant under a cyclic permutation of XYZ.
But we have assumed the sum of all three cyclic permuta-
tions is zero, so we find S = 0.  a geodesic sphere around p M. It is easy to check that
Note that actually there is a formula with 16 terms giving
6S (X Y, Z W)
= S (X + Z) (Y + W), (X + Z) (Y + W)


S (X + Z) Y, (X + Z) Y + . logically a sphere and is the boundary of the geodesic ball


C6. The exponential map
Any tangent vector X p T p M determines a unique
geodesic starting at p with velocity X; this is the solution
to a second order ODE and will exist at least for some time
> 0.
More precisely, we can consider the equation for a
geodesic x(t) in a coordinate chart (U, ). In terms of the
Christoffel symbols we get
X geodesically complete.
xk + kij (x) xi x j = 0.
i, j
The existence theorem we have used before then says: For
any q U there is a neighborhood V 3 q and , > 0 such
that, given any initial conditions p V and X p T p M with
kX p k < (meaning of course x(0) = phi(p) and x(0) =
X p ), a unique solution as above exists within U for |t| <
, and it depends smoothly on the initial conditions.
Of course if we rescale X p to X p , the geodesic is still
the same curve, simply parametrized at times the speed.
Thus there is a tradeoff between and ; the statement
above is also true say for = 2. Note also that we can
piece together geodesic arcs and the resulting curve is still
a geodesic, so we can apply the existence results indepen-
dent of any coordinate chart.
AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30
Diff Geom II, WS 2015/16
Suppose the geodesic starting at p with velocity X p exists
for at least unit time. Then we define exp(X p ) := (1) to be
the point at time 1 along this geodesic. For any Rieman-
nian manifold M, this exponential map is defined on some
open neighborhood W of the zero-section of T M and is a
smooth map exp : W M. Note that t 7 exp(tX p ) is
the parametrized geodesic with constant speed kX p k; the
length of this curve from p to exp(X p ) is kX p k.
We use the notation exp p for the restriction of exp to T p M
W. Since the differential D p exp p is the identity map, for
small > 0, exp p is a diffeormorphism from the -ball
in T p M to a neighborhood B (p) called a geodesic ball.
Choosing an orthonormal basis for T p M to identify it with
Rm , the map exp1 p : U T p M = R is called normal
m
coordinates around p on the normal neighborhood U.
Similar considerations show that the map (, exp) : X p 7
(p, exp X p ) is a local diffeomorphism T M M M. For
any p M and > 0, we deduce the existence of a neigh-
borhood N such that any two points in N are joined by a
unique geodesic of length less than .
In normal coordinates around p, all geodesics through p
are the images of straight lines through the origin. Fur-
thermore, at p we have gi j (0) = i j and kij = 0. The image
S r := exp p X p : kX p k = r of a sphere in T p M is called

geodesics through p meet each of these sphere orthogo-
nally and that (for small r < r0 ) any curve from S r to S r0
has length at least r0 r. Thus geodesics are locally shortest
curves.
Note that for small r, the geodesic sphere S r (p) is topo-
Br (p), which is a topological ball. For larger r, the expo-
nential map may still exist but no longer be a diffeomor-
phism; these spheres and balls will start to overlap and in-
tersect themselves. The geodesic ball Br (p) is always the
metric ball in (M, d), the set of points at distance less than
r from p.
So far, we have only discussed local existence of
geodesics. A manifold is called geodesically complete if
every geodesic can be extended indefinitely, that is, if exp
is defined on all of T M. The HopfRinow theorem says
this happens if and only if the metric space (M, d) is met-
rically complete. In particular, every compact manifold is
C7. Ricci and scalar curvatures
If T p M is a two-plane, its image under the exponen-
tial map exp p is locally a two-dimensional submanifold
through p. One can show that its Gauss curvature at p
is the sectional curvature K(). (See for instance Boothby,
Theorem VIII.4.7.)
Suppose X T p M m is a unit vector. We define the Ricci
curvature in direction X to be the average sectional curva-
ture of two-planes including X:
Ric(X, X) = (m 1) ave3X K().
A manifold with constant Ricci curvature is called an Ein-
34
 J.M. Sullivan, TU Berlin C: Riemannian geometry Diff Geom II, WS 2015/16

stein manifold, because of the way this condition arises in

general relativity.
The Ricci curvature is a quadratic form; the associated
symmetric bilinear form on T p M is called the Ricci ten-
sor; if {ei } is an orthonormal frame, we have
m
X
Ric(X, Y) = S (X ei , Y ei ).
i=1

In coordinates, Rici j = k Rki k j . On an Einstein manifold,

P
Ric(X, Y) = cg(X, Y).
For m = 3, but not in higher dimensions, the Ricci curva-
ture determines the full Riemannian curvature tensor.
End of Lecture 1 Feb 2016

The Ricci flow dgi j /dt = 2 Rici j is a nonlinear heat

flow of Riemannian manifolds which tries to smooth out
the Ricci curvature. Perelmans proof of Thurstons ge-
ometrization conjecture (including the Poincar conjec-
ture) used Ricci flow on 3-manifolds.
The average Ricci curvature P in all directions at p gives the
scalar curvature S (p) = gi j Ri j .
The images under the exponential map of round balls and
spheres in T p M are called geodesic balls and spheres
Br (p) is the set of all points at distance less than r from p.
The scalar curvature measures the volume growth rate of
geodesic balls or spheres around p positive curvature
means the volume grows more slowly than in Euclidean
space, which negative curvature means it grows faster.
The Ricci curvature Ric(X, X) measures in a similar sense
the rate of spreading of geodesics emerging from p in di-
rections near X.

35

AMS Open Math Notes: Works in Progress 2016-12-15 09:56:30