NOTES ON MANIFOLDS

DAVID PERKINSON AND LIVIA XU

Contents
1. Introduction and Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
2. Definition of a Manifold . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
2.1. Projective space . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
3. Differentiable Maps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
4. Tangent Spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
4.1. Three definitions of the tangent space . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
4.2. The three definitions are equivalent. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
4.3. Standard bases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
4.4. The differential of a mapping of manifolds . . . . . . . . . . . . . . . . . . . . . . . . . 22
5. Linear Algebra . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
5.1. Products and coproducts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
5.2. Tensor Products. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
5.3. Symmetric and exterior products . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
5.4. Dual spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
6. Vector Bundles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
7. Tangent Bundle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
8. The Algebra of Differential Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
8.1. The pullback of a differential form by a smooth map. . . . . . . . . . . . . . . 42
8.2. The exterior derivative . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
9. Oriented Manifolds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
10. Integration of Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
10.1. Definition and properties of the integral . . . . . . . . . . . . . . . . . . . . . . . . . . 50
10.2. Manifolds with boundary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
10.3. Stokes’ theorem on manifolds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
11. de Rham Cohomology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
11.1. Definition and first properties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
11.2. Homotopy invariance of de Rham cohomology . . . . . . . . . . . . . . . . . . . . 61
11.3. The Mayer-Vietoris sequence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
12. Differential Forms on Riemannian Manifolds. . . . . . . . . . . . . . . . . . . . . . . . . . 73
12.1. Scalar products . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73
12.2. The star operator . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
12.3. Poincaré duality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77
13. Toric Varieties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81

Date: April 19, 2021.

1
2 DAVID PERKINSON AND LIVIA XU

13.1. Toric varieties from fans. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81

13.2. Toric varieties from polytopes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
13.3. Cohomology of toric varieties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
13.4. Homogeneous coordinates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
13.5. Mapping toric varieties into projective spaces . . . . . . . . . . . . . . . . . . . . . 93
14. Grassmannians . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
14.1. Manifold structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
14.2. The Plücker embedding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100
14.3. Schubert varieties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
Appendix A. Vector Calculus in Euclidean Spaces . . . . . . . . . . . . . . . . . . . . . . . . 110
A.1. Derivatives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110
A.2. Classical integral vector calculus . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
Appendix B. Topology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120
B.1. Topological spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120
B.2. Continuous functions and homeomorphisms . . . . . . . . . . . . . . . . . . . . . . . 121
B.3. Connectedness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122
B.4. Compactness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122
B.5. Partition of unity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
Appendix C. Measure Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
Appendix D. Simplicial homology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125
D.1. Exact sequences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125
D.2. Simplicial complexes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137
 NOTES ON MANIFOLDS 3

1. Introduction and Overview

Differentiable manifolds are objects upon which one may do calculus without
coordinates. They abstract “differential structure” just as vector spaces abstract
linear structure. In both of these settings, the fundamental example is ordinary
Euclidean space. Manifolds are much more complicated, though, as one might
expect. The only difference between Rn and an n-dimensional vector space (over R)
in terms of linear structure is a choice of basis. Therefore, the natural numbers
effectively classify vector spaces. In contrast, the classification of manifolds is a
rich subject with many open problems.
Whereas an n-dimensional vector space is isomorphic to Rn , a manifold is by
its very definition locally isomorphic to an open subset of Rn . That property is in
accordance with what you know about differentiation in Rn . It is a local process:
its resulting value at any point only depends on the behavior of the function in
question in any small neighborhood of the point. The structure of a manifold
includes instructions for gluing together this local information.
There is no way to make measurements of distances and angles in a vector space
until we add an inner product. An n-dimensional manifold M comes with a tangent
bundle T M . It attaches a copy of Rn to each point (the tangent space at that point),
and has the structure of a manifold, itself. In order to make measurements on a
manifold, we need the additional structure of an inner product on the tangent space
at each point, which varies smoothly with the point, resulting in a metric. Thus,
our notion of distance will vary from point-to-point on a manifold. To see the utility
of this notion, recall that mass distorts distances in our universe. A manifold with
a metric is called a Riemannian manifold.

First example. We now describe the manifold structure of a two-dimensional

sphere. While reading the following, please refer to Figure 1. Imagine the sphere
as the surface of the earth. To find your way around on the earth, it suffices to
have a world atlas. Each page h of the atlas is a chart representing some portion
of the earth. The page is essentially a mapping h : U → U 0 from some region U of
the earth to a rectangle U 0 in R2 . Using the features of the earth, one can infer
the nature of h by just looking at its image, i.e., the actual page in the atlas. From
now on, we will identify these two things. Let k : V → V 0 be another chart/page.
Suppose the regions U and V on the earth meet with overlap W := U ∩ V . That
means images of W will appear on the two pages we are considering. Since drawing
the earth on flat paper requires stretching, these two images will be distorted copies
of each other. However, assuming your atlas has sufficient details, we can tell which
points on the two images represent the same point on the earth.
Imagine now that the pages or your atlas are made of malleable putty, and your
job is to reconstruct the earth. You cut out all the pages and are left with stretching
and gluing together the overlaps. The likely result, given the nature of putty, will
be a lop-sided lumpy version of a sphere.
In extracting the manifold structure from this example, it is important to re-
member that a manifold does not come with a metric. So we should try to forget
4 DAVID PERKINSON AND LIVIA XU

h k
h k

k ◦ h−1

h(U ∩ V ) k(U ∩ V )
h(U ) k(V )
Two charts Overlap of charts

Figure 1. Charts (U, h) and (V, k) on the sphere and their corre-
sponding transition mapping on the overlap.

that aspect of an ordinary atlas of the earth. Instead, as above, think of the un-
derlying substrate of a manifold as putty. In mathematical terms, the pages of the
atlas are open subsets of a topological space. We will assume the reader can quickly
“review” the features of topology summarized in Appendix B.
One last observation: unlike our example, a manifold does not come with an
embedding into Euclidean space—the embedding is separate information. Whit-
ney’s embedding theorem says that, in general, an n-dimensional manifold can be
embedded in R2n . So surfaces (two-dimensional manifolds) can be embedded in R4 ,
but something special needs to occur to get an embedding in R3 , as in the case of
a sphere. The Klein bottle, which cannot be embedded in R3 , is more typical.

Integration. While differentiation is a local process, integration is a global process.

Thinking of our manifold as being created by gluing together stretchable pieces of
putty, it is clear that integration will require adding some structure to the manifold.
Having chosen coordinates near a point, we can integrate functions as usual, but
what if we change coordinates? Of course, there is the usual change of coordinates
formula from several-variable calculus, but how would we choose the initial set of
coordinates (from which we could change)? And even more perplexing: what if we
want to integrate over a portion of the manifold that is not contained in a single
chart? These questions suggest that in order to perform integration on a manifold,
we will need a structure that oversees these changes of coordinates and provides a
standard of some sort, against which we can measure. That structure is called a
non-vanishing n-form and will take us a while to define. Once we have it, though,
 NOTES ON MANIFOLDS 5

one of our goals will be to prove the ultimate version of Stokes’ theorem:
Z Z
ω= dω.
∂M M
Here, ω is an n-form and ∂M is the “boundary” of M (so we will need to consider
manifolds with boundaries). The operator d is called the exterior derivative. It
will have the property that applying d twice gives d2 = 0, which may remind you
of some results from ordinary vector calculus in Rn . Exploring this property leads
to remarkable topological invariants in the form of cohomology groups. If time
permits, we will consider these groups in the case of two classes of manifolds: toric
varieties and Grassmannians. The cohomology of Grassmann manifolds has a ring
structure (i.e., well-behaved addition and multiplication) known as the Schubert
calculus.
6 DAVID PERKINSON AND LIVIA XU

2. Definition of a Manifold
Definition 2.1 (Charts). Let X be a topological space. An n-dimensional chart
∼
=
on X is a homeomorphism h : U −→ U 0 from an open subset U ⊆ X, the chart
domain, onto an open subset U 0 ⊆ Rn . We denote this chart by (U, h) (see Figure 2).
We say that X is locally Euclidean if every point in X belongs to some chart domain
of X. If X is locally Euclidean, choosing a chart containing some point p ∈ X is
called taking local coordinates at p.

Figure 2. A chart.

Definition 2.2. If (U, h) and (V, k) are two n-dimensional charts on X such that
U ∩ V 6= ∅, then the homeomorphism (k ◦ h−1 )|h(U ∩V ) from h(U ∩ V ) to k(U ∩ V ) is
called the change-of-charts map, change of coordinates, or transition map, from h to
k (see Figure 3). If the transition map is furthermore a diffeomorphism (note that

Figure 3. Transition map.

these maps have domains and codomains in Rn ), then we say that the two charts are
differentiably related. Recall that a function between subsets of Euclidean spaces
is a diffeomorphism if it is bijective and both it and its inverse are differentiable.
Throughout this text, we will take differentiable to mean smooth, i.e., having partial
derivatives of all orders.
Definition 2.3. A set of n-dimensional charts on X whose chart domains cover
all of X is an n-dimensional atlas on X. The atlas is differentiable if all its charts
are differentiably related, and two differentiable atlases A and B are equivalent if
A ∪ B is also differentiable.
Definition 2.4. An n-dimensional differentiable structure on a topological space X
is a maximal n-dimensional differentiable atlas with respect to inclusion.
 NOTES ON MANIFOLDS 7

Definition 2.5 (Differentiable manifolds). An n-dimensional differentiable mani-

fold1 is a pair (M, D) consisting of a second countable Hausdorff topological space M
with an n-dimensional differentiable structure D.

Example 2.6. As a first (trivial) example of an n-manifold, take any open sub-
set U ⊆ Rn with the atlas {(U, idU )} containing a single chart.

Example 2.7 (The n-sphere). The n-sphere is the set

S n := x ∈ Rn+1 | |x| = 1 .


Thus, for example, the one-sphere is the unit circle in the plane, and the two-
sphere is the usual sphere in three-space. If p = (p1 , . . . , pn+1 ) ∈ S n , then there
exists some i such that pi 6= 0. Let U be any open neighborhood of p consisting
solely of points on the sphere whose i-coordinates are nonzero. Then the mapping
at h : U → h(U ) ⊂ Rn defined by dropping the i-th coordinate of each point in U
serves as a chart containing p.
For another atlas, compatible with the one just given, one can use stereographic
projection. Here the atlas as two open sets:
U + := S n \ {(0, 0, . . . , 0, 1)} and U − := S n \ {(0, 0, . . . , 0, −1)}
each with chart defined by
 
x1 xn
(x1 , . . . , xn+1 ) 7→ ,..., .
1 − xn+1 1 − xn+1
2.1. Projective space. Projective n-space, denoted Pn , is an n-manifold whose
points are the lines in Rn+1 passing through the origin, i.e., the collection of all
one-dimensional linear subspaces of Rn+1 . To represent a line ` through the origin
in Rn+1 , choose any nonzero point p ∈ `. (The point p is a basis for ` as a one-
dimensional linear subspace.) For points p, q ∈ Rn+1 write p ∼ q if p = λq for some
nonzero constant λ. Then p and q represent the same line if and only if p ∼ q. So
we take our formal definition of projective n-space to be
Pn := Rn+1 \ {~0}/ ∼
with the quotient topology. (Thus, a set of points in Pn is open if and only if the
union of the set of lines they represent is an open subset of Rn+1 \ {~0}.)
If ` ∈ Pn is represented by (the equivalence class of) p = (a1 , . . . , an+1 ) ∈ `,
then (a1 , . . . , an+1 ) are called the homogeneous coordinates for `, realizing that
these “coordinates” are only defined up to scaling by a nonzero constant. One
sometimes sees the notation (a1 : a2 : · · · : an+1 ) to represent the point ` ∈ Pn , but
we will stick with (a1 , . . . , an+1 ).
We would now like to impose a manifold structure on Pn . As a warm-up, we
first treat the case n = 2. Define the set
Ux := (x, y, z) ∈ P2 : x 6= 0


Uy := (x, y, z) ∈ P2 : y 6= 0


1We will typically refer to these simply as n-manifolds.

8 DAVID PERKINSON AND LIVIA XU

Uz := (x, y, z) ∈ P2 : z 6= 0 .


Note the following:

(1) These sets are well-defined. Even though homogeneous coordinates are only
defined up to a nonzero scalar constant. Nevertheless, replacing (x, y, z)
by λ(x, y, z) with λ 6= 0, we have x = 0 if and only if λx = 0, and similarly
for y and z.
(2) These are open sets. Since we are using the quotient topology, we need to
consider π −1 (Ux ) which is the complement of the y, z plane in R3 \ {~0},
which is open in R3 \ {~0}. A similar argument holds for Uy and Uz .
(3) These sets cover P2 . If (x, y, z) ∈ P2 , then at least one of x, y, or z must
be nonzero.
Finally, we define the chart mappings:
φx : Ux → R2 φy : Uy → R2 φz : Uz → R2
(x, y, z) 7→ (y/x, z/x) (x, y, z) 7→ (x/y, z/y) (x, y, z) 7→ (x/z, y/z)

It is easy to check that each of these is a homeomorphism. For instance, the inverse
of φx is given by (u, v) 7→ (1, u, v). The underlying motivation for these charts is as
follows: Take Ux , for instance. Fix the plane x = 1 in R3 . Then a line through the
origin in R3 meets this plane if and only if a representative nonzero point on the line
has x-coordinate not equal to 0. So Ux consists of the lines meeting the plane x = 1.
If ` ∈ Ux has homogeneous coordinates (x, y, z), we can scale (x, y, z) by λ = 1/x to
get another representative (1, y/x, z/x). This is exactly the point where ` meets the
plane x = 1. In this way, each point in Ux has a set of homogeneous coordinates
of the form (1, u, v). Dropping the 1, which is superfluous information, gives us
the mapping φx . The essential idea is that there is a one-to-one correspondence
between points in the plane x = 1 and points in Ux , and the plane x = 1 is the
same as R2 via (1, u, v) 7→ (u, v).
The collection
{(Ux , φx ), (Uy , φy ), (Uz , φz )}
2
is the standard atlas for P . What does a typical transition function look like? Con-

sider the transition from Ux to Uy . The overlap is Ux ∩Uy = (x, y, z) ∈ P2 : x 6= 0, y 6= 0 ,
and we have the commutative diagram:
(1, u, v)
φ−1
x φy

φy ◦φ−1
x
(u, v) (1/u, v/u).
In general, the standard charts of Pn are given by (Ui , φi ) for i = 1, . . . , n + 1,
where Ui = {x = (x1 , . . . , xn+1 ) ∈ Pn | xi 6= 0}, and

φi : Ui → Rn
 
x1 xi xn+1
x 7→
c
,..., ,..., .
xi xi xi
 NOTES ON MANIFOLDS 9

The hat over xxii means that this component of the vector should be omitted (just
like we did for P2 ).
10 DAVID PERKINSON AND LIVIA XU

3. Differentiable Maps
Let M be a manifold and X some topological space. To study the behavior of a
map f : M → X near some point p ∈ M , we choose a chart (U, h) at p and look at
the “downstairs map” f ◦ h−1 : h(U ) → X instead (see Figure 4). If f ◦ h−1 has a

Figure 4. The downstairs map f ◦ h−1 .

certain property locally at h(p), then we say that f has the property at p relative
to the chart (U, h). If this property is independent of the choice of charts, then we
just say that f has this property at p. Our first example of such a property is the
differentiability of a function.
Definition 3.1 (Real-valued functions on M ). A function f : M → R is differen-
tiable at p ∈ M if f ◦ h−1 is differentiable for some chart (U, h) at p.
Exercise 3.2. Let f : M → R be a function on a manifold M , and let (U, h) and
(V, k) be two charts at p ∈ M . Show that if f is differentiable at p relative to
(U, h), then f is differentiable at p relative to (V, k). (You can use the fact that a
composition of differentiable functions on Euclidean space is differentiable.)
Definition 3.3 (Differentiable mappings of manifolds). A continuous map f : M →
N between manifolds is differentiable at p ∈ M if it is differentiable with respect to
charts at p ∈ M and at f (p) ∈ N . Namely, if (U, h) is a chart at p and (V, k) is a
chart at f (p) such that f (U ) ⊆ V , we want the map k ◦ f ◦ h−1 to be differentiable
(recall that h(U ) ⊆ Rm and k(V ) ⊆ Rn for some m, n):
f
U V
h k

h(U ) k(V )
k◦f ◦h−1
For a picture of this,see Figure 5. If f is bijective with a differentiable inverse,
then f is called a diffeomorphism.
Remark 3.4. The reader should check that differentiability at p ∈ M is independent
of the choice of charts.
Example 3.5 (The Veronese embedding). Define ν2 : P2 → P5 by
ν2 : P2 → P5
(x, y, z) 7→ (x2 , xy, xz, y 2 , yz, z 2 ).
 NOTES ON MANIFOLDS 11

Figure 5. Using the charts to pull down a continuous map be-

tween manifolds.

This mapping is well-defined since

ν2 (λ(x, y, z)) = ν2 (λx, λy, λz) = λ2 (x2 , xy, xz, y 2 , yz, z 2 ) = ν2 (x, y, z).
We would like to show that ν2 is differentiable. Let p = (a, b, c) ∈ P2 , and without
loss of generality, suppose that a 6= 0. Let (Ux , φx ) be the standard chart at p whose
domain consists of points with nonzero first coordinates. Then ν2 (p) ∈ ν2 (Ux ) ⊂
U1 ⊂ P5 , and so we take the standard chart (U1 , φ1 ) at ν2 (p). Using these charts,
we calculate
φ1 ◦ ν2 ◦ φ−1 2 2 2 2
x (u, v) = φ1 (ν2 (1, u, v)) = φ1 (1, u, v, u , uv, v ) = (u, v, u , uv, v ),

which is differentiable.
Example 3.6. The existence of a diffeomorphism between two manifolds means
that as far as manifold structures are concerned, there is no difference between
the manifolds (except for, possibly, their names). Thinking in those terms, the
following theorem may be surprising:
Theorem 3.7 (Milnor). There exist differentiable structures D and D0 on the
seven-sphere S 7 with no diffeomorphism (S 7 , D) → (S 7 , D0 ).
12 DAVID PERKINSON AND LIVIA XU

4. Tangent Spaces
If we try to imagine a typical tangent space, we might think of a surface S
sitting inside R3 with a plane “kissing” the surface at some point. To compute the
tangent plane, we could create a parametrization of the surface near that point.
This would amount to finding an open set U ⊆ R2 and a “nice”2 differentiable
mapping f : U → R3 with a point p ∈ U mapping to the point in question, f (p).
Recall that by definition,
|f (p + h) − f (p) − Dfp (h)|
lim =0
|h|→0 |h|
where Dfp : R2 → R3 is the derivative of f at p. Hence, up to first order, we
have f (p + h) = f (p) + Dfp (h) where Dfp is the derivative of f at p. Let-
ting Afp (h) := f (p + h), we get the best affine approximation to f at p:
Afp : R2 → R3
h 7→ f (p) + Dfp (h).
Its image will be the tangent plane at f (p).
An underlying assumption we made above in thinking about the tangent space is
that our surface and its tangent plane are embedded in a larger space, R3 . Our goal
in this section is to take on the intriguing task of creating an intrinsic definition
of the tangent space of a manifold at a given point, i.e., one that does not depend
on embedding the manifold into another space. We will give three constructions of
the tangent space which we will call the geometric, the algebraic, and the physical
definitions of the tangent space, and we will see that all three are equivalent.3
At a couple of places in the following discussion, we will need at technical lemma.
We’ll get that out of the way now:
Lemma 4.1. Let f : W → R be a smooth function on some open subset W of Rn ,
and let w ∈ W . Then there exist smooth functions gi : W → R for i = 1, . . . , n
satisfying:
n
∂f X
gi (p) = (p) and f (x) = f (p) + gi (x)(xi − pi ).
∂xi i=1
Proof. For x ∈ W , apply the fundamental theorem of calculus and then the chain
rule to get
Z 1
d
f (x) − f (p) = f (tx + (1 − t)p) dt
0 dt
Z 1Xn  
∂f
= (tx + (1 − t)p) (xi − pi ) dt
0 i=1 ∂xi

n Z 1 
X ∂f
= (tx + (1 − t)p) dt (xi − pi ).
i=1 0 ∂xi

2“Nice” would mean that the mapping and its derivative are injective on U .
3These names are ad hoc. There is no standard terminology.
 NOTES ON MANIFOLDS 13

Define Z 1
∂f
gi (x) = (tx + (1 − t)p) dt.
0 ∂xi


For the remaining of this section, let M be a manifold and take p ∈ M .

4.1. Three definitions of the tangent space.
Definition 4.2 (Geometrically-defined tangent space). Let Kp (M ) denote the set
of differentiable curves in M that pass through p at 0. More precisely,
Kp (M ) = {α : (−ε, ε) → M | α is differentiable, ε > 0, and α(0) = p}.
Two such curves α, β ∈ Kp (M ) are called tangentially equivalent, denoted α ∼ β, if
(h ◦ α)0 (0) = (h ◦ β)0 (0) ∈ Rn
for some (hence any) chart (U, h) around p. We call the equivalence classes Kp (M )
the (geometrically-defined) tangent vectors of M at p and call the quotient
Tpgeom M := Kp (M )/ ∼
the (geometrically-defined) tangent space to M at p.
Exercise 4.3. Check that ∼ is independent of the choice of chart (U, h).
Now let us put a linear structure on Tpgeom M . Fix a chart (U, h) at p and define
φ : Tpgeom M → Rn
[α] 7→ (h ◦ α)0 (0).
Then φ is a bijection (check!). So we can use it to induce a linear structure
on Tpgeom M . For curves α, β ∈ Kp (M ) and any real number λ, define
λ[α] + [β] := φ−1 (λφ(α) + φ(β)).
The result is independent of choice of chart: Let (V, k) be another chart at p and
similarly define ψ : Tpgeom M → Rn that sends [α] to (k ◦ α)0 (0). We need to show
that for α, β ∈ Kp (M ), we have
φ−1 (λφ(α) + φ(β)) = ψ −1 (λψ(α) + ψ(β)).
Pick γ ∈ Kp (M ) such that [γ] = φ−1 (λφ(α) + φ(β)). Equivalently, applying the
bijection φ to both sides of this equation,
(h ◦ γ)0 (0) = λφ(α) + φ(β).
Our goal is to show that [γ] = ψ −1 (λψ(α) + ψ(β)), i.e., that
(k ◦ γ)0 (0) = λψ(α) + ψ(β).
This follows from the chain rule4:
(k ◦ γ)0 (0) = J(k ◦ γ)(0)

4In the following, as always, we identify vectors in Rn with column matrices.

14 DAVID PERKINSON AND LIVIA XU

= J(k ◦ h−1 ◦ h ◦ γ)(0)

= J(k ◦ h−1 )(h(p))J(h ◦ γ)(0)
= J(k ◦ h−1 )(h(p))(h ◦ γ)0 (0)
= J(k ◦ h−1 )(h(p))(λφ(α) + φ(β))
= λJ(k ◦ h−1 )(h(p))J(h ◦ α)(0) + J(k ◦ h−1 )(h(p))J(h ◦ β)(0)
= λJ(k ◦ h−1 ◦ h ◦ α)(0) + J(k ◦ h−1 ◦ h ◦ β)(0)
= λ(k ◦ α)0 (0) + (k ◦ β)0 (0)
= λψ(α) + ψ(β).
By definition of the linear structure on Tpgeom (M ), the mapping φ is an isomorphism
of vector spaces. Thus, dim Tpgeom (M ) = n. The zero vector for Tpgeom (M ) is the
class of the constant curve at t 7→ p for all t ∈ (−1, 1).
We now move on to the algebraic version of the tangent space. For a moment,
let’s think about ordinary vector calculus in Rn , i.e., the case M = Rn . Let p ∈ Rn ,
and take a vector v ∈ Rn . Think of v as a tangent vector at p. Then given a
function f : Rn → R, we could ask how fast f is changing along v. In other words
we could compute
f (p + tv) − f (p)
fv (p) := lim .
t→0 t
[Check that fv (p) = ∇f (p) · v.] If v is a unit vector, this would be the directional
derivative of f in the direction of v. What are the main properties of the derivative?
For one, the derivative should be a linear function. In addition, its main property
is the product rule (also know as the Leibniz rule).
We want to use this idea of a directional derivative to define tangent vectors on
an arbitrary manifold. (It does not carry over verbatim since, for instance, p + tv
would not make sense when p is a point in a general manifold.) The idea is that
a tangent vector at a point p should give us a kind of derivative of real-valued
functions defined near p. (The function does not need to be defined on the whole
manifold because, after all, the derivative at a point is a local property.) Thus,
we are led to the idea that a tangent vector at p should be a linear function on
the space of functions defined near p, and that linear function should satisfy the
product rule. We now make these notions precise.
Definition 4.4. Let two real-valued functions, each defined and differentiable in
some neighborhood of a point p of M , be called equivalent if they agree in a neigh-
borhood of p. The equivalence classes are called the germs of differentiable functions
on M at p, and the set of these germs is denoted by Ep (M ).
Remark 4.5. Note that equivalent functions need not be the same on the entire
intersection of their domains, as illustrated in Figure 6.
Remark 4.6. The collection of germs Ep (M ) is more than just a vector space—it
is an R-algebra! Namely, for [f ], [g] ∈ Ep (M ), apart from the usual operations of
addition and scaling by R, we can also multiply: [f ] · [g] := [f g]. (Check that this
multiplication is well-defined.)
 NOTES ON MANIFOLDS 15

Figure 6. Equivalent functions do not need to agree on the en-

tirety of their common domains.

Definition 4.7 (Algebraically-defined tangent space). By an (algebraically-defined)

tangent vector to M at p, we mean a derivation of the ring Ep (M ) of germs, that
is, a linear map on the germs
v : Ep (M ) → R
that satisfies the product rule
v(f · g) = v(f ) · g(p) + f (p) · v(g)
for all f, g ∈ Ep (M ). We call the vector space of these derivations the (algebraically-
defined) tangent space to M at p and denote it by Tpalg (M ).

Exercise 4.8. Let f : M → R be a constant function. Let v be a derivation

of Ep (M ). What is v(f )?

We would now like to describe a basis for Tpalg (M ). Fix a chart (U, h) at p and
define the derivations ∂i for i = 1, . . . , n by
∂
∂i (f ) := (f ◦ h−1 )(h(p))
∂xi
for each f ∈ Ep (M ). In other words, we use the chart (U, h) to identify f with an
ordinary multivariable function, and then take its i-th partial derivative. We leave
the straightforward check that each ∂i is a derivation to the reader. The reader
may also check that
(
1 if i = j
∂i (hj ) =
0 otherwise.
We claim that these ∂i form a basis for T alg . By the above displayed equation, they
are linearly independent. To see they span is not so easy. So the reader may want
to put off the following argument until well-rested! Take v ∈ T alg , and let f be a
smooth real-valued function defined near p. Define ` : h(U ) → R by ` := f ◦ h−1 .
By Lemma 4.1,
n
X
`(x) = `(h(p)) + gi (x)(xi − h(p)i )
i=1
n
X
= f (p) + gi (x)(xi − h(p)i )
i=1
16 DAVID PERKINSON AND LIVIA XU

for some smooth functions gi such that

∂` ∂
gi (h(p)) = (h(p)) = (f ◦ h−1 )(h(p)).
∂xi ∂xi
Therefore,
n
X
f (x) = `(h(x)) = f (p) + gi (h(x))(h(x)i − h(p)i )
i=1
Using the fact that v is linear and satisfies the product rule, we get
n
X
v(f ) = v(f (p) + gi (h(x))(h(x)i − h(p)i ))
i=1
Xn
= v(f (p)) + v(gi (h(x))(h(x)i − h(p)i ))
i=1
n
X
= v(gi (h(x))(h(x)i − h(p)i ))
i=1
Xn
= gi (h(p))v(h(x)i − h(p)i ) + v(gi (h(x))) · 0
i=1
Xn
= gi (h(p))v(h(x)i )
i=1

Letting αi := v(h(x)i ) ∈ R, we have

n n n
X X ∂ X
v(f ) = αi gi (h(p)) = αi (f ◦ h−1 )(h(p)) = αi ∂i (f ).
i=1 i=1
∂xi i=1

Thus,
n
X
v= αi ∂i ,
i=1
as required.
For our last formulation of tangent space, we take perhaps the most straightfor-
ward approach. We would like to define the tangent space at p ∈ M by choosing
a chart, thus identifying M with Rn near p. We then take any vector v ∈ Rn ,
and think of it as a tangent vector at p. The problem with this approach is that it
would depend on a choice of charts, and the whole point of manifolds it to formulate
calculus without coordinates. As a minimal fix then, let’s repeat this process for
every possible chart at p. Thus, we think of a tangent vector as being a collection
of vectors in Rn , one for each chart at p. However, these vectors should somehow
reflect the way we glue charts together to construct the manifold, i.e., these vectors
should satisfy some kind of compatibility condition as we change coordinates. From
that point of view, it is perhaps natural to require the choice of vectors for each
pair of charts to be related via the derivative of the transition function between the
charts.
 NOTES ON MANIFOLDS 17

Definition 4.9 (Physically-defined tangent space). Let M be an n-dimensional

manifold, p ∈ M . Let Dp (M ) := {(U, h) ∈ D | p ∈ U } denote the set of charts
around p. By a (physically-defined) tangent vector v to M at p, we mean a linear
map
v : Dp (M ) → Rn
with the property that for any two charts at p, the associated vectors in Rn are
mapped to each other by the derivative of the transition map; that is,
v(V, k) = Dh(p) (k ◦ h−1 )(v(U, h))
for all (U, h), (V, k) ∈ Dp (M ). We call the vector space of these maps v the
(physically-defined) tangent space to M at p and denote it by Tpphy M .
Remark 4.10. There is an explicit way to describe the property defining a physical
tangent vector. Define xi = hi , the i-th component of h. Similarly, define x ei = ki ,
v i = v(U, h)i , and vei (V, k)i . Referring to Figure 7, if we assume for convenience

Figure 7. Physically-defined tangent vector in coordinates.

that h(p) = 0, in terms of the Jacobian matrix of k ◦ h−1 , the equation v(V, k) =
Dh(p) (k ◦ h−1 )(v(U, h)) becomes
 1  1
 i v ve
−1 ∂ex  ..   .. 
[J(k ◦ h )0 ]v(U, h) =   =  .  = v(V, k),
∂xj x=0 .
vn ven
h ii
where ∂x ∂e
x
j of partials of the components of k ◦ h−1 .

To be explicit about the linear structure on Tpphy (M ), if v, w ∈ Tpphy (M ) and λ ∈

R, then, by definition,
(λv + w)(U, h) := λv(U, h) + w(U, h)
for each chart (U, h) at p. Note that a physically-defined tangent vector v : Dp (M ) →
Rn is determined by its value on any particular chart (U, h). Its value on any other
chart (V, k) is then given by applying the derivative of the transition, as stated in
Definition 4.9. In particular, fixing a chart (U, h) determines an isomorphism of
vector spaces.
Tpphy (M ) → Rn
18 DAVID PERKINSON AND LIVIA XU

v 7→ v(U, h).

4.2. The three definitions are equivalent. The following proposition shows
that our three definitions of tangent space are just three perspectives on the same
thing.

Proposition 4.11. Let M be an n-dimensional manifold and let p ∈ M . There

are canonical (i.e., do not involve choosing bases) linear isomorphisms Φ1 , Φ2 , Φ3
that make the following diagram commute.
Tpgeom (M )
Φ3 Φ1

Tpphy (M ) Φ2
Tpalg (M )

Proof. We start by describing the maps Φ1 , Φ2 , Φ3 .

1. Tpgeom (M ) −→ Tpalg (M ).
Define
Φ1 : Tpgeom (M ) −→ Tpalg (M )
[α] 7−→ v[α] : [f ] 7→ (f ◦ α)0 (0)
where α : (−ε, ε) → M is a differentiable curve on M with α(0) = p and f ∈ Ep (M )
is a representative of a germ on M at p.
First, we check that this map is well-defined. If [f ] = [g] ∈ Ep (M ) for some g,
then since f and g agree on some smaller neighborhood W of p, we have f ◦α = g ◦α
once we restrict to the appropriate domain. At the same time, if β : (−ε, ε) → M
is a differentiable curve on M such that α ∼ β (we can always restrict the domains
so that they are the same for both α and β), then the chain rule tells us that
v[α] = v[β] . In detail, suppose that the images of α and of β are contained in some
chart (U, h) at p (see Figure 8).

Figure 8. From Tpgeom (M ) to Tpalg (M ).

Since α ∼ β, it follows that (h ◦ α)0 (0) = (h ◦ β)0 (0). So we have

(f ◦ α)0 (0) = J(f ◦ h−1 ◦ h ◦ α)(0)
= J(f ◦ h−1 )(h(p))J(h ◦ α)(0)
= J(f ◦ h−1 )0 (h(p))J(h ◦ β)(0)
 NOTES ON MANIFOLDS 19

= J(f ◦ h−1 ◦ h ◦ β)(0)

= (f ◦ β)0 (0).
Next, we show that the image of Φ1 is in Tpalg (M ). Namely, v[α] is a derivation.
Let g ∈ Ep (M ). Using the product rule, we have
v[α] (f · g) = ((f · g) ◦ α)0 (0)
= ((f ◦ α) · (g ◦ α))0 (0)
= ((f ◦ α)0 · (g ◦ α) + (f ◦ α) · (g ◦ α)0 )(0)
= v[α] (f ) · g(p) + f (p) · v[α] (g).
Finally, we show that Φ1 is linear. Take [α], [β] ∈ Tpgeom M and let λ ∈ R.
Suppose that [γ] = λ[α] + [β] for some γ ∈ Kp (M ). So we have
vλ[α]+[β] (f ) = (f ◦ γ)0 (0).
Choosing a chart (U, h) at p, recall that by definition of the linear structure on T geom ,
(h ◦ γ)0 (0) = λ(h ◦ α)0 (0) + (h ◦ β)0 (0).
A straightforward computation then gives us the linearity of Φ1 :
(f ◦ γ)0 (0) = J(f ◦ h−1 ◦ h ◦ γ)(0)
= J(f ◦ h−1 )(h(p))J(h ◦ γ)(0)
= J(f ◦ h−1 )(h(p))(h ◦ γ)0 (0)
= J(f ◦ h−1 )(h(p))(λ(h ◦ α)0 (0) + (h ◦ β)0 (0))
= J(f ◦ h−1 )(h(p))(λJ(h ◦ α)(0) + J(h ◦ β)(0))
= λJ(f ◦ h−1 )(h(p))J(h ◦ α)(0) + J(f ◦ h−1 )(h(p))J(h ◦ β)(0)
= λJ(f ◦ h−1 ◦ h ◦ α)(0) + J(f ◦ h−1 ◦ h ◦ β)(0)
= λ(f ◦ α)0 (0) + (f ◦ β)0 (0)
= λv[α] (f ) + v[β] (f ).

2. Tpalg (M ) −→ Tpphy (M ).
Define Φ2 : Tpalg (M ) −→ Tpphy (M ) as follows:
Φ2 : Tpalg (M ) −→ Tpphy (M )
v 7−→ v : (U, h) 7→ (v(h1 ), . . . , v(hn ))
where v : Ep (M ) → R is a linear derivation (defined on the germs of differentiable
functions on M at p), and hi is the i-th component of h.
Linearity of Φ2 is straightforward. We need to show that v behaves well under
a change of coordinates. Let (V, k) be another chart at p. We want v(V, k) =
Dh(p) (k ◦ h−1 )(v(U, h)). That is,
   
v(h1 ) v(k1 )
J(k ◦ h−1 )(h(p))  ...  =  ...  .
   

v(hn ) v(kn )
20 DAVID PERKINSON AND LIVIA XU

Use w = (w1 , . . . , wn ) to denote k ◦ h−1 , and, for convenience, assume that

h(p) = k(p) = 0. By Lemma 4.1, we can write
n
X
wi = xj wi,j
j=1
R1 i
where wi,j (x) = 0 ∂w
∂xj (tx)dt. Taking partial derivative on both sides of the above
displayed equation with respect to some x` and evaluating at zero:
n n
∂wi X ∂xj X ∂wi,j
(1) (0) = wi,j (0) + xj |x=0 (0) = wi,` (0).
∂x` j=1
∂x` x=0 j=1
∂x`

Note that
k(x) = (k ◦ h−1 ◦ h)(x) = (w ◦ h)(x) = (w1 (h(x)), . . . , wn (h(x))) ,
and, therefore,
n
X
ki (x) = wi (h(x)) = hj (x)wi,j (h(x)).
j=1
Since v is a derivation (and recall that by assumption h(p) = k(p) = 0),
n
X n
X
v(ki ) = (v(hj )wi,j (h(p)) + hj (p)v(wi,j ◦ h)) = v(hj )wi,j (0).
j=1 j=1

Therefore, by Equation 1, we have

n
X ∂wi
v(ki ) = v(hj ) (0).
j=1
∂xj

Write this out in matrix form:

 ..    
. v(h1 ) v(k1 )
  ..   . 
 ∂w ∂wi

.  =  ..  ,
 i (0) · · ·
 ∂x1 ∂xn (0) 
.. v(hn ) v(kn )
.
to see that this is exactly what we want.
3. Tpphy (M ) −→ Tpgeom (M ).
Given v ∈ Tpphy (M ) and a chart (U, h) at p, define a curve αv : (−ε, ε) → M
as follows: Pick a curve γ : (−ε, ε) → h(U ) ⊆ Rn such that γ(0) = h(p) and
γ 0 (0) = v(U, h). To be specific, say γ(t) = h(p) + tv(U, h) for small enough ε. Then
let αv := h−1 ◦ γ : (−ε, ε) → M . Define Φ3 : Tpphy (M ) −→ Tpgeom (M ) to be the map
that assigns v ∈ Tpphy (M ) to [αv ].
The main thing to check is that the equivalence class of αv is independent of the
choice of chart. Let (V, k) be another chart at p and define another curve
β(t) = k −1 (k(p) + tv(V, k)).
Then (k ◦ β)0 (0) = v(V, k). To see that [αv ] = [β], we calculate
(k ◦ α)0 (0) = J(k ◦ α)(0)
= J(k ◦ h−1 ◦ h ◦ α)(0)
 NOTES ON MANIFOLDS 21

= J(k ◦ h−1 )(h(p))J(h ◦ α)(0)

= J(k ◦ h−1 )(h(p))v(U, h)
= v(V, k)
= (k ◦ β)0 (0),

where the penultimate step follows since v is a physically-defined tangent vector.

We summarize our work in Figure 9.

curves derivations

Φ1 : Tpgeom (M ) Tpalg (M )

[α : (−ε, ε) → M ] [(f : M → R) 7→ (f ◦ α)0 (0)]

derivations vectors/change of coords

Φ2 : Tpalg (M ) Tpphy (M )

v [(U, h) 7→ (v(h1 ), . . . , v(hn ))]

vectors/change of coords curves

Φ3 : Tpphy (M ) Tpgeom (M )

v [t 7→ h−1 (h(p) + tv(U, h))]

Figure 9. The linear isomorphisms Φ1 , Φ2 , and Φ3 .

The last thing that needs to be shown is that Φ3 ◦ Φ2 ◦ Φ1 is the identity on

Tpgeom (M ). Beside commutativity of the diagram in Proposition 4.11, this result
will imply that all of the Φi are linear isomophisms since we have already established
that all three versions of tangent space are n-dimensional.
Given a curve [α] ∈ Tpgeom M , the resulting curve after applying Φ3 ◦ Φ2 ◦ Φ1 is
the equivalence class of the curve β, where

β(t) = h−1 (h(p) + t(h ◦ α)0 (0))

22 DAVID PERKINSON AND LIVIA XU

(Note that the i-th component of (Φ2 ◦ Φ1 )([α]) is exactly (hi ◦ α)0 (0)). Then,
since h is a homeomorphism,
(h ◦ β)(t) = h(p) + t(h ◦ α)0 (0).
We can therefore conclude that (h ◦ β)0 (0) = (h ◦ α)0 (0), and α ∼ β as desired. 

4.3. Standard bases. We have now shown in precisely what sense the three spaces
Tpgeom M , Tpalg M , and Tpphy M are actually the same object. Thus, we are safe to
talk about the tangent space to M at p, denoted Tp M , and use any of the three
definitions to denote a tangent vector at p.
Here we define the standard basis for Tp M with respect to chart (U, h) at p,
denoted    
∂ ∂
,..., .
∂x1 p ∂xn p
∂
As an element of Tpgeom (M ), we define ( ∂x i
)p to be the equivalence class of curves
represented by
t 7→ h−1 (h(p) + tei )
where ei is the i-th standard basis vector of Rn . As an element of Tpalg M , i.e., as a
derivation, for f a germ at p, we define
 
∂ ∂
f := (f ◦ h−1 )(h(p)).
∂xi p ∂xi
∂
And finally, as an element of Tpphy M , define ( ∂x i
)p := ei , the i-th standard basis
n
vector of R .
Our previous discuss of the three versions of tangent space have shown that these
are bases, and one can check that they are compatible with our isomorphisms Φi .

4.4. The differential of a mapping of manifolds. Let f : M → N be a differ-

entiable mapping of manifolds and let p ∈ M . Finally, we are ready to define the
differential of f at p. It is a linear mapping dfp : Tp M → Tf (p)N with the following
three descriptions compatible with the maps Φ1 , Φ2 , Φ3 :
• Geometric.
dgeom fp : Tpgeom M −→ Tfgeom
(p) N
[α] 7−→ [f ◦ α]
• Algebraic.
Precomposing by f assigns germs at p to germs at f (p) (see Figure 10).
So f induces an algebra homomorphism, f ∗ : Ef (p) (N ) −→ Ep (M ) that sends
φ ∈ Ef (p) (N ) to φ ◦ f ∈ Ep (M ). Therefore, precomposing by f turns a derivation
at p to a derivation at f (p). We define the differential to be

dalg fp : Tpalg M −→ Tfalg

(p) N
v 7−→ v ◦ f ∗
 NOTES ON MANIFOLDS 23

Figure 10. The germ of φ ◦ f |f −1 (U ) at p is assigned to the germ

of φ : U → R at f (p).

Where v ◦ f ∗ is the derivation that sends a germ φ at f (p) to the germ v(φ ◦ f )
at p (again, see Figure 10).

• Physical.
Choose a chart (U, h) at p and let (V, k) be a chart at f (p) such that f (U ) ⊆ V .
For v ∈ Tpphy M , define

(dphy fp (v))(V, k) := Dh(p) (k ◦ f ◦ h−1 )v(U, h).

Thus, once local coordinates are taken, the differential is the ordinary derivative
mapping given by the Jacobian matrix. See Figure 11.

Figure 11. The differential in terms of physically-defined tangent spaces.

Example 4.12. Consider

f : P2 → P3
(x, y, z) 7→ (x3 , y 3 , z 3 , xyz).

Let p = (1, s, t) ∈ Ux . Then f (p) = (1, s3 , t3 , st). Consider the standard open set
Va = {(a, b, c, d) ∈ P3 | a 6= 0} with coordinate mapping φa (a, b, c, d) = (b/a, c/a, d/a).
With respect to these charts, we have

fe(u, v) = (φa ◦ f ◦ φx −1 )(u, v) = (u3 , v 3 , uv).

Its Jacobian matrix at φx (p) = (s, t) is

 2 
3s 0
J f (s, t) = 0
e  3t2  .
t s
24 DAVID PERKINSON AND LIVIA XU

So given v ∈ Tpphy M that assigns the vector (v1 , v2 ) to (Ux , φx ), we have that dfp (v)
assigns  
v
J f (s, t) 1
e
v2
to (Va , φa ).
Remark 4.13. The differential is functorial! The differential of the identity of M is
the identity of Tp M :
d idp = idTp M .
The differential also respects composition, i.e., the chain rule holds. For a compo-
f g
sition M1 −→ M2 −→ M3 of differentiable maps, we have
d(g ◦ f )p = dgf (p) ◦ dfp .
 NOTES ON MANIFOLDS 25

5. Linear Algebra
Here we will summarize what we need to know about tensors. The presentation
is most extracted from Frank Warner’s, Foundations of Differential Manifolds and
Lie Groups. In the following, all vector spaces are finite-dimensional and define
over an arbitrary field k unless otherwise specified.

5.1. Products and coproducts. Let V and W be vector spaces. The vector
space product of V and W , is the Cartesian product V × W with linear structure
λ(v, w) + (v 0 , w0 ) := (λv + v 0 , w + w0 )
for all λ ∈ k and (v, w), (v 0 , w0 ) ∈ V × W . It is the unique vector space (up to
isomorphism) having the following universal property: Given a vector space X and
linear mappings f : X → V and g : X → W , there exists a linear mapping h : X →
V × W making the following diagram commute:
X
f ∃!h g

V ×W
π1 π2

V W.
Here π1 (v, w) = v and π2 (v, w) = w are the first and second projection mappings,
respectively. The mapping h is given by h(x) = (f (x), g(x)).
Similarly, define the coproduct of V and W , denoted V ⊕ W , by V ⊕ W = V × W
with the same vector space structure. It has the universal property that given linear
mappings f : V → X and g : W → X to a vector space X, there exists a unique
linear mapping h : V ⊕ W → X making the following diagram commute:
X
f ∃!h g

V ×W
ι1 ι2

V W.
Here ι1 (v) = (v, 0) and ι2 (w) = (0, w) are the first and second inclusion mappings,
respectively. The mapping h is determined by h(v, w) = f (v) + g(w). Notice how
the commutative diagram for coproducts is obtained from that for products by
flipping the direction of the arrows.
We could also define the product V1 × · · · × Vn and the coproduct V1 ⊕ · · · ⊕ Vn
for vector spaces V1 , . . . , Vn by slightly extending the definition given above for
the case n = 2. We will leave that to the reader along with the statement and
verification of the corresponding universal properties.
It may seem peculiar to make a distinction between the product and coproduct
here given that they are exactly the same vector spaces. The difference comes
when we consider an infinite family {Vα }α∈A of vector spaces. In that case, we can
Q
define their product α∈A Vα using the Cartesian product, just as above. However,
26 DAVID PERKINSON AND LIVIA XU

Q
their coproduct qα∈A Vα is the vector subspace of α∈A Vα consisting of vectors
for which all but a finite number of components are zero. In that way, the universal
properties are satisfied. (To see why the definition of the coproduct must change in
this case, note that for the coproduct of two vector spaces, the mapping h was given
by h(x) = f (x) + g(x). For an infinite family, the corresponding mapping would
involve an infinite sum, and infinite sums of vectors are not defined in a general
vector space.)

5.2. Tensor Products. Tensor products of vector spaces will allow us to think
of multilinear objects (such as scalar products or determinants, and their general-
izations) in terms of linear objects. We start with an informal description of the
tensor product U ⊗ V ⊗ W of three vector spaces U, V , and W . Its elements are
linear combinations of expressions of the form u ⊗ v ⊗ w where u, v, and w are
elements in U, V , and W , respectively. We are not allowed to swap the vectors,
i.e., v ⊗ u ⊗ w 6= u ⊗ v ⊗ w, in general. The defining property of the tensor is
that it is, roughly speaking, linear with respect to each entry. Thus, for example,
if α ∈ k, u0 ∈ U and v 0 ∈ V ,

(αu + u0 ) ⊗ v ⊗ w = α(u ⊗ v ⊗ w) + u0 ⊗ v ⊗ w,

and
u ⊗ (αv + v 0 ) ⊗ w = α(u ⊗ v ⊗ w) + u ⊗ v 0 ⊗ w,

and similarly for the last component. As a last example, let w0 ∈ W a compute,
using multilinearity:

(2u + u0 ) ⊗ v ⊗ (4w − 3w0 ) = (2u) ⊗ v ⊗ (4w − 3w0 ) + u0 ⊗ v ⊗ (4w − 3w0 )

= (2u) ⊗ v ⊗ (4w) + (2u) ⊗ v ⊗ (−3w0 )
+ u0 ⊗ v ⊗ (4w) + u0 ⊗ v ⊗ (−3w0 )
= 8 u ⊗ v ⊗ w − 6 u ⊗ v ⊗ w0
+ 4 u0 ⊗ v ⊗ w − 3 u0 ⊗ v ⊗ w0 .

Example 5.1. Let e1 , e2 be the standard basis vectors for R2 , and let f1 , f2 , f3
be the standard basis vectors for R3 . Takev = (2, 3) ∈ R2 and w = (3, 2, 1) ∈ R2 .
Then we can write v ⊗ w ∈ R2 ⊗ R3 in terms of the ei ⊗ fj :

v ⊗ w = (2, 3) ⊗ (3, 2, 1)
= (2e1 + 3e2 ) ⊗ (3f1 + 2f2 + f3 )
= 6 e1 ⊗ f1 + 4 e1 ⊗ f2 + 2 e1 ⊗ f3 + 9 e2 ⊗ f1 + 6 e2 ⊗ f2 + 3 e2 ⊗ f3 .

If you follow the above calculations, then you understand exactly the type of
gadget we are looking for. We pause now for the formal construction (which is
not as important as understanding the above calculation). We then describe the
purpose of the tensor product be exhibiting its universal property.
 NOTES ON MANIFOLDS 27

5.2.1. Construction of the tensor product. To construct the tensor product V ⊗ W

of vector spaces V and W , let F (V, W ) be the free vector space on the set of
symbols {[v, w] | v ∈ V, w ∈ W }. Thus, these symbols form a basis for F (V, W ): an
arbitrary element of F (V, W ) is a linear combination of these symbols and there
is no relation among them. For instance, [v, w], [v 0 , w] and [v + v 0 , w] are linearly
independent if v, v 0 , and v + v 0 are distinct.
We now mod out by a subspace of F (V, W ) in order to force the resulting equiv-
alence classes of the [v, w] to be “multilinear”. To that end, define T to be the
subspace of F (V, W ) generated by the following vectors:
[v1 + v2 , w] − [v1 , w] − [v2 , w]
[v, w1 + w2 ] − [v, w1 ] − [v, w2 ]
[αv, w] − α[v, w]
[v, αw] − α[v, w]
for all α ∈ k, v, v1 , v2 ∈ V , and w, w1 , w2 ∈ W . Finally, define
V ⊗ W := F (V, W )/T
and v ⊗ w := [v, w] mod T for each v ∈ V and w ∈ W . (Modding out by T forces
(the equivalence class of) each of the generators listed above to be 0, which gives
just the multilinearity we want.) The tensor product of vector spaces V1 , . . . , Vn is
defined similarly.

Remark 5.2. Note that scalars can “float around” in tensors: for α ∈ k and u ⊗ v ⊗
w ∈ U ⊗ V ⊗ W,
α(u ⊗ v ⊗ w) = (αu) ⊗ v ⊗ w = u ⊗ (αv) ⊗ w = u ⊗ v ⊗ (αw).

5.2.2. Universal property of the tensor product. Define

ι: V × W → V ⊗ W
(v, w) 7→ v ⊗ w,
and note that ι is bilinear ι(αv + v 0 , w) = αι(v, w) + ι(v 0 , w), and similarly for the
second component). The tensor product V ⊗ W is characterized (up to isomor-
phism of vector spaces) by the following universal property: Given any bilinear
mapping f : V × W → U to a vector space U , there exists a unique linear map-
ping h : V ⊗ W → U such that the following diagram commutes:
V ⊗W
ι ∃!h

V ×W f
U.
Thus, the tensor product allows us to represent a bilinear mapping with a linear
mapping—each contains the same information. The proof of the universal property
is left as an exercise.
More generally, there is a similar commutative diagram that relates a multilinear
mapping V1 × · · · × Vn → U with a linear mapping V1 ⊗ · · · ⊗ Vn → U :
28 DAVID PERKINSON AND LIVIA XU

V1 ⊗ · · · ⊗ V`
ι ∃!linear

V1 × · · · × V` multilinear
U.

5.2.3. Identities. A typical use of the universal property of tensor is to define a

linear mapping V ⊗ W → U for some vector space. One could imagine defining a
function by describing the image of an element v⊗w in terms of some rule involving v
and w. The problem is that each v ⊗ w is really an equivalence class in F (V, W ).
So there is the question of whether the mapping is well-defined. To get around that
problem, one instead defines a bilinear mapping f : V × W → U . By the universal
property of tensor products, there is then an induced linear mapping f˜: V ⊗W → U
with the property that
f˜(v ⊗ w) = f (v, w).
Also note that any linear mapping f : V ⊗ W → U is determined by its values
on tensors of the form v ⊗ w. Not every element of V ⊗ W has the form v ⊗ w for
some choices of v and w. However, elements of that form span V ⊗ W .
The proof of the following proposition illustrates the principle of using the uni-
versal property to define mappings involving tensors.
Proposition 5.3. Let U, V and W be vector spaces over k.
(1) V ⊗k≈V.
(2) V ⊗W ≈W ⊗V.
(3) (V ⊗ W ) ⊗ U ≈ V ⊗ (W ⊗ U ) ≈ V ⊕ W ⊕ U .
(4) V ⊗ (W ⊕ U ) ≈ (V ⊗ W ) ⊕ (V ⊗ U ).
Proof. We will prove the first two parts, the others being similar.
(1) Define f : V → V ⊗ k by f (v) = v ⊗ 1. It is straightforward to check that f
is linear. To define the inverse, note that
V ×k→V
(v, α) 7→ αv
is bilinear. It, thus, induces a linear mapping g : V ⊗ k → V determined
by g(v ⊗ α) = αv. We then have
(f ◦ g)(v ⊗ α) = f (αv) = (αv) ⊗ 1 = v ⊗ α.
and
(g ◦ f )(v) = g(f (v)) = g(v ⊗ 1) = 1 · v = v.
(2) The bilinear mapping
V ×W →W ⊗V
(v, w) 7→ w ⊗ v
induces a linear mapping f : V ⊗ W → W ⊗ V with the property that f (v ⊗
w) = w ⊗ v. By a similar argument, there is a linear mapping g : W ⊗ V →
V ⊗ W with the property that g(w ⊗ v) = v ⊗ w. It is then easy to check
that f and g are inverses.
 NOTES ON MANIFOLDS 29

Proposition 5.4. Let V and W be vector spaces with bases v1 , . . . , vm and w1 , . . . , wn ,

respectively. Then V ⊗ W has basis {vi ⊗ wj }i.j . In particular,
dim(V ⊗ W ) = dim(V ) dim(W ).

Proof. Using the ideas presented above, we can define a sequence of isomorphisms
V ⊗ W ≈ V ⊗ (⊕nj=1 k) ≈ ⊕nj=1 (V ⊗ k) ≈ ⊕nj=1 V ≈ ⊕nj=1 ⊕m
i=1 k ≈ k
mn

sending the vi ⊗ wj to the standard basis vectors for kmn . 

5.3. Symmetric and exterior products. If u ⊗ v ∈ V ⊗ V and u 6= v, then it is

typically the case that u⊗v 6= v ⊗u. (For an exception, we have u⊗(αu) = (αu)⊗u
for any scalar α.) However, there are many situations in which such a commutativity
property would be desirable. Thus, we are led to the notion of symmetric tensors.
For ` ∈ N, define
V ⊗` := V ⊗ · · · ⊗ V .
| {z }
`
⊗0
We take V := k. Consider the subspace T of V ⊗` generated by elements of the
form
v 1 ⊗ · · · ⊗ vi ⊗ · · · ⊗ vj ⊗ · · · ⊗ v` − v1 ⊗ · · · ⊗ vj ⊗ · · · ⊗ vi ⊗ · · · ⊗ v`
formed by swapping two components of the tensor. Then the `-th symmetric product
of V is quotient vector space
Sym` V = V ⊗` /T.
The element v1 ⊗ · · · ⊗ v` ∈ Sym` V is denoted v1 · · · vn , and we are allowed to
commute the vi without changing the element. Elements of Sym` V are called
symmetric tensors. The elements of Sym` V behave just like usual tensors, except
we are now allowed to swap components.
A multilinear function f : V ×` → W is symmetric if f (v1 , . . . , vi , . . . , vj , . . . , v` ) =
f (v1 , . . . , vj , . . . , vi , . . . , v` ) for all i, j. The universal property of symmetric tensors
is that given a multilinear symmetric mapping V ×` → W from the `-fold Cartesian
product of V with itself to W , there exists a unique linear mapping Sym` V → W
making the following diagram commute:
Sym` V
∃!

V ×` multilinear, symmetric
W.

The mapping V ×` → Sym` V is the natural one determined by (v1 , . . . , v` ) 7→

v 1 · · · vn .

Example 5.5. The ordinary dot product:

R n × Rn → R
30 DAVID PERKINSON AND LIVIA XU

n
X
(v, w) 7→ hv, wi = vi w i
i=1

is bilinear. Hence, there is a unique induced mapping Sym2 Rn → R making the

following diagram commute.
Sym2 Rn

R n × Rn R.
It is determined by (v, w) 7→ hv, wi for all v, w ∈ Rn .

Proposition 5.6. If V has dimension n, then

 
` n+`−1
dim Sym V = .
`

Proof. Exercise. If V has basis x1 , . . . , xn , show that Sym` V has basis

{xa1 1 · · · xann | ai ≥ 0 and

P
i ai = `} ,

i.e., the basis consists of all monomials of degree ` in x1 , . . . , xn . The result then
follows from the usual stars-and-bars argument. 

We also define
Sym V := ⊕`≥0 Sym` V
where Sym0 V := k. One may use the universal property for symmetric products
to show there is a well-defined multiplication mapping

Syma V × Symb V → Syma+b V

(α, β) 7→ αβ.

This multiplication turns Sym V into a k-algebra (i.e., a vector space over k which
is also a ring (i.e., has a nice multiplication operation)). In fact, if V has ba-
sis x1 , . . . , xn , then Sym V is isomorphic to the polynomial ring in x1 , . . . , xn with
coefficients in k (but see the section on duality, below, to get a better formulation).

In the same way we defined symmetric products by forcing tensors to commute,

we define exterior products by forcing tensors to anti-commute.
The `-th exterior product of V , denoted Λ` V , to be the quotient vector space

Λ` V := V ⊗` /T,

where T = Spank {v1 ⊗ · · · ⊗ v` | vi = vj for some i 6= j}. The equivalence class of

v1 ⊗ · · · ⊗ v` is denoted v1 ∧ · · · ∧ v` . Elements of Λ` V are called alternating tensors.

Proposition 5.7. In Λ` V , we have, swapping vi and vj for any i 6= j,

v1 ∧ · · · ∧ vi ∧ · · · ∧ vj ∧ · · · ∧ v` = −v1 ∧ · · · ∧ vj ∧ · · · ∧ vi ∧ · · · ∧ v` .
 NOTES ON MANIFOLDS 31

Proof. Through direct computation:

0 = v1 ∧ · · · ∧ (vi + vj ) ∧ · · · ∧ (vi + vj ) ∧ · · · ∧ v`
= 0 + v1 ∧ · · · ∧ vi ∧ · · · ∧ vj ∧ · · · ∧ v` + v1 ∧ · · · ∧ vj ∧ · · · ∧ vi ∧ · · · ∧ v` + 0.

Remark 5.8. If char k 6= 2, i.e., if 1 + 1 6= 0 in k, then we can use the equation

displayed in the above proposition to define T .

A multilinear map f : V ×` → W is alternating if f (v1 , . . . , v` ) = 0 if vi = vj for

some i 6= j. There is a canonical multilinear alternating mapping

ι : V ×` → Λ` V
(v1 , . . . , v` ) 7→ v1 ∧ · · · ∧ v` .

The `-th exterior product is characterized by the following universal property: given
any vector space W and multilinear alternating mapping V ×` → W , there is a
unique linear map Λ` V → W making the following diagram commute:
Λ` V
ι ∃!

V ×` multilinear, alternating W.

Example 5.9. Let k = R. The cross product × : Rn × Rn → Rn is bilinear and

alternating. So there is a unique map × : Λ2 Rn → Rn that sends u ∧ v to u × v for
any u, v ∈ Rn .

Proposition 5.10. If V has dimension n, then

 
` n
dim Λ V = .
`
Proof. Exercise. Show that if e1 , . . . , en is a basis for V , then {ei1 ∧ · · · ∧ ei` | i1 < · · · < i` }
is a basis for Λ` V . 

Exercise 5.11. Recall that the determinant det of a square matrix over k is the
unique multilinear alternating function of its rows that sends the identity matrix
to 1. Let e1 , . . . , en be the standard basis of kn and let v1 , . . . , vn ∈ kn . Show that

v1 ∧ · · · ∧ vn = det(v1 , . . . , vn )e1 ∧ · · · ∧ en .

Exercise 5.12. Show that v1 , . . . , v` ∈ V are linearly dependent if and only if

v1 ∧ · · · ∧ v` = 0.

Remark 5.13. If v1 , . . . , v` are linearly independent, it is tempting to identify the

one-dimensional space spanned by v1 ∧· · ·∧v` ∈ Λ` V with the linear space spanned
by v1 , . . . , v` in V . We will talk about this more when we talk about Grassmannians
later in these notes.
32 DAVID PERKINSON AND LIVIA XU

Define
Λ• V := ⊕`≥0 Λ` V
where Λ0 V := k. Using the universal property of exterior products, we can define
a multiplication on alternating tensors:

Λr V × Λs V → Λr+s V
(λ, µ) 7→ λ ∧ µ.

The vector space Λ• V with this multiplication is called the Grassmann algebra
on V . Note that for λ ∈ Λr V and µ ∈ Λs V we have
rs
λ ∧ µ = (−1) µ ∧ λ.

5.4. Dual spaces. Let hom(V, W ) denote the linear space of all linear mappings V →
W . If f, g ∈ hom(V, W ) and λ ∈ k, then λf + g is defined by

(λf + g) (v) := λf (v) + g(v).

The dual of the vector space V is

V ∗ := hom(V, k).

Exercise 5.14. If v1 , . . . , vn is a basis for V , define vi∗ ∈ V ∗ for each i by

(
1 if i = j,
vi∗ (vj ) := δ(i, j) =
0 otherwise.

Show that {v1∗ , . . . , vn∗ } is a basis for V ∗ . It is called the dual basis to {v1 , . . . , vn }.
Note that this exercise shows that V and V ∗ are isomorphic (if V is finite-dimensional).
However, the isomorphism depends on a choice of basis.

A linear mapping f : V → W induces a dual linear mapping

f∗ : W∗ → V ∗
φ 7→ φ ◦ f

as pictured below;
f
V W φ

k.
The read should check that dualization if functorial: idV : V → V induces idV ∗ : V ∗ →
V ∗ , and commutative diagrams are preserved:
V W V∗ W∗

U U∗ .

Proposition 5.15. We have two isomorphisms:

 NOTES ON MANIFOLDS 33

(1)
Λ` V ∗ → (Λ` V )∗
φ1 ∧ · · · ∧ φ` 7→ [v1 ∧ · · · ∧ v` 7→ det(φi (vj ))]
(2) and
Sym` V ∗ → (Sym` V )∗
`
X Y
φ1 · · · φ` 7→ [v1 · · · v` 7→ φσ(i) (vi ))],
σ∈S` i=1

where S` is the symmetric group of permutations of [`] := {1, . . . , `}.

Sketch of proof of (1). The mapping in (1) exists from the universal property of
alternating tensors and the fact that the determinant is alternating and multilinear
as a function of its rows.
We define the inverse mapping (Λ` V )∗ → Λ` V ∗ in terms of a bases. Fix a basis
e1 , . . . , en for V , and for each integer vector µ such that
1 ≤ µ1 < · · · < µ` ≤ n,
define
eµ := eµ1 ∧ · · · ∧ eµ` .
n
vectors form a basis for Λ` V . Letting e∗1 , . . . , e∗` be the corresponding


These `
dual basis for V ∗ , we get the corresponding basis of vectors
e∗µ := e∗µ1 ∧ · · · ∧ e∗µ` .
for Λ` (V ∗ ).
For each ω ∈ (Λ` V )∗ and basis vector eµ , define
ωµ := ω(eµ1 ) ∧ · · · ∧ ω(eµ` ).
Finally, define
g : (Λ` V )∗ −→ Λ` V ∗
X
w 7−→ wµ eµ ∗ ,
µ : 1≤µ1 <···<µl ≤n

where e∗µ
= e∗µ1 ∧ · · · ∧ e∗µl . The reader may check that g is well-defined and inverse
to the mapping in (1). 

5.4.1. Forms. A multilinear `-form on V is a multilinear mapping V ×` → k. By

the universal property of tensor products, each corresponds to a mapping V ⊗` → k,
and hence to an element of (V ⊗` )∗ . Thus, there is a linear isomorphism between
the vector space of multilinear `-forms on V and the vector space (V ⊗` )∗ ≈ (V ∗ )⊗` .
A symmetric `-form on V is a multilinear symmetric mapping V ×` → k. By the
universal property of symmetric tensors this mapping is identified with a map-
ping Sym` V → k, i.e., to an element of (Sym` V )∗ . Thus, we get an isomorphism
between the linear space of symmetric `-forms and (Sym` (V ))∗ ≈ Sym` V ∗ . An
alternating `-form on V is a multilinear alternating mapping V ×` → k. Since it
34 DAVID PERKINSON AND LIVIA XU

will be useful later, we will let Alt` V denote the linear space of alternating `-forms
on V . Arguing as above, the universal property of alternating tensors gives an
isomorphism
Alt` V ≈ (Λ` V )∗ ≈ Λ` V ∗ .
Example 5.16. The space Sym2 V ∗ is the linear space of symmetric bilinear forms
on V . For instance, any inner product h , i on V can be thought of as an element
of Sym2 V ∗ . (Recall that an inner product is a nondegenate bilinear form. Nonde-
generate means that if v ∈ V and hv, wi = 0 for all w ∈ V , then w = 0.)
Recall that the wedge product defined for the exterior algebra Λ• V ∗ is given by
∧ : Λr V ∗ × Λs V ∗ −→ Λr+s V ∗
(ω, η) 7→ ω ∧ η.
The product is bilinear, associative, and anti-commutative.
Exercise 5.17. Show that taking the exterior algebra of the dual space defines
a contravariant functor Λ• : V 7→ Λ• V ∗ from the category of finite-dimensional k-
vector spaces to the category of graded anti-commutative k-algebras. That is, show
that (1) for f : V → W and ω, η ∈ Λ• W ∗ , f ∗ (ω ∧ η) = (f ∗ ω) ∧ (f ∗ η), (2) for the
f g
composition U −→ V −→ W , we have (g ◦f )∗ = f ∗ ◦g ∗ : Λ• W ∗ → Λ• V ∗ → Λ• U ∗ ,
and (3) id∗V is the identity map on Λ• V ∗ .
5.4.2. Pullbacks. A linear map L : V → W induces, for each ` ≥ 0, a pullback
mapping
L∗ : (Λ` W )∗ → (Λ` V )∗
ω 7→ [v1 ∧ · · · ∧ v` 7→ ω(Lv1 ∧ · · · ∧ Lvl )] ,
or equivalently (using the isomorphisms established above,
L∗ : Λ` W ∗ → Λ` V ∗ → (Λ` V )∗
φ1 ∧ · · · ∧ φ` 7→ L φ1 ∧ · · · ∧ L ∗ φ`
∗
7 → [v1 ∧ · · · ∧ v` 7→ det((φi ◦ L)(vj ))] .
 NOTES ON MANIFOLDS 35

6. Vector Bundles
Recall that in section 4, we learned three equivalent ways to define the tangent
space Tp M of a manifold M at a point p ∈ M . We are also interested in its
dual space Tp∗ M , called the cotangent space, as well as other related vector spaces
Λk Tp M , Λk Tp∗ M , Symk Tp M , Tp∗ M ⊗k , etc.
For each p, we can choose a chart U at p and look at all the tangent spaces at
points in U . Properties of these tangent spaces give local properties of M . But to
study the global properties, we need to look at all points in M and form a vector
bundle. That is, to each point p ∈ M , we attach a vector space such that these
vector spaces behave well under change of charts. Before studying specific bundles,
we briefly introduce the general theory of vector bundles.

Definition 6.1. Let M be an n-dimensional manifold, E an (n + r)-dimensional

manifold, and π : E → M a smooth surjection. We say π : E → M is a vector
bundle of rank r over M if
(1) For every p ∈ M , the fiber over p, Ep := π −1 (p) is a real vector space of
dimension r;
(2) Every point p ∈ M has an open neighborhood U such that there is a fiber-
preserving diffeomorphism φU : π −1 (U ) → U × Rr , meaning it makes the
following diagram commute:
φU
π −1 (U ) U × Rr

π π1
U
where π1 is the usual projection map onto the first coordinate. Further-
more, φU restricts to a linear isomorphism Ep → {p} × Rr on each fiber.
We call E the total space, M the base space, and the map φU a trivialization of
π −1 (U ). A line bundle is a vector bundle of rank 1.

Example 6.2 (Product Bundle). Let V be a vector space of dimension r. Then

the projection π : M × V → M is a vector bundle of rank r. For example, the
cylinder S 1 × R together with the projection π : S 1 × R → S 1 is a product bundle
over S 1 .

Definition 6.3. Let πE : E → M and πF : F → N be vector bundles. A bundle

map from E to F is a pair of differentiable maps (φ : E → F, f : M → N ) such that
(1) The following diagram commutes:
φ
E F
πE πF

M f
N

(2) φ restricts to a linear map φp : Ep → Ff (p) for each p ∈ M .

Abusing language, we usually call φ : E → F alone the bundle map.
36 DAVID PERKINSON AND LIVIA XU

If M = N , then we call the pair (φ : E → F, idM ) a bundle map over M . Also, φ

is a bundle isomorphism over M if there is another bundle map ψ : F → E over M
such that φ ◦ ψ = idF and ψ ◦ φ = idE .
Definition 6.4. A vector bundle π : E → M of rank r is trivial if it is isomorphic
to the product bundle M × Rr → M .
Example 6.5 (Möbius Strip). The open Möbius strip is the quotient of [0, 1] × R
by the identification (0, t) ∼ (1, −t). It gives a line bundle over S 1 that is not
isomorphic to the cylinder. See Exercise 6.9.

Figure 12. A Möbius strip.

Definition 6.6. Let π : E → M be a vector bundle and U ⊆ M be open. A section

of E over U is a smooth function s : U → E such that π ◦ s = idU . That is, for
each p ∈ U , the section s picks out one element of the fiber Ep . We use Γ(U, E)
to denote the collection of all sections of E over U . If U = M , we also write Γ(E)
instead of Γ(M, E) and call elements of Γ(E) the global sections.
Remark 6.7. First note that Γ(U, E) is a vector space over R. Also note that there
is an action on Γ(U, E) by smooth functions on U : for a section s ∈ Γ(U, E), a
smooth function f : U → R, and a point p ∈ U , we define (f s)(p) := f (p)s(p) ∈ Ep .
Thus, Γ(U, E) is a C ∞ (U )-module.
Example 6.8 (Sections of a product line bundle). A section s of the product line
bundle M × Rk → M is a map s(p) = (p, f (p)) for each p ∈ M (see Figure 13). So

Rn

(p, f (p))

p M

Figure 13. A section of the product bundle M × Rk

there is a bijection
{sections of M × Rk → M } ↔ {smooth functions f : M → Rk }.
 NOTES ON MANIFOLDS 37

Exercise 6.9. Show that the open Möbius strip in Example 6.5 as a line bundle
over S 1 is not trivial. (Hint: if it were, it would have a non-vanishing global section,
e.g., s(p) = 1 for all p ∈ S 1 . What is wrong with that?)
Remark 6.10. Given a global section s ∈ Γ(E) and an open set U ⊆ M , we can
always get a section s|U over U by restricting the domain of s. On the other hand,
if s ∈ Γ(U, E) is a section over U , then for every p ∈ U , we can find a global section
s that agrees with s over some neighborhood of p (presumably contained in U ) by
multiplying s with a bump function.
Definition 6.11. A frame for a vector bundle E of rank r over an open set U ⊆ M
is a collection of sections e1 , . . . , er of E over U such that at each point p ∈ U , the
elements e1 (p), . . . , er (p) form a basis for the fiber Ep .
Proposition 6.12. A vector bundle π : E → M of rank r is trivial if and only if
it has a frame over M .
Proof. (⇒) Suppose that π : E → M is trivial with a bundle isomorphism φ : E →
M × Rr . Let u1 , . . . , ur be the standard basis for Rr . Then for every p ∈ M ,
the elements (p, u1 ), . . . , (p, ur ) form a basis for {p} × Rr . So the corresponding
sections ei over M defined by ei (p) := φ−1 (p, ui ) form a basis for Ep .
(⇐) Suppose that e1 , . . . , er ∈ Γ(E) is a frame over M . Then for any p ∈ M
Pr
and e ∈ Ep , we have e = i=1 ai ei (p) for some ai ∈ R. Now define
φ : E −→ M × Rr
e 7−→ (p, a1 , . . . , ar ).
This is a bundle map with inverse
ψ : M × Rr −→ E
r
X
(p, a1 , . . . , ar ) 7−→ ai ei (p).
i=1

38 DAVID PERKINSON AND LIVIA XU

7. Tangent Bundle
Definition 7.1. The tangent bundle of M , denoted T M , is the disjoint union of
tangent spaces: G
T M := Tp M,
p∈M
together with a projection π : T M → M defined by π(v) = p if v ∈ Tp M . We often
denote an element of T M as (p, v), meaning v ∈ Tp M .
The manifold structure on T M induced by the structure on M . For a chart
(U, h) on M , we can form a chart (π −1 (U ), e
h) on T M with e
h defined by
h : π −1 (U ) −→ h(U ) × Rn
e ⊆ R n × Rn
v ∈ Tp M 7−→ (h(p), v(U, h)).
Let (U, h) and (V, k) be charts at p ∈ M . The transition function of the corre-
sponding charts in T M is given by (k ◦ h−1 , D(k ◦ h−1 )).

p ∈ Tp M

π −1 (U ∩ V )
h
e k
e

h(U ∩ V ) × Rn k(U ∩ V ) × Rn
(k◦h−1 ,D(k◦h−1 ))

(h(p), v(U, h)) (k(p), v(V, k))

The differentiable structure on T M is chosen to be the maximal atlas containing
these charts. To put a topology on T M , we say that A ⊆ T M is open if eh(π −1 (U )∩
A) is open for each chart (U, h). Then T M being Hausdorff and second countable
follows. Note that with this structure, the mapping π is differentiable.
Exercise 7.2. Check that T M is Hausdorff and second countable. Conclude that
T M is a differentiable manifold and that π : T M → M is a vector bundle over M
of rank n (recall the vector space structure of Tp M ).
Example 7.3. Let M = Rn . Fix the chart (Rn , id) for M . This induces the map
Tp M ∼= Rn for all p ∈ M . Then T M = π −1 (Rn ) ∼= Rn × Rn . We can think of T Rn
as the result of attaching a copy of R to each point in Rn .
n

Exercise 7.4. Consider the circle S 1 := (x, y) ∈ R2 | x2 + y 2 = 1 . The following
picture leads one to think that T S 1 is trivial:
 NOTES ON MANIFOLDS 39

Prove this fact. [Hint: see Proposition 6.12, parametrize S 1 , and use this parametriza-
tion to define a derivation v(p) smoothly varying with p and never equal to the zero
derivation.]

Definition 7.5. A global section s : M → T M of the tangent bundle T M is called

a vector field.

Remark 7.6. It is not true that the tangent bundle is always trivial. For exam-
ple, consider M = S 2 . The “hairy ball” theorem says that there cannot be non-
vanishing continuous vector fields on M . That is, if s ∈ Γ(T S 2 ) is a global section,
then there must be some p ∈ M such that s(p) = 0. It follows that T S 2 , unlike T S 1 ,
is non-trivial.

Remark 7.7. Let s : M → T M be a vector field. The zero locus of s is the set
{p ∈ M | s(p) = 0}. Note that this is well-defined since s(p) = 0 is not dependent
on the chart.

Let f : M → N be a differentiable map of manifolds. Recall again in section 4

that we defined dfp : Tp M → Tp N , the differential of f at a point p ∈ M . Now we
use this information to induce a bundle map f∗ : T M → T N of tangent bundles
and define df , the differential of f to be this induced map.
Take p ∈ M and a chart (U, h) at p. Let (V, k) be a chart at f (p) such that
∂
f (U ) ⊆ V . Let ( ∂x 1
)p , . . . , ( ∂x∂m )p and ( ∂y∂ 1 )f (p) , . . . , ( ∂y∂n )f (p) denote the bases
for Tp M and Tf (p) N correspondingly. Recall that for dfp , we have the following
diagram:
dfp
Tp M Tf (p) N

∂f
“ ∂xi (p)”
m j
R Rn .
J(k◦f ◦h−1 )(h(p))

To define f∗ on T M , we first define f∗ locally on the chart π −1 (U ):

−1 f∗ −1
πM (U ) πN (V )
∼
= ∼
=

h(U ) × Rm k(V ) × Rn .
(k◦f ◦h−1 , dfp )

Then we can “glue” the pieces together since f∗ commutes with the transition
maps: Take two pairs of charts (Ui , hi ) and (Vi , ki ) with f (Ui ) ⊆ Vi for i = 1, 2.
Let fei denote the composition ki ◦ f ◦ h−1 and observe that the following diagram
i
commutes.
(fe1 ,J fe1,(h(p)) )
h1 (U1 ∩ U2 ) × Rm k1 (V1 ∩ V2 ) × Rn
h2 ◦h−1
1 k2 ◦k1−1

h2 (U1 ∩ U2 ) × Rm k2 (V1 ∩ V2 ) × Rn .
(fe2 ,J fe2,(h(p)) )
40 DAVID PERKINSON AND LIVIA XU

Thus, these local mappings glue to define the differential:

df
TM TN
(2)
f
M N.
Example 7.8. Let M = R2 and N = R3 , and consider the function
f: M →N
(x, y) 7→ (x, y, x2 − x2 ).
Choosing the charts (R2 , idR2 ) and (R3 , idR3 ), the commutative diagram (2) be-
comes
df
R2 × R2 R3 × R3

f
R2 R3 .
with
df : R2 × R2 → R3 × R3
((x, y), (u, v)) 7→ ((x, y, x2 − y 2 ), (u, v, 2xu − 2yv))
since    
1 0   u
u
Jf (x, y)(u, v) =  0 1  = v .
v
2x −2y 2xu − 2yv
 NOTES ON MANIFOLDS 41

8. The Algebra of Differential Forms

Let M be a smooth manifold of dimension n and let p ∈ M . The cotangent
space to M at p is the dual space Tp∗ M = {f : Tp M → R | f linear}. We define the
cotangent bundle for M using the same procedure we used for the tangent bundle.
Start by defining T ∗ M as the disjoint union:
G
T ∗ M := Tp∗ M.
p∈M

To define the manifold/vector bundle structure on T ∗ M , for each chart (U, h) on M

we chose the standard basis (∂/∂xi )p for i = 1, . . . , n for tangent space with respect
to that chart at each point p ∈ U . The gluing instructions were provided by the
linear mappings Dp (k◦h−1 ) : Rn → Rn , where k◦h−1 is a transition function for M .
∗
For the cotangent bundle, we choose the dual basis dxi,p := (∂/∂xi )p . Thus,

  ! (
∂ 1 if i = j
dxi,p = δ(i, j) =
∂xj p 0 if i 6= j,

The gluing instructions for the bundle are provided by the dual mapping Dp (k ◦
h−1 )∗ . We can take the charts for T ∗ M so be the same as those for T M by
identifying Tp M and Tp∗ M in local coordinates via the mapping (∂/∂xi )p 7→ dxi,p .
Then, if (U, h)) and (V, k) are overlapping charts on M , the corresponding transition
function for T ∗ M is given by
π −1 (U ∩ V )
h
e k
e

h(U ∩ V ) × Rn k(U ∩ V ) × Rn
(h◦k−1 ,D(k◦h−1 )∗ )

(h(p), J(k ◦ h−1 )T (p)y) (k(p), y).

Similarly, we can define vector bundles of the form Sym` T M , Λ` T M , Λ` T ∗ M ,

T M ⊗ T ∗ M , etc. For the special case of Λn T ∗ M , where n = dim M , the transition
function for charts (U, h) and (V, k) is as displayed above for T ∗ M except that Rn
is replaced by R ≈ Λn Rn and J(k ◦ h−1 )T (p) is replaced by det(J(k ◦ h−1 )T (p)) =
det(J(k ◦ h−1 )(p)), i.e., multiplication by the determinant of the transition function
at each point p.

Definition 8.1. A k-form on M is a global section of Λk T ∗ M , the vector bundle

over M where the fiber over p ∈ M is Λk Tp∗ M , the k-th exterior power of the
cotangent space at p. We use Ωk M to denote the vector space of k-forms.

Fixing a chart (U, h) and bases as above, a basis for Λk Tp∗ M is provided by

{dxµ,p := dxµ1 ,p ∧ · · · ∧ dxµk ,p | 1 ≤ µ1 < · · · < µk ≤ n},

42 DAVID PERKINSON AND LIVIA XU

where the subscript p is sometimes dropped for convenience. Now consider a k-form
ω : M → Λk T ∗ M . In local coordinates we get
X X
ω(p) = ωµ (p) dxµ = ωµ (p1 , . . . , pn ) dxµ1 ∧ · · · ∧ dxµk ∈ Λk Tp∗ M,
µ µ

where each function ωµ : h(U ) → R is differentiable. (In the above displayed equa-
tion, we are abusing notation slightly by using p to denote what really should
be h(p).)
We note that in the special case where k = n = dim M , then changing basis
affects the local form of ω via the determinant of the transition function.

8.1. The pullback of a differential form by a smooth map. A smooth map

f : M → N of manifolds induces a map Ωk f : Ωk N → Ωk M of k-forms. To describe
this map in coordinates, let us fix some p ∈ M and pick charts (U, h) at p and (V, k)
at f (p) such that f (U ) ⊆ V .
First note that f : M → N induces a map of tangent spaces dfp : Tp M → Tp N .
Taking its dual gives us a map of cotangent spaces (in the opposite direction)
dfp∗ : Tp∗ N → Tp∗ M .
To be more specific, let us start with the case N = R and suppose that g : M → R
is differentiable. We can decompose the induced map dgp : Tp M → Tg(p) R ∼ = R as
a linear combination of the standard basis elements of Tp∗ M using the following
push-forward mapping:
g∗,p =dgp
Tp M Tg(p) R
∼
= ∼
=
∇g(p)
Rn R
∂
A basis vector ( ∂x i
)p of Tp M is sent to ei , the i-th standard basis vector of Rn , which
◦g◦h−1
is then sent to ∂xi (p) = ∂ idR∂x
∂g
i
(h(p)). Thus dgp ∈ Tp∗ M and in coordinates,
we can simply write
n  
X ∂g
dgp = (p)dxi,p .
i=1
∂xi

Example 8.2. For example, if we have g : R2 → R with g(x, y) = xy 2 + y, then at

p = (1, 1), dg = y 2 dx + (2xy + 1) dy and dgp = dx + 3 dy.

Now let us return to the function we started with, a smooth map f : M → N of

manifolds. Suppose that M has dimension m and N has dimension n. What does
the previous case say about the induced map dfp∗ ? Again recall the diagram for dfp :
∂ dfp
( ∂x 1
)p , . . . , ( ∂x∂m )p Tp M Tp N ( ∂y∂ 1 )p , . . . , ( ∂y∂n )p

Jfp
e1 , . . . , e m Rm Rn ee1 , . . . , een
(k◦f ◦h−1 )0 (h(p))

Taking its dual gives us the following diagram:

 NOTES ON MANIFOLDS 43

dfp∗
dy1,f (p) , . . . , dyn,f (p) Tf∗(p) N Tp∗ M dx1,p , . . . , dxm,p

ee∗1 , . . . , ee∗n (Rn )∗ (Rm )∗ e∗1 , . . . , e∗m

∼
= ∼
=
Jfp>
ee1 , . . . , een Rn Rm e1 , . . . , e m
This means that dfp∗ (dyi,p ) is the i-th column of the matrix Jfp> , which is the i-th
row of the Jacobian Jfp . In this way we have
m
X ∂fi call
dfp∗ (dyi,p ) = ∇fi (p) = (p)dxj = d(fi )p = dfi,p .
j=1
∂xj

It follows that dfp∗ induces a map

Λk dfp∗ : Λk Tf∗(p) N −→ Λk Tp∗ M
call
dyµ,p 7−→ dfµ1 ,p ∧ · · · ∧ dfµk ,p = dfµ,p
Now take a k-form ω : N → Λk T ∗ N on N . Define
call
Ωk fp ω = fp∗ ω := Λk dfp∗ ◦ ω ◦ f : M −→ Λk T ∗ M
X
p 7−→ ωµ (f (p))dfµ,p ,
µ

where ωµ (f (p)) is the coefficient of dyµ,p in ω. Finally, we can glue everything

together and obtain a corresponding k-form f ∗ ω : M → Λk T ∗ M on M as shown
in the following diagram.
Λk df ∗
Λk T ∗ M Λk T ∗ N
f ∗ω ω

M f
N
And locally, we have
!
X X
fp∗ wµ (f (p)) dyµ,f (p) = wµ (f (p))dfµ,p .
µ µ

Example 8.3. Define

f : R2 −→ R3
(u, v) 7−→ (u2 − v, u + 2v, v 2 )
and consider ω = x2 dx ∧ dy + (x + z)dy ∧ dz ∈ Ω2 R3 . We can compute f ∗ ω:
(f ∗ ω)(du ∧ dv) = ωx,y (f (u, v)) dfx,y + ωy,z (f (u, v)) dfy,z
= (u2 − v)2 d(u2 − v) ∧ d(u + 2v) + (u2 − v + v 2 ) d(u + 2v) ∧ d(v 2 )
= (u4 − 2u2 v + v 2 )(2u du − dv) ∧ (du + 2dv)
+ (u2 − v + v 2 )(du + 2dv) ∧ (2v dv)
= ···
44 DAVID PERKINSON AND LIVIA XU

= (4u5 v + u4 − 8u3 v 2 + 4uv 3 + 2v 3 − v 2 )du ∧ dv.

Exercise 8.4. Note that there is an isomorphism Λ1 T ∗ M ∼ = T ∗ M . So for ω a

1-form on M and any point p ∈ M , ω(p) is the same as a smooth, real-valued
function on the tangent space Tp M . Consider a differentiable map f : Rn → R. Let
ω = dx ∈ Ω1 R. What is the pullback f ∗ ω?
8.2. The exterior derivative. The next goal is to associate to each manifold M
a cochain complex
d d d d
0 → Ω0 M −→ Ω1 M −→ Ω2 M −→ Ω3 M −→ · · ·
called the de Rham complex. For each k ≥ 0, we will construct a linear operator
d : Ωk M → Ωk+1 M , called the exterior derivative, such that d2 = 0 (and d behaves
well under change of coordinates). The exterior derivative and the product on
exterior products discussed earlier (via concatentation) makes Ω• M := k≥0 Ωk M
L

into what is called a graded, anti-commutative, differential algebra.

Theorem 8.5. Let M be a manifold of dimension n. There exists a unique sequence
of linear maps
d d d d
(3) 0 → Ω0 M −→ Ω1 M −→ Ω2 M −→ Ω3 M −→ · · ·
such that:
(i) If f ∈ Ω0 M , i.e., f : M → R, then df is the normal differential;
(ii) Equation (3) is a complex, i.e., d2 = d ◦ d = 0;
(iii) d satisfies the product rule: d(ω ∧ η) = dω ∧ η + (−1)r ω ∧ dη for ω ∈ Ωr M .
In local coordinates, d is given by
n
X XX ∂aµ
(4) d( aµ dxµ ) = dxi ∧ dxµ .
µ µ i=1
∂xi

Proof. Suppose that d : Ωk M → Ωk+1 M is a linear map satisfying the above three
conditions. We first prove uniqueness of d by showing that it has to be given by
equation (4) in any local coordinates.
P
Let ω be a k-form and suppose that ω = µ ωµ dxµ using local coordinates
on U . Using all three properties of d, we have
X
dω = d( ωµ dxµ )
µ
X
= (d(ωµ dxµ ))
µ
X
= (d(ωµ ) ∧ dxµ + (−1)0 ωµ (d(dxµ )))
µ
n
X X ∂ωµ
= (( dxi ∧ dxµ ) + 0)
µ i=1
∂xi
n
XX ∂ωµ
= dxi ∧ dxµ .
µ i=1
∂xi
 NOTES ON MANIFOLDS 45

Now we show that the definition in equation (4) satisfies the three properties,
proving existence of such an operator. Note that df being the normal differential
follows immediately from the definition. To see that df 2 = 0, without loss of
generality, consider the form a dxµ and compute:
n n
X ∂a X ∂2a
d2 (a dxµ ) = d( dxj ∧ dxµ ) = dxi ∧ dxj ∧ dxµ .
j=1
∂xj i,j=1
∂xi ∂xj
2 2
If i = j, then dxi ∧ dxj = 0. If not, then ∂x∂i ∂x
a
j
dxi ∧ dxj = − ∂x∂j ∂x
a
i
dxj ∧ dxi .
To show that df satisfies the product rule, first note that for any zero-form
f ∈ Ω0 M , by definition we have
d(f dxµ ) = (df ) ∧ dxµ .
Now consider a k-form ω = f dxµ and any other differential form η = g dxν . Using
the usual product rule, we compute:
d(ω ∧ η) = d(f dxµ ∧ g dxν )
= d(f g dxµ ∧ dxν )
= d(f g) ∧ dxµ ∧ dxν
= (g df + f dg) ∧ dxµ ∧ dxν
= (df ∧ dxµ ) ∧ (g dxν ) + (−1)k (f dxµ ) ∧ (dg ∧ dxν ),
where the (−1)k comes from dg ∧ dxµ = (−1)k dxµ ∧ dg.
We have now shown that for each chart (U, h) in an atlas for M , we have an
operator dU satisfying the required properties. On overlaps, these operators must
agree by uniqueness, and hence they glue together to define a global operator d. 
Definition 8.6. The operator df is called exterior differentiation, and dω is called
the exterior derivative of ω.
Lemma 8.7. Let f : M → N be a smooth map of manifolds. Then f ∗ , the pullback
by f , commutes with d. That is, for any ω ∈ Ωk N , we have
f ∗ (dω) = d(f ∗ ω).
Exercise 8.8. Prove the above lemma.
The fact that
d d d d
0 → Ω0 M −→ Ω1 M −→ Ω2 M −→ Ω3 M −→ · · ·
is a sequence of mappings of abelian groups (even of vector spaces) and that d2 = 0
says that the sequence forms a cochain complex.5 A mapping of cochain complexes
is a sequence of homomorphisms between spaces with the same indices and com-
muting with the corresponding d mappings. For instance, Lemma 8.7 tells us that
the pullback is a cochain map. In detail, given f : M → N we get the following
commutative diagram:
5A chain would be a sequence of such mappings between abelian groups in which the indices

on the spaces went down instead of up.

46 DAVID PERKINSON AND LIVIA XU

d d d d
0 Ω0 N Ω1 N Ω2 N ...
∗ ∗ ∗
f∗ f f f

0 d Ω0 M d
Ω1 M d
Ω2 M d
...
∗ • •
We might abbreviate the above by f : Ω N → Ω M .
Lemma 8.9. Pullbacks respect compositions: applying pullbacks to a commutative
diagram of mappings of manifolds
f
M N
g
g◦f
P
induces, for each k ≥ 0, the commutative diagram
f∗
Ωk M Ωk N
g∗
f ∗ ◦g ∗
Ωk P
Together with the fact that the pullback by the identity function on a manifold
is the identity on k-forms, we have a just seen that pullback of differential forms
gives a contravariant functor from the category of smooth manifolds to the category
of cochain complexes.
Definition 8.10. A k-form ω is exact if there is a (k − 1)-form η such that dη = ω.
It is closed if dω = 0.
Note that an exact form is closed since d2 = 0. We will have much more to say
about exactness when we discuss DeRham cohomology, later.
 NOTES ON MANIFOLDS 47

9. Oriented Manifolds
In ordinary integration of a one-variable function, we have
Z 1 Z 0
f dx = − f dx.
0 1
This formula is a first hint at the role played by an orientation of the underlying
manifold. In ordinary integration in several variables, reordering the standard basis
vectors gives a change of basis whose Jacobian is the corresponding permutation
matrix. Thus, via the change of variables formula for integration, the sign of the
integral will change by the sign of this permutation. Thus, before we can talk about
(coordinate-free) integration on a manifold, we need to add the additional structure
of an orientation.
Definition 9.1. Let V be a real vector space. Two ordered bases hv1 , . . . , vn i and
hw1 , . . . , wn i have the same orientation if the mapping V → V that sends vi to wi
has positive determinant.
The property of having the same orientation defines an equivalence relation on
the set of ordered bases of V with two equivalence classes, each of which is called
an orientation on V . Having chosen an orientation O, we get an orientated vector
space (V, O).
Ordered bases in O are said to be positively oriented; otherwise they are nega-
tively oriented.
Example 9.2. Let V = R3 and let e1 , e2 , e3 denote the standard basis of R3 .
The six possible ordered bases formed from these vectors fall into two equivalence
classes:
he1 , e2 , e3 i ∼ he2 , e3 , e1 i ∼ he3 , e1 , e2 i,
he2 , e1 , e3 i ∼ he1 , e3 , e2 i ∼ he3 , e2 , e1 i.

Exercise 9.3. Draw the six frames of the form

ek

ei ej

for the vectors given in the previous example. How is orientation reflected in the
geometry of these frames.
Note that if we have Rn with the standard basis e1 , . . . , en , then an ordered
basis formed using these vectors can be identified with a permutation σ ∈ Sn on n
letters. In this way, the ordered basis heσ(1) , . . . , eσ(n) i has the same orientation as
he1 , . . . , en i if sign(σ) = 1.
Also, for example, h2e1 + e2 , e2 , e3 i ∼ he1 , e2 , e3 i since
 
2 0 0
det 1 1 0 = 2 > 0.
0 0 1
48 DAVID PERKINSON AND LIVIA XU

In order to integrate on manifolds, we want the tangent spaces to be oriented in

a coherent way.
Definition 9.4. Let M be a manifold of dimension n. A family {Op }p∈M of
orientations Op of the tangent space Tp M is locally coherent if around every point
of M there is an orientation-preserving chart (U, h), meaning that for every u ∈ U ,
the differential
∼
=
dhu : Tu M −→ Rn
takes the orientation Ou to the usual orientation of Rn (the orientation of he1 , . . . , en i).
Definition 9.5. An orientation of a manifold M is a locally coherent family O =
{Op }p∈M of orientations of its tangent spaces. An oriented manifold is a pair
(M, O) consisting of a manifold M and an orientation O of M .
Definition 9.6. A diffeomorphism f : M → N is orientation-preserving if dfp : Tp M →
Tf (p) N is orientation-preserving for all p ∈ M .
Definition 9.7. An atlas A of M is called an orienting atlas if all its transition
maps w are orientation-preserving, that is, if det(Jw(x)) > 0 for all appropriate x.
Remark 9.8. If M is already oriented, then the orientation of M gives a maxi-
mal orienting atlas. Conversely, if A is an orienting atlas, then there is a unique
orientation of M such that A consists of orientation-preserving charts. (Note that
“orientation-preserving” means different things for charts and for diffeomorphisms.)
Exercise 9.9. Convince yourself that the above remark is true.
Example 9.10. The n-sphere is orientable. To see this, we use charts given by
stereographic projection. For example, we look at the circle S 1 centered at the
origin (0, 0) as shown in Figure 14, with the arrow indicating the chosen orientation
(counterclockwise). Let x, y denote the coordinates of R2 . We can either project S 1

Figure 14. S 1 with the counterclockwise orientation.

onto the line y = −1 from the north pole (0, 1) or project S 1 onto the line y = 1
from the south pole (0, −1) as shown in Figure 15. In this way we obtain two
charts covering S 1 . Let U + = S 1 \{(0, 1)}, U − = S 1 \{(0, −1)}, and let φ+ and φ−
denote the corresponding projection maps. Note that both φ+ (U + ) and φ− (U − )
are isomorphic to R and the transition map from U + to U − is smooth (check
this!). However, the transition map is not orientation-preserving. Notice that the
orientation of the image φ− (U − ) is different from that of φ+ (U + ). Hence the charts
 NOTES ON MANIFOLDS 49

Figure 15. Stereographic projection of S 1 from the north pole

and from the south pole.

(U + , φ+ ), (U − , φ− ) do not form an orienting atlas. To resolve the problem, we can

change φ− to −φ− and use the charts (U + , φ+ ), (U − , −φ− ) instead.
Example 9.11. The open Möbius strip in Example 6.5 is non-orientable. The
projective space Pn is orientable if and only if n is odd, e.g. P1 ≈ S 1 . We will later
develop better tools for proving non-orientability.
50 DAVID PERKINSON AND LIVIA XU

10. Integration of Forms

For a quick introduction to the Lebesgue integral, see Appendix C.
Let M be an oriented manifold of dimension n and let ω ∈ Ωn M be an n-form.
R
In order to integrate ω on M and compute the integral ω M , we want to break M
into nice “cells” and integrate ω on these cells with respect to local coordinates.
10.1. Definition and properties of the integral.
Definition 10.1. A subset X ⊆ M is measurable if h(X ∩ U ) ⊆ Rn is measurable
for all charts (U, h). We say that X has measure zero if h(U ∩X) ⊆ Rn has measure
zero for all charts (U, h).
To define the integral, we cover M by a countable collection of disjoint measur-
able sets {Ai }i and orientation-preserving charts {(Ui , hi )}i with Ai ⊆ Ui . (Recall
that M is second countable.) Locally, with respect to each (Ui , hi ), we have
ai (p) dx1,p ∧ · · · ∧ dxn,p
ω(p) = e
for some e ai ◦ h−1
ai : Ui → R. Define ai : hi (Ui ) → R by ai = e i .

Remark 10.2. To see that the sets {Ai } and {Ui } with the claimed properties
always exist, start with any orienting atlas V = {(Vα , kα )} (this is possible since
we are assuming M is orientable). Since M is second-countable, it has a countable
basis B for its topology. For each p ∈ M , take a chart (Vα , kα ) at p, and then,
since B is a basis, we can find U ∈ B such that p ∈ U ⊆ Vα . Save the chart (U, h)
where h := kα |U . In the end, since B is countable, so is the set of charts we saved.
Thus, we have new countable orienting atlas U = {(Ui , hi )}. Now let A1 := U1 , and
let Ai+1 := Ui+1 \ ∪ij=1 Aj for i ≥ 1.
Definition 10.3. Using the notation above, we say that ω is integrable if each
P R
ai : hi (Ui ) → R is integrable on h(Ai ) and if i h(Ai ) |ai | < ∞. In this case, we
define the integral to be the sum:
Z XZ
ω := ai .
M i hi (Ai )

Theorem 10.4. Let M be a manifold of dimension n and let ω ∈ Ωn M be inte-

R
grable. Then M ω is independent of choice of charts.
Proof. Suppose that there is another countable collection {Bj }j of disjoint measur-
able sets that cover M and that there are orientation-preserving charts {(Vj , kj )}
such that Bj ⊆ Vj . Locally, with respect to each (Vj , kj ), write
ω = ebj dy1 ∧ · · · ∧ dyn
for some ebj : Vj → R and define bj : kj (Vj ) → R by bj = ebj ◦ kj−1 . We want
P R
to show that: (1) bj is integrable on kj (Bj ); (2) j kj (Bj ) |bj | < ∞; and (3)
P R P R
i hi (Ai ) ai = j kj (Bj ) bj .
First we look at the intersection Ai ∩ Bj and explicitly apply the change-of-
variable theorem. Let φi,j = hi ◦ kj−1 be the transition function, and recall that we
have the following diagrams:
 NOTES ON MANIFOLDS 51

Tp M Tp∗ M
dualizing (dhi )∗ (dkj )∗
(dkj )p (dhi )p −→ p p

Rn Rn Rn Rn
(Jφi,j )kj (p) (Jφi,j )>
k
j (p)

Now take the n-th exterior power, and the transition map becomes multiplication
by det(Jφi,j (kj (p))). Since Λn Rn ∼
= R, we have the following diagram:

dy1,p ∧ · · · dyn,p Λn Tp∗ M dx1,p ∧ · · · dxn,p

1 R R 1
· det((Jφi,j )>
k )=· det((Jφi,j )kj (p) )
j (p)

This means that

dx1,p ∧ · · · ∧ dxn,p = det((Jφi,j )kj (p) ) dy1,p ∧ · · · ∧ dyn,p .
Also, that for any p ∈ Ai ∩ Bj , we have
ai (p) dx1,p ∧ · · · ∧ dxn,p = ebj (p) dy1,p ∧ · · · ∧ dyn,p ,
ω(p) = e
which gives us
ai (p) det((Jφi,j )kj (p) ) = ebj (p).
e
Therefore,
bj (kj (p)) = ebj (p)
=e
ai (p) det((Jφi,j )kj (p) )
= ai (hi (p)) det((Jφi,j )kj (p) )
= (ai ◦ φi,j )(kj (p)) det((Jφi,j )kj (p) ),
i.e.,
bj = (ai ◦ φi,j ) · det(Jφi,j ).
Now compute, applying the change of variables theorem:
Z XZ XXZ
ω= ai = ai
M i hi (Ai ) i j hi (Ai ∩Bj )
XXZ
= ai
i j (φi,j ◦kj )(Ai ∩Bj )
XXZ
= (ai ◦ φi,j ) · det(Jφi,j )
i j kj (Ai ∩Bj )
XXZ
= bj
j i kj (Ai ∩Bj )
XZ
= bj .
j kj (Bj )

Note that det(Jφi,j ) > 0 since we are using an orienting atlas. 

52 DAVID PERKINSON AND LIVIA XU

Definition 10.5. The support of an n-form ω is the closed set

supp(ω) := {p ∈ M | ωp 6= 0} ⊆ M.

Remark 10.6. If M itself is compact, then all n-forms have compact support.

Exercise 10.7. Convince yourself that an n-form ω ∈ Ωn M with compact support

is integrable if and only if it is locally integrable, meaning that around any point,
there is a chart (U, h) such that ω ◦ h−1 : h(U ) → R is integrable on h(U ) ⊆ Rn .
Therefore, if M is compact, then all n-forms are integrable.

Exercise 10.8. Let −M be M with the opposite orientation and let ω ∈ Ωn M be

R R
integrable. Show that −M ω = M −ω.

Proposition 10.9. Let M and N be manifolds of dimension n. Consider f : M →

N an orientation-preserving diffeomorphism. If ω ∈ Ωn N is integrable, then the
pullback f ∗ ω is integrable on M and
Z Z
∗
f ω= ω.
M N

Proof. Exercise. 

10.2. Manifolds with boundary. Now the goal is to prove Stokes’ theorem on
oriented manifolds: Z Z
ω= dω
∂M M
for some (n − 1)-form ω with compact support. But to do so, we need a good
definition of ∂M , the boundary of M and look at manifolds with boundary.

Definition 10.10. Let Rn− denote the half space

Rn− := {x ∈ Rn | x1 ≤ 0}
with the subspace topology inherited from Rn . Define its boundary to be
∂Rn− := {x ∈ Rn | x1 = 0}.
For U ⊆ Rn− , define the boundary of U to be its intersection with ∂Rn−
∂U := U ∩ ∂Rn− = U ∩ ({0} × Rn−1 ).

Remark 10.11. First note that it is possible for ∂U = ∅. Also, the boundary ∂U
is different from the boundary of U in the topological sense, i.e., from U \ U ◦
(cf. Definition B.1).

Definition 10.12. Let U ⊆ Rn− be open. A map f : U → Rk is differentiable

at p ∈ U if there exist an open neighborhood Up ⊆ Rn of p and f˜: Up → Rk a
differentiable map (in the normal sense) such that f |U ∩Up = f˜|U ∩Up . We call f˜ a
local extension of f .

Definition 10.13. Let U, V ⊆ Rn− be open. A differentiable map f : U → V is a

diffeomorphism if it is bijective and has a differentiable inverse.
 NOTES ON MANIFOLDS 53

f
→ Rk
U−

f˜
→ Rk
Up −
p

f |U ∩Up = f˜|U ∩Up

Figure 16. Differentiability at ∂U .

Lemma 10.14. Let U, V ⊆ Rn− be open and let f : U → V be a diffeomorphism.

∼
=
Then f (∂U ) = ∂V . Hence, f |∂U : ∂U −→ ∂V is a diffeomorphism between open
sets of Rn−1 .

Proof. Let p ∈ ∂U , and let fe: Up → Rn be a local extension of f . Suppose for

contradiction that f (p) ∈ V \∂V .

Figure 17. What’s wrong with this picture?

Since f −1 is continuous, (f −1 )−1 (U ∩ Up ) = f (U ∩ Up ) ⊆ V is open in Rn− . Let

Vp ⊆ f (U ∩ Up ) be a neighborhood of f (p) with the further restriction that Vp ⊆
V \ ∂V . Such Vp exists since f (p) ∈ / ∂V by assumption. Define Ṽ = f (U ∩ Up ), and
consider the restriction f −1 |Ṽ : Ṽ → U ∩ Up ⊂ Rn . Our goal is to show that U ∩ Up ,
which is open in Rn− , is actually open in Rn . That will yield a contradiction,
since U ∩ Up contains no open ball about p.
Since f ◦ f −1 |Ṽ = idṼ , for any x ∈ Ṽ , we have
J(f ◦ f −1 )x = Jff −1 (x) (Jf −1 )x = In ,
where In is the identity matrix. In particular, Jfx−1 is invertible for all x. By the
inverse function theorem, f −1 |Ṽ is a local diffeomorphism (cf. Definition A.6) and,
hence, an open map. Therefore, f −1 (Ṽ ) = U ∩ Up ⊆ U is a neighborhood of p that
is open in Rn . This contradicts the assumption that p ∈ ∂U . Thus, f (∂U ) ⊆ ∂V .
The other inclusion follows from applying the same argument to f −1 . 
54 DAVID PERKINSON AND LIVIA XU

Lemma 10.15. Let U, V ⊆ Rn− be open and let f : U → V be a diffeomorphism.

∼
=
Let p ∈ ∂U . Then the well-defined differential dfp : Rn −→ Rn maps ∂Rn− to ∂Rn− ,
Rn− to Rn− , and Rn+ := {x ∈ Rn | x1 ≥ 0} to Rn+ .
Proof. Since we can extend f to some neighborhood of p in Rn , the differential dfp
is well-defined. The goal is to show that the Jacobian Jfp is of the form
 ∂f1 
∂x1 (p) 0 ··· 0
 ∂f2
 ∂x1 (p)


Jfp = 
..

(Jf |∂R− )p

 . n 
∂fn
∂x1 (p)
∂f1
with ∂x1 (p) > 0. Then the result follows. First recall that
∂fi fi (p + tej ) − fi (p)
(p) = lim .
∂xj t→0 t
By Lemma 10.14, for j ≥ 2, we have
∂f1 f1 (p + tej ) − f1 (p) 0−0
(p) = lim = lim = 0.
∂xj t→0 t t→0 t
So the first row of Jfp except for the first entry is zero. At the same time, since
f1 (p + te1 ) ≤ 0,
∂f1 f1 (p + te1 ) − f1 (p) f1 (p + te1 ) − 0
(p) = lim = lim ≥ 0.
∂x1 t→0 − t t→0 − t
∂f1
This forces ∂x1 (p) > 0 or otherwise det(Jfp ) = 0. 
Definition 10.16. An n-dimensional manifold with boundary is a second-countable,
Hausdorff topological space that is locally homeomorphic to open subsets of Rn−
with differentiable transition functions. A point p ∈ M is in the boundary of M if
there is some (hence every) chart (U, h) at p such that h(p) ∈ ∂h(U ) ⊆ Rn− . The
collection of all such points is denoted ∂M .
Remark 10.17. Again note the difference between ∂M and the topological boundary
of M .
Remark 10.18. If M is an n-dimensional manifold with boundary, then the restric-
tions
hU ∩∂M : U ∩ ∂M → ∂h(U ) ⊆ ∂Rn−
of charts (U, h) on M turn ∂M into an (n − 1)-dimensional manifold (without
boundary).
Exercise 10.19. Let M and N be n-dimensional manifolds with boundary and
let f : M → N be a diffeomorphism between manifolds with boundary. Show that
f (∂M ) = ∂N and that the restriction f |∂M : ∂M → ∂N is a diffeomorphism.
Example 10.20. Let M be an n-dimensional manifold. Then it is an n-dimensional
manifold with boundary and ∂M = ∅. To see this, note that for a chart (U, h), we
Sm
can create a finite collection of smaller charts {(Ui , hi )}m
i=1 such that U = i=1 Ui
 NOTES ON MANIFOLDS 55

and hi (Ui ) ⊆ Rn− \∂Rn− . Conversely, if M is a manifold with boundary, then it is a

manifold if ∂M = ∅.

Example 10.21. The closed ball Dn := {x ∈ Rn | |x| ≤ 1} is a manifold with

boundary S n−1 . The cylinder [0, 1] × S 1 is a manifold with boundary equal to the
dijoint union of two circles.

Definition 10.22. Let M be a manifold with boundary and let p ∈ ∂M . Define

the tangent space to M at p to be
∼
=
Tp M := Tpalg M −→ Tpphy M,
as described in section 4. Let (U, h) be a chart at p and define
−1 −1
Tp+ M := (dhp ) (Rn+ ), Tp− M := (dhp ) (Rn− ).
Note that this definition does not depend on the choice of charts by Lemma 10.15.

Remark 10.23. The inclusion ∂M ,→ M gives an inclusion of tangent spaces at

p ∈ ∂M , and in fact we have

Tp ∂M = Tp+ M ∩ Tp− M ,
where the bar indicates topological closure in Rn .

Definition 10.24. Let M be a manifold with boundary and let p ∈ ∂M . We

call elements in Tp− M \Tp ∂M the inward-pointing tangent vectors, and elements in
Tp+ M \Tp ∂M the outward-pointing tangent vectors. Note that this definition can
be given without embedding M into some RN .

The definition of an oriented manifold with boundary is the same as for ordi-
nary manifolds. The boundary then is then orientable, but we would like to fix a
convention for its orientation.

Definition 10.25. Let M be an n-dimensional oriented manifold with boundary

and let p ∈ ∂M . We define the natural orientation on ∂M as follows: an ordered
basis hw1 , . . . , wn−1 i for Tp ∂M is positively oriented if for any outward-pointing
tangent vector v ∈ Tp M , the ordered basis hv, w1 , . . . , wn−1 i for Tp M is positively
oriented in Tp M .

Example 10.26. Let D3 denote the solid unit ball in R3 with its orientation
induced by R3 . Its boundary is ∂D3 = S 2 , and the natural orientation on S 2 is
given by hw1 , w2 i as shown in Figure 18.

10.3. Stokes’ theorem on manifolds.

Theorem 10.27. Let M be an n-dimensional oriented manifold with boundary and

let ω ∈ Ωn−1 M be an (n − 1)-form with compact support. Let ι : ∂M ,→ M denote
the inclusion and define ∂M ω := ∂M ι∗ ω. Then dω is integrable and
R R
Z Z
dω = ω.
M ∂M
56 DAVID PERKINSON AND LIVIA XU

Figure 18. The natural orientation on S 2 = ∂D3 .

Proof. We carry out the proof in three steps of increasing generality.

Case 1: M = Rn− . Write ω as
n
X
ω= ˆ i ∧ · · · ∧ dxn .
ai dx1 ∧ · · · ∧ dx
i=1

Then
n X n
X ∂ai ˆ i ∧ · · · ∧ dxn
dω = dxj ∧ dx1 ∧ · · · ∧ dx
i=1 j=1
∂xj

n
X ∂ai
= (−1)i−1 dx1 ∧ · · · ∧ dxi ∧ · · · ∧ dxn .
i=1
∂xi

This gives us
Z n Z
X ∂ai
dω = (−1)i−1 .
M i=1 Rn
−
∂xi
∂ai
Use Fubini’s theorem to first integrate Rn (−1)i−1 ∂x
R
i
with respect to xi . For i 6= 1,
−
by definition we have
Z ∞ Z t Z 0
∂ai ∂ai ∂ai
= lim + lim
xi =−∞ ∂x i t→∞ 0 ∂x i t→−∞ t ∂xi
= lim (ai (x1 , . . . , xi−1 , t, xi+1 , . . . , xn ) − ai (x1 , . . . , xi−1 , 0, xi+1 , . . . , xn ))
t→∞
+ lim (ai (x1 , . . . , xi−1 , 0, xi+1 , . . . , xn ) − ai (x1 , . . . , xi−1 , t, xi+1 , . . . , xn ))
t→−∞
=(0 − ai (x1 , . . . , xi−1 , 0, xi+1 , . . . , xn )) + (ai (x1 , . . . , xi−1 , 0, xi+1 , . . . , xn ) − 0)
=0,

where limt→∞ ai (x1 , . . . , xi−1 , t, xi+1 , . . . , xn ) = 0 since ω has compact support.

For i = 1, since M = Rn− , we have instead
Z 0 Z 0
∂a1 ∂a1
= lim = a1 (0, x2 , . . . , xn ).
x1 =−∞ ∂x1 t→−∞ x1 =t ∂x1

Therefore,
Z n Z Z Z
i−1 ∂ai ∂a1
X
dω = (−1) = = a1 (0, x2 , . . . , xn ).
M i=1 Rn
−
∂xi Rn
−
∂x1 Rn−1
 NOTES ON MANIFOLDS 57

On the other hand, note that ι : ∂M → M is given by

ι : ∂M −→ M
(x2 , . . . , xn ) 7−→ (0, x2 , . . . , xn ).

Since ι1 ≡ 0, we have
Z Z n Z
X
ω= ∗
ι ω= ˆ i ∧ · · · ∧ dxn )
ι∗ (ai dx1 ∧ · · · ∧ dx
∂M ∂M i=1 Rn−1
n Z
X
= ˆi ∧ · · · ∧ dιn
ai (0, x2 , . . . , xn ) dι1 ∧ · · · ∧ dι
i=1 Rn−1
Z
= a1 (0, x2 , . . . , xn ) dx2 ∧ · · · ∧ dxn
n−1
ZR
= dω.
M

Case 2: Now suppose that M is an arbitrary oriented manifold with boundary

and that supp(ω) ⊆ U for some orienting chart (U, h). We can use the chart to
reduce to the previous case: Using the chart and the fact that supp(ω) ⊆ U , we
may assume M = U ⊆ Rn− . Then extend ω to a form ω e on all of Rn− by letting
e |U = ω, and ω
ω e |U c ≡ 0. This will not cause any problem since supp(ω) ⊆ U is
compact.
Case 3: Finally, suppose that ω ∈ Ωn−1 M is any compactly supported form. For
this case, as we describe below, we can break ω into a finite sum ω = ω1 + · · · + ωr
of (n − 1)-forms, each of which has compact support that is contained in a chart.
Then the previous case applies and we are home.
Around each p ∈ supp(ω), choose an orientation-preserving chart (Up , hp ) and
a smooth and compactly-supported function λp : M → [0, 1] such that λp (p) > 0
and supp(λp ) ⊆ Up (i.e., a bump function). Then {λ−1 p ((0, 1])}p∈supp(ω) is an open
cover of supp(ω). Since supp(ω) is compact, there are p1 , . . . , pr ∈ supp(ω) such
that
r
call
[
supp(ω) ⊆ λ−1
p ((0, 1]) = X.
i=1

Define r differentiable functions τ1 , . . . , τr by

τi : X −→ [0, 1]
λp (x)
x 7−→ Pr i .
i=1 λpi (x)
Pr
Then i=1 τi (x) = 1 for all x ∈ X, and we call τ1 , . . . , τr a partition of unity. To
find the corresponding partition of ω, define ωi ∈ Ωn−1 M by
(
τi (p)ω(p) if p ∈ X;
ωi (p) =
0 otherwise.
58 DAVID PERKINSON AND LIVIA XU

One can see that supp(ωi ) ⊆ Up is compact. Also, ωi is differentiable on M and

ω = ω1 + · · · + ωr . Now by the previous case, we have
Z Z
dωi = ωi ,
M ∂M
and finally, by linearity, Z Z
dω = ω.
M ∂M

 NOTES ON MANIFOLDS 59

11. de Rham Cohomology

Recall that there is a contravariant functor from the category of smooth man-
ifolds to the category of cochain complexes. That is, to each manifold M , we
associate the de Rham complex
d d d
0 → Ω0 M −→ Ω1 M −→ Ω2 M −→ · · · ,

where at degree k we have Ωk M , the k-forms on M , and d : Ωk M → Ωk+1 M is

exterior differentiation. Furthermore, a smooth map f : M → N between manifolds
induces a map between cochains
d d d
0 Ω0 N Ω1 N Ω2 N ···
∗ ∗ ∗
f f f

0 d 1 d d 2
0 Ω M Ω M Ω M ···
The cohomology groups of the de Rham complex of a manifold, defined below,
are important invariants of the manifold. Thus, if two manifolds have different
cohomology groups, then they are not diffeomorphic. Furthermore, using Stokes’
theorem, it can be shown that de Rham cohomology is dual to singular homology
on the manifold, where the latter can be computed through a triangulation of the
manifold and detects topological features of the manifold, for instance, the number
of k-dimensional holes (see Appendix D).

11.1. Definition and first properties. Recall that a form in the kernel of d
is called closed and a form in the image of d is called exact. In the context of
de Rham cohomology, closed forms are called cocycles and exact forms are called
coboundaries.6
Since d2 = 0, every exact form is closed, or said another way, every coboundary
is a cocycle. Thus, we can make the following definition:

Definition 11.1. The k-th cohomology group of the de Rham complex is the quo-
tient
d d
H k M := ker(Ωk M → Ωk+1 M )/ im(Ωk−1 M → Ωk M ).
If ω ∈ Ωk M is a cocycle, we denote the cohomology class of ω by

[ω] := ω + d(Ωk−1 M ).

We say that cocycles ω and η are cohomologous if [ω] = [η], i.e., if ω − η = dα for
some α ∈ Ωk−1 M .

The cohomology groups measure the extent to which the de Rham sequence is
not exact: i.e., H k M = 0 if and only if im dk−1 = ker dk . If its dimension as an
R-vector space is large, then the sequence is far from being exact in degree k. (See
Appendix subsection D.1 for the basics on exact sequences.)

6The terminoloy of cocycles and coboundaries is motivated by singular/simplicial homology

theory, where these concepts have simple geometric interpretations.

60 DAVID PERKINSON AND LIVIA XU

Example 11.2. Let M = R. Since M one-dimensional, its de Rham complex is

d
0 → Ω0 R −→ Ω1 R → 0.

Note that
Ω0 R = {f : R → R | f is smooth}
and that
Ω1 R = {f dx | f : R → R is smooth}.
Also, for a smooth function f : R → R, df = 0 means that f is a constant function.
d
Thus, we have ker(Ω0 R → Ω1 R) ∼ = R. At the same time, for any f ∈ Ω1 R, we
Rx d
can define g(x) = 0 f (t)dt. Then g is smooth and dg = f . Therefore, im(Ω0 R →
Ω1 R) = Ω1 R. In this way we can compute the cohomology groups:
d
H 0 M = ker(Ω0 R → Ω1 R)/ im(0 → Ω0 R) ∼
= R/0 = R,
d
H 1 M = im(Ω0 R → Ω1 R)/Ω1 R ∼
= R/R = 0.

The cohomology groups are not only groups under addition, they are also R-
vector spaces. In fact, there is even more structure. Define the cohomology ring of
M to be
M
H • M := H k M,
k≥0

where the product is induced by the wedge product on Ω• M . This product on

H • M is defined to be

∧ : H r M × H s M −→ H r+s M
([ω], [η]) 7−→ [ω ∧ η].

Theorem 11.3. The product on H • M is well-defined, making H • M into a graded,

anti-commutative R-algebra.7

Proof. Conceptualize the cohomology groups as cocycles modulo coboundaries. We

first need to check that the wedge product of two cocycles is a cocycle. Suppose
ω and η are cocycles, then by the product rule for exterior differentiation, ω ∧ η is
also a cocycle:
d(ω ∧ η) = dω ∧ η ± ω ∧ dη = 0 + 0 = 0.
Next, we show that the product does not depend on the choice of representative.
Let µ ∈ Ωr−1 M and let ν ∈ Ωs−1 M . Then

d((ω + dµ) ∧ (η + dν)) = d(ω + dµ) ∧ (η + dν) + (−1)r (ω + dµ) ∧ d(η + dν)
= dω ∧ (η + dν) + (−1)r (ω + dµ) ∧ dη
= dω ∧ η + dω ∧ dν + (−1)r (ω ∧ dη + dµ ∧ dη)
= (dω ∧ η + (−1)r ω ∧ dη) + (dω ∧ dν + (−1)r dµ ∧ dη).

7An R-algebra is a ring that is also naturally a vector space over R.

 NOTES ON MANIFOLDS 61

We are trying to show that the difference between this form and d(ω ∧ η) is a
coboundary, i.e., in the image of d. By the product rule d(ω ∧ η) = dω ∧ η +
(−1)r ω ∧ dη. The difference is
dω ∧ dν + (−1)r dµ ∧ dη) = d(ω ∧ dν + dµ ∧ η).


Remark 11.4. Recall that a smooth map f : M → N between manifolds induces a

map between k-forms f ∗ : Ωk N → Ωk M . In fact, f also induces a group homomor-
phism between the k-th homology groups f ∗,k : H k N → H k M that also commutes
with the exterior differentiation d. In this way, H • is a contravariant functor from
the category of smooth manifolds to the category of graded, anti-commutative al-
gebras over R. We use f ∗ : H • N → H • M to denote the collection of induced maps
f ∗,k . If f is constant, then f ∗,k ≡ 0 for all k > 0.

Proposition 11.5. Let M be a smooth manifold of dimension n. Then H k M = 0

for all k > n.

Proof. Note that Ωk M = 0 for k > n. 

Proposition 11.6. Suppose that M has c connected components. Then H 0 M ∼ =

Rc . In particular, H 0 M ∼
= R if M is connected.
d Pn ∂f
Proof. If f ∈ ker(Ω0 M → Ω1 M ), then locally we have df = i=1 ∂xi dxi = 0,
∂f
which means that ∂xi = 0 for all i. Therefore, f is locally constant. Since M
is locally path connected, its connected components agree with its path-connected
components. Then f is constant on each connected component: take a path γ in
one of these components and we have (f ◦ γ)0 ≡ 0. (In fact, if g : X → Y is a
locally constant continuous mapping of topological spaces, and points are closed
in Y , e.g., Y is Hausdorff, then g is constant on connected components of X.) 

Exercise 11.7. Let f : M → N be a smooth map between manifolds. Suppose

that M and N are both connected. Show that f ∗,0 : H 0 N → H 0 M is the identity
map on R.

Proposition 11.8. Let M be an orientable manifold of dimension n. Suppose that

M closed, i.e., compact with ∂M = 0. Then H n M 6= 0.

Proof. It suffices to show that there is some n-form on M that is not exact. Ori-
ent M and choose ω ∈ Ωn M such that M ω 6= 0. If there were η ∈ Ωn−1 M
R
R R R
such that ω = dη, then by the Stokes’ theorem, M ω = M dη = ∂M η = 0 since
∂M = ∅ by assumption. 

11.2. Homotopy invariance of de Rham cohomology.

Definition 11.9. Let f, g : M → N be smooth maps between manifolds. We say

that f and g are (smoothly) homotopic, denoted f ∼ g, if there is a smooth map
h : [0, 1] × M −→ N
62 DAVID PERKINSON AND LIVIA XU

such that h(0, x) = f (x) and h(1, x) = g(x) for all x ∈ M (see Figure 19). In that
case, we call h a homotopy from f to g and write f ∼ h g.

We say that f is null-homotopic if f is homotopic to some constant function.

We say that M is contractible if idM is null homotopic.

Figure 19. Homotopy between mapping f, g : R → R2 .

Example 11.10. This example shows that Rn is contractible. Here is a homotopy

from the identity to the constant zero-mapping:
h : [0, 1] × Rn → Rn
(t, x) 7→ (1 − t)x.

At time zero, we have h0 (x) := h(0, x) = x = idRn (x), and at time 1, we have
h1 (x) := h(1, x) = 0.

Exercise 11.11. Show that ∼ is an equivalence relation on the set of mappings

M → N.

Theorem 11.12. Let f, g : M → N be smooth maps that are homotopic. Then

they induce the same map on the cohomology groups, i.e.,
f ∗ = g ∗ : H • N → H • M.

Proof. Let h : [0, 1] × M → N denote the homotopy between f and g such that
h(0, x) = f (x) and h(1, x) = g(x) for all x ∈ M . The goal is to use h to construct a
collection of maps s : Ωk N → Ωk−1 M (shown below, though the diagram does not

d d d d
··· Ωk−1 N Ωk N Ωk+1 N ···
s s s s

d d d d
··· Ωk−1 M Ωk M Ωk+1 M ···

necessarily commute) such that for any ω ∈ Ωk N ,

(5) g ∗ ω − f ∗ ω = (sd + ds)ω.
Then if ω is closed, i.e., dω = 0, we have
g ∗ ω − f ∗ ω = (ds)ω = d(sω),
 NOTES ON MANIFOLDS 63

which implies that [f ∗ ω] = [g ∗ ω] and, hence, f ∗ = g ∗ . Thus, it suffices to show the

existence the mappings s.
To reduce the problem further, for each t ∈ [0, 1], define
it : M −→ [0, 1] × M
x 7−→ (t, x).
We have that (h ◦ i0 )(x) = h(0, x) = f (x) for all x ∈ M and, similarly, h ◦ i1 = g.
For each k, we want to define the “prism operator” P : Ωk ([0, 1] × M ) → Ωk−1 M
such that
(6) i∗1 − i∗0 = dP + P d.
We can let s := P ◦ h∗ :
h∗ P
Ωk N −→ Ωk ([0, 1] × M ) −
→ Ωk−1 M,
and using the fact that the exterior derivative and the pullback operators commute,
we see that Equation 5 is satisfied:
g ∗ − f ∗ = i∗1 h∗ − i∗0 h∗ = (i∗1 − i∗0 )h∗ = (dP + P d)h∗ = d(P h∗ ) + (P h∗ )d = ds + sd,
as required.
So the problem becomes finding the prism operator P . Define
P : Ωk ([0, 1] × M ) −→ Ωk−1 M
Z 1
∂
ω 7−→ ω( , −)
t=0 ∂t
∂
where t is the coordinate on [0, 1]. We need to clarify the meaning of ω( ∂t , −).
We are thinking of ω as a multilinear alternating form acting on tuples of tangent
vectors. In local coordinates, ∂/∂t and dt are dual, i.e., dt(∂/∂t) = 1. So in local
coordinates, if dt occurs in ω, by flipping signs if necessary, we make dt the leading
∂
term in the wedge product. Then ω( ∂t , −) is the form obtained by setting dt equal
∂
to 1. If dt does not occur, then ω( ∂t , −) = 0.8 We pause here for an example of
the prism operator.

Example 11.13. Let M = R3 , and consider the ω ∈ Ω3 ([0, 1] × R3 ) given by

ω = 3t2 + 2xt + x2 y dt ∧ dx ∧ dy + (tx + t2 y) dx ∧ dy ∧ dz.

Then
P ω = P ( 3t2 + 2xt + x2 y dt ∧ dx ∧ dy) + P ((tx + t2 y) dx ∧ dy ∧ dz)

= P ( 3t2 + 2xt + x2 y dt ∧ dx ∧ dy) + 0

Z 1 
2 2


= 3t + 2xt + x y dx ∧ dy
t=0

= 1 + x + x2 y dx ∧ dy ∈ Ω2 M.

8To learn more about this operation, read about interior products in another text on manifolds.
64 DAVID PERKINSON AND LIVIA XU

A 0 appears as a summand in the second step of this calculation since dt does not
appear in (tx + t2 y) dx ∧ dy ∧ dz.

We now resume the proof. The only thing that remains is to show that P satisfies
Equation 6. This is a local question, so we check it in local coordinates t, x1 , . . . , xm ,
where m = dim M , and exterior differentiation, the pullback, and integrals are
linear, we may assume ω has a single term. That term may or may not involve the
differential dt. We consider each of those cases separately:
Case 1: Suppose that ω = `(t, x) dt ∧ dxµ .
Consider the left-hand side of Equation 6 first. Pulling back by i0 (x) = (0, x),
we have
i∗0 (ω) = `(0, x) d0 ∧ dx = 0.
Similarly, i∗1 ω = 0. Therefore i∗1 ω − i∗0 ω = 0. Therefore, to verify Equation 6, we
must check that dP ω = −P dω. Using the fact that dt ∧ dt = 0, compute
Z 1  
d(P ω) = d `(t, x) dxµ
t=0
n Z 1  !
X ∂
= `(x, t) dt dxi ∧ dxµ
i=1
∂xi 0
n Z 1  !
X ∂`
= dt dxi ∧ dxµ
i=1 0 ∂xi

n Z 1 
X ∂`
= dt dxi ∧ dxµ ,
i=1 0 ∂xi
and
n
!
X ∂`
P (dω) = P dxi ∧ dt ∧ dxµ
i=1
∂xi
n
!
X ∂`
=P − dt ∧ dxi ∧ dxµ
i=1
∂xi

n Z 1 
X ∂`
=− dxi ∧ dxµ ,
i=1 t=0 ∂xi
as required.
Case 2: Suppose that ω = `(x, t) dxµ .
Now P ω = 0 and, hence, dP ω = 0. We need to show that i∗1 ω − i∗0 ω = P dω:
n
!
∂` X ∂`
P dω = P dt ∧ dxµ + dxi ∧ dxµ
∂t i=1
∂xi
Z 1 
∂`
= dxµ + 0
t=0 ∂t

= (`(x, 1) − `(x, 0)) dxµ

 NOTES ON MANIFOLDS 65

= i∗1 ω − i∗0 ω.

Corollary 11.14. If f : M → N is null-homotopic, then f ∗,k ≡ 0 for all k > 0.
Corollary 11.15. If M is contractible, then H k M = 0 for all k > 0.
Corollary 11.16 (The Poincaré Lemma). If U ⊆ Rn is open and star-shaped
(meaning that there is x ∈ U such that for all y ∈ U , the line segment connecting
x and y lies entirely in U ), then H k U = 0 for all k > 0.
Exercise 11.17. Prove the above three corollaries.
Definition 11.18. A mapping f : M → N defines a homotopy equivalence if there
is a smooth mapping g : N → M such that f ◦ g ∼ idN and g ◦ f ∼ idM . If so, we
say that M and N are homotopy equivalent.
Remark 11.19. In particular, diffeomorphisms defines homotopy equivalences.
Theorem 11.20. If M and N are homotopy equivalent, then H k M ∼
= H k N for
all k.
Proof. This follows immediately from Theorem 11.12. 
Remark 11.21 (Continuity versus smoothness.). Let M and N be smooth man-
ifolds. We have defined homotopies for smooth functions M → N , and further
our homotopies, themselves are smooth functions. It turns out that all of our
results hold if we allow our mappings to just be continuous rather than smooth.
In detail: we say continuous mappings f, g : M → N (where each of M and N
are still smooth manifolds) are (continuously) homotopic if there exists a conti-
nous mapping h : [0, 1] × M → N such that h(0, x) = f (x) and h(1, x) = g(x) for
all x ∈ M . It can be shown that if f : M → N is a continuous mapping, then it is
continuously homotopic to a smooth mapping f˜: M → N , and if two smooth map-
ping f, g : M → N are continuously homotopic, then they are smoothly homotopic.
The reason the above results are important is that they show that de Rham
cohomology is actually a topological invariant: if M and N are smooth manifolds
that are homeomorphic, then there is an isomorphism of their de Rham cohomology
rings. Without the above results, we could only make that conclusion if M and N
were diffeomorphic—a much stronger condition.
Definition 11.22. Let f : M → N be a mapping of manifolds. Then
(1) f is an immersion if dfp : Tp M → Tf (p) N is injective (see subsection 4.4 for
the definition of dfp —locally, in terms of the “physical” version of tangent
space, it is the mapping determined by the Jacobian of f );
(2) the pair (M, f ) is a submanifold if f is an injective immersion; if M ⊆ N ,
then we say M is a submanifold if (M, ι) is a submanifold where ι is the
inclusion mapping;
(3) f is an embedding if it is a one-to-one immersion and also a homeomorphism
onto im f ⊆ N where the latter set is given the subspace topology.
66 DAVID PERKINSON AND LIVIA XU

Figure 20. The difference between an immersion, a submanifold,

and an embedding ([13]).

Definition 11.23. Let S be an embedded submanifold of M , and let ι : S ,→ M

denote the inclusion. A retraction from M to S is a map r : M → S such that
r ◦ ι = idS . A deformation retraction from M to S is a map F : [0, 1] × M → M
such that:
(1) F (0, −) = idM ,
(2) there is a retraction r : M → S such that F (1, −) = r, and
(3) for all t ∈ [0, 1], F (t, −)|S = idS .

Exercise 11.24. Show that a deformation retraction defines a homotopy equiva-

lence.

Example 11.25. Let M be the open Möbius strip as in Example 6.5. Note that
there is a deformation retraction from M to the unit circle S 1 (Figure 21). So they

Figure 21. The Möbius band deformation retracts to its central circle.

have the same cohomology groups. Similarly, the punctured plane R2 \{(0, 0)} has
a deformation retraction to S 1 (Figure 22). Therefore, one can conclude that
H k M = H k (R2 \{(0, 0)}) = H k S 1 .
[Note to Dave:] We still need to give a direct proof that
(
k 1 R if k = 0, 1;
H S =
0 otherwise.
 NOTES ON MANIFOLDS 67

Figure 22. The punctured plane deformation retracts to the unit circle.

Remark 11.26. Let M be an orientable, closed n-dimensional manifold. Notice that

the linear map
Z
: H n M −→ R
M
Z
[ω] 7−→ ω
M

is well-defined by Stokes theorem:

Z Z Z Z Z Z
(ω + dη) = ω+ dη = ω+ η= ω
M M M M ∂M M

since ∂M = ∅.

Corollary 11.27. Let M be an orientable, closed n-dimensional manifold and let

f : M → N be smooth. Then the composition
R
f∗
H n N −→ H n M −→
M
R

◦f ∗ = ◦g ∗ .
R R
is homotopy invariant, i.e., if f, g : M → N are homotopic, then M N

As an application of the homotopy invariance of de Rham cohomology, we prove

the hairy ball theorem9, stated as follows:

Theorem 11.28. Every vector field on an even-dimensional sphere has at least

one zero.

Proof. Let v be a nowhere vanishing vector field on the n-sphere S n with n even. In
other words, v is a section of tangent bundle, v : S n → T S n such that v(x) 6= 0 for
all x ∈ S n . Let Dn+1 denote the solid unit ball in Rn+1 with boundary ∂Dn+1 =
S n . Now consider the antipodal involution (i.e., its square is the identity) on S n ,

τ : S n −→ S n
x = (x1 , . . . , xn+1 ) 7−→ −x = (−x1 , . . . , −xn+1 ).

9I did not make up the name of this theorem.

68 DAVID PERKINSON AND LIVIA XU

We can think of v(x) as the pointer towards −x (see Figure 23) and construct a
h
homotopy idS n ∼ τ :
v(x)
h(t, x) = cos(tπ)x + sin(tπ) .
|v(x)|
Here, we are identifying Tx S n with vectors in Rn+1 perpendicular to x ∈ Rn (think-
ing of tangent vectors in terms of curves on S n passing through x). One can check
that im(h) ⊂ S n , that h(0, −) = idS n , and that h(1, −) = τ .

Figure 23. The vector v(x) as a pointer.

Now by Corollary 11.27, for any n-form ω on S n , we have

Z Z
ω= τ ∗ ω.
Sn Sn
At the same time, note that τ is an orientation-reversing diffeomorphism when n
is even (det(Jτ ) = −1 if and only if n is even). So we have
Z Z
− ω= τ ∗ ω,
Sn Sn
forcing Z
ω = 0.
R Sn
However, since there are n-forms ω such that S n ω (bump functions, for example,
or use that fact that S n is orientable and hence has a nonvanishing n-form), we
have a contradiction. 
Note that S 1 , which is odd-dimensional, clearly has a nonvanishing vector field.
11.3. The Mayer-Vietoris sequence. We end this section with a long exact
sequence that is a standard tool for computing cohomology.10
Let M be a smooth manifold and let U, V ⊆ M be open. Define the inclusion
maps iU , iV , jU , jV as shown in the following commutative diagram:
U
jU iU

(7) U ∩V U ∪V

jV iV
V
10For background on exact sequences, see Appendix D.
 NOTES ON MANIFOLDS 69

We want to use these inclusion maps to define cochain maps i and j such that the
following sequence of cochain complexes is exact:
i j
0 → Ω• (U ∪ V ) −→ Ω• U ⊕ Ω• V −→ Ω• (U ∩ V ) → 0,
where the boundary map of Ω• U ⊕ Ω• V is (d, d). This short exact sequence will
then induce a long exact sequence called the Mayer-Vietoris sequence:
∂ i j ∂ i
→ H k (U ∪ V ) −→ H k U ⊕ H k V −→ H k (U ∩ V ) −
··· − → H k+1 (U ∪ V ) −→ · · · ,
To see how this sequence would be useful in computing cohomology, suppose M =
U ∪ V and that it is easy to compute the cohomology of U , V , and U ∩ V . Then the
cohomology groups of M are sandwiched in an exact sequence with known groups,
which yields a lot of information. For instance, suppose that H k−1 (U ∩ V ) =
H k (U ) = H k (V ) = 0. In that case, from the Mayer-Vietoris sequence, we know
the following sequence is exact:
0 → H k M → 0,
which tells us that H k M = 0, too.
Lemma 11.29. Using the notation above, there is an exact sequence of cochain
complexes
i j
0 → Ω• (U ∪ V ) −→ Ω• U ⊕ Ω• V −→ Ω• (U ∩ V ) → 0,
where i and j are defined to be
i(ω) = (i∗U ω, i∗V ω),
j(ωU , ωV ) = jU∗ ωU − jV∗ ωV .
Proof. That i and j are cochain maps is easy to check, as is injectivity of i. We
need to show, at each level k, that im(i) = ker(j) and that j is surjective.
We first show that im(i) = ker(j). Let ω ∈ Ωk (U ∪ V ). Since taking cohomology
is functorial, it preserves the commutative diagram in (7), which implies
(j ◦ i)(ω) = j(i∗U ω, i∗V ω) = jU∗ i∗U ω − jV∗ i∗V ω = 0.
So im(i) ⊆ ker(j). Let ωU ∈ Ωk U and ωV ∈ Ωk V . If j(ωU , ωV ) = jU∗ ωU −jV∗ ωV = 0,
then ωU |U ∩V = ωV |U ∩V . So we can glue ωU and ωV together along U ∩ V and
obtain a form ω ∈ U ∪ V and hence (ωU , ωV ) = i(ω).
To see that j is surjective, let ω ∈ Ωk (U ∩ V ). Let {λU , λV } be a partition of
unity on U ∪ V subordinate to the cover {U, V }, i.e., λU , λV : U ∪ V → [0, 1] are
smooth and compactly supported with supp(λU ) ⊆ U and supp(λV ) ⊆ V . Define
ωU = λU ω, ωV = λV ω.
By defining ωU (p) = 0 outside of the support of λU , we may consider ωU to be a
form defined on all of U and with the property that jU∗ ωU = λU ω on U ∩ V . A
similar remark holds for ωV . It follows that
j(ωU , −ωV ) = j ∗ ωU + j ∗ ωV
= λU ω + λV ω
= ω,
70 DAVID PERKINSON AND LIVIA XU

and we are done. 

Theorem 11.30 (Mayer-Vietoris). Let U, V ⊆ M be open. Then there is a long

exact sequence
· · · −→ H k (U ∪ V ) −→ H k U ⊕ H k V −→ H k (U ∩ V ) −→ H k+1 (U ∪ V ) −→ · · · .

Sketch of proof. To prove something a little more general, suppose

0 → A• → B • → C • → 0
be a short exact sequence of cochain complexes. We define H k (A) = ker dA A
k / im dk−1 ,
and similarly for B and C. Then check that the following natural mappings are
well-defined and the horizontal and vertical sequences are exact:

0 0 0

H k (A) H k (B) H k (C) 0

0 Ak Bk Ck
d d d

H k+1 A H k+1 B H k+1 B

0 0 0
The result then follows from the snake lemma. 

Finally, let us see how to use the Mayer-Vietoris sequence to compute the coho-
mology.

Example 11.31. Consider M = S 1 ⊆ R2 . We cover it with two open half circles U

and V (overlapping a little bit) as shown in Figure 24. The Mayer-Vietoris sequence

Figure 24. Cover S 1 with two open half circles.

is:
0 → H 0 S 1 → H 0 U ⊕H 0 V → H 0 (U ∩V ) → H 1 S 1 → H 1 U ⊕H 1 V → H 1 (U ∩V ) → 0.
Notice that each of U and V is diffeomorphic to an open interval of R which is
contractible. So H 0 U = H 0 V = R and H 1 U = H 1 V = 0. At the same time,
the intersection U ∩ V can be contracted to two points, so H 0 (U ∩ V ) = R2 and
 NOTES ON MANIFOLDS 71

H 1 (U ∩V ) = 0. We already know that S 1 is connected, so H 0 S 1 = R. The sequence

then becomes
0 → R → R2 → R2 → H 1 S 1 → 0.
Since the sequence is exact, the alternating sum of the dimensions of terms is 0 (via
rank-nullity). We conclude that dim H 1 S 1 = 1, and, hence, H 1 S 1 = R.
Next, consider the two-sphere. We cover S 2 by two open half spheres as shown in
Figure 25. Both U and V are homotopy equivalent to a point. Their intersection is

Figure 25. Cover S 2 with two open half spheres

the cylinder, which is homotopic equivalent to S 1 . So the Mayer-Vietoris sequence

is:
0 → R → R2 → R → H 1 S 2 → 0 → R → H 2 S 2 → 0.
We can break this into two exact sequence and conclude that
(
k 2 R if k = 0, 2;
H S =
0 otherwise.
Exercise 11.32. Generalize Example 11.31 by proving that the cohomology groups
of the n-sphere is (
k n R if k = 0, n;
H S =
0 otherwise.
Exercise 11.33. Compute the cohomology of the twice punctured plane,
R2 \{(−1, 0), (1, 0)}.
What about the plane with n holes?
Example 11.34. Let T denote the torus and consider a cover T = U ∪ V by two
open cylinders as shown in Figure 26. Use A and B to denote the two connected
components of U ∩ V . Note that U , V , A, and B can all be contracted to S 1 .

Figure 26. Cover the torus with two open cylinders.

So U ∩ V is homotopy equivalent to two circles and H 2 (U ∩ V ) = 0 (since the

72 DAVID PERKINSON AND LIVIA XU

union of two circles is a one-dimensional manifold). One can then use the cover
U ∩V = A∪B and Mayer-Vietoris to show that H 1 (U ∩V ) ∼ = H 1 A⊕H 1 B = R2 (or
use the fact that the cohomology of a manifold is the direct sum of the cohomology
of its components). The Mayer-Vietoris sequence becomes
j ∂
0 → R → R2 → R2 → H 1 T → R2 −→ R2 −→ H 2 T → 0,
where ∂ is the connecting homomorphism, and j : H 1 U ⊕ H 1 V → H 1 (U ∩ V ) is
induced by the map described in Lemma 11.29. By the exactness of the sequence,
we have
H 2 T = im(∂) ∼
= R2 / ker(∂) = R2 / im(j).
To find im(j), note that an element (a, b) ∈ H 1 U ⊕H 1 V is mapped to (a−b, a−b) ∈
H 1 (U ∩ V ) under j. So im(j) ∼
= R and H 2 T ∼= R. A dimension count then gives us
1 ∼
that H T = R . 2

Note: Roughly, a torus has two independent one-dimensional holes and one two-
dimensional hole.
 NOTES ON MANIFOLDS 73

12. Differential Forms on Riemannian Manifolds

A Riemannian manifold is a manifold with a metric. The metric allows us to
talk about geometric properties of the manifold, for example, distances and angles.
some introduction

12.1. Scalar products. Let V be a finite dimensional vector space over R with
dim(V ) = n.

Definition 12.1. A symmetric bilinear form h−, −i : V × V → R is nondegenerate

if the map
[ : V −→ V ∗
v 7−→ hv, −i
is an isomorphism. A nondegenerate symmetric bilinear form is called a scalar
product on V .

Proposition 12.2. Let v1 , . . . , vn be a basis for V and suppose that h−, −i is a

symmetric bilinear form on V . Let G be the n × n-matrix defined by
Gi,j = hvi , vj i.
Then
Pn Pn
(1) If u = i=1 ai vi and w = i=1 bi vi , then
 
b1
  .
hu, vi = a1 ··· an G  ..  ;
bn
(2) The form h−, −i is nondegenerate if and only if det(G) 6= 0.

Exercise 12.3. Prove the above proposition.

Definition 12.4. Let h−, −i be a scalar product on V . A basis v1 , . . . , vn of V is

called an orthonormal basis if
(
0 if i 6= j;
hvi , vj i =
±1 if i = j.
Remark 12.5. Given a scalar product, we can always find an orthonormal basis
with respect to that scalar product (recall Gram-Schmidt).

Example 12.6. The Euclidean space Rn with the usual inner product has an
orthonormal basis e1 , . . . , en .

Remark 12.7. Let h−, −i be a scalar product on V and let e1 , . . . , en be an or-

thonormal basis. There is a scalar product on V ∗ induced by the product on V :
he∗i , e∗j i = hei , ej i,
and the matrices corresponding to the two scalar products with respect to the two
bases are the same.
74 DAVID PERKINSON AND LIVIA XU

Remark 12.8. Let h−, −i be a scalar product on V . By the universal property of

symmetric products, we have a unique map s : Sym2 V → R making the following
diagram commute:
V ×V
h−,−i

Sym2 V ∃!
R
Also, recall the isomorphism (Sym2 V )∗ ∼
= Sym2 V ∗ in Proposition 5.15 given by
Syml V ∗ −→ (Syml V )∗
l
1 X Y
φ1 · · · φl 7−→ [v1 · · · vl 7→ φσ(i) (vi )].
l! i=1
σ∈Sn

Therefore, a scalar product on V is an element of Sym2 V ∗ .

Example 12.9. Let M be a manifold of dimension 4 and let p ∈ M . Suppose that
Tp M has a basis e1 , e2 , e3 , e4 . Consider f = e∗1 2 + e∗2 2 + e∗3 2 − e∗4 2 ∈ Sym2 Tp∗ M . It
corresponds to a symmetric bilinear form on Tp M defined to be
f (ei , ej ) = e∗1 (ei )e∗1 (ej ) + e∗2 (ei )e∗2 (ej ) + e∗3 (ei )e∗3 (ej ) − e∗4 (ei )e∗4 (ej )

0

 if i 6= j;
= 1 if i = j 6= 4;

−1

if i = j = 4,
with the corresponding matrix
1 0 0 0
 
0 1 0 0
G=
0
.
0 1 0
0 0 0 −1
Since G is nonsingular, f is a scalar product on Tp M .
Proposition 12.10. Suppose that h−, −i is a scalar product on V . Let e1 , . . . , en
be a basis of V . Then the composition
Λk [ ∼
=
I : Λk V −→ Λk V ∗ −→ (Λk V )∗
eµ 7−→ heµ1 , −i ∧ · · · ∧ heµn , −i 7−→ [eν 7→ det(heµi , eνj i)]
induces a scalar product on Λk V .
Proof. Bilinear: Straightforward.
Symmetric: Note that
I(eµ )(eν ) = det(heµi , eνj i) = det(heνj , eµi i) = I(eν )(eµ ).
Nondegenerate: Now suppose that e1 , . . . , en is an orthonormal basis of V . Ob-
serve that
(
0 if µ 6= ν;
I(eµ )(eν ) = det(heµi , eνj i) = Qk = ±1.
i=1 heµi , eνi i if µ = ν
 NOTES ON MANIFOLDS 75

So the matrix corresponding to I with respect to the basis {eµ } is a diagonal matrix
with diagonal entries being ±1. Hence I is nondegenerate. 
Theorem 12.11 (Sylvester’s Law of Intertia). Let h−, −i be a scalar product on
V . Then there exists a basis for V such that the matrix for V with respect to this
basis is diagonal of the form
!
Ir 0
G= ,
0 −Is
where Ik is the identity matrix of size k. The integer s is called the index of h−, −i
and is independent of the choice of basis.
Proof. ? 
Definition 12.12. A scalar product on V is positive definite if its index is 0.
12.2. The star operator. Now let V be a finite dimensional oriented vector space
over R and let h−, −i be a scalar product on V .
Definition 12.13. Suppose that e1 , . . . , en is a positively oriented orthonormal
basis for V . The volumn form of V is the n-form over V ∗ :
ωV := e∗1 ∧ · · · ∧ e∗n .
Lemma 12.14. Let e1 , . . . , en and v1 , . . . , vn be orthonormal bases for V . Suppose
Pn Pn
that vj = i=1 ai,j ei and vj∗ = i=1 bi,j e∗i . Define matrices A and B with Ai,j =
ai,j and Bi,j = bi,j . Then
−1
B = (A> ) .
Exercise 12.15. Prove Lemma 12.14.
Proposition 12.16. The volumn form of V is the unique n-form sending each pos-
itively oriented orthonormal basis to 1. More generally, let v1 , . . . , vn be a positively
oriented basis for V and let G be the matrix with Gi,j = hvi , vj i. Then
p
ωV = det(G)v1∗ ∧ · · · ∧ vn∗ ,
and in particular, if v1 , . . . , vn is orthonormal, then ω = v1∗ ∧ · · · ∧ vn∗ .
Proof. Let e1 , . . . , en be a positively oriented orthonormal basis for V . Let Ie be the
matrix for [ : V → V ∗ with respect to the basis e1 , . . . , en , i.e., Ie = diag(1 , . . . , n ),
Pn
where i = hei , ei i ∈ {±1}. Suppose that vj = i=1 ai,j ei . Then we have a
commutative diagram
A
V V
G Ie

V∗ V∗
A>

i.e., G = A> IA.

e So det(G) = det(A)2 det(I). e Since both v1 , . . . , vn and e1 , . . . , en
are positively oriented, det(A) > 0. Hence,
p
det(A) = | det(G)|.
76 DAVID PERKINSON AND LIVIA XU

Finally, by Lemma 12.14, we have

−1
v1∗ ∧ · · · ∧ vn∗ = det((A> ) )e∗1 ∧ · · · ∧ e∗n ,
which is the same as
p
e∗1 ∧ · · · ∧ e∗n = | det(G)|v1∗ ∧ · · · ∧ vn∗ .

Theorem 12.17 (The star operator). Let V be a finite-dimensional oriented vector
space over R with a scalar product h−, −i and let ωV be its volume form. Then for
each k ≥ 0, there exists a unique linear map
∗ : Λk V ∗ → Λn−k V ∗
satisfying
η ∧ (∗ζ) = hη, ζiωV
k ∗
for all η, ζ ∈ Λ V . We call the linear mapping the Hodge ∗-operator, or the star
operator.
Proof. Let e1 , . . . , en be an orthonormal basis for V and use B = {e∗µ }1≤µ1 <···<µk ≤n
to denote the corresponding basis for Λk V ∗ . Since ∗ is determined by its action
on the basis vectors, without loss of generality, suppose that ζ = e∗µ and write
∗ζ = ν aν e∗ν ∈ Λn−k V ∗ . We want to compute the coefficients {aν }ν such that
P

η ∧ (∗ζ) = hη, ζiωV

k
for all η ∈ Λ V . Again, we only need to consider the case η = e∗γ ∈ B. Note that
∗

(
∗ ∗ 0 if γ 6= µ;
hη, ζi = heγ , eµ i = det(heγi , eµj i) =
µ if γ = µ,
Qk
where µ = i=1 heγi , eµi i. So hη, ζi ∈ {±1} if γ = µ. On the other hand, by
definition we have
η ∧ ∗ζ = aγe e∗γ ∧ e∗γe ,
where γe is the index formed by [n]\{γ1 , . . . , γk } arranged in increasing order. Let
τγ be the permutation sending (1, . . . , n) to (γ1 , . . . , γk , γ
e1 , . . . , γ
en−k ). We have
η ∧ ∗ζ = aγe sign(τγ )ωV .
Therefore, by assumption,
(
0 if γ 6= µ;
aγe sign(τγ ) = hη, ζi =
µ if γ = µ.
Hence, (
0 if γ 6= µ;
aγe = sign(τγ )hη, ζi =
sign(τγ )µ if γ = µ.
So we define ∗ζ = ∗e∗µ to be
∗e∗µ := sign(τµ )µ e∗µe .

 NOTES ON MANIFOLDS 77

Remark 12.18. In summary, the star operator is defined to be

∗ : Λk V ∗ −→ Λn−k V ∗
e∗µ 7−→ sign(τµ )µ e∗µe ,
Qk
where µ = i=1 heµi , eµi i = ±1, µ e = (e µ1 , . . . , µ
en−k ) with µ
e1 < . . . < µ
en−k and
{e en−k } = [n]\{µ1 , . . . , µk }, and τµ is the permutation that sends (1, . . . , n)
µ1 , . . . , µ
to (µ1 , . . . , µk , µ en−k ). Hence, e∗µ ∧ e∗µe = sign(τµ )ωV .
e1 , . . . , µ

Example 12.19. Consider R3 with the usual scalar product and let e1 , e2 , e3 be
the standard basis for R3 . Then
∗(e∗1 ∧ e∗2 ) = e∗3 , ∗(e∗1 ∧ e∗3 ) = −e∗2 , ∗(e∗2 ∧ e∗3 ) = e∗1 .

Example 12.20. Consider R4 with the scalar product of index 1 and let e1 , . . . , e4
be an orthonormal basis. Let G = diag(1, 1, 1, −1) be the corresponding matrix for
this scalar product with respect to the basis. Then
∗(e∗1 ∧ e∗3 ) = ±e∗2 ∧ e∗4 .
We have µ = (1, 3) and we want to find the sign. Note that τµ = (23), so sign(τµ ) =
−1. Also, µ = he1 , e1 i · he3 , e3 i = 1. Therefore,
∗(e∗1 ∧ e∗3 ) = −e∗2 ∧ e∗4 .
For another example,
∗(e∗1 ∧ e∗2 ∧ e∗4 ) = sign(34) · 1 · 1 · (−1)e∗3 = e∗3 .

Lemma 12.21. Let V be an oriented vector space over R and let h−, −i be a scalar
product of index s. For each k,
∗∗ = (−1)k(n−k)+s idΛk V ∗ .
Hence, ∗ is an isomorphism.

Exercise 12.22. Prove Lemma 12.21.

Exercise 12.23. Let V be an oriented vector space over R and let h−, −i be a
scalar product of index s. Show that for all η, ζ ∈ Λk V ∗
h∗η, ∗ζi = (−1)s hη, ζi.

12.3. Poincaré duality.

Definition 12.24. A semi-Riemannian manifold of index s is a manifold M to-

gether with a family
h−, −i = {h−, −ip }p∈M
of scalar products h−, −ip of index s on Tp M for all p ∈ M varying smoothly with p
(i.e., the entries in the corresponding matrix are smooth locally around p.) If all
the forms are positive definite, i.e., s = 0, then we call (M, h−, −i) a Riemannian
manifold.
78 DAVID PERKINSON AND LIVIA XU

Remark 12.25. The collection of scalar products h−, −ip of a Riemannian manifold
is sometimes called a Riemannian metric. Note that every oriented manifold can be
given such a metric using the usual scalar product on Rn and a partition of unity.

Remark 12.26. We saw in Remark 12.8 that a scalar product on a vector space V
corresponds with an element of the symmetric product Sym2 V ∗ . Thus, we can de-
fine a semi-Riemannian manifold as a manifold together with a section of the bundle
Sym2 T ∗ M (the fiber at each p ∈ M is Sym2 Tp∗ M ) such that the corresponding
bilinear form on Tp M is nondegenerate for all p ∈ M .

Suppose that M is an oriented semi-Riemannian n-manifold of index s. For each

p ∈ M , on the tangent space Tp M we get a volume form ωTp M and a star operator
∗ : Λk Tp∗ M → Λn−k Tp∗ M that vary smoothly with p. Gluing them together, we
obtain a volume form ωM ∈ Ωn M on M and a star operator ∗ : Ωk M → Ωn−k M
on M .

Definition 12.27. The coderivative δk : Ωn−k M → Ωn−k−1 M is defined by

δk := (−1)k ∗ d ∗−1 .

The coderivative allows us to have the following commutative diagram:

d d d d
0 Ω0 M Ω1 M ··· Ωn−1 M Ωn M 0
∼
= ∗ ∼
= ∗ ∼
= ∗ ∼
= ∗
δ δ δ δ
0 Ωn M Ωn−1 M ··· Ω1 M Ω0 M 0

Now let M be a closed Riemannian n-manifold. We will show that ∗ induces

an isomorphism of cohomology groups H k M ∼ = H n−k M , which gives the Poincaré
duality. By Lemma 12.21, for all ζ ∈ Ωk+1 M we have

d ∗ ζ = (−1)k(n−k) ∗ ∗d ∗ ∗∗−1 ζ = (−1)k(n−k)+(k+1)(n−k−1) ∗ ∗d∗−1 ζ = (−1)k ∗ δζ.

Exercise 12.28. Let η ∈ Ωk M and ζ ∈ Ωk+1 M . Recall the product rule

d(η ∧ ∗ζ) = dη ∧ ∗ζ + (−1)k η ∧ d ∗ ζ.

Show that
d(η ∧ ∗ζ) = dη ∧ ∗ζ + η ∧ ∗δζ.

Remark 12.29. The coderivative δ is independent of the orientation of M . We

define a positive-definite scalar product on Ωk M using the scalar product on each
of Tp M as follows: For all η, ζ ∈ Ωk M , put
Z Z
hhη, ζii := hη, ζiωM = η ∧ ∗ζ.
M M
R
Since by assumption M is closed, by Stokes’ theorem, M d(η ∧ ∗ζ) = 0. So the
above exercise shows that for all η ∈ Ωk M and ζ ∈ Ωk+1 M ,

hhdη, ζii + hhη, δζii = 0.

 NOTES ON MANIFOLDS 79

This meas that −δ is the adjoint of d, i.e.,

hhdη, ζii = hhη, −δζii.
At the same time, the scalar product on Ωk M gives us for free that
ker(dk ) = (im(δn−k−1 ))⊥ , ker(δn−k ) = (im(dk−1 ))⊥ .

Theorem 12.30. Let M be an oriented closed Riemannian n-manifold. Then

Ωk M = ker(dk ) ⊕ im(δn−k−1 ) = ker(δn−k ) ⊕ im(dk−1 ).
as an orthogonal direct sum with respect to the scalar product on Ωk M defined by
Z
hhη, ζii := η ∧ ∗ζ.
M

Remark 12.31. The proof is beyond the scope of these notes, but the interested
reader can consult Chapter 6 of [13].

Corollary 12.32. For M as above,

ker(dk ) = im(dk−1 ) ⊕ (ker(dk ) ∩ ker(δn−k )),
ker(δn−k ) = im(δn−k−1 ) ⊕ (ker(dk ) ∩ ker(δn−k )).

This decomposition led us to consider the harmonic forms on M .

Definition 12.33. The harmonic k-forms on M are

Hk M = {η ∈ Ωk M | dη = 0 and δη = 0}.

Theorem 12.34 (Hodge Theorem). Every de Rham cohomology class of an ori-

ented closed Riemannian manifold is represented by a well-defined harmonic form.
More precisely, for each k, the canonical map
Hk M −→ H k M
η 7−→ [η]
is an isomorphism.

Proof. This follows from Corollary 12.32. 

Remark 12.35. As a result, we have an orthonormal direct sum decomposition

Ωk M = dΩk−1 M ⊕ δΩk+1 M ⊕ Hk M.

Proposition 12.36. The star operator ∗ : Hk → Hn−k M is an isomorphism.

Proof. Let η ∈ Hk M . So dη = δη = 0. Then

d ∗ η = ±δ ∗ η = 0, δ ∗ η = ± ∗ dη = 0.
Hence, ∗(Hk M ) ⊆ Hn−k M . It is an isomorphism since ∗∗ = ± idM . 

Theorem 12.37 (Poincaré Duality). Let M be an oriented closed Riemannian

n-manifold. Then H k M ∼
= H n−k M as described in the following diagram:
80 DAVID PERKINSON AND LIVIA XU

∼
=
Hk M HkM
∗ ∼
= ∼
= Poincaré
∼
=
Hn−k M H n−k M
Corollary 12.38. Let M be a connected oriented closed Riemannian n-manifold.
Then H n M ∼
= R.
 NOTES ON MANIFOLDS 81

13. Toric Varieties

An n-dimensional manifold over C is a second countable Hausdorff space where
the charts are homeomorphic to open subsets of Cn and the transition maps are
holomorphic (locally given by convergent power series). In this section we look at
smooth toric varieties as examples of complex manifolds. The name “toric” comes
from the action on the variety by the algebraic torus (C∗ )n (where C∗ is the set of
nonzero complex numbers, i.e., R2 \ {(0, 0)}).

13.1. Toric varieties from fans. Let N be a lattice of rank n, meaning that it is
a free Z-module generated by some basis w1 , . . . , wn ∈ N . So we have N ∼
= Zn as
Z-modules. Consider the vector space over R
NR := N ⊗Z R ∼
= Rn
obtained from extension of scalars. We can think of N as a collection of points
in N ⊗Z R that have integer coordinates. Let M = hom(N, Z) be the dual lattice
and use MR = M ⊗Z R to denote the corresponding vector space. There is a dual
pairing h−, −i : MR × NR → R defined by
h−, −i : MR × NR −→ R
(f, v) 7−→ f (v).
Let e1 , . . . , en be the standard basis for Rn (hence a basis for NR ). Then in coor-
dinates, the dual pairing can be written as
Pn Pn Pn
h i=1 ai e∗i , i=1 bi ei i = i=1 ai bi .
Further identifying (Rn )∗ with Rn , the pairing M × N is just the ordinary inner
product.
A convex polyhedral cone is the set
Ps
σ = { i=1 ri vi | ri ≥ 0}
for some v1 , . . . , vs ∈ NR . The cone is rational if vi ∈ N . It is strongly convex if it
does not contain a line through the origin. The dual cone σ ∨ ⊆ MR is defined to
be the set
σ ∨ := {u ∈ MR | hu, vi ≥ 0 for all v ∈ σ}.
A face τ of σ is the intersection of σ with any supporting hyperplane: τ = σ ∩ u⊥ =
{v ∈ σ | hu, vi = 0} for some u ∈ σ ∨ . A face of a cone is also a cone.
Let σ be a strongly convex rational polyhedral cone in NR . There is a semigroup
associated with σ:
Sσ := σ ∨ ∩ M.
The group algebra corresponding to σ is
C[Sσ ] := C[eu | u ∈ Sσ ]
whose elements are polynomials in the symbols eu with the relations
eu ev := eu+v and e0 := 1.
82 DAVID PERKINSON AND LIVIA XU

It turns out that Sσ is finitely generated over Z≥0 , i.e., So C[Sσ ] is finitely generated;
that is, fixing u1 , . . . , us , a minimal set of generators for Sσ , we have

C[Sσ ] ∼
= C[x1 , . . . , xs ]/I,
where I is the ideal generated by binomials corresponding to the relations between
the ui ’s:
xa1 1 · · · xann − xb11 · · · xbnn
Ps Ps
where i=1 ai ui = i=1 bi ui . By Hilbert’s theorem, a finite number of these
generators will suffice. Denote the zero set or vanishing set of I as

Uσ := Z(I) := {p ∈ Cs | f (p) = 0 for all f ∈ I}.

Alternatively, if we treat ui ∈ Zn as exponents for monomials in x1 , . . . , xn , we

have
C[Sσ ] ∼
= C[xu1 , . . . , xus ] ⊆ C[x±1 ±1
1 , . . . , xn ],
Qn
where for a ∈ Zn , we use the notation xa := =1 xai i .

Definition 13.1. Let σ be a strongly convex polyhedral cone in N . The affine

toric variety associated to σ, denoted Uσ , is the zero set constructed as above.

Example 13.2. Let n = 1. Note that τ = {0} is a cone. Its dual cone is τ ∨ =
MR ∼ = R, which is generated by v1 = e∗1 = 1 and v2 = −e∗1 = −1 with the single
relation v1 + v2 = 0. So

C[Sτ ] = C[xv11 , xv12 ] = C[x1 , x−1 ∼

1 ] = C[x, y]/(xy − 1)

and the zero set of xy − 1 is

Uτ = {(u, 1/u) ∈ C2 | u 6= 0} ∼
= C∗ := C\{0}
(u, 1/u) 7→ u
(z, 1/z) ←[ z.

In general, for an arbitrary n and τ = {0}, we have

±1 ∼
C[Sτ ] = C[x±1
1 , . . . , xn ] = C[x1 , y1 , . . . , xn , yn ]/(x1 y1 − 1, . . . , xn yn − 1)

and Uτ = (C∗ )n , the n-torus. For any cone σ, the affine toric variety Uσ turns out
to contain the torus as a dense open subset.

If τ is a facet (i.e., a codimension one face) of σ, then there is an inclusion

Uτ ⊆ Uσ which can be described as follows: Suppose that τ = σ ∩ u⊥ for some
u ∈ σ ∨ . Without loss of generality, say u = vs is the last generator of σ. Then
Sσ ⊆ Sτ since the generators of Sτ are the generators of Sσ and −vs , and as a
result, C[Sσ ] ⊆ C[Sτ ] as a subalgebra. To be more explicit, the relations amongst
the generators of Sτ are the relations amongst those of Sσ plus the additional
relation vs + (−vs ) = 0. This means that we have

C[Sσ ] ⊆ C[Sτ ] ∼
= C[y1 , . . . , ys , ys+1 ]/(I + (ys ys+1 − 1)),
 NOTES ON MANIFOLDS 83

where we recall that C[Sσ ] ∼

= C[y1 , . . . , ys ]/I. Therefore, Uτ is subject to one more
restriction than Uσ , and we can identitify Uτ as
Uτ ∼
= Uσ \{ys = 0},
i.e., points in Uσ that have nonzero entry in the last coordinate.

Example 13.3. Consider the case n = 2, and take σ to be generated by e2 and

2e1 − e2 as shown in the left of Figure 27. The cone in the right is the dual
lattice σ ∨ with the three generators of Sσ being circled. The three generators are

Figure 27. A cone σ and its dual. The generators of Sσ are circled.

u1 = e∗1 = (1, 0), u2 = e∗1 +e∗2 = (1, 1) and u3 = e∗1 +2e∗2 = (1, 2). The corresponding
group algebra is
(8) C[Sσ ] = C[xu1 , xu2 , xu3 ] = C[x1 , x1 x2 , x1 x22 ] ∼
= C[y1 , y2 , y3 ]/(y22 − y1 y3 ),
and Uσ = {(y1 , y2 , y3 ) ∈ C3 | y22 = y1 y3 } is a conic surface whose real points are
pictured in Figure 28. Now let τ = R≥0 e2 be the cone generated by e2 . Then τ ∨ is

Figure 28. The real points of the affine toric variety Uσ in Example 13.3.

the upper half plane, and Sτ is generated by e∗1 , −e∗1 , e∗2 . We have
C[Sτ ] = C[x1 , x−1 ∼
(9) 1 , x2 ] = C[z1 , z2 , z3 ]/(z1 z2 − 1).

So
'
→ C∗ × C
Uτ −
(z1 , z2 , z3 ) → (z1 , z3 ),
and the map Uτ → Uσ can be described by
C∗ × C −→ Uσ \{(y1 , y2 , y3 ) ∈ Uσ | y1 6= 0}
(z1 , z3 ) 7−→ (z1 , z1 z3 , z1 z32 ).
84 DAVID PERKINSON AND LIVIA XU

Here is a way to find the above mapping. Under the isomorphisms Equation 8 and
Equation 9, we have
y1 ↔ x1 , y2 ↔ x1 x2 , y3 ↔ x1 x22
and
z1 ↔ x1 , z2 ↔ x−1
1 , z3 ↔ x2 .
Eliminating the xi , we find z1 = y1 , y2 = z1 z3 , and y3 = z1 z32 .
A fan ∆ in NR is a collection of strongly convex rational polyhedral cones σ
in NR such that
(1) If τ is a face of σ, then τ ∈ ∆;
(2) If σ, τ ∈ ∆, then σ ∩ τ ∈ ∆.
Construction of a toric variety from a fan. Let ∆ be a fan in NR . The toric
variety associated to ∆, denoted X(∆) is constructed by starting with the disjoint
union of the affine toric varieties Uσ for all σ ∈ ∆. We then glue these varieties
together according to the following instructions. For each pair of cones σ, σ 0 ∈ ∆
we have induced mappings
C[Sσ ] ,→ C[Sσ∩σ0 ] ←- C[Sσ0 ] ! Uσ ←- Uσ∩σ0 ,→ Uσ0 .
Write
φσ,σ0
Uσ Uσ0
for the mapping that sends the image of each point p ∈ Uσ∩σ0 in Uσ to the image
of p in Uσ0 . The dashed arrow indicates that the mapping is not defined on the
whole domain and codomain. (However, it is a bijection on the images of Uσ∩σ0 .) In
this way, we glue Uσ to Uσ0 along Uσ∩σ0 and φσ,σ0 . For each pair of cones of ∆, we
perform these gluing to arrive at the toric variety X(∆). We then have Uσ ⊆ X(∆)
for each σ ∈ ∆, and the mappings φσ,σ0 then become transition functions. We omit
the verification that all of these gluings are compatible.
Definition 13.4. Let ∆ be a fan in NR . The toric variety associated to ∆, de-
noted X(∆), is constructed from ∆ by gluing the affine toric varieties Uσ for all
σ ∈ ∆.
Example 13.5. Consider the fan ∆ in R consisting of the three cones as shown in
Figure 29. We have

Figure 29. A fan ∆ such that X(∆) = P1 .

C[Sσ1 ] = C[x], C[Sσ2 ] = C[y], C[Sτ ] = C[x, y]/(xy − 1).

∗
So Uσ1 = Uσ2 = C, Uτ = C , and the gluing instruction is given by
 NOTES ON MANIFOLDS 85

φσ1 ,σ2 : Uσ1 99K Uσ2

x 7−→ 1/x.
1
Therefore, X(∆) = P .
Example 13.6. Let n = 2. Consider the fan ∆ with cones σ1 , σ2 , σ3 and their
faces, where σ1 is generated by e1 , e2 , σ2 is generated by e2 , −e1 − e2 , and σ3 is
generated by e1 , −e1 − e2 as shown on the left in Figure 30.

(0, 1) σ1 σ1∨
σ2∨
σ2
(1, 0)
(−1, −1) σ3
σ3∨

Figure 30. Fan ∆ in R2 such that X(∆) = P2 .

We claim that the corresponding toric variety is P2 . Indeed, one can see that
C[Sσ1 ] = C[u, v], C[Sσ2 ] = C[u−1 , u−1 v], C[Sσ3 ] = C[v −1 , vu−1 ],
and as a result,
Uσ1 = Uσ2 = Uσ3 = C2 .
However, notice that their intersections are C∗ × C and the gluing maps are given
by
Uσ1 99K Uσ2 99K Uσ3
(u, v) 7−→ (1/u, v/u) 7−→ (1/v, v/u).
Relabeling u and v as x2 /x1 and x3 /x1 , we see that the gluing morphisms are our
usual transition maps of P2 .
Exercise 13.7. Let en+1 = −e1 − . . . − en . Show that Pn can be constructed
as a toric variety using the fan ∆ with cones generated by the proper subsets of
e1 , . . . , en+1 . To start with, let σi be the cone over e1 , . . . , êi , . . . , en+1 , a maximal
cone in ∆. One can think of Uσi as the standard chart Ui of Pn and the gluing
morphisms are exactly the usual transition functions. You might find this package
of SageMath helpful when finding the generators of the dual cone σi∨ .
Example 13.8 (Hirzebruch Surfaces). Consider the fan depicted in Figure 31,
where the slanting arrow passes through the point (−1, a) for some a ∈ Z>0 . The
corresponding toric variety is called the Hirzebruch surface and is denoted Ha . The
reader should construct the dual cones and verify that
C[Sσ1 ] = C[u, v], C[Sσ2 ] = C[u, v −1 ],
86 DAVID PERKINSON AND LIVIA XU

Figure 31. Fan for the the Hirzebruch surface.

C[Sσ3 ] = C[u−1 , u−a v −1 ], C[Sσ4 ] = C[u−1 , ua v].

Gluing Uσ1 to Uσ2 and gluing Uσ3 to Uσ4 yields two copies of C × P1 . The other
two gluing maps are given by
Uσ1 99K Uσ4 Uσ2 99K Uσ3
(u, v) −
7 → (1/u, ua v), (x, y) −
7 → (1/x, xa /y).
We would now like to define a projection Ha → P1 whose fibers are all P1 , i.e.,
the mapping is surjective and the inverse image of each point in P1 is a copy
of P1 . We say Ha is a P1 bundle over P1 . To construct the projection, consider
the mapping R2 → R2 given by the first projection (x, y) 7→ x. It maps the
lattice N = Z2 ∈ R2 to the lattice N 0 = Z ⊂ R. It also maps each cone σ1 and σ2
to the cone τ1 := R · 1 and each cone σ3 and σ4 to the cone τ2 := R · (−1). Let ∆0
be the fan in R with maximal cones τ1 and τ2 . As we saw earlier, X(∆0 ) = P1 . In
a way specified in general below, the mapping N → N 0 has induced a mapping of
fans ∆ → ∆0 , and in turn this induces a mapping of toric varieties
Ha = X(∆) → X(∆0 ) = P1 .
We have the following commutative mapping in which the dashed arrows are
gluing mappings
Uσ4 (1/u, ua v) (u, v) Uσ1

Uσ3 (1/u, 1/(ua v)) (u, 1/v) Uσ2

Uτ2 1/u u Uτ1

These mappings glue together to give the projection Ha → P1 . Note that the
inverse image of every point in P1 is a P1 .
In general, suppose we have a Z-linear mapping φ : N → N 0 of lattices and fans ∆
and ∆0 in N and N 0 , respectively, having the property that for each cone σ ∈ ∆,
there is a cone σ 0 ∈ ∆0 such that φ(σ) ⊆ σ 0 , then—just as for the example of the
Hirzebruch surface, above—there is a natural mapping X(∆) → X(∆0 ) induced
by φ. In the example of the Hirzebruch surface we used φ(x, y) = x. Note that,
since a > 0, the mapping (x, y) 7→ y would not satisfy the condition.
 NOTES ON MANIFOLDS 87

13.2. Toric varieties from polytopes. A rational polytope P is the convex hull
over a finite set of vertices X ⊆ Qn ⊆ Rn . We can also write P as the bounded
intersection of a finite collection of half spaces in Rn , that is,
P = {x ∈ Rn | Ax ≥ −b}
for some A ∈ Mn×n (Q) and b ∈ Qn . A (proper) face F of P of dimension n − k is
the intersection with k supporting hyperplanes of the form
{v ∈ P | hai , vi = −bi },
where ai is the i-th row of A. A facet is a face of dimension n − 1.
Given a rational polytope P ∈ MR ∼ = Rn , define a fan ∆P whose rays are the
inward pointing normals to the facets of P . There is a cone σv for each vertex v
of P , determined by the normals of the facets incident on v. A nice feature of this
construction is the dual cone of σv is formed by looking at v ∈ P and extending its
edges indefinitely (and translating to the origin).

Example 13.9. Consider the square P with vertices (0, 0), (1, 0), (2, 1), (0, 1) as
shown in the left of Figure 32. We get X(∆P ) = H1 , the Hirzebruch surface,
considered earlier, with a = 1.

v3
v2
σ4 σ1

v1 v4 σ3 σ3∨
σ2
P ⊂ MR
∆P

Figure 32. The fan ∆P associated to a polytope P . The cones

of ∆P are in bijection with vertices of P . The dual cones are
determined by the corresponding vertex figures. For instance, the
blue triangle at v3 determines the dual cone σ3∨

Exercise 13.10. Let n = 2 and let P be the convex polytope in MR with vertices
(−1, 1), (−1, −1), (2, −1). What is the corresponding toric variety X(∆P )? De-
scribe Uσ for each σ ∈ ∆P and the gluing maps between the two-dimensional cones
of ∆P .

13.3. Cohomology of toric varieties. We can compute the cohomology of some

nice toric varieties, namely those that are smooth and complete.
A cone σ ⊆ NR is smooth if it is generated by a subset of a Z-basis of N . A
fan ∆ ⊆ NR is complete if its support is all of NR , i.e., its fans cover NR . Suppose
that ∆ is a complete fan and that each cone σ ∈ ∆ is smooth. In this case, it
call
turns out that the corresponding toric variety X(∆) = X is a compact orientable
complex manifold.
88 DAVID PERKINSON AND LIVIA XU

Let ∆(1) denote the set of all 1-dimensional faces of ∆. For each D ∈ ∆(1),
let nD be the first lattice point along D. We define the Chow ring of X to be the
quotient ring graded by degree:
A• (X) := Z[D ∈ ∆(1)]/(I + J),
where
Q
I = ( D∈S D | S ⊆ ∆(1) does not generated a cone in ∆),
P
J = ( D∈∆(1) hm, nD iD | m ∈ M ),
where hm, nD i denotes the inner product.
The cohomology groups can be calculated through an extension of scalars:

Theorem 13.11. Let ∆ and X be as above. We have

(
k 0 if k is odd ;
H X= `
A (X) ⊗Z R if k = 2`.
(To form A• (X) ⊗ R, just replace Z by R in the definition. If A` (X) is spanned
over Z by t monomials, then H 2` X = Rt .)

Example 13.12. Let ∆ be the fan in Example 13.6 whose associated toric variety
is X = P2 . Let D1 = R≥0 e1 , D2 = R≥0 e2 , D3 = R≥0 (−e1 − e2 ). Then
I = (D1 D2 D3 ),
P3
J = ( i=1 hej , nDi iDi | j = 1, 2)
= (h(1, 0), (1, 0)iD1 + h(1, 0), (0, 1)iD2 + h(1, 0), (−1, −1)iD3 ,
h(0, 1), (1, 0)iD1 + h(0, 1), (0, 1)iD2 + h(0, 1), (−1, −1)iD3 )
= (D1 − D3 , D2 − D3 ).
We see that
A• (P2C ) = Z[D1 , D2 , D3 ]/(D1 D2 D3 , D1 −D3 , D2 −D3 ) ∼
= Z[D3 ]/(D33 ) = Z+ZD3 +ZD32 .
Therefore, we have the table
k 0 1 2 3 4
k 2 .
H (PC ) R 0 R 0 R
Exercise 13.13. What are the cohomology groups of Pn ?

Example 13.14. Let Ha be the Hirzebruch surface as described in Example 13.8.

Let D1 = R≥0 e1 , D2 = R≥0 e2 , D3 = R≥0 (−e1 + ae2 ), D4 = R≥0 (−e2 ). Then one
can check that the two ideals are
I = (D1 D3 , D2 D4 ),
J = (D1 − D3 , D2 + aD3 − D4 ).
Therefore, the Chow ring is
A• (Ha ) = Z[D1 , D2 , D3 , D4 ]/(D1 D3 , D2 D4 , D1 − D3 , D2 + aD3 − D4 )
∼
= Z[D1 , D2 ]/(D2 , D2 (D2 + aD1 ))
1
 NOTES ON MANIFOLDS 89

= Z + (ZD1 + ZD2 ) + ZD1 D2 ,

using the facts D3 = D1 , D4 = D2 + aD3 , and D22 = −aD1 D2 in A• (Ha ). So we

have the table
k 0 1 2 3 4
H (Ha ) R 0 R2 0 R
k

The symmetry in the above two examples is due to Poincaré duality.

13.4. Homogeneous coordinates. David Cox ([3]) introduced the homogeneous

coordinates for a toric variety, generalizing those for projective space. In the case
of simplicial toric varieties, we can then write the toric variety as a quotient of Cn
modulo the action of a group, again generalizing the case of Pn = Cn+1 /(x ∼ λx :
λ ∈ C∗ ).
Let ∆ be a fan in N ∼ = Zn , and let ∆(1) be the collection of all 1-dimensional
faces (rays) of ∆. For each D ∈ ∆(1), let nD ∈ N be the first lattice point along
D. Let X = X(∆) be the corresponding toric variety. Define the the codimension
Chow group An−1 (X), (related to the Chow group A• , defined previously only for
smooth complete toric varieties) to be the quotient

∆(1)
P
An−1 (X) := Z ( D∈∆(1) hm, nD iD | m ∈ M ),

where Z∆(1) = { D∈∆(1) aD D | aD ∈ Z} ∼ = Z|∆(1)| is the free Z-module generated

P

by ∆(1). (Note that An−1 (X) ∼ = A1 (X) if X is smooth and complete.) We have
an injection of the lattice M (in which the dual cones sit) via
M → Z∆(1)
X
m 7→ Dm := hm, nD iD,
D∈∆(1)

and a short exact sequence

0 → M → Z∆(1) → An−1 (X) → 0.
Let S be the polynomial ring
S := C[xD | D ∈ ∆(1)].
aD D ∈ Z∆(1) with aD ≥ 0 for all D, there is a corresponding
P
For each a = D∈∆(1)
monomial
Y
xa := xaDD ∈ S
D∈∆(1)
a
and its degree, denoted deg(x ) is defined to be its class [a] ∈ An−1 (X). Thus, the
polynomial ring S is graded by An−1 (X).

Definition 13.15. The homogeneous coordinate ring of X is the polynomial ring S

graded by An−1 (X), meaning that if we write
M
Sα := Cxa ,
deg(xa )=α
90 DAVID PERKINSON AND LIVIA XU

then
S∼
M
= Sα ,
α∈An−1 (X)
and one can check that Sα · Sβ ⊆ Sα+β .
Example 13.16. The fan for Pn has n + 1 rays: Di = Rei for i = 1, . . . , n,
corresponding to the standard basis vectors, and Dn+1 = R(−e1 − · · · − en ). To
compute An−1 Pn = A1 Pn , we first find
P Pn+1
( D∈∆(1) hm, nD iD | m ∈ M ) = ( i=1 hej , nDi iDi | j = 1, . . . , n)
= (D1 − Dn+1 , D2 − Dn+1 , . . . , Dn − Dn+1 )
Therefore,
An−1 Pn = Z∆(1) /(D1 − Dn+1 , D2 − Dn+1 , . . . , Dn − Dn+1 ) = ZDn+1 ∼
=Z
Di 7→ Dn+1 7→ 1.
Letting xi = xDi for i = 1, . . . , n + 1, we have the homogeneous coordinate ring
S = C[x1 , . . . , xn+1 ].
a Pn+1
The degree of a monomial xa1 1 n+1
· · · xn+1 is the class of a = i=1 ai Di in An−1 Pn .
But in An−1 Pn , we have
n+1
X n+1
X
deg(xa ) = [a] = [ ai Di ] = [( ai )Dn+1 ].
i=1 i=1
Identifying An−1 Pn with Z, as above, we get
Pn+1
deg xa = i=1 ai ,
the usual degree.
Example 13.17. Let Ha denote the Hirzebruch surface as described in Exam-
ple 13.8. Recall that in Example 13.14 we computed
An−1 (Ha ) = Z∆(1) /hD1 − D3 , D2 + aD3 − D4 i → Z {D1 , D2 }
D1 7→ D1
D2 7→ D2
D3 7→ D1
D4 7→ aD1 + D2
where Z {D1 , D2 } := SpanZ {D1 , D2 }. Then, finally
An−1 (Ha ) ∼
= Z {D1 , D2 } ∼
= Z2
aD1 + bD2 7→ (a, b).
So the homogeneous coordinate ring for Ha is S = C[x1 , x2 , x3 , x4 ] and it is graded
by Z2 with each indeterminate having degree
deg(x1 ) = deg(x3 ) = (1, 0), deg(x2 ) = (0, 1), deg(x4 ) = deg(x2 xa3 ) = (a, 1).
For example, deg(x1 x22 x33 x4 ) = (1, 0) + 2(0, 1) + 3(1, 0) + (a, 1) = (4 + a, 3). The
monomial x21 x2 x33 x4 has degree (5 + a, 2). The degrees of these monomials in S
 NOTES ON MANIFOLDS 91

differ even though they would have the same degree under the usual grading (in
which each xi had degree 1).

Quotients. Now assume that X is simplicial, meaning that each of its cones σ
has dim(σ) rays. (It suffices to check the maximal-dimensional cones.) Our goal is to
view X as a quotient space under some group action, generalizing the construction
of projective space. Consider the following short exact sequence of Z-modules:
0 −→ M −→ Z∆(1) −→ An−1 (X) −→ 0
X
m 7−→ hm, nD iD.
D∈∆(1)
∗
The nonzero complex numbers, C , form an abelian group under multiplication,
and hence has a Z-module structure: for a ∈ Z and z ∈ C∗ , we have a · z := z a .
It then makes sense to consider the mappings homZ (Z∆(1) , C∗ ), i.e, the Z-linear
mappings from Z∆(1) to C∗ . These are determined by the images of D ∈ ∆(1). For
instance, if ∆(1) = {D1 , . . . , Dk } and g1 , . . . , gk are any elements of C∗ , there is a
corresponding mapping
a1 D1 + · · · + ak Dk 7→ g1a1 · · · gkak ∈ C∗ .
Since the choices for the gi are arbitrary and completely determine the mapping,
we have
homZ (Z∆(1) , C∗ ) ∼
= (C∗ )∆(1) .
Next, consider homZ (An−1 (X), C∗ ). If ∆(1) = {D1 , . . . , Dk } and g1 , . . . , gk ∈
C , we can still attempt to define a mapping An−1 (X) → C∗ by sending Di 7→
∗

gi , as above. However, since there are relations among the Di in An−1 (X), the
corresponding relations must hold among the gi . In other words, the choices for
the gi are now constrained. For instance, if D3 = 2D1 + D2 , then since D3 7→ g3
and 2D1 + D2 7→ g12 g2 , we require that g3 = g12 g2 , i.e. g12 g2 g3−1 = 1. In general, we
define the group G by
hm,n i
G := homZ (An−1 (X), C∗ ) ∼ = {g ∈ (C∗ )∆(1) | D∈∆(1) gD D = 1 for all m ∈ M }.
Q

Q hm,n i
The conditions D∈∆(1) gD D = 1, encode all the required relations. It suffices to
he ,n i
let m range over a basis for M . So if M = Zn , the relations are D∈∆(1) gD i D = 1
Q

for i = 1, . . . , n.
The inclusion
G ⊆ (C∗ )∆(1) ⊆ C∆(1) .
gives a natural action of G on C∆(1) :
g · x := (gD xD )D∈∆(1) ,
where g ∈ G, x ∈ C∆(1) .
For a face σ ∈ ∆, let σ(1) := ∆(1) ∩ σ denote the rays in σ and define the
monomial Y
xσ̂ := xD ∈ S.
D ∈σ(1)
/
92 DAVID PERKINSON AND LIVIA XU

Let B be the monomial ideal

B := (xσ̂ | σ ∈ ∆) = (xσ̂ | σ is a maximal cone in ∆) ⊆ S,
(note that the generators of B encode the structure of ∆) and let Z be the zero set
of B,
Z := {x ∈ C∆(1) | xσ̂ = 0 for all σ ∈ ∆}.

Theorem 13.18. Let X = X(∆) be a simplicial toric variety. Then,

(1) C∆(1) \Z is invariant under the action by G,
(2) The toric variety X is the quotient of C∆(1) \Z by the action of G, i.e.,
X∼
= (C∆(1) \Z)/(x ∼ g · x | g ∈ G).
An element in this quotient is called the homogeneous coordinates of a point in X.

Example 13.19. Let X = Pn . The maximal cones of the fan in this case consists
of all subsets of size n from the vectors e1 , . . . , en , −e1 − · · · − en . If σ is one of
these cones, then it omits exactly one of these vectors. Hence,
B = (x1 , . . . , xn+1 )
and Z = {0} ⊂ Cn+1 . Since An−1 Pn ∼ = Z, we have G = hom(An−1 (Pn ), C, C ∗ ) ∼
=
∗ n
C . In detail, since An−1 (P ) is the span of the Di modulo the relations Di − Dn+1
for i = 1, ..n, we have
−1
G = g ∈ Cn+1 | gi gn+1

= 1 for i = 1, . . . , n
n+1

= g∈C | gi = gn+1 for i = 1, . . . , n
∼C ,
= ∗

where the isomorphism in the final step is given by g 7→ gn+1 . Using this iso-
mophism, the group action on C∆(1) = Cn+1 is given by
λ · (x1 , . . . , xn+1 ) = (λx1 , . . . , λxn+1 )
where λ = gn+1 ∈ C∗ .
As claimed in Theorem 13.18, the set C∆(1) \Z, i.e., Cn+1 \{0} is invariant under
the action by G: if (x1 , . . . , xn+1 ) 6= 0, then λ(x1 , . . . , xn+1 ) 6= 0. Further, Pn is
the quotient
Pn ∼ = (Cn+1 \{0})/(x ∼ λx | λ ∈ C∗ ).

Example 13.20. Now consider the Hirzebruch surface Ha . We have previously

computed
An−1 (Ha ) = Z∆(1) /hD1 − D3 , D2 + aD3 − D4 i ∼
= Z2 .
From Figure 31, we see
B = hx3 x4 , x2 x3 , x1 x4 , x1 x2 i.
Setting all of these generating monomials equal to zero and solving, we find
Z = {x ∈ C4 | x1 = x3 = 0 or x2 = x4 = 0}.
 NOTES ON MANIFOLDS 93

The relations for An−1 are generated by D1 − D3 = 0 and D4 = D2 + aD3 . Using

the first relation, the second can be rewritten as D4 = aD1 + D2 . Rewriting these
multiplicatively gives
G∼
= {g ∈ (C∗ )4 | g1 = g3 , g4 = g1a g2 } ∼
= (C∗ )2
g 7→ (g1 , g2 )
(g1 , g2 , g1 , g1a g2 ) ←[ (g1 , g2 ).
Therefore, the quotient description of the Hirzebruch surface is
Ha ∼
= (C4 \Z)/(x ∼ (λx1 , µx2 , λx3 , λa µx4 )),
where λ, µ ∈ C∗ .

13.5. Mapping toric varieties into projective spaces. In this section, we will
assume that X is a smooth, complete toric variety associated with the fan ∆.
Let ∆(1) = {D1 , . . . , D` } be the rays of ∆, and let S = C[x1 , . . . , x` ] be the homo-
geneous coordinate ring of X with xi corresponding to Di and graded by An−1 X.
Recall the short exact sequence
0 −→ M −→ Z∆(1) −→ An−1 (X) −→ 0
m 7−→ Dm
where
X
(10) Dm := hm, nD iD.
D∈∆(1)

An element of Z∆(1) is called a divisor of X. If all of the coefficients of a divisor

are nonnegative, then the divisor is said to be effective. Consider an effective divisor
X
E= aD D ∈ Z∆(1) ,
D∈∆(1)

and associate to it the polytope

(11) P (E) := {m ∈ MR | hm, nD i ≥ −aD for all D ∈ ∆(1)},
where we recall that nD is the first lattice point along D. We also make the following
assumption: X = X(∆P (E)).
Let T = {m1 , . . . , mt+1 } ⊆ P (E) ∩ M be a collection of lattice points in P (E)
containing all of its vertices. Using the homogeneous coordinates of X as described
in Theorem 13.18, we get a mapping of X into projective space as follows:
(12) φT : X −→ Pt
x 7−→ (xDm1 +E , . . . , xDmt+1 +E ),
with Dmi defined by Equation 10. The mapping φT is well-defined: Including the
vertices of P (E) in T assures there is no point p ∈ X such that φ(T ) = 0. Further,
since [Dmi ] = [0] ∈ An−1 (X) for all i, we have [Dmi + E] = [E], and the mapping
is homogeneous of degree [E]. Therefore, scaling the homogeneous coordinates in
the domain will scale each component of its corresponding point in the codomain.
94 DAVID PERKINSON AND LIVIA XU

The mapping φT will be an embedding if for each vertex v of P (E), as you travel
along each each emanating from v, the first lattice point you reach is an element
of T .
Example 13.21. Let X = Pn with divisors Di = R≥0 ei for i = 1, . . . , n and Dn+1 =
R≥0 (−e1 − · · · − en ), as usual. Consider the effective divisor E = dDn+1 for some
positive integer d. We have
Pn
P (E) = {m ∈ MR | hm, ei i ≥ 0 for i = 1, . . . , n and hm, − i=1 ei i ≥ −d}
Pn
= {m ∈ MR | mi ≥ 0 for i = 1, . . . , n and i=1 mi ≤ d},

i.e., P (E) is the simplex with vertices 0, de1 , . . . , den . When T = P (E)∩Zn contains
n+d
all the lattice points in P (E), we get the d-uple embedding Pn → P( d )−1 :
n+d
Pn −→ P( d )−1
(x0 , . . . , xn ) 7−→ (xd1 , x1d−1 x2 , . . . , xdn+1 ).
| {z }
all monomials of degree d

Example 13.22. Let H2 denote the Hirzebruch surface having its four rays gen-
erated by e1 , e2 , −e1 + 2e2 , −e2 :
D3 D2

(−1, 2) σ2
σ1
(0, 1)

σ3 D1
(1, 0)
σ4
(0, −1)

D4

Consider the effective divisor E = 2D3 + 3D4 . Taking the dot products of m =
(m1 , m2 ) ∈ MR = R2 with the first lattice points along each Di and using Equa-
tion 11 gives the inequalities defining the corresponding polytope:
P (E) = {m ∈ MR | m1 , m2 ≥ 0, −m1 + 2m2 ≥ −2, −m2 ≥ −3},
which is drawn in Figure 33. Consider the following set of lattice points in P (E).
T = {(0, 0), (0, 1), (0, 2), (1, 2), (0, 3), (3, 1), (8, 3)}.
Using Equation 10 we compute the corresponding divisors necessary for our map-
ping (as prescribed by Equation 12):
D(0,0) + E = 2D3 + 3D4 , D(0,1) + E = D2 + 4D3 + 2D4 ,
D(0,2) + E = 2D2 + 6D3 + D4 D(1,2) + E = D1 + 2D2 + 5D3 + D4 ,
D(0,3) + E = 3D3 + 8D4 , D(3,1) + E = 3D1 + D2 + D3 + 2D4
D(8,3) + E = 8D1 + 3D2 .
 NOTES ON MANIFOLDS 95

(0, 3) (8, 3)
(1, 2)

(3, 1)
(0, 1)

(0, 0) (2, 0)

Figure 33. Polytope associated to the divisor E = 2D3 + 3D4

on the Hirzebruch surface H2 . We consider the embedding of H2
into P6 determined by the circled lattice points.

So the map into projective space is

φT : H2 −→ P6
(x1 , x2 , x3 , x4 ) 7−→ (x23 x34 , x2 x43 x24 , x22 x63 x4 , x1 x22 x53 x4 , x33 x84 , x31 x2 x3 x24 , x81 x32 ).
To appreciate that φT respects scaling, recall that scaling, in the case of H2 is by
the group (C∗ )2 and the group action is given by
(λ, µ) · (x1 , x2 , x3 , x4 ) = (λx1 , µx2 , λx3 , λ2 µx4 ).
where (λ, µ) ∈ (C∗ )2 . We then check
φT (λx1 , µx2 , λx3 , λ2 µx4 ) = λ8 µ3 φT (x1 , x2 , x3 , x4 ) = φT (x1 , x2 , x3 , x4 ) ∈ P6 .
There is a way to read off the monomial components in φT by computing the “lat-
tice distances” of the corresponding lattice point from each of the facets of P (E). As
an example, consider the lattice point (1, 2) ∈ T . Its corresponding component func-
tion in φ(T ) is x1 x22 x53 x4 . We would like to see that its exponent vector, (1, 2, 5, 1)
is the list of lattice distances from the facets of P (E). First note that each facet
of P (E) corresponds to an indeterminate xi : the inward pointing normal of a facet
determines a ray Di which determines xi . So we label the facets accordingly:
x4

(0, 3) (8, 3)
(1, 2)
x1
x3

(0, 0) (2, 0)
x2

To get to the lattice point (1, 2), we need to slide the x1 -facet over one, the x2 -facet
up two, and the x4 -facet down one. That accounts for the first, second, and fourth
components of the exponent vector (1, 2, 5, 1). The following diagram illustrates
that the x3 -facet needs to be slid in its inward normal direction a total of five steps
to reach (1, 2):
96 DAVID PERKINSON AND LIVIA XU

x4

(0, 3) (8, 3)
(1, 2)
x1
x3

(0, 0) (2, 0)
x2

The reader should check that, for instance, monomial x31 x2 x3 x24 , corresponding to
the lattice point (3, 1), can be computed similarly.
In order to create an embedding of H2 using the divisor E = 2D3 + 3D4 , one
would needs to include not only the vertices in T , but also the first lattice points
as you travel away from each vertex along edges incident to the vertex. In other
words, T must include at least the vertices pictured in Figure 34.

(0, 3) (8, 3)

(0, 0) (2, 0)

Figure 34. Polytope associated to the divisor E = 2D3 + 3D4 on

the Hirzebruch surface H2 . The circled lattice points are required
to produce an embedding into projective space.
 NOTES ON MANIFOLDS 97

14. Grassmannians
Definition 14.1. If V is a vector space over k, then projective space on V , de-
noted P(V ), is the collection of all one-dimensional subspaces of V . A special case
is Pnk := P(kn+1 ) (or, usually, Pn when k is clear from context). An r-plane in P(V )
is an (r + 1)-dimensional subspace of V .
Proposition 14.2. Suppose L is an r-plane, M is an s-plane, and L ∩ M is a k-
plane in Pn . Then k ≥ r + s − n.
Proof. Exercise. 
Duality. An (n − 1)-plane in Pn is called a hyperplane. It is the solution set to a
linear equation
Ha := (a1 , . . . , an+1 ) · (x1 , . . . , xn+1 ) = a1 x1 + · · · + an+1 xn+1 = 0
for some a := (a1 , . . . , an+1 ) 6= (0, . . . , 0) ∈ kn+1 . Thus, a is the normal vector
to the hyperplane (in the case k = R or C). Further, a is determined by the
hyperplane up to scaling by a nonzero element of k. Define (Pn )∗ to be the dual
projective space whose points are the hyperplanes in Pn . Then we get a well-defined
bijection between Pn and its dual:
Pn → (Pn )∗
a 7→ Ha .
Definition 14.3. Let V be a vector space over k. The collection of (r + 1)-
dimensional subspaces of V is called a Grassmannian and denoted by G(r + 1, V ).
It is also called the Grassmannian of r-planes in P(V ) and then denoted by Gr P(V ).
If V = kn+1 , the Grassmannian is denoted by either G(r + 1, n + 1) or Gr Pn . (We
say Gr Pn is a moduli space space for the set of r-planes in Pn since it parametrizes
this set.)
Example 14.4. Some special cases of Grassmannians:
G(1, n + 1) = G0 Pn = Pn , G(2, 3) = G1 P2 = (P2 )∗ , Gn−1 Pn = (Pn )∗ .
The Grassmannian G(2, 4) = G1 P3 is the set of lines in three-space.
14.1. Manifold structure. We now fix our vector space k to be C (although a
lot of what we do below will carry over k = R or to arbitrary fields). Given
L ∈ G(r, n) = Gr−1 Pn−1 , we can write
L = Span {a1 , . . . , ar }
for some vectors a1 , . . . , ar ∈ Cn . Let A be the matrix whose rows are a1 , . . . , ar .
Then L = Span {b1 , . . . , br } for some other vectors bi if and only if there is an
invertible r × r matrix M such that B = M A, where B is the matrix whose rows
are the bi . (Multiplying A by M on the left performs invertible row operations and,
thus, does not change the rowspan.) Therefore,

G(r, n) = {r × n rank r matrices} (A ∼ M A : M r × r, invertible).
98 DAVID PERKINSON AND LIVIA XU

Identifying the set of r × n matrices with Cr×n = Crn induces a topology on the
set of r × n matrices and the quotient topology on G(r, n). (So a subset of G(r, n)
is open if and only if the set of all matrices representing points in that set forms an
open subset of Cr×n .) The case r = 1 recovers the usual construction of projective
space—A will be 1×n and M = [λ] for some nonzero λ ∈ C. In general, we consider
an r × n matrix of rank r to be the homogeneous coordinates for a point in G(r, n).
We now seek an open covering of G(r, n) and chart mappings generalizing those
for projective space. We motivate the idea with an example:

Example 14.5. Consider

 
1 0 3 1
L= ∈ G(2, 4) = G1 P3 ,
2 4 3 1
a line in P3 . With respect to the chart (U4 , φ4 ) on P3 , one may check that the line
is parametrized by
t 7→ (1, 0, 3) + t((2, 4, 3) − (1, 0, 3)),
i.e., the line containing the points (1, 0, 3) and (2, 4, 3). To find what we will soon
define to be coordinates for L with respect to a particular chart for G(2, 4), choose
any two linearly independent columns and perform row operations to reduce that
pair of columns to the identity matrix. Choosing the first and fourth columns gives:

 ? ?  ? ?  ? ?  ? ?
1 0 3 1 1 0 3 1 1 4 0 0 1 4 0 0
→ → → .
2 4 3 1 0 4 −3 −1 0 4 −3 −1 0 −4 3 1

L L0
Performing the same row operations to the identity matrix I2 yields the matrix
 
−1 1
M= ,
2 −1
and M L = L0 . Since the operations are invertible, all matrices row equivalent to L0
are equivalent to each other, i.e., represent the same point in G(2, 4). Knowing that
the columns 1 and 4 have been fixed, the point with homogeneous coordinates L can
then be uniquely represented by the entries in columns 2 and 3. If we then agree
to read the entries of a matrix from left-to-right and top-to-bottom, we assign
the unique point (4, 0, −4, 3) ∈ C4 to L. These are the coordinates of L with
respect to columns 1 and 4. Every 2 × 4 matrix whose first and fourth columns
are linearly independent will have similar coordinates. Also, every point x ∈ C4
has a corresponding point in G1 P3 represented by a matrix whose first and fourth
columns form I2 and whose second and third columns are given by the coordinates
of x. The result is a chart, which we will call (U1,4 , φ1,4 ).

We generalize the above example to create an atlas for G(r, n). Let j ∈ Zr
with 1 ≤ j1 < · · · < jr ≤ n. Given an r × n matrix L, let Lj be the square r × r
 NOTES ON MANIFOLDS 99

submatrix of Lj formed by the columns with indices j1 , . . . , jr . Then define

Uj := {L ∈ G(r, n) | rk Lj = r} .

Note that the rank of L ∈ G(r, n) is independent of the choice of representative

matrix. Define the corresponding chart mapping by

(13) φj : Uj → Cr(n−1)
L 7→ flattenj (L−1
j L),

where flattenj creates a point in Cr(n−r) from an r × r matrix by reading off

the entries in the columns not indexed by j from left-to-right and top-to-bottom.
Multiplying L by L−1j on the left performs row operations on L so that the resulting
matrix has Ir as the submatrix indexed by j. To get the coordinates with respect
to φj , we then just read off the other entries in the matrix.

Proposition 14.6. Using the notation defined above, {(Uj , φj )}j is an atlas for
G(r, n):
(1) each Uj is open in G(r, n);
(2) the Uj cover G(r, n); and
(3) φj : Uj → Cr(n−r) is a homeomorphism.

Proof. Let Ca×b denote that set of a × b matrices. Fix the isomorphism Ca×b ∼ =
Cab by reading the entries of a matrix from left-to-right and top-to-bottom. The
topology on Ca×b is determined by insisting the isomophism is a homeomorphism.
For each j, let πj be the projection mapping that sends an r×n matrix L to the r×r
submatrix Lj . Then we have a sequence of continuous mappings
πj det
Cr×n −→ Cr×r −−→ C
L 7→ Lr 7→ det(Lr ).

The composition is continous, so the inverse image of 0 ∈ C is closed in Cr×n . Call

the complement of this set Ũj . Then Ũj open, and the quotient of Ũj modulo our
equivalence A ∼ M A defining the Grassmannian is Uj . Since we have given the
Grassmannian the quotient topology, we conclude that Uj is open.
A point in G(r, n) is represented by an r × n matrix L of rank r. Row reducing L
must then produce Ir as a square submatrix. Let j be the indices of the columns
of that submatrix in L. Then L ∈ Uj .
We now consider a chart mapping φj : Uj → Cr(n−r) . First note that L 7→ L−1 j is
a continuous function of L: use the formula for the inverse using cofactors to see that
the inverse is a rational function of the entries of the matrix. Then, since matrix
multiplication and projections are continuous, it follows that φj is continuous. The
inverse is the continuous mapping that sends a point in p ∈ Cr(n−r) to the matrix L
such that Lj = Ir and whose other entries are obtained from p. 

Definition 14.7. The standard atlas for G(r, n) is {(Uj , φj )}j where j = (j1 , . . . , jr )
with 1 ≤ j1 < j2 < · · · < jr ≤ n, and φj is defined in Equation 13.
100 DAVID PERKINSON AND LIVIA XU

Example 14.8. If L ∈ U1,2,4 ⊂ G(3, 7), then it has a representative of the form
1 0 ∗ 0 ∗ ∗ ∗
 
 0 1 ∗ 0 ∗ ∗ ∗ .
0 0 ∗ 1 ∗ ∗ ∗
The 3(7 − 3) = 12 entries denoted by asterisks give the coordinates of the point via
the chart (U1,2,4 , φ1,2,4 ).

Exercise 14.9. The set of lines in three-space is G1 P3 , and dim G1 P3 = 4. Now,

a line is determined by a point and a direction. So that sounds like six parameters
should be necessary. Give an intuitive explanation for the fact that the set of lines
in three-space should be four-dimensional.

14.2. The Plücker embedding.

Definition 14.10. Fix an ordering of the nr choices of column indices: j : 1 ≤

j1 < · · · < jr ≤ n. The Plücker embedding is defined by

n
Λ : G(r, n) → P( r )−1
L 7→ (det(Lj ))j ,
where Lj is the submatrix of L with columns indexed by j. The components of Λ(L)
are the Plücker coordinates of L. The j-th Plücker coordinate of L is det(Lj ).

Example 14.11. The Plücker embedding of G(2, 4) is

Λ : G(2, 4) → P5
 
a1 a2 a3 a4
7→ (a1 b2 − a2 b1 , a1 b3 − a3 b1 , a1 b4 − a4 b1 , a2 b3 − a3 b2 , a2 b4 − a4 b2 , a3 b4 − a4 b3 ).
b1 b2 b3 b4
Proposition 14.12. The Plücker coordinates of L ∈ G(r, n) are well-defined.

Proof. Since (any representative of) L ∈ G(r, n) has rank r, it follows that det(Lj ) 6=
0 for some j. Next, suppose that A and B are r × n matrices both representing L.
Then there exists an r × r matrix M such that B = M A. Therefore, for each
choice j of r columns, we have Bj = M Aj . Hence, det Bj = det M det Aj for all j.
n
So (Bj )j = λ(Aj )j where λ = det M 6= 0, and Λ(A) = Λ(B) ∈ P( r )−1 . 

Coordinate-free description. Let G(r, V ) denote the set of r-dimensional sub-

spaces of a vector space V . Define the Plücker embedding of G(r, V ) by
G(r, V ) → P(Λr V )
W 7→ Λr W
Picking a basis for V recovers the Plücker embedding defined previously.
The Plücker relations. We now seek the equations defining the image of the
n
Plücker embedding. Denote the coordinates of a point in P( r ) by
x(j) = x(j1 , . . . , jr )
 NOTES ON MANIFOLDS 101

for each j : 1 ≤ j1 < · · · < jr ≤ n. For notational convenience, we adopt the

following conventions to allow permutations of j and repetitions of the indices:
x(σ(j)) := sign(σ)x(j) for each σ ∈ Sr , and
x(j) := 0 if js = jt for some s 6= t.

Definition 14.13 (Plücker relations). For each I : 1 ≤ i1 < · · · < ir−1 ≤ n

and J : 1 ≤ j1 < · · · < jr+1 ≤ n, the I, J-th Plücker relation is
r+1
X
PI,J := (−1)k x(i1 , . . . , ir−1 , jk )x(j1 , . . . , jbk , . . . , jr+1 ).
k=1

Example 14.14. For G(2, 4) with I = {1} and J = {2, 3, 4},

PI,J = −x(1, 2)x(3, 4) + x(1, 3)x(2, 4) − x(1, 4)x(2, 3).

In this case, all other choices for I and J yield this same relation up to sign.
Therefore, the image of this Grassmannian under its Plücker embedding is

Λ(G(2, 4)) = x ∈ P5 | P{1},{2,3,4} = 0 ,



a quadric hypersurface in P5 . The reader may want to check that the coordinates
displayed in Example 14.11 satisfy this relation.
n
Theorem 14.15. The Plücker embedding Λ : G(r, n) → P( r ) is injective with image
equal to the zero-set of {PI,J }I,J .

Proof. We will just show that the image satisfies PI,J = 0 for each I, J. For
injectivity, one just back-solves the relations. See [9] for details. Let L = (aij )
be an r × n matrix representing a point in G(r, n). In the following calculation,
we expand the first (red) determinant along its last row; the expression in the
penultimate step evaluates to zero since the final (blue) matrix has a repeated row:
r+1
X
PI,J (Λ(L)) = (−1)k det Li1 ,...,ir−1 ,jk det Lj1 ,...,jbk ,...,jr+1
k=1

r+1 a1jk ad
1jk

=
X
(−1) · · · k .. ..
. ··· . ···
k=1
ar,jk ad
rjk
| {z }
expand
..
r+1 r . ad
1jk

=±
X
(−1)k
X
(−1)` a`jk ..
ad
`i1 · · · a
\`ir−1 ··· . ···
k=1 `=1 ..
. arjk
d
..  
r . r+1 ad
1jk
X
= ± (−1)` ad
X k ..
··· a\  (−1) a`jk · · ·

`i1 `ir−1 . ··· 
`=1 .. k=1
. ad
rjk
102 DAVID PERKINSON AND LIVIA XU

··· ···

a`j1 a`jk a`jr+1

..
r
X .  a1j1 ··· a1jk ··· a1jr+1 
=± (−1)` ad ··· a\
 
`i1 `ir−1  .. 
`=1 ..  . 
. arj1 ··· arjk ··· arjr+1
= 0.

14.3. Schubert varieties. Our goal is to describe the cohomology ring of a Grass-
mannian. In this section we describe sets whose classes will give a basis for that
ring. There are many closely-related cohomology theories. We have carefully con-
sidered de Rham cohomology. Appendix D is an introduction to abstract simplicial
homology, which can be dualized (by applying the function hom( · , R)) to define
cohomology groups). It is fairly straightforward to relate abstract simplicial coho-
mology to a cohomology theory for manifolds by, roughly, triangulating a manifold.
In section 13, we gave an operational definition of the Chow ring of a smooth com-
plete toric variety, and that will be the approach we take with Grassmannians. We
will give a very rough idea of the construction of the Chow ring, in general, and
give a recipe for computing it for the Grassmannian. We will then describe in detail
the meaning of the Chow classes for the Grassmannian and use calculations in the
Chow ring to solve interesting enumerative problems.

14.3.1. The Chow ring. An algebraic set is the set of solutions to a system of
polynomial equations. An algebraic set is irreducible if it cannot be written as a
proper union of algebraic sets. An irreducible algebraic set is called a variety.

Example 14.16. The algebraic set X = (x, y) ∈ R2 mod x(y − x2 ) = 0 is re-
ducible. It can be written as the union of the y-axis and a parabola, both of which
are varieties:

X = (x, y) ∈ R2 | x = 0 ∪ (x, y) ∈ R2 | y − x2 = 0 ,
 

If our defining polynomials come from the polynomial ring k[x1 , . . . , xn ], then
the corresponding algebraic set is a subset of kn . If X is defined by the poly-
nomials f1 , . . . , fk , we write X = Z(f1 , . . . , fk ). If the defining polynomials are
homogeneous, then we may regard X as a subset of projective space.
From now on, we will take k = R or C. When working over C, there is the option
of replacing C by R2 to define an algebraic set over R.
 NOTES ON MANIFOLDS 103


Example 14.17. Consider the algebraic set X = (w, z) ∈ C2 | w = z 2 . This
is a variety in C2 , but since C = R2 , we may also consider it as a variety in R4 .
Letting w = a + bi and z = c + di and equating real and imaginary parts in w = z 2 ,
then X ⊂ R2 is defined by the system of equations
a = c2 − d2 and b = 2cd.
Thus, considering X as a subset of R4 , it is the intersection of two quadric hyper-
surfaces11 giving a (two-dimensional) a surface in R4 .

There are many ways to define the dimension of a variety X ∈ kn . We will state
one possibility that does not require a long digression. Say X is defined by the
system of equations f1 = · · · = fk = 0,
 
∂fi
dim X = n − max rk .
p∈X ∂xj i,j
 
∂fi
A point p at which the Jacobian matrix ∂x j
reaches its maximum rank is a
i,j
smooth point, and a non-smooth point is a singular point. The set of smooth points
of X will form a manifold.

Example 14.18. Let X = (x, y, z) ∈ R3 | z 2 = xy , a cone, with a single defining
equation f = z 2 − xy. The Jacobian matrix is
 
J = ∂f ∂f ∂f

∂x ∂y ∂z = −y −x 2z .

It has maximum rank of 1, which occurs at all points of X except (0, 0, 0). The
dimension of X is 3 − 1 = 2, and (0, 0, 0) is the only singular point.
P
Let X be a variety. An r-cycle of X is a finite formal sum i ni Vi where ni ∈ Z
and Vi is an r-dimensional subvariety of X. Let Zr (X) denote the set of all r-
cycles, an abelian group under addition. A subvariety V ⊆ X has codimension r
is dim V = dim X − r. So Y is a hypersurface in X if it has codimension one.
There is a notion of rational equivalence of subvarieties, which we will not define,
but which is an algebraic version of homotopy equivalence, If subvarieties V and W
are rationally equivalent, we will write V ∼ W . Rational equivalence preserves
many essential properties. For instance, if V ∼ W , then dim V = dim W .

Definition 14.19. Suppose that X is a smooth variety of dimension n. Let Ar =

Zn−r (X)/ ∼. The Chow ring of X is A• (X) = ⊕r≥0 Ar (X).

To define the ring structure on A• (X), let [V ] ∈ Ar (X) and [W ] ∈ As (X).

Then let [V ] · [W ] = [V ∩ W ] ∈ Ar+s (X) where the intersection is done after
deforming V and W (replacing V and W with rationally equivalent subvarieties)
so that V and W meet transversally everywhere. To meet transversally means that
the tangent spaces of V and W at each point p of there intersection together span
the tangent space of of X.

11By hypersurface, we mean codimension one in the ambient space.

104 DAVID PERKINSON AND LIVIA XU

Define the degree of a variety X in kn or Pnk is the number of points in the

intersection (over the complex numbers) of X with a generic linear space L of
complementary dimension, i.e., such that dim L = n − dim X.

Example 14.20. Let X = Pn . It turns out that

'
→ Z[t]/(tn+1 ) = Z + Zt + · · · + Ztn
A• (X) −
V 7→ (deg V ) tcodimV .
For example, let n = 2, and take p, q ∈ P2 , X = Z(yz − x2 ), and Y = Z(zy 2 − x3 −
zx2 ). Then we have the following examples of calculations in the Chow ring:
• 2[p] + 3[q] − [X] + 4[Y ] + 7[P2 ] 7→ 2t2 + 3t2 − 2t + 4(3t) + 7 = 7 + 10t + 5t2 .
• (3[p] + [X] + [P2 ])2 7→ (3t2 + 2t + 1)2 = 1 + 4t + 10t2 + 12t3 + 9t4 .
7 (2t)(3t) = 6t2 .
• [X][Y ] →
The class of a point in P2 is given by t2 . Hence, the last calculation shows that X
and Y meet in in 6 points after continuous deformation.

14.3.2. Schubert varieties. For details regarding the following, see [9]. Through-
n
out, when necessary, we assume that Gr Pn is embedded in P( r ) via the Plücker
embedding.

Definition 14.21. A sequence A0 ( · · · ( Ar of linear subspaces of Pn is called a

flag. The Schubert variety corresponding to a flag is
S(A0 , . . . , Ar ) = {L ∈ Gr Pn | dim(L ∩ Ai ) ≥ i for all i} .

Proposition 14.22. We have

S(A0 , . . . , Ar ) = Gr Pn ∩ M
n+1
for some linear subspace M of P( r+1 )−1 . The space M is a hyperplane if and only
if dim A0 = n−r−1 and dim Ai = n−r+i for i = 1, . . . , r. (So (Ar , Ar−1 , . . . , A1 ) =
(n, n − 1, . . . , n − r + 1) and dim A0 = n − r − 1 is one less than expected given the
previous sequence.)

Proposition 14.23. If A0 ( · · · ( Ar and B0 ( · · · ( Br are flags in Pn

with dim Ai = dim Bi for all i, then there is an invertible linear transformation
n+1
of P( r+1 )−1 that sends S(A0 , . . . , Ar ) to S(B0 , . . . , Br ), and
[S(A0 , . . . , Ar )] = [S(B0 , . . . , Br )] ∈ A• Gr Pn .

Definition 14.24. If dim Ai = ai for all i, then we write S(a0 , . . . , ar ) or just (a0 , . . . , ar )
for the class [S(A0 , . . . , Ar )] ∈ A• Gr Pn . The (a0 , . . . , ar ) are called Schubert cycles
or Schubert classes.

Theorem 14.25. The Chow ring A• Gr Pn is a free abelian group on the Schubert
cycles (a0 , . . . , ar ) (i.e., it is generated by the Schubert cycles, and there are no
nontrivial integer combinations of the Schubert cycles that are 0). The codimension
of (a0 , . . . , ar ) is k := (r + 1)(n − r) − i (ai − i), i.e., (a0 , . . . , ar ) ∈ Ak Gr Pn .
P

The above result might be considered the solution to Hilbert’s 15th problem ([7]):
 NOTES ON MANIFOLDS 105

The problem consists in this: To establish rigorously and with an

exact determination of the limits of their validity those geometrical
numbers which Schubert especially has determined on the basis of
the so-called principle of special position, or conservation of num-
ber, by means of the enumerative calculus developed by him.
Although the algebra of today guarantees, in principle, the pos-
sibility of carrying out the processes of elimination, yet for the proof
of the theorems of enumerative geometry decidedly more is requi-
site, namely, the actual carrying out of the process of elimination in
the case of equations of special form in such a way that the degree
of the final equations and the multiplicity of their solutions may be
foreseen.

Example 14.26. Consider the Grassmannian of planes in five-space, G2 P5 . Here,

we consider the meaning of some Schubert varieties.
I. Let (a0 , a1 , a2 ) = (1, 3, 4). Then
S(A0 , A1 , A2 ) = L ∈ G2 P5 | dim(L ∩ Ai ) ≥ i for all i = 0, 1, 2 .


The meaning is given by

dim L ∩ A0 ≥ 0 ⇒ L meets the line A0 in at least a point
dim L ∩ A1 ≥ 1 ⇒ L meets the solid A1 in at least a line
dim L ∩ A2 ≥ 2 ⇒ L meets the 4-plane A1 in at least a plane.
Since the dimension of L is 2, the last condition means that L lies in the 4-plane A2 .

II. Let (a0 , a1 , a2 ) = (3, 4, 5). Then S(A0 , A1 , A2 ) is those planes L in P5 such that
dim L ∩ A0 ≥ 0, dim L ∩ A1 ≥ 1 and dim L ∩ A2 ≥ 2.
However, by Proposition 14.2, these conditions are satisfied by all planes L. So
there is not condition at all, and S(A0 , A1 , A2 ) = G2 P5 .
III. Let (a0 , a1 , a2 ) = (1, 4, 5). Then S(A0 , A1 , A2 ) represents the condition that
a 2-plane meets a given line in a least a point, i.e., the plane intersects a given
line. The conditions dim L ∩ A1 ≥ 1 and dim L ∩ A2 ≥ 2 are non-conditions by
Proposition 14.2.

When is it the case that dim L ∩ Ai ≥ i imposes no condition, i.e., when is it the
case that every r-plane L satisfies this restriction? By Proposition 14.2,
dim L ∩ Ai ≥ dim L + dim Ai − n = r + ai − n
for all L and Ai . Therefore, dim L ∩ Ai ≥ i for all L ∈ Gr Pn if r + ai − n ≥ i, i.e., if
ai ≥ n − r + i.
For instance any of ar ≥ n, or ar−1 ≥ n−1, or ar−2 ≥ n−2 all impose no condition.
Since A0 ( · · · ( Ar ⊆ Pn , we have 0 ≤ a0 < · · · < ar ≤ n. So if ai = n − r + i for
some i, then aj = n − r + j for all j ≥ i.
106 DAVID PERKINSON AND LIVIA XU

Example 14.27. In G3 P6
(3, 4, 5) = [G3 P6 ].
In (2, 4, 5), the entries a1 = 4 and a2 = 5 impose no conditions. So the only
condition of consequence is that dim L ∩ A0 ≥ 0. This is the condition that the
solid (i.e., the 3-plane) L intersects the plane A0 . (In 6-space, there is just room for
a solid and a plane to not meet.) Similarly, in (1, 3, 5), the entry a2 = 5 imposes no
condition. So (1, 3, 5) can be thought of as the class in the Chow ring represented
by all solids L that intersects a given line (dim L ∩ A0 ≥ 0) and meet a given solid
in at least a line (dim L ∩ A1 ≥ 1).
Example 14.28. A basis for the Chow ring A• G1 P3 consist of the Schubert
classes (a0 , a1 ) with 0 ≤ a0 < a1 ≤ 3. Here is a table of theses classes and their
interpretation (the alternate notation for the class using curly braces is for use in
the next section):

codimension class condition

0 (2, 3) = {0, 0} no condition
1 (1, 3) = {1, 0} meet a given line
2 (0, 3) = {2, 0} pass through a given point
2 (1, 2) = {1, 1} lie in a given plane
3 (0, 2) = {2, 1} pass through a given point and lie in a given plane
4 (0, 1) = {2, 2} to be a certain line.
For instance, the last class, (0, 1), imposes the conditions dim L∩A0 ≥ 0 and dim L∩
A1 ≥ 1. So L must contain the point A0 and must meet the line A1 in a space
of dimension 1, i.e., L must equal A1 , at which point L contains the point A0
automatically.
14.3.3. The Schubert calculus. In this section, we describe the ring structure for A• Gr Pn .
Given a Schubert class (a0 , . . . , ar ), define the integers
λi = n − r − (ai − i)
for i = 0, . . . , r. Since 0 ≤ a0 < · · · < ar ≤ n, it follows that each ai − i ≥ 0 and
n − r ≥ λ0 ≥ · · · ≥ λr ≥ 0.
Further,
r
X r
X
|λ| := λi = (r + 1)(n − r) − (ai − i) = codim(a0 , . . . , ar ).
i=0 i=0
Thus,
{λ0 , . . . , λr } ∈ A|λ| Gr Pn .

Notation: We denote the Schubert class (a0 , . . . , ar ) by {λ0 , . . . , λr }.

For each λ there is an associated Young diagram consisting of rows of left-justified
unit boxes such that row i has λi boxes. The following example should make the
definition clear.
 NOTES ON MANIFOLDS 107

Example 14.29. The Schubert class (1, 4, 5, 7) = {4, 2, 2, 1} ∈ G3 P8 has Young

diagram

The codimension is |{4, 2, 2, 1}| = 9 and the dimension of G3 P8 is (3+1)(8−3) = 20.

Thus, a representative Schubert variety S(A0 , . . . , Ar ) has dimension 20 − 9 = 11.

The product of two Schubert classes {λ} and {µ} will be a unique integer linear
combination of Schubert classes. So we can write
X
{λ} · {µ} = cνλµ {ν} .
{ν}∈A• Gr Pn

The integers cνλµ are called Littlewood-Richardson coefficients. It was shown in 2006
that the general problem of computing Littlewood-Richardson numbers is #-P com-
plete. Nevertheless, there are several ways of calculating them, of which we now
describe one.

Definition 14.30. Let {λ} , {µ} ∈ A• Gr Pn . Form the µ-expansion of λ in steps as

follows. Let Y be the Young diagram for λ. Use µ to build a new Young diagram in
steps from Y as follows: At the i-th step, add µi boxes to existing rows or columns
with the restriction that no two of these boxes can be added to the same column.
Next, write the number i in each of the added boxes. The resulting shape must
be a Young diagram. Then proceed to step i + 1 (stopping with the last part of µ
is reached). The expansion is strict if reading off the numbers right-to-left and
top-to-bottom, each number i occurs at least as many times as the number i + 1.

Example 14.31. Some examples of {2, 1} expansions of {3, 1}:

0 0
0 0 1 0 1
1 0

{4, 2, 1} {4, 3} {3, 3, 1}

strict strict not strict.
The following expansions are not allowed—the first because there are two boxes
with 0s in the same column, and the second because it is not a Young diagram:
0
0 1 .
0
0
1
108 DAVID PERKINSON AND LIVIA XU

Theorem 14.32. The Littlewood-Richardson number cνλµ is the number of strict µ-

expansions of λ resulting in ν.

From the theorem, it is easy to see that cνλµ = 0 unless λ, µ ⊆ ν, i.e., unless
λi ≤ νi and µi ≤ νi for all i. It is a little harder to see that cνλµ = cνµλ .

Remark 14.33. From now on, we will feel free to represent a Schubert class by its
corresponding Young diagram. Take note of the following
(1) The Young diagrams that represent Schubert classes for Gr Pn must fit in an (r+
1) × (n − r) box of unit squares. Thus, when computing products in the Chow
ring using the formula {λ} · {µ} = ν∈A• Gr Pn cνλµ {ν} are those ν that fit in
P

that box.
(2) The identity in A• Gr Pn is [Gr Pn ] since intersecting a subvariety of Gr Pn with
the whole space does not change the variety. We have [Gr Pn ] = (n − r, n − r +
1, . . . , n) = {0, . . . , 0} = λ. Note that |λ| = 0, which agrees with the fact that
the class has codimension 0.
(3) The class of a single point in Gr Pn , i.e., of an r-plane in Pn , has the form
a = (0, 1, . . . , r) = {n − r, . . . , n − r} = λ, with Young diagram consisting of
the (r+1)×(n−r) rectangle. Note that the codimension is |λ| = (r+1)(n−r) =
dim Gr Pn , as expected.

Example 14.34. The reader should verify the following multiplication table for A• G1 P3 :

∗ 1

1 1

+ 0

0 0 0

0 0 0

0 0 0 0

0 0 0 0 0

The class of represents the condition “to meet a given line” and has codimen-
4
sion 1, therefore represents the condition “to meet four given lines”. To de-
termine how many lines in 3-space meet four generic lines, we use the table to
compute:
   
4
= 2 + = 2 =2 .
 NOTES ON MANIFOLDS 109

Since is the class of a point, i.e., of a line in 3-space, we conclude that there
are two lines meeting four generic lines in 3-space.
Here is a sketch of another proof that there are two lines meeting four general
lines in 3-space. Call the four general lines L1 , L2 , L3 , L4 . Walk along L3 , and at
each point p ∈ L3 , stop and look out at the lines L1 and L2 . They will appear
to cross at some point. Draw a line from p through that point. One may check
that the collection of all lines drawn in this way forms a quadric surface Q in 3-
space—the zero-set of a single equation of degree two. Through each point in Q,
there is a line lying on Q that meets L1 , L2 and L3 . Now consider line L4 . A line
and a surface in P3 must meet, and since L4 is general, it will not be tangent to Q.
Since Q is defined by an equation of degree two, the line will meet in two points,
each of which corresponds to a line we drew earlier. These two lines are exactly
those meeting L1 , L2 , L3 , and L4 .
Finally, we mention a proof given by Schubert using his “principle of conservation
of number”: that the number of solutions will remain the same as the parameters of
the configuration are continuously changed as long as the number of solutions stays
finite. Suppose that L1 and L2 lie in a plane P12 and L3 and L4 lie in a plane P34 .
How many lines meet these four lines now that they are in special position? Since
we are working in projective space, both L1 ∩ L2 and L3 ∩ L4 will be points. The
line through these two points yields one solution. The intersection of P12 and P34
will be a line. Since that line sits in P12 it will meet both L1 and L2 , and it similarly
meets both L3 and L4 .
110 DAVID PERKINSON AND LIVIA XU

Appendix A. Vector Calculus in Euclidean Spaces

A.1. Derivatives. Let f : Rn → Rm with the understanding that what we say
below can be suitably modified to apply to the more general case where the domain
and codomain of f are arbitrary open subsets of Rn and Rm , respectively.

Definition A.1. Let U ⊆ Rm and V ⊆ Rn be open. A function f : U → V is

smooth if each of its components has all partial derivatives of all orders. If f is
bijective and has a smooth inverse, then we say that f is a diffeomorphism.

Definition A.2. The function f is differentiable at p ∈ Rn if there is a linear

function Dfp : Rn → Rm such that
|f (p + h) − f (p) − Dfp (h)|
lim = 0.
h→0 |h|
The function Dfp is called the derivative of f at p. If each of the component
functions of f have partial derivatives of all orders at p, then f is smooth at p, also
known as being in the C ∞ , (in which case f is differentiable at p—see Theorem A.3.)
We say f is differentiable (resp. smooth), if it is differentiable (resp. smooth) at all
p ∈ Rn .

Note: In this text will assume all of our differentiable mappings are
smooth and use the words “differentiable” and “smooth” interchange-
ably.

Theorem A.3. If f is differentiable at p ∈ Rn , then each partial derivative of

each component function of f , i.e., ∂fi (p)/∂xi , exists, and Dfp is the linear map
associated with the Jacobian matrix of f at p:
 ∂f (p) ∂f1 (p)

1
. . .
 ∂x. 1 ..
∂xn
.. 
Jfp := 
 .
. . .


∂fm (p) ∂fm (p)
∂x1 . . . ∂xn

Conversely, if each partial derivative of each component function exists and is

continuous in an open set containing p, then f is differentiable at p.
If m = 1, then Jfp is a single row vector called the gradient of f at p, denoted
∇p f or gradp f . If n = 1 and m is arbitrary, then f is a parametrized curve and
Jfp is a single column vector = the velocity of the curve at p. (In general, the
columns of Jfp may be thought of as tangent vectors spanning the tangent space
to f at p.)

In what follows below, we make statements about functions f : Rn → Rm with

the understanding that, with minor adjustments, they apply equally well to func-
tions of the form f : U → V for open subsets of Rn and Rm .

Theorem A.4. (Chain Rule.) If f : Rn → Rm is differentiable at u, and g : Rm →

Rp is differentiable at f (u), then the composition g ◦ f : Rn → Rp is differentiable
at u and
D(g ◦ f )u = Dgf (u) ◦ Dfu
 NOTES ON MANIFOLDS 111

or, in terms of Jacobian matrices,

J(g ◦ f )u = Jgf (u) ◦ Jfu .
Theorem A.5. (Inverse Function Theorem.) Suppose that all the partial deriva-
tives of each component function of f : Rn → Rn exist and are continuous in an
open set containing u and det Jfu 6= 0. Then there is an open set W containing u
and an open set V containing f (u) such that f : W → V has a continuous inverse
f −1 : V → W which is differentiable for all v ∈ V and
J(f −1 )v = (Jff −1 (v) )−1 .
Definition A.6. Let U, V be open subsets of Rn . A mapping f : U → V is a local
diffeomorphism if for all p ∈ U there exists an open neighborhood Ũ ⊆ U of p such
that f (Ũ ) is an open subset of V
f |Ũ : Ũ → f (Ũ )
is a diffeomorphism.
Remark A.7. Note that if f : U → V is a local diffeomorphism, the f (U ) is open
in V . Further, by the inverse function theorem, if det(Jfu ) 6= 0 for all u ∈ U ,
then f is a local diffeomorphism.
Definition A.8. Let f : Rn → Rm be a differentiable function, and let p ∈ Rn .
The best affine approximation to f at p is the function
Afp (x) := f (p) + Dfp (x).
A.2. Classical integral vector calculus.
A.2.1. Integral over a set.
Definition A.9. Let K be a bounded subset of Rn , and let f : K → R be a bounded
function. To define the integral of f over K, choose a rectangle A containing K
and define the function f˜ on A which agrees with f on K and is zero otherwise.
The integral of f over K is then
Z Z
f := f˜,
K A
provided this integral exists.
Remark A.10.
(1) One may show that the definition does not depend on the choice of the
bounding rectangle, A.
R
(2) If K f exists, we say f is integrable (over K).
(3) In class, we showed that if f is a bounded function defined on any rectangle
A and is continuous except for a set of volume zero, then f is integrable over
A. It follows that if K, from above, is compact (i.e., closed and bounded),
has boundary of volume zero, and f is continous on K, then f is integrable
over K. Recall that the boundary of K is the set
∂K := K ∩ K 0 ,
112 DAVID PERKINSON AND LIVIA XU

the intersection of the closure of K and the closure of the complement of

K.

Theorem A.11. (Change of variables.) Let K ⊂ Rn be a compact and connected

set having boundary with measure zero. Let U be an open set containing K. Suppose
that φ : A → Rn is a C 1 -mapping (i.e., with continuous first partials) and such
that φ is injective on the interior K ◦ and det(Jφ) 6= 0 on K ◦ . Then if f : φ(K) →
Rn is continous, it follows that
Z Z
f= (f ◦ φ)| det(Jφ))|.
φ(K) K

For the definitions of boundary and interior is Definition B.1. In the change of
variables theorem, we have a sequence of mappings
φ f
K− → Rn .
→ φ(K) −
The mapping φ is the change of variables. For instance, if we are integrating a
function over a 2-sphere, K might be a rectangle and φ spherical coordinates.

A.2.2. Curve integrals.

Definition A.12. Let C: [a, b] → Rn be a differentiable curve in n-space, and let f

be a real-valued function defined on the image of C. The path integral of f along C
is Z Z b
f := (f ◦ C) |C 0 |.
C a
If f = 1, we get the length of C:
Z Z b
length(C) := 1= |C 0 |.
C a

Remark A.13.
(1) In the above displayed formulas, the stuff on the left of the equals sign is
just notation for the stuff on the right-hand side. In other words, the left-
hand side has no independent meaning. The same holds for the formulas
appearing in the definitions below.
(2) The path integral is sometimes called the line integral or the curve integral.
R
Another notation for the path integral is C f dC.
(3) The above integrals may not exist. They will exist if, for example, f is
continous on the image of C and C 0 is continous.
(4) Think of the factor of |C 0 (t)| as a “stretching” factor, recording how much
the domain, [a, b] is stretched by C as it is placed in Rn .

Geometric Motivation. The integral of f along C is meant to measure the

weighted (by f ) length of C. To see where the definition comes from, imagine how
one would go about calculating the length of C. One might approximate the image
of C by line segments, and in order to do this, it is natural to take a partition of the
domain, [a, b], say a = t0 ≤ t1 ≤ · · · ≤ tk = b. The image of these partition points
can be used to break up the image of C into line segments as illustrated below:
 NOTES ON MANIFOLDS 113

C(k)
C(1)
C
a b C(i − 1)
0 1 i−1 i k C(0) C(i)

Approximating a curve with matchsticks.

We want to add up the lengths of these line segments, weighting each one using f ,
which we might as well evaluate at an endpoint of each segment. Thus, we get
k
X
weighted length of C ≈ f (C(ti )) |C(ti ) − C(ti−1 )|
i=1
k
X C(ti ) − C(ti−1 )
= f (C(ti )) (ti − ti−1 )
i=1
ti − ti−1
Z b
≈ (f ◦ C) |C 0 (t)|.
a

Definition A.14. Let C: [a, b] → Rn be a curve in n-space, and let F = (F1 , . . . , Fn )

be a vector field in Rn defined on the image of C. The flow of F along C is
Z Z
F · dC := wF ,
C C
where ωF := F1 dx1 + · · · + Fn dxn is the 1-form associated with F .

Remark A.15.
(1) Another notation for the flow is C F · ~t. If C is a closed curve, meaning
R
H
C(a) = C(b), then one often sees the notation C F · dC.
(2) Working out the definition given above, one sees that
Z Z b
F · dC = F (C(t)) · C 0 (t).
C a
Rb
Geometric Motivation. As claimed above, the flow can be expressed as a
F (C(t))·
C 0 (t), which can be re-written as
Z b
C 0 (t)

F (C(t)) · 0 |C 0 (t)|.
a |C (t)|
Notice the unit tangent vector appearing inside the square brackets. The quantity
inside the brackets is thus the component of F in the direction in which C is
moving. The factor of |C 0 (t)| is the stretching factor which appears when taking
a path integral of a function. Comparing with the geometric motivation given for
the path integral, we see that the flow is measuring the length of C, weighted by
the component of F along C. Hence, it makes sense to call this integral the flow
of F along C.
114 DAVID PERKINSON AND LIVIA XU

A.2.3. surface integrals.

Definition A.16. Let S: D → R3 with D ⊆ R2 be a differentiable surface in 3-

space, and let f be a real-valued function defined on the image of S. The surface
integral of f along S is

Z Z
f := (f ◦ S) |Su × Sv |,
S D

where Su and Sv are the partial derivatives of S with respect to u and v, respectively.
If f = 1, we get the surface area of S:

Z Z
area(S) = 1= |Su × Sv |.
S D

Remark A.17.

(1) The cross product of two vectors v = (v1 , v2 , v3 ) and w = (w1 , w2 , w3 ) in

R3 is given by

v × w := (v2 w3 − v3 w2 , v3 w1 − v1 w3 , v1 w2 − v2 w1 ),

which may be easier to remember with one of the following mnemonic

devices:

 
i j k
v × w = det  v1 v2 v3  = ([2, 3], [3, 1], [1, 2]),
w1 w2 w3

thinking of reading off the numbers 1, 2, and 3 arranged around a circle.

The important things to remember about the cross product are: (i) it is
a vector perpendicular to the plane spanned by v and w, (ii) its direction
is given by the “right-hand rule”, and (iii) its length is the area of the
parallelogram spanned by v and w.
(2) The factor |Su × Sv | is the area of the parallelogram spanned by Su and Sv
and should be thought of as the factor by which space is locally stretched
by f (analogous to |C 0 (t)| for curve integrals).

Geometric Motivation. The integral of f along S is meant to measure the

weighted (by f ) surface area of S. To estimate this value, one might reasonably
partition the domain of S. The image of the subrectangles would be warped paral-
lelograms lying on the image of S:
 NOTES ON MANIFOLDS 115

Sv

S
J S(J)

Su

Warped parallelograms on a surface.

The warped parallelograms can be approximated by scaling the parallelograms

spanned by the partial derivative vectors, Su and Sv . Hence, if J is a subrectangle
of the partition, then S(J) is a warped parallelogram whose area is approximately
that of the parallelogram spanned by Su and Sv , scaled by vol(J). Recalling that
the area of the parallelogram spanned by Su and Sv is the length of their cross
product, we get
X
weighted surface area ≈ f (S(xJ )) area(S(J)) (xJ any point in J)
J
X
≈ f (S(xJ )) area(J) |Su (xJ ) × Sv (xJ )|
J
Z
≈ (f ◦ S) |Su × Sv |.
D

Definition A.18. Let D ⊆ R2 , and let S: D → R3 be a differentiable surface in

3-space, and let F = (F1 , F2 , F3 ) be a vector field defined on the image of S. The
flux of F through S is Z Z
F · ~n := ωF ,
S S
where
ωF := F1 dy ∧ dz − F2 dx ∧ dz + F3 dx ∧ dy
= F1 dy ∧ dz + F2 dz ∧ dx + F3 dx ∧ dy,
is the flux 2-form for F .

Remark A.19. (1) From the definition, it follows that

Z Z
F · ~n = (F ◦ S) · (Su × Sv ).
S D
(2) To calculate the flux of a vector field F through a hypersurface, S, in Rn ,
Pn
integrate S ωF where ωF := i=1 (−1)i−1 dx1 ∧ · · · ∧ dx
R
ci ∧ · · · ∧ dxn . The
notation signifies omitting dxi and wedging all of the remaining dxj ’s in
the i-term. By hypersurface, we mean that the domain of S sits in Rn−1 .
Letting n = 3 recovers the usual notion of flux through a (2-dimensional)
surface.
116 DAVID PERKINSON AND LIVIA XU

Geometric Motivation. To see the geometric motivation behind the definition of

flux, one first needs to check that our definition for flux is equivalent to the integral
R
D
(F ◦ S) · (Su × Sv ). Then, re-writing the intergral gives:
Z
flux = (F ◦ S) · (Su × Sv )
D
Z  
Su × Sv
= (F ◦ S) · |Su × Sv |
D |Su × Sv |
Note the unit normal appearing inside the square brackets. Thus, the quantity
inside the brackets is the component of F in the unit normal direction. The factor
of |Su × Sv | appearing outside the brackets is the “stretching” factor which appears
in our earlier definition of the integral of a function along a surface. In light of the
geometric motivation given in that situation (above), we see that the integral is
measuring the surface area of S, weighted by the normal component of F normal
to the surface.
A.2.4. solid integrals.
Definition A.20. Let V : D → Rn with D ⊂ Rn be a differentiable mapping, and
let f be a real-valued function defined on the image of V . The integral of f over
V is Z Z
f := (f ◦ V ) | det V 0 |,
V D
where V 0 is the n × n Jacobian matrix for V . If f = 1, we get the volume of V :
Z Z
vol(V ) = 1= | det V 0 |.
V D

Remark A.21.
(1) The distinguishing feature for this integral is that both the domain and
codomain are subsets of Rn .
(2) One could leave off the absolute value signs about the determinant. In that
case, we would be taking orientation into account, and some parts of the
integral could cancel with others.
Geometric Motivation. The integral is supposed to measure the volume of V
weighted by f . To this end, partition the domain, D. Let J be a subrectangle
of the partition. Then V (J) is a warped rectangle which can be approximated by
the parallelepiped spanned by the partials of V , i.e., the columns of the Jacobian
matrix, V 0 , scaled by vol(J). Recall that the volume of the parallelepiped spanned
by the columns of a square matrix is given by the absolute value of the determinant
of the matrix. Hence,
X
weighted volume ≈ f (V (xJ )) vol(V (J)) (xJ any point in J)
J
X
≈ f (V (xJ )) | det V 0 | vol(J)
J
Z
≈ (f ◦ V ) | det V 0 |.
D
 NOTES ON MANIFOLDS 117

A.2.5. Grad, curl, and div. Stokes’ theorem says that

Z Z
dω = ω,
C ∂C

for any k-chain C in Rn and (k − 1)-form ω in Rn . In this section, we would like

to consider the special cases: k = 1, 2, 3.

Case k = 1
To apply Stokes’ theorem in the case k = 1, we start with a 1-chain C and a
0-form ω. We will consider the case where C: [0, 1] → Rn is a curve in Rn . Recall
that a 0-form is a function: ω = f : Rn → R.

Definition A.22. Let f : Rn → R be a differentiable function. The vector field

corresponding to the 1-form df is called the gradient of f :
grad(f ) := ∇f := (D1 f, . . . , Dn f ).
The function f (or sometimes −f ) is called a potential function for the vector field.

In this case, Stokes’ theorem says

Z Z
df = f.
C ∂C
The left-hand side is by definition the flow of ∇f along C, and the right-hand side
is f (C(1)) − f (C(0)), the change in potential. We get the following classical result:

Theorem A.23. The flow of the gradient vector field ∇f along C is given by the
change in potential: Z
∇f · dC = f (C(1)) − f (C(0)).
C

Geometric interpretation of the gradient. To understand the gradient, let

p ∈ Rn , and let v ∈ Rn be a unit vector. Define
Cε : [0, 1] → Rn
t 7→ p + t εv
Let f : Rn → R. If ε is small, then ∇f is approximately ∇f (p) along Cε . Hence,
the flow of ∇f along Cε is approximately ε ∇f (p) · v (noting that v is the unit
tangent for Cε ). By Stokes’ theorem, the flow is given by f (C(1)) − f (C(0)).
Hence,
f (p + εv) − f (p)
∇f (p) · v ≈ .
ε
It turns out that taking the limit as ε → 0 gives ∇f (p) · v exactly. Therefore, the
component of the gradient in any particular direction gives the rate of change of
the function in that direction. Of course, the component is maximized when the
direction points the same way as the gradient; so the gradient points in the direction
of quickest increase of the function. In this way, the gradient can be thought of
as “change density,” and Stokes’ theorem says, roughly, that the integral of change
density gives the total change, i.e., the change in potential.
118 DAVID PERKINSON AND LIVIA XU

Fundamental Theorem in one variable. Specializing further, let a, b be real

numbers with a < b, and define C(t) = a + t(b − a). Let ω = f : R → R be a 0-form.
R R
Stokes’ theorem says that C df = ∂C f . For the left-hand side, we get
Z Z Z 1 Z b
df = f 0 dx = (f 0 ◦ C) C 0 = f 0,
C C 0 a

using the change of variables theorem. Thus, Stokes’ says

Z b Z
f0 = f = f (C(1)) − f (C(0)) = f (b) − f (a),
a ∂C

the fundamental theorem.

Case k = 2
To apply Stokes’ theorem in the case k = 2, we start with a 2-chain and a 1-form.
For the 2-chain, we will take a surface S: D → R3 , where D = [0, 1] × [0, 1]. The 1-
form looks like ω = F1 dx+F2 dy+F3 dz. Let F := (F1 , F2 , F3 ) be the corresponding
vector field. For Stokes’ theorem, we need to consider dω. A straightforward
calculation (do it!) yields
dω = (D2 F3 − D3 F2 ) dy ∧ dz − (D3 F1 − D1 F3 ) dx ∧ dz + (D1 F2 − D2 F1 ) dx ∧ dy,
which corresponds to the vector field called the curl of F .

Definition A.24. Let F = (F1 , F2 , F3 ) be a vector field on R3 . The curl of F is

the vector field
 
i j k
curl(F ) := ∇×F := det  D1 D2 D3  := (D2 F3 −D3 F2 , D3 F1 −D1 F3 , D1 F2 −D2 F1 ).
F1 F2 F3
where Di denotes the derivative with respect to the i-th variable.

Stokes’ theorem says Z Z

dω = ω.
S ∂S
By definition, the left-hand side is the flux of the curl(F ) through S and the right-
hand side is the flow of F along the boundary. We get the classical result:

Theorem A.25. The flux of the curl of F through the surface S is equal to the
flow of F along the boundary of the surface:
Z Z
curl(F ) · ~n = F · dC
S ∂S

where C = ∂S.

Geometric interpretation of the curl. To get a physical understanding of the

curl, pick a point p ∈ R3 and a unit vector v. Let Dε be a parametrized disk of
radius ε centered at p and lying in the plane normal to v. For ε small, the curl
of F is approximately constant at curl(F )(p) over Dε . The flux of the curl is,
 NOTES ON MANIFOLDS 119

thus, approximately the normal component, curl(F )(p) · v times the area of Dε . By
Stokes’ theorem, the flux is the circulation about the boundary. Thus,
Z
1
curl(F )(p) · v ≈ F · dC,
area(Dε ) C
where C = ∂Dε . It turns out that we get equality if we take the limit as ε → 0.
Hence, the component of the curl in the direction of v measures the circulation
of the original vector field about a point in the plane perpendicular to v. In this
sense, the curl measures “circulation density”. So roughly, Stokes’ theorem says
that integrating circulation density gives the total circulation.

Case k = 3
In this case, we are concerned with a 3-chain and a 2-form. We will consider the
case where the chain is a solid V : D → R3 , where D = [0, 1] × [0, 1] × [0, 1]. We will
assume that det V 0 ≥ 0 at all points. The 2-form can be written

ω = F1 dy ∧ dz − F2 dx ∧ dz + F3 dx ∧ dy.

A simple calculation (do it!) yields

dω = (D1 F1 + D2 F2 + D3 F3 ) dx ∧ dy ∧ dz.

Definition A.26. If F is a vector field on Rn , the divergence of F is the scalar

function
Xn
div(F ) := ∇ · F := Di Fi .
i=1
R R
Stokes’ theorem says that V dω = ∂V ω. The left-hand side is
Z Z
dω = div(F ) dx ∧ dy ∧ dz
V
ZV
= div(F ) ◦ V det(V 0 )
ZD
= div(F ) (since we’ve assumed det(V 0 ) ≥ 0).
V

(The first equality follows from the definition of div(F ), the second from the def-
inition of integration of a differential form, and the third from the definition of a
solid integral, given earlier in this handout.) The right-hand side of Stokes’ is by
definition the flux of F through the boundary of V . The classical result is:

Definition A.27. The integral of the divergence of F over V is equal to the flux
of F through the boundary of V :
Z Z
div(F ) = F · ~n.
V ∂V

Geometric interpretation of the divergence. Pick a point p ∈ R3 , and let Vε

be a solid ball of radius ε centered at p. If ε is small, the divergence of F will not
120 DAVID PERKINSON AND LIVIA XU

change much from div(F )(p) on Vε . Hence, the integral of the divergence will be
approximately div(F )(p) times the volume of Vε . By Stokes’ we get
Z
1
div(F )(p) ≈ F · ~n,
vol(Vε ) S
where S = ∂V . Taking a limit gives an equality. Thus, the divergence measures
“flux density”: the amount of flux per unit volume diverging from a given point.
So Stokes’ theorem in this case is saying that the integral of flux density gives the
total flux.

Appendix B. Topology
B.1. Topological spaces. This appendix is an extraction of the salient parts, for
our notes, of An outline summary of basic point set topology, by Peter May. (Note:
this reference’s definition of a neighborhood differs slightly from ours—we do not
insist that a neighborhood is open. See below.)

Definition B.1. A topology on a set X is a collection of subsets τ of X such that

(1) ∅ ∈ τ.
(2) X ∈ τ.
(3) τ is closed under arbitrary unions.
(4) τ is closed under finite intersections.
The elements of τ are called the open sets for the topology and (X, τ ) (or just X,
if τ is understood from context) is called a topological space. A neighborhood of
a point x ∈ X is any set N (not necessarily open) that contains an open set
containing x. A subset of a topological space is closed if its complement is open.
The closure, A, of a subset A ⊆ X is the intersection of all closed set containing A.
The interior of A, denoted A◦ is the union of all open sets (in X) that are contained
in A, and the boundary of A is the set ∂A := A \ A◦ .

Definition B.2. A collection of subsets B of a set X is a basis for a topology on X

if
(1) B covers X: for each x ∈ X, there exists an element of B ∈ B containing x;
(2) if x ∈ B 0 ∩ B 00 for some B 0 , B 00 ∈ B, then there exists B ∈ B such that x ∈
B ⊆ B 0 ∩ B 00 .
The topology generated by a basis B consists of all unions of sets in B.

Exercise B.3. Let τ be the topology on X generated by a basis B. Show that U ∈ τ

if and only if for all x ∈ U , there exists B ∈ B such that x ∈ B ⊆ U .

Example B.4. The open ball in Rn of radius r ∈ R≥0 centered at x ∈ Rn is the

set
Br (x) := {y ∈ Rn : |x − y| < r} .
Note that the empty set is an open ball (taking r = 0). The open balls generate
the standard topology on Rn .

In order to do integration on manifolds, the following concept is important:

 NOTES ON MANIFOLDS 121

Definition B.5. A topological space X is second countable if it has a countable

basis, i.e., if it has a basis whose elements can be put in bijection with N.

Definition B.6. A topology on a set X is Hausdorff if for all points x 6= y in X,

there exist neighborhoods U of x and V of y such that U ∩ V = ∅.

Exercise B.7. Let X be a Hausdorff topological space. Show that {x} is closed
for each point x ∈ X.

Definition B.8. Let X and Y be topological spaces. The product topology on X×Y
has basis consisting of the sets U × V where U is open in X and V is open in Y .
Unless otherwise indicated, we will always assume the product topology on X × Y .

Exercise B.9. Show that a topological space X is Hausdorff if and only if the
diagonal ∆ := {(x, x) ∈ X × X : x ∈ X} is closed.

Definition B.10. The subspace topology on a subset A of a topological space X is

the set of intersections A ∩ U such that U is open in X. A subset of X endowed
with the subspace topology is called a (topological) subspace of X.

Exercise B.11. Let X and Y be topological spaces with subsets A ⊆ X and B ⊆

Y . Define two topologies on A × B: on one hand, endow A and B with their
respective subspace topologies, and then form the product topology on A × B; and
on the other hand, give A × B the subspace topology as a subset of X × Y . Show
these topologies are the same.

Definition B.12. Let X be a topological space, and let π : X → Y be a surjective

function. The quotient topology on Y is the set of subsets U ⊆ Y such that π −1 (U )
is open in X.

Exercise B.13. Show that a subspace of a Hausdorff space is Hausdorff and that
the product of Hausdorff spaces is Hausdorff. Show that the quotient of a Hausdorff
space need not be Hausdorff.

B.2. Continuous functions and homeomorphisms. Let f : X → Y be a func-

tion between topological spaces. Then f : X → Y is continuous if f −1 (U ) is open
in X for each open set U in Y . To check continuity, it suffices to check that f −1 (U )
is open for each set U in a basis for Y , or to check that f −1 (A) for each closed
subset A of Y .

Exercise B.14.
(1) Show that f : X → Y is continuous if and only if for each x ∈ X and neigh-
borhood V of f (x), there exists a neighborhood U of x such that f (U ) ⊆ V .
(2) Show that a function f : Rn → Rm is continuous if and only if it satisfies
the usual -δ definition of continuity.

If f : X → Y is bijective and both it and its inverse, f −1 are continuous, then f

is a homeomorphism. In that case, we think of X and Y as being “isomorphic” or
“the same” as topological spaces.
122 DAVID PERKINSON AND LIVIA XU

B.3. Connectedness. Let I = [0, 1] be the unit interval in R, and let X be a

topological space. A path in X is a continuous function f : I → X connecting the
points f (0) and f (1).

Definition B.15.
(1) X is connected if the only subsets of X that are both open and closed are ∅
and X, itself.
(2) X is path connected if every two points of X can be connected by a path.

Exercise B.16. Let h : X → Y be a continuous mapping, and let A ⊆ X be a

connected subspace of X. Show that h(A) is connected.

Definition B.17. Define two equivalence relations on a topological space X. First,

say x ∼ y for two points in X if x and y are both elements in some connected
subspace of X. Second, say x ≈ y if there is a path in X from x to y. An
equivalence class for ∼ is a connected component of X, and an equivalence class
for ≈ is a path component of X.

If x, y are in some path component of a topological space X, let f be a path

in X joining x to y. Then the image of f , with the subspace topology, is connected.
Hence, each connected component is the union of path components. It is not
necessarily true that the set of connected components is the same as the set of path
components, but we will see below (Theorem B.19) that in the case of relevance to
our study—locally Euclidean spaces—the two notions coincide.

Definition B.18. Let X be a topological space.

(1) X is locally connected if for each x ∈ X and each neighborhood U of x,
there exists a connected neighborhood V of x contained in U .
(2) X is locally path connected if for each x ∈ X and each neighborhood U of x,
there exists a path connected neighborhood V of x contained in U .

Theorem B.19. If a topological space is locally path connected, then its components
and path components coincide.

B.4. Compactness.

Definition B.20. A topological space X is compact if every open cover of X has

a finite subcover, that is: if {Uα }α is a family of open subsets of X such that
X = ∪α Uα , then there are finitely many indices α1 , . . . , αk such that X = ∪ki=1 Uαi .

Here is a list of first properties of compactness:

• A subspace A of a topological space X is compact if and only if every open
cover of A by open subsets of X has a finite subcover.
• A subspace of Rn is compact if and only if it is closed and bounded.
• A compact subspace of a compact Hausdorff space is closed.
• The continuous image of a compact space is compact.
• If f : X → Y is a bijective continuous mapping, X is compact, and Y is
Hausdorff, then f is a homeomorphism, i.e., it has a continuous inverse.
 NOTES ON MANIFOLDS 123

B.5. Partition of unity. Let M be a manifold that is second countable and Haus-
dorff, and let U be an open cover of M . Then there exists a collection Ξ of smooth
functions M → [0, 1] ⊂ R such that:
• For each λ ∈ Ξ there exist U ∈ U containing supp(λ). [Note: The support
of λ is defined by
supp(λ) := {x ∈ M : λ(x) 6= 0} .]
• For each x ∈ M , there exists an open neigborhood V of x such that λ|V = 0
for all but finitely many λ ∈ Ξ, and
X
λ(x) = 1.
λ∈Ξ

[Note: the sum makes sense since all but finitely terms are zero.]
Partitions of unity are important to glue together locally-defined objects. For
instance, integration of forms on manifolds is at first defined locally, then glued
together for a global definition. For more on the existence of partitions of unity,
see the Wikipedia page on paracompact spaces.

Appendix C. Measure Theory

For more details on measure theory, see The Elements of Integration and Lebesgue
Measure, by Bartle, [1], or Math 321, Real Analysis, by Perkinson.
To put a “measure” on a set, we first need to divvy up the set into measurable
pieces:

Definition C.1. A σ-algebra (sigma algebra) on a set X is a collection of sub-

sets Σ ⊆ 2X satisfying:
(1) ∅ ∈ Σ and X ∈ Σ,
(2) (closed under complementation) A ∈ Σ implies Ac ∈ Σ,
(3) (closed under countable unions) {Ai }i∈N ⊆ Σ implies ∪i∈N Ai ∈ Σ.

Next, we decide the size of each piece:

Definition C.2. Let X be a set with σ-algebra Σ. A measure on (X, σ) is a

function
µ : Σ → R≥0 ∪ {∞}
such that
(1) µ(∅) = 0,
P
(2) (additive) µ(∪i∈N Ai ) = i∈N µ(Ai )) for pairwise disjoint Ai ∈ Σ.
The triple (X, σ, µ) is called a measure space.

We can then define integration of nice functions on the set. We first define “nice”:

Definition C.3. Let (X, σ, µ) be a measure space. A function f : X → R is

measurable if
f −1 ((a, ∞)) := {x ∈ X : f (x) > a} ∈ Σ
for all a ∈ R.
124 DAVID PERKINSON AND LIVIA XU

Then define the integral of a simple function:

Definition C.4. The characteristic function of a subset A ⊆ X is the function

defined by (
1 if x ∈ A
χA (x) :=
0 if x ∈ X \ A,
If A is measurable and c ∈ R, then
Z
c χA := c µ(A).

A function φ : X → R is simple if it is a linear combination of characteristic func-

Pk
tions: φ = i=1 ci χEi for some measurable sets E1 , . . . , Ek . In that case, its
integral is
Z k Z
X Xk
φ := ci χEi = ci µ(Ei ).
i=1 i=1

Finally, we define the integral of a measurable function by approximating it with

simple functions:

Definition C.5. Let f be a measurable function on a measure space (X, σ, µ).

If f (x) ≥ 0 for all x ∈ X, define
Z Z 
f := sup φ
φ

where the sup is over all simple functions φ such that 0 ≤ φ(x) ≤ f (x) for all x ∈ X
(see Figure 35).
If f is not necessarily nonnegative, then write f = f + − f − where
( (
+ f (x) if f (x) ≥ 0 − −f (x) if f (x) ≤ 0
f (x) := and f (x) :=
0 otherwise 0 otherwise.
R + R −
Then f is integrable if f and f are finite, in which case
Z Z Z
f := f + − f − .

E1 E2 E3 E4 E5

Figure 35. Approximating a function with a simple function.

Lebesgue measure. We now turn to the case of interest for this text: the standard
measure on Rn . To approximate the size of a set X ⊂ Rn , we cover it with
rectangles:
 NOTES ON MANIFOLDS 125

Definition C.6. If I ∈ Rn is a rectangle, define µ(I) to be the product of the

lengths of its sides. The outer measure of X ⊂ Rn is
( )
X
outer(X) = inf µ(Ii )
i=1

where the inf is over sequence of rectangles I1 , I2 , . . . covering X, i.e., such that
X ⊆ ∪ki=1 Ii . The set X is Lebesgue measurable if it “splits additively in measure”:
outerX = outer(X ∩ A) + outer(X ∩ Ac )
for all A ⊆ Rn .

Theorem C.7. The collection of Lebesgue measurable sets L in Rn forms a σ-

algebra. It contains all open sets (and, hence, all closed sets). Outer measure
restricted to L forms is a measure, i.e., defining µ(A) = outer(A) for all A ∈ L, it
follows that (Rn , L, µ) is a measure space.

Appendix D. Simplicial homology

D.1. Exact sequences. A sequence of linear mappings of vector spaces
f g
V0 − → V 00
→V −
is exact (or exact at V) if im(f ) = ker(g). A short exact sequence of vector spaces
is a sequence of linear mappings
f g
0→V0 − → V 00 → 0
→V −
exact at V 0 , V , and V 00 .

Exercise D.1. For a short exact sequence of R-modules as above, show that
(1) f is injective;
(2) g is surjective;
(3) V 00 is isomorphic to coker(f );
(4) dim V = dim V 0 + dim V 00 .

In general, a sequence of linear mappings

· · · → Vi → Vi+1 → . . .
is exact if it is exact at each Vi (except the first and last, if they exist).
Consider a commutative diagram of linear mappings with exact rows
f g
V0 /V / V 00 /0

φ0 φ φ00
  
0 / W0 h /W k / W 00 .
0 00
(By commutative, we mean φ ◦ f = h ◦ φ and φ ◦ g = k ◦ φ.)
The snake lemma says there is an exact sequence
ker φ0 → ker φ → ker φ00 → coker φ0 → coker φ → coker φ00 .
126 DAVID PERKINSON AND LIVIA XU

If f is injective, then so is ker φ0 → ker φ, and if k is surjective, so is coker φ →

coker φ00 .
Exercise D.2. Prove the snake lemma.
A chain complex C of R-modules is a collection of R-modules {Cn }n together
with R-module maps {dn : Cn → Cn−1 }n such that dn−1 ◦ dn = 0, in other words,
im(dn ) ⊆ ker(dn−1 ). Sometimes for convenience, subscripts for d are often omitted
and we simply write d2 = 0.
Given chain complexes C and D, a chain map f from C to D is a collection of
R-module maps {fn : Cn → Dn } satisfying f d = df , namely, the following diagram
commutes:
d dn+1 dn d
··· Cn+1 Cn Cn−1 ···
fn+1 fn fn−1
d dn+1 dn d
··· Dn+1 Dn Dn−1 ···
A short exact sequence of chain complexes of R-modules is a sequence of chain
f g
maps 0 → A −→ B −→ C → 0 such that at each level n, we have a short exact
fn gn
sequence 0 → An −→ Bn −→ Cn → 0.
The n-th homology group is defined to be the quotient Hn (C) := ker(dn−1 )/ im(dn ).
The homology groups measures how far away the chain complex is from being ex-
act. If all of the homology groups are zero, then we say that the chain complex is
exact.
Using tools from homological algbera, it can be shown that a short exact se-
f g
quence 0 → A −→ B −→ C → 0 of chain complexes induces the connecting
homomorphisms ∂ : Hn (C) → Hn−1 (A) and a long exact sequence of homology
groups:
g ∂ f g ∂ f
· · · −→ Hn+1 (C) −→ Hn (A) −→ Hn (B) −→ Hn (C) −→ Hn−1 (A) −→ · · · .
D.2. Simplicial complexes.
D.2.1. First definitions. An (abstract) simplicial complex ∆ on a finite set S is a
collection of subsets of S, closed under the operation of taking subsets. The elements
of a simplicial complex ∆ are called faces. An element σ ∈ ∆ of cardinality i + 1 is
called an i-dimensional face or an i-face of ∆. The empty set, ∅, is the unique face
of dimension −1. Faces of dimension 0, i.e., elements of S, are vertices and faces of
dimension 1 are edges.
The maximal faces under inclusion are called facets. To describe a simplicial
complex, it is often convenient to simply list its facets—the other faces are exactly
determined as subsets. The dimension of ∆, denoted dim(∆), is defined to be the
maximum of the dimensions of its faces. A simplicial complex is pure if each of its
facets has dimension dim(∆).
Example D.3. If G = (V, E) is a simple connected graph (undirected with no
multiple edges or loops), then G is the pure one-dimensional simplicial complex
on V with E as its set of facets.
 NOTES ON MANIFOLDS 127

Example D.4. Figure 36 pictures a simplicial complex ∆ on the set [5] := {1, 2, 3, 4, 5}:

∆ := {∅, 1, 2, 3, 4, 5, 12, 13, 23, 24, 34, 123},

writing, for instance, 23 to represent the set {2, 3}.

1 4

5
2

Figure 36. A 2-dimensional simplicial complex, ∆.

The sets of faces of each dimension are:

F−1 = {∅} F0 = {1, 2, 3, 4, 5}

F1 = {12, 13, 23, 24, 34} F2 = {123}.

Its facets are 5, 24, 34, and 123. The dimension of ∆ is 2, as determined by the
facet 123. Since not all of the facets have the same dimension, ∆ is not pure.

D.2.2. Simplicial homology. Let ∆ be an arbitrary simplicial complex. By relabel-

ing, if necessary, assume its vertices are [n] := {1, . . . , n}. For each i, let Fi (∆) be
the set of faces of dimension i, and define the group of i-chains to be the R-vector
space with basis Fi (∆):
P
Ci = Ci (∆) := RFi (∆) := { σ∈Fi (∆) aσ σ : aσ ∈ R}.

The boundary of σ ∈ Fi (∆) is

X
∂i (σ) := sign(j, σ) (σ \ j),
j∈σ

where sign(j, σ) = (−1)k−1 if j is the k-th element of σ when the elements of σ

are listed in order, and σ \ j := σ \ {j}. Extending linearly gives the i-th boundary
mapping,
∂i : Ci (∆) → Ci−1 (∆).
If i > n − 1 or i < −1, then Ci (∆) := 0, and we define ∂i := 0. We sometimes
simply write ∂ for ∂i if the dimension i is clear from context.

Example D.5. Suppose σ = {1, 3, 4} = 134 ∈ ∆. Then σ ∈ F2 (∆), and

sign(1, σ) = 1, sign(3, σ) = −1, sign(4, σ) = 1.

Therefore,
∂(σ) = ∂2 (134) = 34 − 14 + 13.
128 DAVID PERKINSON AND LIVIA XU

The (augmented) chain complex of ∆ is the complex

∂n−1 ∂2 ∂1 ∂0
0 −→ Cn−1 (∆) −→ · · · −→ C1 (∆) −→ C0 (∆) −→ C−1 (∆) −→ 0.
The word complex here refers to the fact that ∂ 2 := ∂ ◦ ∂ = 0, i.e., for each i, we
have ∂i−1 ◦ ∂i = 0.

2 2 3 3 3
+
∂1 ∂2
− 1 2
1 1 1 2 1 2

12 2−1 123 23 − 13 + 12

Figure 37. Two boundary mapping examples. Notation: if i < j,

then we write i j for ij and i j for −ij.

Figure 37 gives two examples of the application of a boundary mapping. Note

that
∂ 2 (12) = ∂0 (∂1 (12)) = ∂0 (2 − 1) = ∅ − ∅ = 0.
The reader is invited to verify ∂ 2 (123) = 0.

4 3 4
4 3
3
∂3 4
1 3 2
1 2
1 2
1 2

1234 234 − 134 + 124 − 123

Figure 38. ∂3 for a solid tetrahedron. Notation: if i < j < k,

k k
then we write for ijk and for −ijk.
i j i j

Figure 38 shows the boundary of σ = 1234, the solid tetrahedron. Figure 39

helps to visualize the fact that ∂ 2 (σ) = 0. The orientations of the triangles may
be thought of as inducing a “flow” along the edges of the triangles. These flows
cancel to give a net flow of 0. This should remind you of Stokes’ theorem from
multivariable calculus.
Example D.6. Let ∆ be the simplicial complex on [4] with facets 12, 3, and 4
pictured in Figure 40. The faces of each dimension are:
F−1 (∆) = {∅}, F0 (∆) = {1, 2, 3, 4}, F1 (∆) = {12}.
 NOTES ON MANIFOLDS 129

4
3

2
1

Figure 39. As seen in Figure 38, the boundary of a solid tetra-

hedron consists of oriented triangular facets.

1 2
4

Figure 40. Simplicial complex for Example D.6.

Here is the chain complex for ∆:

∂1 ∂0
0 C1 (∆) C0 (∆) C−1 (∆) 0.
1
2 ∅
12 2−1
3
4
In terms of matrices, the chain complex is given by

 12 
1 −1
1
2  
3 0 1 2 3 4

4 0 ∅ 1 1 1 1
0 R R4 R 0.
∂1 ∂0

The sequence is not exact since dim(im ∂1 ) = dim ∂1 = 1, whereas by rank-nullity,

dim(ker(∂0 )) = 4 − dim ∂0 = 3.

Definition D.7. For i ∈ Z, the i-th (reduced) homology of ∆ is the vector space
H
e i (∆) := ker ∂i / im ∂i+1 .

In particular, H
e n−1 (∆) = ker(∂n−1 ), and H
e i (∆) = 0 for i > n−1 or i < 0. Elements
of ker ∂i are called i-cycles and elements of im ∂i+1 are called i-boundaries. The
i-th (reduced) Betti number of ∆ is the dimension of the i-th homology:
e i (∆) = dim(ker ∂i ) − dim(∂i+1 ).
β̃i (∆) := dim H

Remark D.8. To define ordinary (non-reduced) homology groups, Hi (∆), and Betti
numbers βi (∆), modify the chain complex by replacing C−1 (∆) with 0 and ∂0 with
130 DAVID PERKINSON AND LIVIA XU

the zero mapping. The difference between homology and reduced homology is that
H0 (∆) ' R ⊕ He 0 (∆) and, thus, β0 (∆) = β̃0 (∆) + 1. All other homology groups
and Betti numbers coincide. From now on, we use “homology” to mean reduced
homology.

In general, homology can be thought of as a measure of how close the chain

complex is to being exact. In particular, H e i (∆) = 0 for all i if and only if the
chain complex for ∆ is exact. For the next several examples, we will explore how
exactness relates to the topology of ∆.
The 0-th homology group measures “connectedness”. Write i ∼ j for vertices i
and j in a simplicial complex ∆ if ij ∈ ∆. An equivalence class under the transitive
closure of ∼ is a connected component of ∆.

Exercise D.9. Show that β̃0 (∆) is one less than the number of connected compo-
nents of ∆.

For instance, for the simplicial complex ∆ in Example D.6,

e 0 (∆) = dim(ker ∂0 ) − dim(∂1 ) = 3 − 1 = 2.
β̃0 (∆) = dim H

Example D.10. The hollow triangle,

3
∆ = {∅, 1, 2, 3, 12, 13, 23}

1 2
has chain complex

 12 13 23 
1 −1 −1 0
2 1 0 −1 1 2 3

3 0 1 1 ∅ 1 1 1
3
0 R R3 R 0.
∂1 ∂0

It is easy to see that dim(∂1 ) = dim(ker ∂0 ) = 2. It follows that β̃0 (∆) = 0, which
could have been anticipated since ∆ is connected. Since dim(∂1 ) = 2, rank-nullity
says dim(ker ∂1 ) = 1, whereas ∂2 = 0. Therefore, β̃1 (∆) = dim(ker ∂1 )−dim(∂2 ) =
1. In fact, He 1 (∆) is generated by the 1-cycle
3

23 − 13 + 12 = .

1 2
If we would add 123 to ∆ to get a solid triangle, then the above cycle would
be a boundary, and there would be no homology in any dimension. Similarly, a
solid tetrahedron has no homology, and a hollow tetrahedron has homology only in
dimension 2 (of rank 1).
 NOTES ON MANIFOLDS 131

Exercise D.11. Compute the Betti numbers for the simplicial complex formed by
gluing two (hollow) triangles along an edge. Describe generators for the homology.

Example D.12. Consider the simplicial complex pictured in Figure 41 with facets
14, 24, 34, 123. It consists of a solid triangular base whose vertices are connected by
edges to the vertex 4. The three triangular walls incident on the base are hollow.

3
1

Figure 41. Simplicial complex for Example D.12.

What are the Betti numbers? The chain complex is:

123 
12 1
13 −1  12 13 14 23 24 34

14  0
  1 −1 −1 −1 0 0 0
2 1 0 0 −1 −1 0 

23  1  1 2 3 4
24 0 3 0 1 0 1 0 −1
0 4 0 0 1 0 1 1 ∅( 1 1 1 1 )
34
0 R R6 R4 R 0.
∂2 ∂1 ∂0

By inspection, dim(∂2 ) = 1 and dim(∂1 ) = dim(ker ∂0 ) = 3. Rank-nullity gives

dim(ker ∂1 ) = 6 − 3 = 3. Therefore, β̃0 = β̃2 = 0 and β̃1 = 2. It is not surprising
that β̃0 = 0, since ∆ is connected. Also, the fact that β̃2 = 0 is easy to see since 123
is the only face of dimension 2, and its boundary is not zero. Seeing that β̃1 = 2 is a
little harder. Given the cycles corresponding to the three hollow triangles incident
on vertex 4, one might suppose β̃1 = 3. However, as conveyed in Figure 42, those
cycles are not independent: if properly oriented their sum is the boundary of the
solid triangle, 123; hence, their sum is 0 in the first homology group.

D.2.3. A quick aside on algebraic topology. Algebraic topology seeks an assignment

of the form X 7→ α(X) where X is a topological space and α(X) is some algebraic
invariant (a group, ring, etc.). If X ' Y as topological spaces, i.e., if X and Y
are homeomorphic, then we should have α(X) ' α(Y ) as algebraic objects—this is
what it means to be invariant. The simplicial homology we have developed provides
the tool for creating one such invariant.
Let X be a 2-torus—the surface of a donut. Draw triangles on the surface so that
neighboring triangles meet vertex-to-vertex or edge-to-edge. The triangulation is
naturally interpreted as a simplicial complex ∆. An amazing fact, of fundamental
importance, is that the associated homology groups do not depend on the choice
132 DAVID PERKINSON AND LIVIA XU

3
1

(12 + 24 − 14) + (23 + 34 − 24) + (14 − 34 − 13) = (12 + 23 − 13)

| {z }
∂2 ( 123 )

Figure 42. A tetrahedron with solid base and hollow walls. Cy-
cles around the walls sum to the boundary of the base, illustrating
a dependence among the cycles in the first homology group.

of triangulation! In this way, we get an assignment

X 7→ H
e i (X) := H
e i (∆),

and, hence, also X 7→ β̃i (X) := β̃i (∆), for all i.

In a course on algebraic topology, one learns that these homology groups do
not see certain aspects of a space. For instance, they do not change under certain
contraction operations. A line segment can be continuously morphed into a single
point, and the same goes for a solid triangle or tetrahedron. So these spaces all
have the homology of a point—in other words: none at all (all homology groups
are trivial). A tree is similarly contractible to a point, so the addition of a tree to
a space has no effect on homology. Imagine the tent with missing walls depicted
in Figure 41. Contracting the base to a point leaves two vertices connected by
three line segments. Contracting one of these line segments produces two loops
meeting at a single vertex. No further significant contraction is possible—we are not
allowed to contract around “holes” (of any dimension). These two loops account
for β̃1 = 2 in our previous calculation. As another example, imagine a hollow
tetrahedron. Contracting a facet yields a surface that is essentially a sphere with
three longitudinal lines connecting its poles, thus dividing the sphere into 3 regions.
Contracting two of these regions results in a sphere—a bubble—with a single vertex
drawn on it. No further collapse is possible. This bubble accounts for the fact that
β̃2 = 1 is the only nonzero Betti number for the sphere. (Exercise: verify that β̃2 = 1
in this case.)

D.2.4. More examples. Let ∆ ⊂ 2[n] be a d-dimensional simplicial complex. For

each i ∈ Z we have the space of i-dimensional chains Ci := RFi , the vector space
of formal sums of i-dimensional faces of ∆. We have Ci = 0 for i < −1 and i > d,
and since F−1 = {∅}, we have C−1 = R. The boundary mapping ∂i : Ci → Ci−1
 NOTES ON MANIFOLDS 133

is defined as follows: if σ = σ1 . . . σi+1 ∈ Fi where the σk are the vertices of σ

and σ1 < · · · < σi+1 , then
i+1
X
∂i (σ) = (−1)k−1 σ1 . . . σ
ck . . . σi+1
k=1

= σ2 σ3 σ4 . . . σi+1 − σ1 σ3 σ4 . . . σi+1 + σ1 σ2 σ4 . . . σi+1 + · · · .

for −1 ≤ 1 ≤ d and ∂i = 0, otherwise. Recall the definitions of the reduced
homology groups and Betti numbers:
H
e i := H
e i (∆) := ker ∂i / im ∂i+1

e i = nullity(∂i ) − dim(∂i+1 ).
β̃i := β̃i (∆) := dim H

Examples D.13.
I.1.
1 2 3 4
 
1 1 1 1
0 → R4 −−−−−−−−−−−−→ R → 0
∂0
We have dim(∂0 ) = 1, and hence by the rank-nullity theorem, nullity = 4 − 1 = 3.
The only non-vanishing homology group is

e 0 (∆) = ker ∂0 / im ∂1 = ker ∂0 = Span 2 − 1, 3 − 1, 4 − 1
H

β̃0 = 3.

Question D.14. What are the homology groups and Betti numbers for ∆ = 1, . . . , n
for general n ≥ 1?

I.2.
5 6

1 2 3 4
−1
 
0
 
0 −1 





0 


0 


0 0 
 

 
1 0 
 

   
2
0 1 6
1 1 1 1 1 1
0 → R −−−−−−−−−−−→ R −−−−−−−−−−−−−−−−−−→ R → 0
∂1 ∂0
We have
dim(∂0 ) = 1, nullity(∂0 ) = 6 − 1 = 5
dim(∂1 ) = 2, nullity(∂1 ) = 0.
134 DAVID PERKINSON AND LIVIA XU

Therefore, β̃0 = 5 − 2 = 3 and β̃1 = 0. The same as in example I.

Homology:

e 0 = ker ∂0 / im ∂1 = Span{2 − 1, 3 − 1, 4 − 1, 5 − 1, 6 − 1}/ Span 5 − 1, 6 − 2
H

' Span{2 − 1, 3 − 1, 4 − 1}

e 0 , we have 5 = 1 and 6 = 2, which means, 5 − 1 = 0 and 6 − 1 = 2 − 1.

In H

Question D.15. How does this example generalize?

II.1
3

1 2
 
−1 −1

0 



1 0 −1 
  
3
0 1 1 3
1 1 1
0 → R −−−−−−−−−−−−−−−→ R −−−−−−−−−−→ R → 0
∂1 ∂0

We have

dim(∂0 ) = 1, nullity(∂0 ) = 3 − 1 = 2
dim(∂1 ) = 2, nullity(∂1 ) = 3 − 2 = 1.

Therefore, β̃0 = 2 − 2 = 0 and β̃1 = 1.

Homology:
e 1 = ker ∂1 / im ∂2 = ker ∂1 = Span{23 − 13 + 12}.
H

A picture of the generator for H

e1:

1 2

II.2.
2
1
3

5
4
 NOTES ON MANIFOLDS 135

 

−1 0 0 0 −1 



1 −1 0 0 0 





0 1 −1 0 0 


0 0 1 −1 0 
 

   
5
0 0 0 1 1 3
1 1 1 1 1
0 → R −−−−−−−−−−−−−−−−−−−−−−−→ R −−−−−−−−−−−−−−−→ R → 0
∂1 ∂0

We have

dim(∂0 ) = 1, nullity(∂0 ) = 5 − 1 = 4
dim(∂1 ) = 4, nullity(∂1 ) = 5 − 4 = 1.

Therefore, β̃0 = 4 − 4 = 0 and β̃1 = 1.

Homology:
e 1 = ker ∂1 / im ∂2 = ker ∂1 = Span{12 + 23 + 34 + 45 − 15}
H

The first homology is generated by a cycle of edges.

Question D.16. What happens in homology if we start with the triangle and sub-
divide its edges arbitrarily?

III.1.
4 3 5

1 2
Let’s compute the first homology.
 

−1 −1 −1 0 0 0 0 



1 0 0 −1 −1 0 0 





0 1 0 1 0 −1 −1  

0 0 1 0 0 1 0 
 

 
0 0 0 0 1 0 1
0 −−→ R7 −−−−−−−−−−−−−−−−−−−−−−−−−−−−−−−→ R5
∂2 ∂1

We have dim ∂1 = 4, and so nullity∂1 = 7−4 = 3. Therefore β̃1 = 3. The homology

is generated by the cycles surrounding the three bounded faces of the complex as
drawn above:
e 1 = ker ∂1 = Span{23 − 13 + 12, 34 − 14 + 13, 35 − 25 + 23}
H

III.2.
4 3 5

1 2
136 DAVID PERKINSON AND LIVIA XU

For first homology, note that ∂2 (134) = 34 − 14 + 13. We get

 
0
 



1 

  



−1 

 
−1 −1 −1 0 0 0 0 



0 





1 0 0 −1 −1 0 0 


0  0 1 0 1 0 −1 −1
   
   
  
1  0 0 1 0 0 1 0
   
  
   
0 0 0 0 0 1 0 1
R −−−−−−→ R −−−−−−−−−−−−−−−−−−−−−−−−−−−−−−−→ R5
7
∂2 ∂1

We have nullity(∂1 ) = 7 − 4 = 3 and dim ∂2 = 1. Therefore, β̃1 = 3 − 1 = 2. The

homology is generated by the cycles surrounding the two unfilled bounded faces of
the complex:

He 1 = ker ∂1 im ∂2 = Span{23 − 13 + 12, 34 − 14 + 13, 35 − 25 + 23}/ Span 34 − 14 + 13

' Span{23 − 13 + 12, 35 − 25 + 23}

The cycle 34 − 14 + 13 is the boundary of the shaded face, and thus has become 0
in the homology group.
Question D.17. How does this example generalize?

Exercise D.18. Draw the following simplicial complexes, determine their Betti
numbers, and describe bases for their homology groups. Recall that a facet of a
simplicial complex is a face that is maximal with respect to inclusion. So we can
describe a simplicial complex by just listing its facets. The whole simplicial complex
then consists of the facets and all of their subsets.
(1) ∆ with facets 123, 24, 34, 45, 56, 57, 89, 10.
(2) ∆ with facets 123, 14, 24, and 34.
(3) ∆ with facets 123, 124, 134, 234, 125, 135, 235. (Two hollow tetrahedra
glued along a face.)
 NOTES ON MANIFOLDS 137

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