Introduction to Submanifolds

Most manifolds of interest appear as submanifolds of others (e.g., of Rn ). For instance, S 2

is a submanifold of R3 . It can be obtained in two ways: (1) as the image of a map into R3 ,
or (2) as the level set of a function with domain R3 . We shall examine both methods below.
Our considerations are local at this point.

Changing coordinates to adapt to a map of constant rank

Suppose
F : M1 M2 is smooth, with dim(Mi ) = ni .
Let (U, xj ) and (V, y k ) be charts around p M1 and F (p) M2 respectively. Then F is
given locally by the functions
y k = F k (x1 , . . . , xn1 ); 1 k n2 .
 Definition: The rank of the differentiable function F at p is rank(DF (p)) = dim(range(DF (p))).
Suppose that the rank of F at p is m. By permuting the coordinates if necessary, we may
suppose that
 a
F

det
 , 1 a, b m is non-zero.
b
x
p
Now define new coordinates uk in a neighborhood of p by
ua = F a (x1 , . . . , xn1 ), 1 a m,
ur = xr , m < r n1
Then

u
x


=

F a /xb

0
In1 m


,

where 1 a, b m.
This is non-singular at p, and hence in a neighborhood of p, so the (ui ) are legitimate
coordinates (because of the inverse function theorem). In terms of these new coordinates,
the map F is now given by (1 , . . . , n2 ), where
a (u1 , . . . , un1 ) = ua ; 1 a m.
So in these coordinates,

DF (p) =

0


j
/uk

Imm


,
n2 n1

where, in the lower right block, m + 1 j n2 , m + 1 k n1 .

1

We now make the further assumption that the rank is constant (= m) in a neighborhood
of p. Since the upper left hand block has rank m in this neighborhood, the lower right hand
block must vanish identically (otherwise, the rank would increase). So, near p, we have


I 0
,
DF (p) =
0
which means that a = a (u1 , . . . , um ), so weve chosen coordinates in which the map F
depends only on the first m of them.
Corollary: If F : M N is smooth and of constant rank, its image can locally be
represented as the graph of a smooth function.
Proof: In the above notation, we have the image of F as the graph of the function
(u1 , . . . , um )t (m+1 , . . . , n2 )t .
Exercise: Consider the map F : R2 R3 given by

sin cos
F (, ) = sin sin .
cos
Carry out the procedure above to exhibit the image of F as a graph.
Continuing along, we can now fix up the coordinates in the range near F (p) by defining
za = ya : 1 a m
z r = y r r (y 1 , . . . , y m ) : m + 1 r n2 ,
with

z
=
y

Im
0
In2 m


.

And so the map F is given, in terms of (u1 , . . . , un1 ) and (z 1 , . . . , z n2 ) by

z i = i (u1 , . . . , un1 ) : 1 i n2 , with
z a = ua : 1 a m
z r = r (u) r (u) = 0 for i > m
Summarizing, weve proven the rank theorem:
Let F : M1 M2 be smooth and of constant rank k in some neighborhood
of p. Then there exist charts (U, uj )at p and (Z, z i ) at F (p) such that F is
locally represented by
2

z a = ua : 1 a m
z a = 0 : a > m.
That is, the image of the map F is represented locally by a coordinate slice.
Exercise: Suppose f : V Rk Rm is smooth and define F : V Rm+k
by setting
F (x) = (x, f (x)) (the graph of f ).
Then


DF =

Ikk
f /x


m+kk

has constant rank k. Finish the construction above.

Submanifolds
We are interested in the specific case where the rank is constant and equal to the dimension
of the domain of F .
 Definition: Suppose F : M N is smooth and dim(M ) dim(N ). If rank(F ) = dim(M )
at all point of M , then F is said to be an immersion and F (M ) is an immersed submanifold
of N . By the inverse function theorem, F is locally 1-1 onto its image. F is an embedding if
F is an immersion and F is a homeomorphism onto its image in the induced topology of N .
 Definition: F : M N is proper if F 1 (K) is compact in M for any compact K N . If
F is a proper embedding, the F (M ) is called a closed submanifold of N . An embedding of
M onto an open subset of N is called an open submanifold.
Remark: Immersions, embeddings, and proper embeddings are locally indistinguishable.
Exercise: Consider the set GL(n, R) = {Ann matrices over R with det(A) 6=
2
0}. Then GL(n, R) is an open submanifold of Rn . GL(n, R) is called the general
linear group of order n. Its our first example of a Lie group, a differentiable
manifold which is also a group and for which the group operations are smooth
functions. GL(n, R) has two connected components.
Exercise: Consider the torus T2 obtained from R2 by identifying points
according to (x, y) (u, v) (x u, y v) Z2 . Now consider the map
f : R T2 given by f (t) = [(ta, tb)], where [, ] denotes the equivalence class. If
(a, b) Z2 , (i.e., if b/a is rational), then the image under f is a closed curve. In
3

this case is an immersion; it would be an embedding if wed obtained it as the

image of a circle, but we didnt.
If the slope of the image is irrational, then the map is injective, and thus f is
injective, but its still not an embedding, since the image is dense in T2 . Whats
wrong here is that is not a homeomorphism onto its image in the induced
topology.
Exercise: (For those with some knowledge of differential equations) Consider
the nonlinear 2-d ODE in polar coordinates:
dr
= r r2
dt
d
= 0 > 0
dt
The equilibrium point at r = 0 is unstable (repelling) for > 0. There is also a
periodic orbit at r = . Evidently, if r < , dr/dt > 0, so r is strictly increasing
along any orbit starting in the interior of the periodic orbit. Along any such
orbit, as t , the orbit spirals out to the closed orbit at r = , but never gets
there. As it spirals out, it circles the origin infinitely often. As t , the
orbit approaches the unstable equilibrium point at 0. The orbit is homeomorphic
to R in the induced topology, and hence the image is an embedded submanifold
of R2 . But it is not a closed submanifold of R2 .
In light of the above, the following makes sense:
 Definition: A subset M of the differentiable manifold N is a k-dimensional regular submanifold of N if at each point p M , there is a coordinate neighborhood of p in N, (U, ui )
such that M U is given by uk+1 = = un = 0.
Normally, when one uses the word submanifold, this is whats meant, and this will be
assumed from now on.

Submanifolds as level sets

The most common way of constructing submanifolds is a consequence of the following:
Theorem: Suppose F : M N is smooth and of constant rank k on M . If
p F (M ), then F 1 (p) is an m k-dimensional submanifold of M .
Proof: Let A = F 1 (p) M , and let q A. By the rank theorem, there exist coordinates
(xi : 1 i m) in U M centered at q such that x(q) = 0 and coordinates (y j : 1 j n)
in N centered at p with y(p) = 0, such that F is given locally by
y a = xa : 1 a k
y a = 0 : k + 1 a n.
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Since all the points of A U map to 0 = y(p), they must be given by x1 = x2 = = xk = 0,

and this is the submanifold condition.
Corollary: Suppose F : M N is smooth, dim(N ) = n m = dim(M ), and the
rank of F = n (maximal) at every point of A = F 1 (a). Then A is a closed,
regular submanifold of dimension m n of M .
Proof: At any p A, F is of maximal rank. Since locally the rank can only jump up, this
means that theres a neighborhood of A in M in which F has the constant rank n, so the
theorem applied to this neighborhood, gives the result: A is a regular, closed submanifold
of this open set and hence of M .
Exercise: Consider the group SL(2, R) = {A22 : det(A) = 1} (the special
linear group of order 2). Writing


a b
A=
,
c d
and f (A) = ad bc, we find

d
c

Df (A) =
b
a
which has constant rank 1. So SL(2, R is a regular submanifold of GL(2, R. As an
example of the coordinates mentioned in the theorem, put x(a, b, c, d) = adbc1
and retain the coordinates a, b, c. Then

1 0
0 0
(a, b, c, x)
0 1
0 0
,
=
1 0
(a, b, c, d) 0 0
d c b a
which is non-singular provided that a 6= 0. In this chart, the submanifold is
given by x = 0. This, together with the obvious other three charts, exhibit the
submanifold structure.
P
Exercise: The function f : Rn R given by f (x) = n1 (xi )2 has rank 1
(maximal) on f 1 (1) = S n1 ; so S n1 is a regular closed submanifold of Rn .
2

Exercise: Regarding the matrix Ann as an element of X = Rn , the map

f : X X given by f (A) = At A has constant rank on the open submanifold
GL(n, R); hence f 1 (I) = {A GL(n, R) : At A = I} is a closed regular
submanifold of GL(n, R). This is the Lie group of orthogonal matrices. Verify
this for n = 2 (or larger).