CHAPTER 2: REGULAR SURFACES

Mathematics 246

Institute of Mathematics
University of the Philippines-Diliman

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Overview

1 Parametrized Surfaces

2 Tangent Planes and Regular Surfaces

3 Change of Coordinates

4 2.4 The Normal Vector and Orientability

2 / 34
2.1 Parametrized Surfaces

In basic calculus courses, we view surfaces in R3 in two ways:

the solution set of an algebraic equation F(x, y, z) = 0, or
the image of a vector function of two parameters.
In this section, we begin our study of surfaces by considering continuous
functions R : U → R3 , where U is a subset of R2 .
Example 2.1.1. [Planes] Let~a and ~b be linearly independent vectors in R3
and let p be a point in R3 . The plane through p parallel to the vectors~a and
~b can be viewed as the image of the vector function

R(u, v) = p + u~a + v~b,

for (u, v) ∈ R2 . In other words, we can write

¡ ¢
R(u, v) = p1 + ua1 + vb1 , p2 + ua2 + vb2 , p3 + ua3 + vb3 ,

where~a = (a1 , a2 , a3 ), ~b = (b1 , b2 , b3 ), and p = p1 , p2 , p3 .

¡ ¢

3 / 34
2.1 Parametrized Surfaces

Example 2.1.2. [Graphs of Functions] Suppose z = f (x, y) is a real-valued

function of two variables defined over some set U ⊂ R2 . The graph of this
function is the image of the vector function
¡ ¢
R(u, v) = u, v, f (u, v) .

Example 2.1.3. [Spheres] The sphere centered at the origin of radius a is

the image of the vector function

R(u, v) = (a cos u sin v, a sin u sin v, a cos v) ,

with (u, v) ∈ [0, 2π] × [0, π].

Example 2.1.4. [Circular Cylinders] The circular cylinder centered at the
origin of radius a with rulings parallel to the z-axis is the image of the vector
function
R(u, v) = (a cos u, a sin u, v) ,
with (u, v) ∈ [0, 2π] × R.
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2.1 Parametrized Surfaces

Example 2.1.5. [Torus] The image of the vector function

R(u, v) = ((a + b cos u) cos v, (a + b cos u) sin v, b sin u) ,
where (u, v) ∈ [0, 2π] × [0, 2π] and 0 < b < a is called a (one-holed) torus.

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2.1 Parametrized Surfaces

Example 2.1.6. [Catenoid] The image of the vector function

R(u, v) = (a cosh u cos v, a cosh u sin v, au) ,

where (u, v) ∈ R × [0, 2π] is called a catenoid.

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2.1 Parametrized Surfaces

Example 2.1.7. [Helicoid] The image of the vector function

R(u, v) = (u cos v, u sin v, bv) ,

where (u, v) ∈ R+ × R is called a helicoid.

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2.1 Parametrized Surfaces

Definition 2.1.8. Parametrized Surface

A subset S ⊆ R3 is called a parametrized surface if for each p ∈ S, there exists
an open set U ⊂ R2 , an open neighborhood V of p in R3 , and a continuous
function R : U → R3 such that R(U) = V ∩ S.

Each such R is called a parametrization of a neighborhood of p ∈ S.

For any such function R : U → V ∩ S, we call R a parametrization of the
coordinate patch V ∩ S.
We defined a parametrized surface not as a function from U ⊆ R2 to R3
but rather as a subset of R3 that can be covered by coordinate patches.
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2.1 Parametrized Surfaces

Example 2.1.9. Consider S2 , the unit sphere centered at the origin. We can
form six coordinate patches that will cover S2 in the following manner.
Let U = (u, v) ∈ R2 | u2 + v2 < 1 . Define:
© ª
³ p ´
For z > 0 : R(1) (u, v) = u, v, 1 − u2 − v2
³ p ´
For z < 0 : R(2) (u, v) = u, v, − 1 − u2 − v2
³ p ´
For y > 0 : R(3) (u, v) = u, 1 − u2 − v2 , v
³ p ´
For y < 0 : R(4) (u, v) = u, − 1 − u2 − v2 , v
³p ´
For x > 0 : R(5) (u, v) = 1 − u2 − v2 , u, v
³ p ´
For x < 0 : R(6) (u, v) = − 1 − u2 − v2 , u, v

Observe that each point p ∈ S2 is contained in at least one of these six

coordinate patches and each function R(i) is continuous on U.
Hence, S2 is a parametrized surface.
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2.1 Parametrized Surfaces

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2.1 Parametrized Surfaces

We can study various geometric properties of a surface S by considering

various families of curves on S. If we wish to study the surface S locally at a
point p, we could look for common properties of all curves on S passing
through p. This can be done in several ways such as using
slices of S, i.e., the intersection of S with a family of parallel planes, or
the coordinate lines.

Definition 2.1.10. Coordinate Line

A coordinate line on a surface S is a curve on S defined by fixing one of the
parameters in a particular parametrization of a coordinate patch of S. That
is, if R : U → R3 parametrizes a patch of S, then a curve of the form

γ1 (u) = R(u, v0 ), [respectively, γ2 (v) = R(u0 , v)],

is called a v-coordinate line [respectively, u-coordinate line].

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2.1 Parametrized Surfaces

Example 2.1.11. Let C be a curve in the plane given by α(t) = x(t), y(t) .
¡ ¢

The surface of revolution obtained by rotating the curve C about the x-axis
¡ ¢
is parametrized by R(u, v) = x(u), y(u) cos v, y(u) sin v .

Consider u-coordinate lines, i.e., γ(v) = x(u0 ), y(u0 ) cos v, y(u0 ) sin v ,
¡ ¢
1

where u0 is fixed. Calculate the space curvature and torsion of γ.

Consider v-coordinate lines, i.e., β(u) = x(u), y(u) cos v0 , y(u) sin v0 ,
¡ ¢
2

where v0 is fixed. How are the space curvature and torsion functions of
β related to those of α? Justify. 12 / 34
2.2 Tangent Planes and Regular Surfaces

Recall: In theory of curves, a curve C with parametrization α is said to be

regular if α0 (t) 6=~0, for all t. This definition geometrically implies that there
exists a tangent line to C at every point on C. Moreover, we have seen that
the tangent line to C at a point where t = t0 has direction α0 (t0 ).
Analogously, we will call a point p ∈ S regular if we can define a tangent
plane to the surface S at p. But how do we formally define a tangent plane?
Definition 2.2.1. Tangent Vector to a Surface
Let S be a parametrized surface and p a point in S. Consider the set of space
curves γ : (−², ²) → R3 such that γ(0) = p and the image of γ lies entirely in S.
A tangent vector to S at p is any vector in R3 that can be expressed as γ 0 (0).

We view tangent vector to S at p as vectors drawn from p.

The set of tangent vectors gives some sort of approximation of S at p.
By rescaling the parameter t, the set of tangent vectors to S at p will be
a (usually infinite) union of lines, which often forms a plane but not
always.
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2.2 Tangent Planes and Regular Surfaces

Example 2.2.2. As an example of a set of tangent vectors that is not a plane,

consider the cone with equation x2 + y 2 − z2 = 0, which has parametrization

R(u, v) = (v cos u, v sin u, v) , (u, v) ∈ [0, 2π] × R.

Observe that, R(u, 0) = (0, 0, 0). Consider the point p = (0, 0, 0) on the cone.
Then a curve on the cone through p has the form γ(t) = R (u(t), v(t)), where
v(0) = 0 and u ∈ [0, 2π].Using multivariate chain rule, we have

∂R ∂u ∂R ∂v ∂R ∂R
γ 0 (t) = + = u 0 (t) + v 0 (t) .
∂u ∂t ∂v ∂t ∂u ∂v
Because Ru (u, 0) = (0, 0, 0), the tangent vectors to the cone at p are given by

γ 0 (0) = v 0 (0) (cos u, sin u, 1) .

Since v 0 (0) can be any real number, the set of tangent vectors to the cone at
the origin is precisely the cone itself.
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2.2 Tangent Planes and Regular Surfaces

Definition 2.2.3. Tangent Space and Tangent Plane to a Surface

Let S be a parametrized surface and p a point in S. If the set of all tangent
vectors to S at p forms a two-dimensional subspace of R3 , we call this the
tangent space to S at p, and denote it by Tp S. If Tp S exists, the set of points
© ª
p +~v |~v ∈ Tp S is called the tangent plane to S at p.

Question: Under what condition(s) is the set of tangent vectors to a surface

at a point a two-dimensional subspace of R3 ?
Let p be a point on a surface S and let R : U → R3 be a parametrization of a
neighborhood V ∩ S of p for some U ⊆ R2 . Suppose that p = R(u0 , v0 ).
Consider the coordinate lines
γ1 (t) = R (u0 + t, v0 ) and γ2 (t) = R (u0 , v0 + t) .
Both γ1 and γ2 lie on S and they pass through p at t = 0.
Moreover, by chain rule,
γ01 (0) = Ru (u0 , v0 ) and γ02 (0) = Rv (u0 , v0 ) .
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2.2 Tangent Planes and Regular Surfaces

Furthermore, any curve γ on S through p can be written as

γ(t) = R (u(t), v(t)) ,
for some functions u(t) and v(t), with u(0) = u0 and v(0) = v0 . By the chain
rule,
γ 0 (t) = u0 (t) Ru (u(t), v(t)) + v0 (t) Rv (u(t), v(t)).
In particular, at p, we have
γ 0 (0) = u0 (0) Ru (u0 , v0 ) + v0 (0) Rv (u0 , v0 ).
Consequently, each tangent vector to S at p is a linear combination of the
vectors Ru (u0 , v0 ) and Rv (u0 , v0 ). Hence, a tangent plane to S at p exists if
Ru (u0 , v0 ) and Rv (u0 , v0 ) are linearly independent.
Proposition 2.2.4
Let S be a surface parametrized by R : U → R3 . Suppose that R is injective at
a point p in S, and let p = R(u0 , v0 ). The set of tangent vectors to S at p forms
a two-dimensional subspace of R3 if and only if Ru (u0 , v0 ) × Rv (u0 , v0 ) 6=~0.
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2.2 Tangent Planes and Regular Surfaces

Remark 2.2.5. A point p = R(u0 , v0 ) in a parametrized surface is called a

regular point if S has a tangent plane at p. The tangent plane at a regular
point has normal vector Ru (u0 , v0 ) × Rv (u0 , v0 ).
Example 2.2.6. The tangent plane to the parametrized surface
R(u, v) = v2 + 1 cos u, v2 + 1 sin u, v , (u, v) ∈ [0, 2π] × R,
¡¡ ¢ ¡ ¢ ¢

at the point p = (0, 2, 1) has equation y − 2z = 0.

Definition 2.2.7. Differential of a Differentiable Map
Let U be an open subset of Rn and F : U → Rm a function defined by
F (x1 , x2 , . . . , xn ) = (F1 , F2 , . . . , Fm )T . We can think of F as a column of vector
functions Fi , where each is a function of x1 , x2 , . . . , xn .
We say that F is differentiable at q ∈ U if each Fi is differentiable at q.
The differential of F at q, written dFq is the linear transformation
∂F
Rn → Rm that sends the jth standard basis vector ej to (q).
∂xj
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2.2 Tangent Planes and Regular Surfaces
£ ¤
The matrix representation of dFq , denoted by dFq , with respect to the
standard bases of Rn and Rm , can be written explicitly as
∂F1 ∂F1 ∂F1
 
 ∂x · · ·
 1 ∂x2 ∂xn 

 ∂F2 ∂F2 ∂F2 
 
 ··· 
dFq =  ∂x1 ∂x2 ∂xn 
£ ¤ 
.
 . .. .. .. 
 .. . . . 
 
 ∂Fm ∂Fm ∂Fm 
 
···
∂x1 ∂x2 ∂xn

Corollary 2.2.8
Let p be a point on a surface S and suppose that in a neighborhood of p, the
surface is parametrized by R : U → R3 . The tangent space and the tangent
plane to S at p exist if R−1 (p) = q (a singleton), the differential dXq exists,
and dXq has maximal rank.
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2.2 Tangent Planes and Regular Surfaces

Let S be a surface and p a point in S such that in an open neighborhood

¡ ¢
of p, the surface is parametrized by R(u, v) = x(u, v), y(u, v), z(u, v)
with R−1 (p) = {q = (u0 , v0 )}. With respect to the standard bases in R2
and R3 , the matrix of dRq is the 3×2 matrix
 ∂x ∂x 
(q) (q)
 ∂u ∂v 
 
¤  ∂y ∂y 
£ 
dRq =  (q) (q) .
 ∂u ∂v 
 
∂z ∂z
 
(q) (q)
∂u ∂v

A point on a parametrized surface where the set of tangent vectors do

not form a two-dimensional subspace of R3 is called a singular point.

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2.2 Tangent Planes and Regular Surfaces

Definition 2.2.9. Regular Surface

A subset S ⊆ R3 is called a regular surface if for each p ∈ S, there exists an
open set U ⊆ R2 , an open neighborhood V of p in R3 , and a surjective
function R : U → V ∩ S such that:
1 R is differentiable: its component functions have continuous partial
derivatives,
2 R is a homeomorphism: R is continuous and has an inverse
R−1 : V ∩ S → U that is continuous as well, and
3 it satisfies the regularity conditon: for each q = (u, v) ∈ U, the matrix of
the differential dRq : R2 → R3 has rank 2.

Each of the three conditions eliminates various situations which we wish to

avoid when studying the geometry of surfaces.
The first condition eliminates the possiblity of corners or folds. A cube,
for example, is not a regular surface because any parametrization for
an edge will have at least one partial derivative that does not exist. 20 / 34
2.2 Tangent Planes and Regular Surfaces

The second condition guarantees that the surface does not intersect
itself nor degenerates to a curve. It eliminates the possibility that the
set of tangent vectors is a union of two planes.

In particular, the surface parametrized by R(u, v) = uv, u2 − v2 , u3 − v3

¡ ¢

intersects itself along the ray (x, 0, 0), with x ≥ 0. The tangent plane at
any point along this ray is not a single plane but a union of two planes.
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2.2 Tangent Planes and Regular Surfaces

The third condition guarantees existence of a tangent plane at every

point on the surface.

Consider the surface parametrized by R(u, v) = u3 + u + v, u2 + uv, v3 .

¡ ¢

It can be verified that at p = (0, 0, 0), the first and second conditions are
satisfied but the third condition is not. As a result, the tangent vectors
to the surface at the origin form a line and not a plane. 22 / 34
2.2 Tangent Planes and Regular Surfaces

Example 2.2.10. Show that the unit sphere

S2 = (x, y, z) ∈ R3 | x2 + y 2 + z2 = 1
© ª

is a regular surface.
Proof. Consider the six coordinate patches of S2 defined in Example 2.1.9:
Let U = (u, v) ∈ R2 | u2 + v2 < 1 .
© ª
³ p ´
For z > 0 : R(1) (u, v) = u, v, 1 − u2 − v2
³ p ´
For z < 0 : R(2) (u, v) = u, v, − 1 − u2 − v2
³ p ´
For y > 0 : R(3) (u, v) = u, 1 − u2 − v2 , v
³ p ´
For y < 0 : R(4) (u, v) = u, − 1 − u2 − v2 , v
³p ´
For x > 0 : R(5) (u, v) = 1 − u2 − v2 , u, v
³ p ´
For x < 0 : R(6) (u, v) = − 1 − u2 − v2 , u, v
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2.2 Tangent Planes and Regular Surfaces

The sphere S2 is a regular surface if the parametrization of each coordinate

patch satisfies the conditions in Definition 2.2.9.
Let V(1) = {(x, y, z) ∈ R3 | z > 0}. Define the mapping R(1) : U → R3 by
³ p ´
R(1) (u, v) = u, v, 1 − u2 − v2 .

Clearly, R(1) is a continuous surjection between U and V(1) ∩ S2 .

It can be checked that R(1) is differentiable.
Moreover, the inverse of R(1) is the projection of the upper hemisphere
onto R2 , which is a linear transformation, and thus, it is continuous.
Hence, R(1) is a homeomorphism.
The differential of R(1) is given by
 
1 0
 
£ ¤ 
dR(1) =  0 1 
.
u v
 
 
−p −p
2
1−u −v 2 1−u −v2 2
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2.2 Tangent Planes and Regular Surfaces

For all q = (u, v) ∈ U, the entries in this matrix are well-defined and clearly,
the columns are linearly independent. Hence, dR(1)q is of rank 2.
We have proved that the open upper hemisphere is a regular surface. In a
similar manner, the parametrizations of the other five coordinate patches
also satisfy all the conditions of Definition 2.2.9. Hence, the sphere S2 is a
regular surface. 2
Proposition 2.2.11
Let U ⊆ R2 be open. If a function f : U → R is differentiable, then the set
S = (x, y, z) ∈ R3 | z = f (x, y) is a regular surface.
© ª

Proposition 2.2.12
Let U ⊆ R3 be open. Suppose that a function f : U → R is differentiable. Let
a be a real number such that for all p ∈ f −1 (a), dfP 6=~0. The surface defined
by S = (x, y, z) ∈ R3 | f (x, y, z) = a is a regular surface. Furthermore, the
© ª

gradient dfp = ∇f (p) is normal to S at p.

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2.3 Change of Coordinates

Generally, like space curves, a coordinate patch of a regular surface can be

parametrized in a variety of ways. A reparametrization can be obtained by a
change of coordinates in R2 .
Definition 2.3.1. Diffeomorphism
Let U and V be subsets of Rn . A function F : U → V is a diffeomorphism if
and only if it is bijective and both F and F −1 are differentiable.

Definition 2.3.2 Reparametrization via a Change of Coordinates

Consider a parametrized surface defined by X : U → R3 , where U is an open
subset of R2 . A vector function Y : U 0 → R3 , for some open set U 0 in R2 , is a
reparametrization of X if there exists a diffeomorphism F : U 0 → U such
that Y = X ◦ F. In this case, we call F the change-of-coordinates function.

Requiring F to be a bijection forces Y to be a homeomorphism.

The differentiablity of F and F −1 guarantees "smoothness" of the
transformation of coordinates.
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2.3 Change of Coordinates

Example 2.3.3. Consider the following parametrized surfaces:

³ p ´
X (u, v) = u, v, 1 − u2 − v2 , where (u, v) ∈ U = (u, v) ∈ R2 | u2 + v2 ≤ 1
© ª

Y (θ, φ) = cos θ sin φ, sin θ sin φ, cos φ , with θ, φ ∈ U 0 = [0, 2π] × 0, π2

¡ ¢ ¡ ¢ £ ¤

It can be verified that the functions X and Y both parametrize the upper
half of the unit sphere. Thus, there must be a change-of-coordinates
function from U 0 to U. Consider the function

F: U0→U
(θ, φ) 7→ cos θ sin φ, sin θ sin φ ,
¡ ¢

i.e., F(θ, φ) = (u, v). Then F is surjective and Y = X ◦ F.

However, F is not a bijection between U and U 0 . Thus, we put restrictions
on the sets U and U 0 where F becomes a bijection and both F and F −1 are
differentiable.
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2.3 Change of Coordinates

In particular, we can take the following subsets of U and U 0 :

U = {(u, v) ∈ U | u2 + v2 < 1 and v = 0 implies u < 0 }

³ π´
U 0 = (0, 2π) × 0, .
2

28 / 34
2.3 Change of Coordinates

Under these new open sets, the inverse function (θ, φ) = F −1 (u, v) is given by

tan−1 uv ,
¡ ¢

 if u > 0 and v ≥ 0,
π


2, if u = 0 and v > 0,


 p
¡v¢ −1
θ = tan −1
u + π, if u < 0, and φ = sin u2 + v 2 .

 3π



 2 , if u = 0 and v < 0,
 −1 ¡ v ¢

tan u + 2π, if u > 0 and v ≤ 0,

It is an easy task to verify that F and F −1 are differentiable on U 0 and U.

Remark 2.3.4
Let X : U → R3 be a parametrized surface and suppose Y = X ◦ F : U 0 → R3 ,
where F : U 0 → U is a diffeomorphism between open sets U 0 and U in R2 .
Let q 0 ∈ U 0 and define q = F(q 0 ). Then

dYq 0 = d(X ◦ F)q 0 = dXq ◦ dFq 0 .

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2.4 The Normal Vector and Orientability

Recall: Let S be a regular surface parametrized in the neighborhood of a

point p by X : U → R3 . Suppose that p = X (q).
Since S is regular, the set of tangent vectors to S at p forms a
two-dimensional subspace Tp S of R3 , called the tangent space to S at p.
Regularity at p also guarantees that the columns of dXq are linearly
¡ ¢
independent. That is, Tp S = Im dXq .
© ª
The set Xu (q), Xv (q) forms a basis for Tp S.

Just like tangent lines to regular space curves, the tangent space to a regular
surface is a geometric object that is invariant under reparametrization.
However, the basis induced from the parametrization is not invariant.

Remark 2.4.1
If X parametrizes a regular surface and Y = X ◦ F is a reparametrization with
q = F(q 0 ) and p = X (q), the set of vectors {Xu (q), Xv (q)} and {Ys (q 0 ), Yt (q 0 )} are
not necessarily equal.
30 / 34
2.4 The Normal Vector and Orientability

Proposition 2.4.2
Let U and V be subsets of Rn and let F : U → V be a diffeomorphism.
Suppose that q = F(q 0 ). The linear transformation dFq 0 is invertible and

dFq−1
¡ −1 ¢
0 =d F q.

Proposition 2.4.3
Let X : U → R3 be a parametrization of a coordinate patch on a regular
surface S. Consider a diffeomorphism F : R2 ⊃ U 0 → U such that Y = X ◦ F.
Set q = F(q 0 ) and p = X (q). If ~
A ∈ Tp S has coordinates

~
A = a1 Xu (q) + a2 Xv (q) = b1 Ys (q 0 ) + b2 Yt (q 0 ),

then µ ¶ µ ¶ h µ ¶
b1 ¤−1 a1 ¢ i a1
= d F −1 q
£ ¡
= dFq 0 .
b2 a2 a2
31 / 34
2.4 The Normal Vector and Orientability

Recall: If X is a parametrization of a coordinate patch around a point

p = X (q) of a regular surface, the tangent plane has normal vector

Xu (q) × Xv (q).

Since the tangent plane is invariant under reparametrization, this normal

vector must only be rescaled under a reparametrization.

Proposition 2.4.4
Let X : U → R3 be a parametrization of a coordinate patch on a regular
surface S. Consider a diffeomorphism F : R2 ⊃ U 0 → U such that Y = X ◦ F.
Set q = F(q 0 ) and p = X (q). Then

Ys (q 0 ) × Yt (q 0 ) = det dFq 0 Xu (q) × Xv (q) .

¡ ¢¡ ¢

Due to this property, we are motivated to define a normal vector that is

invariant under reparametrization except up to a change in sign.
32 / 34
2.4 The Normal Vector and Orientability

Definition 2.4.5. Unit Normal Vector

If X is a parametrization of a coordinate patch of a regular surface S around
the point p = X (q), then the vector

Xu (q) × Xv (q)
N(q) =
||Xu (q) × Xv (q)||

is called the unit normal vector to S at p via the parametrization X .

Definition 2.4.6. Orientable Surface

Let S be a regular surface in R3 . We say that S is orientable if it can be
covered by coordinate patches with parametrizations X(i) : Ui → R3 such
that if
X(i)u (q) × X(i)v (q)
N(i) (q) = ,
||X(i)u (q) × X(i)v (q)||
then N(i) (q) = N(j) (q) for all q ∈ Ui ∩ Uj , for all i, j. If it is impossible to find
such covering, we call S a nonorientable surface.
33 / 34
2.4 The Normal Vector and Orientability

Proposition 2.4.7
A regular surface S in R3 is orientable if and only if there exists a continuous
function n : S → S2 such that n(p) is normal to S at p for all p ∈ S.

We call the function n the unit normal vector field of S.

Definition 2.4.8. Orientation of a Surface
Let S be an orientable regular surface in R3 . A choice of a continuous
function n : S → S2 of unit normal vectors on S is called an orientation
on S.
An orientable regular surface equipped with an orientation is called an
oriented surface.
A regular surface S parametrized by X : U → R3 is called a positively
oriented surface if
(Xu × Xv ) · n(p) > 0.

34 / 34