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The Morse index detects local extrema and saddles

Statement

Let f:MR be smooth and let p be a nondegenerate critical point of index λ on an n-manifold.

  • If λ=0, then p is a strict local minimum of f.
  • If λ=n, then p is a strict local maximum of f.
  • If 0<λ<n, then p is a saddle point of f.

When n=0, the first two clauses coincide.

Facts & Assumptions

Given: A smooth function f:MR and a nondegenerate critical point p of index λ.

[L1]

Morse coordinates put ff(p) into the signed quadratic normal form with exactly λ negative squares (Morse lemma).

Proof

technique · normal form reading
1.1

By [L1], choose local coordinates centered at p in which ff(p)=i=1λ(xi)2+i=λ+1n(xi)2.

L1givenconstruct
2.1

If λ=0, the first sum is empty, so ff(p)=i=1n(xi)2, which is strictly positive for every nearby point other than p; hence p is a strict local minimum. If n=0, this same formula is ff(p)=0, so the local minimum and maximum clauses coincide.

step 1.1algebra
2.2

If λ=n, the second sum is empty, so ff(p)=i=1n(xi)2, which is strictly negative away from p. Hence p is a strict local maximum.

step 1.1algebra
2.3

If 0<λ<n, then along the x1-axis one has ff(p)=(x1)2<0 for nearby nonzero points, while along the xn-axis one has ff(p)=(xn)2>0 for nearby nonzero points. Therefore every neighbourhood of p contains points where f<f(p) and points where f>f(p), so p is a saddle.

step 1.1algebra
3.1

The three cases above exhaust the possible values of λ.

step 2.1step 2.2step 2.3

Depends on

Used by

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Dependency tree · two levels

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Sources