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Scalar fold, transcritical, and symmetric pitchfork equilibrium branches

Statement

Let F(x,λ) be a real C5 scalar function near (0,0), with equilibria defined by F(x,λ)=0.

  1. A fold occurs if F(0,0)=Fx(0,0)=0 and Fλ(0,0)Fxx(0,0)≠0. Its local equilibrium set is a unique curve λ=ϕ(x) with ϕ′(0)=0,ϕ′′(0)=−Fxx(0,0)Fλ(0,0)≠0. For λ sufficiently close to zero, there are exactly two nearby equilibria on the side where λϕ′′(0)>0, one at λ=0, and none on the opposite side.

  2. A transcritical bifurcation occurs if F(0,λ)=0 for all small λ, Fx(0,0)=0, and Fxλ(0,0)Fxx(0,0)≠0. The local equilibria are exactly the trivial branch x=0 and a second branch x=ψ(λ) with ψ(0)=0,ψ′(0)=−2Fxλ(0,0)Fxx(0,0)≠0. The two branches cross transversely.

  3. A pitchfork bifurcation occurs if F(−x,λ)=−F(x,λ) for all nearby (x,λ), Fx(0,0)=Fxx(0,0)=0, and Fxλ(0,0)Fxxx(0,0)≠0. The trivial equilibrium x=0 persists. A pair of nontrivial equilibria x=±r(λ) exists on exactly the side where λϕ′′(0)>0, with ϕ′′(0)=−Fxxx(0,0)3Fxλ(0,0)≠0, and there are no nontrivial equilibria on the opposite side.

Facts & Assumptions

Given: A scalar C5 function F and the relevant hypotheses in the Statement.

[F1]

The parametrized implicit function theorem with Ck regularity: for a Ck scalar equation with k≥1, a nonzero derivative in the solved scalar variable gives a unique local Ck solution branch containing every nearby zero.

[F2]

A simple fold has a unique local Lyapunov–Schmidt chart and nonzero parameter curvature: in the scalar case n=1, if F=Fx=0, Fλ≠0, and Fxx≠0, there is a unique local C3 solution curve (x(s),λ(s)) with x′(0)=1, λ′(0)=0, and λ′′(0)=−Fxx/Fλ.

[F4]

Proof

Given: F and the hypotheses for the case being proved.

1.1F2given

In the fold case choose n=1, v=w=1 in [F2]. Its hypotheses are exactly F(0,0)=Fx(0,0)=0 and FλFxx≠0. Thus all nearby equilibria lie on a unique curve λ=ϕ(x) with the stated first and second derivatives.

1.2F3givenconstruct

For the transcritical and pitchfork cases define G(x,λ):=∫01Fx(tx,λ) dt. Because F(0,λ)=0 in both cases, [F3] and the change of variable s=tx give F(x,λ)=xG(x,λ). Since F∈C5, the derivatives of Fx(tx,λ) through order four are continuous jointly in (t,x,λ); on compact parameter neighborhoods their difference quotients converge uniformly in t∈[0,1], so they may be integrated termwise. Thus G∈C4, with Gx=∫01tFxx(tx,λ) dt, Gλ=∫01Fxλ(tx,λ) dt, and Gxx=∫01t2Fxxx(tx,λ) dt.

2.1F2F3F5step 1.1givenalgebra

In the fold case, since ϕ′′(0)≠0 and ϕ′′ is continuous, shrink δ>0 so ϕ′′ has the constant sign of c:=ϕ′′(0) on [−δ,δ]. By [F3], ϕ′(x)=∫0xϕ′′(s) ds, so ϕ′(x) has the sign of cx; hence ϕ is strictly monotone on each half-interval. Also ϕ(x)=∫0xϕ′(s) ds has the sign of c for every x≠0. Thus ϕ(−δ) and ϕ(δ) are nonzero and have sign c. Every sufficiently small nonzero level with λc>0 lies strictly between zero and each endpoint value, so [F5] and strict monotonicity give exactly one solution on each half-interval; no level of the opposite sign is attained.

2.2F1F4step 1.2givenalgebra

In the transcritical case, the derivative formulas from step 1.2 give G(0,0)=Fx(0,0)=0, Gx(0,0)=Fxx(0,0)/2≠0, and Gλ(0,0)=Fxλ(0,0)≠0. Apply [F1] with k=4, solving G=0 for x=ψ(λ); differentiating gives ψ′(0)=−Gλ/Gx=−2Fxλ/Fxx. Since F=xG, every nearby zero lies on at least one of the branches x=0 or x=ψ(λ); at their common point (0,0) they coincide, and elsewhere sufficiently near zero they are distinct. Their distinct tangent slopes make them transverse.

2.3F1F4step 1.2givenalgebra

In the pitchfork case, oddness of F makes G even in x. The derivative formulas from step 1.2 give G(0,0)=0, Gx(0,0)=0, Gλ(0,0)=Fxλ(0,0)≠0, and Gxx(0,0)=Fxxx(0,0)/3≠0. By [F1] with k=4, G=0 is a unique local curve λ=ϕ(x), with ϕ′(0)=0 and ϕ′′(0)=−Gxx/Gλ=−Fxxx/(3Fxλ). Evenness of G and uniqueness imply ϕ(−x)=ϕ(x).

3.1step 2.3givenalgebra∎

Shrink the interval so ϕ′′ has the sign of ϕ′′(0). Then ϕ is strictly monotone for x>0, and by evenness it has exactly one positive and one negative solution of ϕ(x)=λ on the side λϕ′′(0)>0, and no nonzero solution on the other side. Since F=xG, these are exactly the two nontrivial equilibria in addition to the persistent branch x=0.

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