In many different settings, we are interested in knowing where a function achieves its least and greatest values. These can be important in applications — say to identify a point at which maximum profit or minimum cost occurs — or in theory to characterize the behavior of a function or a family of related functions.
Consider the simple and familiar example of a parabolic function such as (shown at left in Figure 3.1.1) that represents the height of an object tossed vertically: its maximum value occurs at the vertex of the parabola and represents the greatest height the object reaches. This maximum value is an especially important point on the graph, the point at which the curve changes from increasing to decreasing.
Given a function , we say that is a global or absolute maximum of provided that for all in the domain of , and similarly we call a global or absolute minimum of whenever for all in the domain of .
For instance, on the right in Figure 3.1.1, has a global maximum of , but does not appear to have a global minimum, as the graph of seems to decrease indefinitely. Note that the point marks a fundamental change in the behavior of , where changes from increasing to decreasing; similar things happen at both and , although these points are not global minima or maxima.
We say that is a local maximum or relative maximum of provided that for all near , and is called a local or relative minimum of whenever for all near .
For example, on the right in Figure 3.1.1, has a relative minimum of at the point and a relative maximum of at . We have already identified the global maximum of as ; it can also be considered a relative maximum. Any maximum or minimum may also be called an extreme value of .
We would like to use calculus ideas to identify and classify key function behavior, including the location of relative extremes. Of course, if we are given a graph of a function, it is often straightforward to locate these important behaviors visually.
The domain of the function graphed below is all real numbers, and all of its extreme values occur when . Use the graph to answer the following questions.
Identify all of the values of for which is a local maximum of . If there is more than one value, enter the values as a comma-separated list. If there are none, enter DNE.
Identify all of the values of for which is a local minimum of . If there is more than one value, enter the values as a comma-separated list. If there are none, enter DNE.
Identify all of the values of for which does not exist. If there is more than one value, enter the values as a comma-separated list. If there are none, enter DNE.
Subsection3.1.1Critical numbers and the first derivative test
Figure3.1.4.From left to right, a function with a relative maximum where its derivative is zero; a function with a relative maximum where its derivative is undefined; a function with neither a maximum nor a minimum at a point where its derivative is zero; a function with a relative minimum where its derivative is zero; and a function with a relative minimum where its derivative is undefined.
As seen in Figure 3.1.4, when a continuous function defined on changes from being always increasing on interval to being always decreasing on interval (where ), the function has a relative maximum at . Similarly, when a continuous function defined on changes from being always decreasing on interval to being always increasing on interval , the function has a relative minimum at . Because the sign of the derivative changes at such locations, there are only two possible ways for these changes in behavior to occur: either or is undefined. Because these values of are so important, we call them critical numbers.
Critical numbers are the only possible locations where the function may have relative extremes. Note that not every critical number produces a maximum or minimum; in the middle graph of Figure 3.1.4, the function pictured there has a horizontal tangent line at the noted point, but the function is increasing before and increasing after, so the critical number does not yield a maximum or minimum.
When is a critical number, we say that is a critical point of the function, or that is a critical value. The first derivative test summarizes how sign changes in the first derivative (which can only occur at critical numbers) indicate the presence of a local maximum or minimum for a given function.
Let be a critical number of a continuous function that is differentiable near (except possibly at ). If changes sign from positive to negative at , then has a relative maximum at . If changes sign from negative to positive at , then has a relative minimum at .
In Example 3.1.6, we show how to apply the First Derivative Test to determine whether relative maxima or minima occur at various critical numbers and introduce the idea of a sign chart to visualize important function and derivative behavior.
Let be a function whose derivative is given by the formula . Determine all critical numbers of and decide whether a relative maximum, relative minimum, or neither occurs at each.
Since we already have written in factored form, it is straightforward to find the critical numbers of . Because is defined for all values of , we need only determine where . From the equation
and the zero product property, it follows that and are critical numbers of . (There is no value of that makes .)
Next, to apply the first derivative test, we’d like to know the sign of at inputs near the critical numbers. Because the critical numbers are the only locations at which can change sign, it follows that the sign of the derivative is the same on each of the intervals created by the critical numbers: for instance, the sign of must be the same for every . We create a first derivative sign chart to summarize the sign of on the relevant intervals, along with the corresponding behavior of .
Figure3.1.7.The first derivative sign chart for a function whose derivative is given by the formula .
To produce the first derivative sign chart in Figure 3.1.7 we identify the sign of each factor of at one selected point in each interval. For instance, for , we could determine the sign of ,, and at the value . We note that both and are positive regardless of the value of , while is also positive at . Hence, each of the three terms in is positive, which we indicate by writing “.” Taking the product of three positive terms results in a positive value for , which we denote by the “” in the interval to the left of . And, since is positive on that interval, we know that is increasing, so we write “INC” to represent the behavior of . In a similar way, we find that is positive and is increasing on , and is negative and is decreasing for .
Now we look for critical numbers at which changes sign. In this example, changes sign only at , from positive to negative, so has a relative maximum at . Although has a critical number at , since is increasing both before and after , has neither a minimum nor a maximum at .
Suppose that is a function continuous for every value of whose first derivative is . Further, assume that it is known that has a vertical asymptote at .
By developing a carefully labeled first derivative sign chart, decide whether has as a local maximum, local minimum, or neither at each critical number.
Does have a global maximum? global minimum? Justify your claims.
What is the value of ? What does the value of this limit tell you about the long-term behavior of ?
Recall that the second derivative of a function tells us several important things about the behavior of the function itself. For instance, if is positive on an interval, then we know that is increasing on that interval and, consequently, that is concave up, so throughout that interval the tangent line to lies below the curve at every point. At a point where , the sign of the second derivative determines whether has a local minimum or local maximum at the critical number .
In Figure 3.1.8, we see the four possibilities for a function that has a critical number at which , provided is not zero on an interval including (except possibly at ). On either side of the critical number, can be either positive or negative, and hence can be either concave up or concave down. In the first two graphs, does not change concavity at , and in those situations, has either a local minimum or local maximum. In particular, if and , then is concave down at with a horizontal tangent line, so has a local maximum there. This fact, along with the corresponding statement for when is positive, is the substance of the second derivative test.
If is a critical number of a continuous function such that and , then has a relative maximum at if and only if , and has a relative minimum at if and only if .
In the event that , the second derivative test is inconclusive. That is, the test doesn’t provide us any information. This is because if , it is possible that has a local minimum, local maximum, or neither. 1
Consider the functions ,, and at the critical point .
Just as a first derivative sign chart reveals all of the increasing and decreasing behavior of a function, we can construct a second derivative sign chart that demonstrates all of the important information involving concavity.
Let be a function whose first derivative is . Construct both first and second derivative sign charts for , fully discuss where is increasing and decreasing and concave up and concave down, identify all relative extreme values, and sketch a possible graph of .
Since we know , we can find the critical numbers of by solving . Factoring, we observe that
,
so that are the three critical numbers of . The first derivative sign chart for is given in Figure 3.1.10.
Figure3.1.10.The first derivative sign chart for when .
We see that is increasing on the intervals and , and is decreasing on and . By the first derivative test, this information tells us that has a local maximum at and a local minimum at . Although also has a critical number at , neither a maximum nor minimum occurs there since does not change sign at .
Next, we move on to investigate concavity. Differentiating , we see that . Since we are interested in knowing the intervals on which is positive and negative, we first find where . Observe that
.
This equation has solutions . Building a sign chart for in the exact same way we do for , we see the result shown in Figure 3.1.11.
Figure3.1.11.The second derivative sign chart for when .
Therefore, is concave down on the intervals and , and concave up on and .
Putting all of this information together, we now see a complete and accurate possible graph of in Figure 3.1.12.
Figure3.1.12.A possible graph of the function in Example 3.1.9.
The point is a local maximum, because is increasing prior to and decreasing after; similarly, the point is a local minimum. Note, too, that is concave down at and concave up at , which is consistent both with our second derivative sign chart and the second derivative test. At points and , concavity changes, as we saw in the results of the second derivative sign chart in Figure 3.1.11. Finally, at point , has a critical point with a horizontal tangent line, but neither a maximum nor a minimum occurs there, since is decreasing both before and after . It is also the case that concavity changes at .
While we completely understand where is increasing and decreasing, where is concave up and concave down, and where has relative extremes, we do not know any specific information about the -coordinates of points on the curve. For instance, while we know that has a local maximum at , we don’t know the value of that maximum because we do not know . Any vertical translation of our sketch of in Figure 3.1.12 would satisfy the given criteria for .
Just as we look for locations where changes from increasing to decreasing at points where or is undefined, so too we find where or is undefined to see if there are points of inflection at these locations.
At this point in our study, it is important to remind ourselves of the big picture that derivatives help to paint: the sign of the first derivative tells us whether the function is increasing or decreasing, while the sign of the second derivative tells us how the function is increasing or decreasing.
Find the -coordinates of all points of inflection of .
Fully describe the concavity of by making an appropriate sign chart.
Suppose you are given that . Is there is a local maximum, local minimum, or neither (for the function ) at this critical number of , or is it impossible to say? Why?
Assuming that is a polynomial (and that all important behavior of is seen in the graph above), what degree polynomial do you think is? Why?
As we will see in more detail in the following section, derivatives also help us to understand families of functions that differ only by changing one or more parameters. For instance, we might be interested in understanding the behavior of all functions of the form where ,, and are parameters. Each parameter has considerable impact on how the graph appears.
Use a graphing utility to sketch the graph of for several different -values, including . Plot on the axes provided. What is the smallest value of at which you think you can see (just by looking at the graph) at least one inflection point on the graph of ?
Figure3.1.15.Axes for plotting .
Explain why the graph of has no inflection points if , but infinitely many inflection points if .
Explain why, no matter the value of , can only have finitely many critical numbers.
The critical numbers of a continuous function are the values of for which or does not exist. These values are important because they identify horizontal tangent lines or corner points on the graph, which are the only possible locations at which a local maximum or local minimum can occur.
Given a differentiable function , whenever is positive, is increasing; whenever is negative, is decreasing. The first derivative test tells us that at any point where changes from increasing to decreasing, has a local maximum, while conversely at any point where changes from decreasing to increasing has a local minimum.
Given a twice differentiable function , if we have a horizontal tangent line at and is nonzero, the sign of tells us the concavity of and hence whether has a maximum or minimum at . In particular, if and , then is concave down at and has a local maximum there, while if and , then has a local minimum at . If and , then the second derivative does not tell us whether has a local extreme at or not.
(Enter your critical points as comma-separated xvalue,classification pairs. For example, if you found the critical pointsand, and that the first was a local minimum and the second neither a minimum nor a maximum, you should enter(-2,min), (3,neither). Enternoneif there are no critical points.)
Below is the graph of the derivative of a function defined on the interval (0,8). You can click on the graph to see a larger version in a separate window.
Refer to the graph to answer each of the following questions. For parts (A) and (B), use interval notation to report your answer. (If needed, you use U for the union symbol.)
(C) Find all values of in (0,8) is where has a local minimum, and list them (separated by commas) in the box below. (If there are no local minima, enter None.)
(D) Find all values of in (0,8) is where has an inflection point, and list them (separated by commas) in the box below. (If there are no inflection points, enter None.)
(Enter your critical points and classifications as comma-separated lists, and enter the types in the same order as your critical points. Note that you must enter something in both blanks for either to be evaluated. For the types, enter min, max, or neither.
Figure3.1.16.At center, a graph of ; at left, axes for plotting ; at right, axes for plotting .
Construct a first derivative sign chart for . Clearly identify all critical numbers of , where is increasing and decreasing, and where has local extrema.
On the right-hand axes, sketch an approximate graph of .
Construct a second derivative sign chart for . Clearly identify where is concave up and concave down, as well as all inflection points.
On the left-hand axes, sketch a possible graph of .
Construct a second derivative sign chart for and determine all inflection points of .
Suppose you also know that is a critical number of . Does have a local minimum, local maximum, or neither at ? Why?
If the point lies on the graph of and , find the equation of the tangent line to at the point where . Does the tangent line lie above the curve, below the curve, or neither at this value? Why?