Lec 30: Convexity and classification of critical points

MATH 147 Section 2, Fall Term 2022

I Convexity and concavity

I Classification of critical points (Derivative Tests)

Key references: Text book sections 3.4.2

Linear interpolation

Suppose we know the value of a function f at two points: f (x1 ) = y1 and f (x2 ) = y2 , with x2 > x1 .
The linear interpolant between the two points (x1 , f (x1 )) and (x2 , f (x2 )) is the linear function l satisfying
l(x1 ) = f (x1 ) = y1 and l(x2 ) = f (x2 ) = y2 . We usually restrict the domain of the interpolant to [x1 , x2 ].
The formula for l is
y2 − y1
l(x) = y1 + · (x − x1 )
x2 − x1
 
x − x1 x − x1
= 1− y1 + · y2
x2 − x1 x2 − x1
= λy1 + (1 − λ)y2 ,
x−x1
where λ(x) = 1 − x2 −x1
∈ [0, 1].

We can also think of λ as a parameter that tells us whether we are closer to the first point or the second
point.
Convexity
Definition 3
Let I be a proper interval and let f be a function defined on I .
We say that f is convex or concave upwards on I if for all x, y ∈ I with x < y and for all λ ∈ [0, 1], we have

f (λx + (1 − λ)y ) ≤ λf (x) + (1 − λ)f (y ).

We say that f is concave or concave downwards on I if for all x, y ∈ I with x < y and for all λ ∈ [0, 1], we have

f (λx + (1 − λ)y ) ≥ λf (x) + (1 − λ)f (y ).

We define strictly convex and strictly concave with the natural modifications.
A function f has a point of inflection at c ∈ I if f is continuous at c, and for some a, b ∈ I with a < c < b,
either
1. f is strictly convex on (a, c) and strictly concave on (c, b), or
2. f is strictly concave on (a, c) and strictly convex on (c, b).

A function f is concave if and only if −f is convex. Hence, we focus on results for convex functions from now
on.

Mind the mistakes in the text book definitions of convex and concave.
Some results about convex functions

Proposition 3
A function f is convex on a proper interval I if and only if for each x, y , z ∈ I with x < z < y , we have

f (z) − f (x) f (y ) − f (z)

≤ .
z −x y −z

Theorem 6
Let f be differentiable on a nonempty open interval (a, b). The function f is convex on (a, b) if and only if f 0 is
increasing on (a, b).
More results about convex functions

Corollary 2
Let f be twice differentiable on the nonempty interval (a, b). If f 00 (x) > 0 for all x ∈ (a, b), then f is convex on
(a, b).

Proposition 4
Let f be differentiable and convex on (a, b). Then, for any point x0 ∈ (a, b), the graph of f on (a, b) lies above
the tangent line to the graph of f at x0 .
Test for inflection points

If f is twice differentiable, then convexity is determined by the sign of f 00 . Hence, if f 00 is continuous, then at
inflection points, we must have f 00 (c) = 0.

Proposition (Second Derivative Test for Inflection Points)

If f 00 is continuous at c and f has an inflection point at c, then f 00 (c) = 0.
First Derivative Test
The Derivative Test for Monotonicity/Increasing Function Theorem from Lecture 28 leads to:

Theorem (The First Derivative Test)

Suppose f is continuous on an open interval (a, b) and c ∈ (a, b).
1. If f 0 is non-negative on (a, c) and non-positive on (c, b), then f has a locla maximum at c.
2. If f 0 is non-positive on (a, c) and non-negative on (c, b), then f has a locla maximum at c.
3. If f 0 is positive on (a, c) ∪ (c, b) or negative on (a, c) ∪ (c, b), then f does not have a local maximum or a
local minimum at c.

Exercise
Sketch some diagrams to illustrate each of the three cases above.

Remarks:
1. To make this easier to understand and remember, you can replace “on (a, c)” with “to the left of c” and
replace “on (c, b)” with “to the right of c”. Similarly, the criterion in Statement 3 is “on both sides of c”.
2. This test doesn’t even require c to be a critical point. Why did we go to the trouble of defining and finding
critical points?
3. There are (strange) functions for which f 0 (c) = 0 but none of the three cases in the test is satisfied.
Example

Find all local extrema of the function f (x) = 2x 3 − 3x 2 − 36x − 3.

Before we begin, can you guess how many extrema we should expect and what the order is, i.e., sequentially
from most negative to most positive, will they be maxima or minima?
Since f is differentiable on R, all critical points satisfy

0 = f 0 (x) = 6x 2 − 6x − 36 = 6(x − 3)(x + 2).

The solutions are x = 3 and x = −2.

Sketch a graph of f 0 and determine where it is negative and where it is positive.
IVT can be helpful if you know all the roots!
Using the First Derivative Test, you should find that x = −2 must be a local maximum and x = 3 must be a
local minimum.
Second Derivative Test

Suppose c is a critical point at which f 0 (c) = 0. How can we use information about f 00 to determine whether
there is a local minimum or maximum at c?

Theorem (The Second Derivative Test)

Suppose f is a function defined on an open interval containing c ∈ R such that f 0 (c) = 0 and f 00 is continuous
at c.
1. If f 00 (c) > 0, then c is a local minimum of f .
2. If f 00 (c) < 0, then c is a local maximum of f .

Note that this test is inconclusive if f 00 (c) = 0. In such cases, c could be a local minimum, maximum, neither,
or both.
Easy examples
Find all local extrema and classify them as minima or maxima. Also find all inflection points.
1. f (x) = x 2 .
f is differentiable and f 0 (x) = 0 if and only if x = 0, so 0 is the only critical point.
Second derivative is f 00 (x) = 2, which is continuous and f 00 (0) = 2 > 0 so this is a local minimum.
Second derivative is never 0 so there are no inflection points.
2. f (x) = x 3 .
0 is the only critical point.
Second derivative is continuous and f 00 (0) = 6x|x=0 = 0 so the Second Derivative Test does not help. We
can still apply the First Derivative Test. f 0 (x) = 3x 2 > 0 for all x 6= 0 so this tells us that 0 is neither a
local maximum nor a local minimum.
0 is an inflection point because f 00 (x) < 0 for x < 0 and f 00 (x) > 0 for x > 0.
3. f (x) = x 4 .
0 is the only critical point.
Second derivative is f 00 (0) = 24x 2 x=0 = 0 so the Second Derivative Test does not help. We can still apply
the First Derivative Test. f 0 (x) = 4x 3 > 0 for x > 0 and f 0 (x) < 0 for x < 0 so 0 is a local minimum.
0 is not an inflection point because f 00 (x) > 0 for all x 6= 0.
Less trivial example

Find local minima and maxima of f (x) = 2x 3 − 3x 2 − 36x − 3.

f 0 (x) = 6x 2 − 6x − 36 =⇒ f 00 (x) = 12x − 6.

We know that -2 and 3 are the only critical points and f 0 (−2)
= f 0 (3) = 0. Since f 00 is continuous and
f 00 (−2) = −30 < 0, x = −2 must be a local maximum. f 00 (3) = 30 > 0 so x = 3 must be a local
minimum.
Notice that this is slightly easier than using the first derivative test.
Summary of classification of critical points

A critical point of a function f can correspond to:

1. a local minimum
2. a local maximum
3. a point where f is not differentiable
4. two or all of the above
5. none of the above
We can apply the First or Second Derivative Test to determine local minima and maxima.

Question
Which test should we use?
What if they are inconclusive?
Exercises

Exercise
Identify all local maxima, local minima, other critical points, and points of inflection of the following functions.
Try to use both First and Second Derivative Tests for comparison.
1. f (x) = 4x 3 − 15x 2 + 12x + 5.
|x − 1|
2. f (x) = 2 .
(x − 1)(x − 5)