MATH 1003

Calculus and Linear Algebra

22
Dr. Jing YAO

Department of Mathematics, HKUST

Dept. of Math, HKUST MATH 1003 - Calculus and Linear Algebra Jing YAO
 10.1 First Derivative and Graphs

10 Graphing and Optimization

10.1 First 10.2 Second
Derivative and Derivative and
Graphs Graphs

10.5 Absolute
10.4 Curve-
Maxima and
Sketching
Minima

10.6 Optimization
 10.1 First Derivative and Graphs

10 Graphing and Optimization

10.1 First Derivative and Graphs

- Increasing and Decreasing Functions

- Critical Numbers

- Local Extrema

- First-Derivative Test
 10.1 First Derivative and Graphs

Increasing and Decreasing Functions

Definition Suppose 𝑦 = 𝑓(𝑥).
• 𝑓(𝑥) is increasing on an interval (𝑎, 𝑏), if for any 𝑎 < 𝑥1 < 𝑥2 < 𝑏, 𝑓(𝑥1 ) < 𝑓(𝑥2 ).
• 𝑓(𝑥) is decreasing on an interval (𝑎, 𝑏), if for any 𝑎 < 𝑥1 < 𝑥2 < 𝑏, 𝑓(𝑥2 ) < 𝑓(𝑥1 ).

Example 1 Determine the interval for which the function

𝑦 = 𝑥2
𝑓(𝑥) = 𝑥 2 is increasing.
Solution From the graph of 𝑦 = 𝑥 2 , it is obvious that the
function is increasing when 𝑥 > 0 and decreasing when 𝑥 < 0.
Remark Notice that the slope of the tangent is positive when 𝑓
is increasing, and is negative when 𝑓 is decreasing.
 10.1 First Derivative and Graphs

Increasing and Decreasing Functions

Notice that the slope of the
tangent is positive when 𝑓 is
increasing, and is negative
when 𝑓 is decreasing.
 10.1 First Derivative and Graphs

Increasing and Decreasing Functions

Theorem For the interval 𝑎 < 𝑥 < 𝑏,
• 𝑓(𝑥) is increasing if and only if 𝑓 ′ (𝑥) > 0.
• 𝑓(𝑥) is decreasing if and only if 𝑓 ′ 𝑥 < 0.
 10.1 First Derivative and Graphs

sign chart of 𝒇′ (𝒙)

Increasing and Decreasing Functions
Example 2 (Finding Intervals on Which a Function Is
Increasing or Decreasing)
Given the function 𝑓(𝑥) = 8𝑥 − 𝑥 2 ,
(a) Which value(s) of 𝑥 correspond to horizontal tangent line?
(b) For which values of 𝑥 is 𝑓(𝑥) increasing? Decreasing?
Solution 𝑓 ′ (𝑥) = 8 − 2𝑥.
Therefore, 𝑓 ′ (𝑥) = 0 implies 𝑥 = 4, i.e., the tangent line is
horizontal at 𝑥 = 4.
By the theorem, 𝑓 is increasing when 𝑓 ′ (𝑥) > 0 and
decreasing when 𝑓 ′ 𝑥 < 0. Therefore,
𝑓 is increasing when 𝑥 < 4.
𝑓 is decreasing when 𝑥 > 4.
 10.1 First Derivative and Graphs

Recall: An Application of Continuity (Section 8.1)

Theorem If 𝑓(𝑥) is continuous on (𝑎, 𝑏) and 𝑓 𝑥 ≠ 0 for all 𝑥 in (𝑎, 𝑏), then
either 𝑓(𝑥) > 0 for all 𝑥 in 𝑎, 𝑏 or 𝑓 𝑥 < 0 for all 𝑥 in 𝑎, 𝑏 .

Remark If 𝑓 is continuous and 𝑓 𝑥 ≠ 0 on the interval (𝑎, 𝑏), then 𝑓(𝑥)

cannot change sign on (𝑎, 𝑏). This is the essence of this theorem.
Partition
numbers
𝑥+1
Example 8 Solving an inequality: 𝑥−2
> 0.
Solution 𝑥 < −1 or 𝑥 > 2.

Remark A real number 𝑥 is a partition number

for a function if 𝑓 is discontinuous at 𝑥 or
𝑓 𝑥 = 0.
Sign Chart
 10.1 First Derivative and Graphs

Critical Numbers
Definition The values of 𝑥 in the domain of 𝑓 where
• 𝑓 ′ 𝑥 = 0, or
• 𝑓 ′ 𝑥 does not exist
are called the critical numbers (also called critical values) of 𝑓.
Remarks
• Domain is the set of 𝑥, where 𝑓(𝑥) is defined. For example,
• Domain of 𝑓(𝑥) = ln 𝑥 is {𝑥: 𝑥 > 0}
1
• Domain of 𝑓(𝑥) = is {𝑥: 𝑥 ≠ 0}
𝑥
• Domain of 𝑓(𝑥) = 𝑥 2 is all the real numbers, i.e., the number line, denoted as 𝐑
• The critical number(s) is(are) the point(s) that partition the number line
into intervals, on which 𝑓 ′ 𝑥 is either positive or negative, i.e., 𝑓 is
either increasing or decreasing.
 10.1 First Derivative and Graphs

Critical Numbers
Example 3 Find the critical number(s) for the
following 𝑓, and determine the interval(s) where
𝑓 is increasing and those where 𝑓 is decreasing.
(a) 𝑓 𝑥 = 1 + 𝑥 3
Solution The domain of 𝑓 is 𝐑.
𝑓 ′ (𝑥) = 3𝑥 2 . So the critical number is 0.
• For all 𝑥 < 0, 𝑓 ′ 𝑥 > 0, therefore 𝑓(𝑥) is
increasing on (−∞, 0).
• For all 𝑥 > 0, 𝑓 ′ 𝑥 > 0, therefore 𝑓(𝑥) is
increasing on (0, +∞).
Since 𝑓(𝑥) is continuous at 0, actually 𝑓(𝑥) is
increasing on (−∞, +∞).
 10.1 First Derivative and Graphs

Critical Numbers
Example 3 Find the critical number(s) for the following
𝑓, and determine the interval(s) where 𝑓 is increasing
and those where 𝑓 is decreasing.
(b) 𝑓 𝑥 = 1 − 𝑥 1/3
Solution
The domain of 𝑓 is 𝐑.
1 −1
𝑓′ 𝑥 = − 1−𝑥 −2/3 = .
3 3 1−𝑥 2/3
𝑓 ′ 𝑥 < 0 for all 𝑥 ≠ 1 and 𝑓 (𝑥) is undefined at 1,
′
therefore the critical number is 1.
• For all 𝑥 < 1, 𝑓 ′ 𝑥 < 0, therefore 𝑓(𝑥) is decreasing
on (−∞, 1).
• For all 𝑥 > 1, 𝑓 ′ 𝑥 < 0, therefore 𝑓(𝑥) is decreasing
on (1, +∞).
Since 𝑓(𝑥) is continuous at 1, 𝑓(𝑥) is decreasing on
(−∞, +∞).
 10.1 First Derivative and Graphs

Critical Numbers
Example 3 Find the critical number(s) for the
following 𝑓, and determine the interval(s) where 𝑓 is
increasing and those where 𝑓 is decreasing.
1
(c) 𝑓 𝑥 =
𝑥−2
Solution The domain of 𝑓 is {𝑥 ∈ 𝐑: 𝑥 ≠ 2}.
1
𝑓′(𝑥) = − .
𝑥−2 2
Since for all 𝑥 ≠ 2, 𝑓 ′ 𝑥 ≠ 0, 𝑓(𝑥) has no critical
number.
• For all 𝑥 < 2 , 𝑓 ′ (𝑥) < 0 , therefore 𝑓(𝑥) is
decreasing on (−∞, 2).
• For all 𝑥 > 2 , 𝑓 ′ (𝑥) < 0 , therefore 𝑓(𝑥) is
decreasing on (2, +∞).
Remark We cannot say 𝒇(𝒙) is decreasing on
(−∞, +∞), since 𝒇(𝒙) is undefined at 𝟐.
 10.1 First Derivative and Graphs

Critical Numbers
Example 3 Find the critical number(s) for the following
𝑓, and determine the interval(s) where 𝑓 is increasing
and those where 𝑓 is decreasing.
(d) 𝑓 𝑥 = 8 ln 𝑥 − 𝑥 2
Solution
The domain of 𝑓(𝑥) is (0, +∞).
′ 8 8−2𝑥 2 2 2−𝑥 2+𝑥
𝑓 𝑥 = − 2𝑥 = = .
𝑥 𝑥 𝑥
𝑓 ′ (𝑥) = 0 when 𝑥 = 2 (−2 is not in the domain),
therefore the critical number is 2.
• For all 0 < 𝑥 < 2, 𝑓′(𝑥) > 0, therefore 𝑓(𝑥) is
increasing on (0, 2).
• For all 𝑥 > 2 , 𝑓 ′ (𝑥) < 0 , therefore 𝑓(𝑥) is
decreasing on (2, +∞).
 10.1 First Derivative and Graphs

Local Extrema
Definition Given a function 𝑓(𝑥),
• We call 𝑓(𝑐) is a local maximum if there exists an interval 𝑚 < 𝑥 < 𝑛 containing
𝑐 such that 𝑓(𝑥) ≤ 𝑓(𝑐) for all 𝑥 in (𝑚, 𝑛).
• We call 𝑓(𝑐) is a local minimum if there exists an interval 𝑚 < 𝑥 < 𝑛 containing
𝑐 such that 𝑓(𝑐) ≤ 𝑓(𝑥) for all 𝑥 in (𝑚, 𝑛).
The quantity 𝑓(𝑐) is called a local extremum if it is either a local maximum or local
minimum.
 10.1 First Derivative and Graphs

Local Extrema
Theorem If 𝑓 is continuous on the interval (𝑚, 𝑛), 𝑐 is a number in (𝑚, 𝑛), and 𝑓(𝑐)
is a local extremum, then either
• 𝑓 ′ 𝑐 = 0, or
• 𝑓 ′ (𝑐) does not exist.
That is, a local extremum can occur only at a critical number.
(In other words, if 𝑓 𝑐 is a local extremum of the function 𝑓, then 𝑐 is a critical
number of 𝑓.)
Remark The theorem does not imply that every critical number produces a local
extremum!
 10.1 First Derivative and Graphs

Local Extrema
Example 4 Find the local extrema of
(a) 𝑓 𝑥 = 𝑥 2 Strategy for finding local extrema:
(b) 𝑓 𝑥 = −𝑥 2 • Find all critical numbers of 𝑓 and
(c) 𝑓 𝑥 = 𝑥 3 • test each one to see if it produces a local
maximum, a local minimum, or neither.

Solution
(a) 𝑓 ′ 𝑥 = 2𝑥 = 0 when 𝑥 = 0, so the critical number is 0. And 0 is the
local minimum since 𝑓 0 ≤ 𝑓(𝑥) for all 𝑥 in −1,1 .
(b) 𝑓 ′ 𝑥 = −2𝑥 = 0 when 𝑥 = 0, so the critical number is 0. And 0 is the
local maximum since 𝑓 0 ≥ 𝑓(𝑥) for all 𝑥 in −1,1 .
(c) 𝑓 ′ 𝑥 = 3𝑥 2 = 0 when 𝑥 = 0, so the critical number is 0. But 𝑓 ′ 𝑥 ≥ 0
for all 𝑥 ∈ 𝐑, therefore, 𝑓(𝑥) is increasing on 𝐑 and 0 is not a local extrema.
 10.1 First Derivative and Graphs

First-Derivative Test 𝑓(𝑐) is a local

We now present a method to classify whether a minimum
critical number is a local extrema:
• 𝑓(𝑐) is a local minimum if 𝑓 ′ (𝑥) changes
from negative to positive at 𝑐.
• 𝑓(𝑐) is a local maximum if 𝑓 ′ (𝑥) changes 𝑓(𝑐) is a local
from positive to negative at 𝑐. maximum
• 𝑓(𝑐) is not a local extrema if 𝑓 ′ (𝑥) does not
change the sign at 𝑐.
This is called the first-derivative test.
𝑓(𝑐) is not a
Remark local extremum
To understand the above 3 rules, we may
consider:
• 𝑓(𝑥) = 𝑥 2 at 𝑥 = 0,
𝑓(𝑐) is not a
• 𝑓(𝑥) = −𝑥 2 at 𝑥 = 0, local extremum
• and 𝑓(𝑥) = 𝑥 3 at 𝑥 = 0.
 10.1 First Derivative and Graphs

First-Derivative Test
 10.1 First Derivative and Graphs

First-Derivative Test
 10.1 First Derivative and Graphs

First-Derivative Test
Example 5 Given 𝑓(𝑥) = 𝑥 3 − 9𝑥 2 + 24𝑥 − 10.
(a) Find the critical number(s) of 𝑓.
(b) Find the local maxima and minima.
Solution
(a) 𝑓 ′ 𝑥 = 3𝑥 2 − 18𝑥 + 24. Obviously, 𝑓 ′ 𝑥 exists for all values of 𝑥.
Therefore, the critical numbers occur when
3𝑥 2 − 18𝑥 + 24 = 3 𝑥 − 2 𝑥 − 4 = 0.
The critical numbers are 2 and 4.
(b) Using the critical numbers obtained in (a), we can construct the sign chart for 𝑓 ′ 𝑥 :
𝑓′ 𝑥 + + + 0 − − − 0 + + +
𝑓 𝑥 increasing 2 decreasing 4 increasing
𝑓 is increasing when 𝑥 < 2 or 𝑥 > 4 and is decreasing when 2 < 𝑥 < 4.
Therefore, we have the following results:
𝑓 has a local maximum at 𝑥 = 2; 𝑓 has a local minimum at 𝑥 = 4.
 10.1 First Derivative and Graphs

𝑓′ 𝑥 + + + 0 − − − 0 + + +
𝑓 𝑥 increasing 2 decreasing 4 increasing
 10.1 First Derivative and Graphs

First-Derivative Test
Example 6 Find the critical numbers, the interval(s) where 𝑓(𝑥) is increasing, the
interval(s) where 𝑓(𝑥) is decreasing, and the local extrema of the following
functions:
9
(a) 𝑓 𝑥 = + 𝑥
𝑥
Solution The domain of 𝑓(𝑥) is (−∞, 0) ∪ (0, ∞).
9
𝑓′ 𝑥 = − + 1 = 0 when 𝑥 = ±3. Thus, the critical numbers are 3 and −3.
𝑥2
Since 𝑓 ′ (𝑥) > 0 when 𝑥 < −3 or 𝑥 > 3. Therefore, 𝑓(𝑥) is increasing in (−∞, −3)
and (3, +∞).
Since 𝑓 ′ 𝑥 < 0 when −3 < 𝑥 < 0 or 0 < 𝑥 < 3. Therefore, 𝑓(𝑥) is decreasing in
(−3, 0) and (0, 3).
At 𝑥 = −3, 𝑓 ′ (𝑥) changes from positive to negative, so −3 is a local maximum.
At 𝑥 = 3, 𝑓 ′ (𝑥) changes from negative to positive, so 3 is a local minimum.
10.1 First Derivative and Graphs
 10.1 First Derivative and Graphs

First-Derivative Test
Example 6 Find the critical numbers, the interval(s) where 𝑓(𝑥) is increasing, the
interval(s) where 𝑓(𝑥) is decreasing, and the local extrema of the following functions:
𝑥2
(b) 𝑓 𝑥 =
𝑥+1
Solution The domain is −∞, −1 ∪ (−1, +∞).
1
𝑓(𝑥) = 𝑥 − 1 + .
𝑥+1
1
𝑓′ 𝑥 =1− = 0 when 𝑥 = 0 and −2. Thus 0 and −2 are the critical numbers.
𝑥+1 2
𝑓 ′ (𝑥) > 0 when 𝑥 < −2 or 𝑥 > 0. Thus 𝑓(𝑥) is increasing in (−∞, −2) and 0, +∞ .
𝑓 ′ 𝑥 < 0 when −2 < 𝑥 < −1 or −1 < 𝑥 < 0 . Thus 𝑓(𝑥) is decreasing in
(−2, −1) and (−1, 0).
At 𝑥 = −2, 𝑓 ′ (𝑥) changes from positive to negative, so 𝑓(−2) is the local maximum.
At 𝑥 = 0, 𝑓 ′ (𝑥) changes from negative to positive, so 𝑓(0) is the local minimum.
10.1 First Derivative and Graphs
 10.1 First Derivative and Graphs

First-Derivative Test
Example 6 Find the critical numbers, the interval(s) where 𝑓(𝑥) is
increasing, the interval(s) where 𝑓(𝑥) is decreasing, and the local extrema of
the following functions:
(c) 𝑓 𝑥 = 3 𝑥 − 2 2/3 + 2
Solution The domain is 𝐑.
′ 2
𝑓 𝑥 = 3 is undefined when 𝑥 = 2, thus 2 is the critical number.
𝑥−2
𝑓 ′ 𝑥 < 0 when 𝑥 < 2, thus 𝑓(𝑥) is decreasing in (−∞, 2).
𝑓 ′ 𝑥 > 0 when 𝑥 > 2, thus 𝑓(𝑥) is increasing in (2, +∞).
Since at 𝑥 = 2, 𝑓 ′ 𝑥 changes from negative to positive, 𝑓(2) is a local
minimum.
10.1 First Derivative and Graphs
 10.1 First Derivative and Graphs

First-Derivative Test
Example 6 Find the critical numbers, the interval(s) where 𝑓(𝑥) is
increasing, the interval(s) where 𝑓(𝑥) is decreasing, and the local extrema of
the following functions:
(d) 𝑓 𝑥 = 𝑥 − 1 𝑒 −𝑥
Solution The domain is 𝐑.
𝑓 ′ (𝑥) = 𝑒 −𝑥 − 𝑥 − 1 𝑒 −𝑥 = 2 − 𝑥 𝑒 −𝑥 = 0 when 𝑥 = 2, thus 2 is the
critical number.
𝑓 ′ 𝑥 > 0 when 𝑥 < 2, thus 𝑓(𝑥) is increasing when 𝑥 in (−∞, 2).
𝑓 ′ 𝑥 < 0 when 𝑥 > 2, thus 𝑓(𝑥) is decreasing when 𝑥 in (2, +∞).
𝑓 ′ (𝑥) changes from positive to negative at 𝑥 = 2. Thus 𝑓(2) is the local
maximum.
10.1 First Derivative and Graphs
 10.1 First Derivative and Graphs

Summary
Procedure to find the increasing and decreasing intervals and the local extrema:
1. Calculate the domain of 𝑓(𝑥), i.e., the set where 𝑓 is well defined.
2. Calculate the derivative 𝑓 ′ (𝑥) and find the points 𝑥1 , 𝑥2 , ⋯ in the domain at
which 𝑓 ′ (𝑥) is 0 or does not exist, i.e., the critical numbers. Partition the
domain into several intervals by inserting critical numbers 𝑥1 , 𝑥2 , ⋯
3. Infer in each interval, the derivative 𝑓 ′ (𝑥) is positive or negative by
constructing the sign chart of 𝑓 ′ (𝑥) . If positive, 𝑓(𝑥) is increasing in that
interval. Else if negative, 𝑓(𝑥) is decreasing.
4. Local extrema are produced by the critical numbers, where the sign of 𝑓 ′ (𝑥)
changes. To be precise:
• If 𝑓 ′ (𝑥) changes from positive to negative at 𝑥𝑖 , it means 𝑓(𝑥) increases first and then
decreases. Therefore, 𝑥𝑖 produces a local maximum.
• If 𝑓 ′ (𝑥) changes from negative to positive at 𝑥𝑖 , it means 𝑓(𝑥) decreases first and then
increases. Therefore, 𝑥𝑖 produces a local minimum.
• If the sign of 𝑓 ′ (𝑥) doesn’t change at 𝑥𝑖 , 𝑥𝑖 doesn’t produce local extrema.