2.

2 Using Second Derivatives to Find

OBJECTIVES
Where the function is increasing or decreasing
Where the function is concave or convex
Where do the relative extrema occur? What are
they?

Copyright 2008 Pearson Education, Inc. Publishing as Pearson Addison-Wesley

Definition for Concavity of a Function

DEFINITION:
Suppose that f is a function whose derivative f exists
at every point in an open interval I. Then

f is concave up on I if f is concave down on I

f is increasing over I. if f is decreasing over I.

f is convex economically f is concave economically

Copyright 2008 Pearson Education, Inc. Publishing as Pearson Addison-Wesley 2/27

 When we know the function is increasing over an
interval I1, how to draw it?
concave down concave up
increasing increasing

When we know the function is decreasing over an

interval I2, how to draw it?

concave up concave down

decreasing decreasing

To draw a graph for a function.

Why Learning Concavity?

Copyright 2008 Pearson Education, Inc. Publishing as Pearson Addison-Wesley 3/27

THEOREM 4: A Test for Concavity

1. If f (x) > 0 on an interval I, then the graph of f is
concave up (convex)

2. If f (x) < 0 on an interval I, then the graph of f is

concave down (concave)

2.2 Using Second Derivatives to Find Concavity

Intervals for a Function
Copyright 2008 Pearson Education, Inc. Publishing as Pearson Addison-Wesley 4/27
 An inflection point is a point across which the
direction of concavity changes.
down Inflection point

up

Theorem 6 (Finding Points of Inflection) If a

function f has a inflection point, it must occur at a
point x0, where
f (x0) = 0 or f (x0) does not exist.

Definition for Inflection Points and the

prerequisite condition for Inflection Points
Copyright 2008 Pearson Education, Inc. Publishing as Pearson Addison-Wesley 5/27

Three Cases for Inflection Points

Copyright 2008 Pearson Education, Inc. Publishing as Pearson Addison-Wesley 6/27

 1st: find the domain of the f (x), find f (x), and then
f (x);
2nd: Determine candidates Inflection Points by finding
where f (x) = 0 or where f (x) does not exist.
3rd: Use the candidates for inflection points to
partition the domain into several intervals; Choose
test values from these intervals; Analyze the sign of
the second derivative of f (x) at these test values;
Then determine where the graph is concave up and
where the graph is concave down (by Th 4)

Steps for Determining where the graph is concave

up and where the graph is concave down.

Copyright 2008 Pearson Education, Inc. Publishing as Pearson Addison-Wesley 7/27

Example 1 Given a function f(x) = x3 3x + 2.

1st: The domain is (, ), f (x) = 3x2 3, f (x) = 6x;
2nd: f (x) = 0, namely, 6x = 0, thus x = 0 is a
candidate inflection point.
3rd: x = 0 partitions the domain into two intervals (,
0) and (0, ); Choose 1 from (, 0) and 1 from
(0, ) as test values; find f (1) = 6 < 0 and f (1)
= 6 > 0; Thus, the graph is concave down on (, 0)
and concave up on (0, ) (by Th 4)

test values

1 0 1
Example for Determining where the graph is
concave up and where the graph is concave down.
Copyright 2008 Pearson Education, Inc. Publishing as Pearson Addison-Wesley 8/27
 Interval (, 0) 0 (0, )
Test Value 1 1
Sign of f (x) f (1) = 6 < 0 () 0 f (1) = 6 > 0
(+)
Result 1 f is concave down (0, 2) is a f is concave up on
(by Th4) on (, 0] inflection [0, )
since f (x) < 0 point since f (x) > 0

f(x) = x3 3x + 2 f (x) = 6x

Copyright 2008 Pearson Education, Inc. Publishing as Pearson Addison-Wesley 9/27

THEOREM 5: The Second Derivative Test for

Relative Extrema
Suppose that f is differentiable for every x in an open
interval (a, b) and that there is a critical value c in
(a, b) for which f (c) = 0. Then:
1. f (c) is a relative minimum if f (c) > 0.
2. f (c) is a relative maximum if f (c) < 0.
For f (c) = 0, the Second-Derivative Test can not be
used to determine whether f (c) is a relative
extremum. We have to use the First-Derivative Test
2.2 Using Second Derivatives to Find Maximum
and Minimum Values
Copyright 2008 Pearson Education, Inc. Publishing as Pearson Addison-Wesley 10/27
Example 2: Graph the function f given by
f (x) x 3 3x 2 9x 13,
and find the relative extrema.
Solution:
1st find the domain of f (x), find f (x) and f (x).
Obviously, the domain of f (x) is (, )
f (x) 3x 2 6x 9,
f (x) 6x 6.

2.2 Using Second Derivatives to Find Maximum

and Minimum Values

Copyright 2008 Pearson Education, Inc. Publishing as Pearson Addison-Wesley 11/27

Example 2 (continued):
2nd solve f (x) = 0 to find the critical values.
3x 2 6x 9 0
x 2 2x 3 0
(x 3)(x 1) 0
x3 0 x 1 0
or
x 3 x 1
Thus, x = 3 and x = 1 are critical values.

f (x) = 3x2 + 6x 9
2.2 Using Second Derivatives to Find Maximum
and Minimum Values
Copyright 2008 Pearson Education, Inc. Publishing as Pearson Addison-Wesley 12/27
 Example 2 (continued):
3rd use the Second Derivative Test with 3 and 1.
f (3) 6(3) 6 18 6 12 0 : Relative maximum
f (1) 6(1) 6 6 6 12 0 : Relative minimum
Lastly, find the values of f (x) at 3 and 1.
f (3) (3)3 3(3)2 9(3) 13 14
f (1) (1)3 3(1)2 9(1) 13 18
So, (3, 14) is a relative maximum and (1, 18) is a
relative minimum.
f (x) = 6x + 6

2.2 Using Second Derivatives to Find Maximum

and Minimum Values
Copyright 2008 Pearson Education, Inc. Publishing as Pearson Addison-Wesley 13/27

Example 2 (concluded): Then, by calculating and plotting a

few more points, we can make a sketch of f (x) as below.

2.2 Using Second Derivatives to Find Maximum and

Minimum Values and Sketch Graphs
Copyright 2008 Pearson Education, Inc. Publishing as Pearson Addison-Wesley 14/27
 Example 3 Find the relative extrema of the functioin
given by f(x) = x4
Solution:
Domain of f(x): (, ); f (x) = 4x3; f (x) = 12x2
Solve f (x) = 4x3 = 0 to find the critical value: x = 0
Find f (0) = 0, which is neither positive nor
negative, thus, the Second Derivative Test (Th 5)
can not be used.
In this case, we use the First Derivative Test to find
the extrema
The First Derivative Test always works for finding
the extrema.

A case of failure for the Second Derivative Test (Th 5)

Copyright 2008 Pearson Education, Inc. Publishing as Pearson Addison-Wesley 15/27

Strategy for Finding Critical Values, Increasing and/or

Decreasing Intervals, Relative Extrema, Sketching
Graphs:
a) Derivatives and Domain. Find f (x) and f (x).
Note the domain of f(x).
b) Critical values of f. Find the critical values by
solving f (x) = 0 and finding where f (x) does not
exist. Find the function values at these points.

Copyright 2008 Pearson Education, Inc. Publishing as Pearson Addison-Wesley 16/27

c) Increasing and/or decreasing; relative extrema
by the first derivative.
c1)Use the critical values to partition the domain into
several intervals.
c2) Choose test values from each of these intervals,
analyze the sign of f (x) at these test values;
c3) find the increasing and/or decreasing intervals (by
Th 1) and find the relative extrema by Th3
{determine which critical value (s) is (are) an
extreme point(s)};
2.2 Using The First Derivatives to Find

Copyright 2008 Pearson Education, Inc. Publishing as Pearson Addison-Wesley 17/27

or c) Increasing and/or decreasing intervals;

relative extrema by the second derivative
by substituting each critical value from step (b) into
f (x) and applying the Second Derivative Test (by
Th 5). To do so, suppose that x0 is a critical point.
If f (x0) < 0, then f (x0) is a relative maximum
and then f is increasing to the left of x0 and
decreasing to the right;
If f (x0) > 0, then f (x0) is a relative minimum
and then f is decreasing to the left of x0 and
increasing to the right.

2.2 Using the Second Derivatives to Find

Copyright 2008 Pearson Education, Inc. Publishing as Pearson Addison-Wesley 18/27

d) Inflection Points. Determine candidates for
inflection points by finding where f (x) = 0 or
where f (x) does not exist. Find the function
values at these points.
e) Concavity. Use the candidates for inflection points
from step (d) to partition the domain into several
intervals. Choose test values from each of these
intervals; analyze the sign of f (x) to determine
where the graph is concave up and where it is
concave down. By the way, we choose the test
values for which it is easy to compute f (x).

2.2 Strategy (continued):

Copyright 2008 Pearson Education, Inc. Publishing as Pearson Addison-Wesley 19/27

2.2 Strategy (conclude):

f) Sketch the graph. Sketch the graph using the
information from steps (a) (e), calculating and
plotting extra points and inflection points as needed.

Copyright 2008 Pearson Education, Inc. Publishing as Pearson Addison-Wesley 20/27

 Example 4: Graph the function f given by
f (x) x 3 3x 2,
(1) Find the critical values; (2) Find decreasing
intervals and increasing intervals, relative extrema by
the first derivative; (3) Find decreasing intervals and
increasing intervals, relative extrema by the second
derivative; (4) Find points of inflection. State where
the function is concave up or concave down, and
sketch the graph.
a) Derivatives and Domain.
f (x) = 3x2 3,
f (x) = 6x
The domain of f is all real numbers.

Copyright 2008 Pearson Education, Inc. Publishing as Pearson Addison-Wesley 21/27

b) Critical values of f.
3x 2 3 0 f (x) = 3x2 3
3x 2 3
x2 1
x 1 critical values of f

and we have f (1) = 4 and f (1) = 0. Then we get

two points on the graph: (1, 4) and (1, 0).
The two critical values partition the domain into three
intervals (, 1), (1, 1), and (1, )

1 1
2.2 Using the First Derivatives to Find Critical
values of f
Copyright 2008 Pearson Education, Inc. Publishing as Pearson Addison-Wesley 22/27
c) Increasing and/or Decreasing; relative extrema by
the first derivative f (x) = 3x2 3

1 1
Test Value x = 2 x=0 x=4
Sign of f ( 2) = 9 f (0) = 3 f (4) = 45
f (x) + +
f is increasing f is decreasing f is increasing
Result on (, 1] on [1, 2] on [2, )

Thus, f(1) = 4 is a relative maximum and f(1) = 0 is a

relative minimum.
2.2 Using the First Derivatives to Find Increasing
and/or Decreasing Intervals, Relative Maximum and
Minimum Values
Copyright 2008 Pearson Education, Inc. Publishing as Pearson Addison-Wesley 23/27

c) Increasing and/or Decreasing; relative extrema by

the second derivative f (x) = 6x .
f (1) = 6(1) = 6 < 0
f (1) = 6(1) = 6 > 0
So f(1) = 4 is a relative maximum, f(1) = 0 is a
relative minimum
f (x) is increasing on (, 1] (to the left of 1),
decreasing on [1, 1] (to the right of 1), and
increasing on [1, ) (to the right of 1).

1 1
2.2 Using the Second Derivatives to Find Increasing
and/or Decreasing Intervals, Relative Maximum and
Minimum Values
Copyright 2008 Pearson Education, Inc. Publishing as Pearson Addison-Wesley 24/27
 f (x) = 6x
d) Inflection Points.
Let f (x) = 0, then 6x = 0 and x = 0. We have f (0) =
2 and get a point (0, 2) on the graph.
e) Concavity. x = 0 partitions the domain (, ) into
two intervals (, 0) and (0, ). Select two points
1 and 1 as the test values, which are to the left and to
the right of 0.
Since f (1) = 6 < 0 , f is concave down on the
interval (, 0); since f (1) = 6 > 0, f is concave up
on (0, )

2.2 Using Second Derivatives to Find the inflection

point, where the function is concave up or down
Copyright 2008 Pearson Education, Inc. Publishing as Pearson Addison-Wesley 25/27

Example 4 (concluded) Learn Example 5

f) Sketch the graph. Using the points by yourself
from steps (a) (e),
the graph follows.

Copyright 2008 Pearson Education, Inc. Publishing as Pearson Addison-Wesley 26/27

homework
Page 241 Exercise 9.4 #1 (b) (d)
Page 227 Exercise 9.2 #2(b)
(1) Find the critical values;
(2) Find decreasing intervals and increasing intervals,
relative extrema by the second derivative
(3) Find points of inflection. State where the function
is concave up or concave down
(4) sketch the graph.

Copyright 2008 Pearson Education, Inc. Publishing as Pearson Addison-Wesley 27/27