Necessary and Sufficient condition for extremum [Zorich’s book]

real-analysis

Proposition 3. (Sufficient conditions for an extremum in terms of the first derivative). Let $f:U(x_0)\to \mathbb{R}$ be a function
defined on neighborhood $U(x_0)$ of the point $x_0$, which is
continuous at the point itself and differentiable in a deleted
neighborhood $\mathring{U}(x_0)$. Let $\mathring{U}^-(x_0)=\{x\in
U(x_0): x<x_0\}$
and $\mathring{U}^+(x_0)=\{x\in U(x_0): x>x_0\}$. Then
the following conclusions are valid:

a) $(\forall x\in\mathring{U}^-(x_0) (f'(x)<0))\ \land \ (\forall
x\in\mathring{U}^+(x_0) (f'(x)<0)) \Rightarrow (f \ \text{has no
extremum at} \ x_0);$

b) $(\forall x\in\mathring{U}^-(x_0) (f'(x)<0))\ \land \ (\forall
x\in\mathring{U}^+(x_0) (f'(x)>0)) \Rightarrow (x_0 \ \text{is a
strict local minimum of} \ f);$

c) $(\forall x\in\mathring{U}^-(x_0) (f'(x)>0))\ \land \ (\forall
x\in\mathring{U}^+(x_0) (f'(x)<0)) \Rightarrow (x_0 \ \text{is a
strict local maximum of} \ f);$

d) $(\forall x\in\mathring{U}^-(x_0) (f'(x)>0))\ \land \ (\forall
x\in\mathring{U}^+(x_0) (f'(x)>0)) \Rightarrow (f \ \text{has no
extremum at} \ x_0);$

Briefly, but less precisely, one can say that if the derivative
changes sign in passing through the point, then the point is an
extremum, while if the derivative does not change sign, the point is
not extremum.

We remark immediately, however, that these sufficient conditions are
not necessary for an extremum, as one can verify the following
example.

Example: Let $$f(x) = \begin{cases} 2x^2+x^2\sin \frac{1}{x}, & \text{if }x\neq 0 \\ 0, & \text{if }x=0 \end{cases}$$

Since $x^2\leq f(x)\leq 3x^2$, it is clear that the function has a
strict local minimum at $x_0=0$, but the derivative $f'(x)=4x+2x\sin
\frac{1}{x}-\cos \frac{1}{x}$
is not of constant sign in any deleted
one-sided neighborhood of this point. This same example shows the
misunderstandings that can arise in connection with the abbreviated
statement of Proposition 3 just given.

This is an excerpt from Zorich's book (Volume 1, page 238). Most of it I understood but some moments are not crystal clear. So let me ask you questions please:

1) This example shows us that the converse of b) in Proposition 3 is not valid, right? What is an example of a function which shows that the converse of a) is not valid?

2) I am a bit confused with the phrase "This same example shows the
misunderstandings that can arise in connection with the abbreviated
statement of Proposition 3 just given.
" I have spent some time trying to understand what is wrong but gave up.

I'd be very grateful for answers to my question.

Best Answer

(1) For a counterexample to the converse of (a), just take $f(x)=x^3$.

(2) The example given shows that it doesn’t make sense to speak of $f’$ “changing sign” at the local minimum. The cases where it makes sense to speak of a sign change are those where $f’$ has constant sign on left and right sided deleted neighborhoods.