Lecture: Section 4.1 Maximum and Minimum Values

Welcome! In this section, we begin one of the most important applications of derivatives: optimization. Many real-world problems boil down to finding the best possible value—the maximum profit, the minimum cost, the maximum height of a rocket, or the minimum amount of material needed for a project. We'll start by building the precise vocabulary and foundational theorems needed to find these optimal values.


Part 1: Defining Extrema 🏔️

First, we need to be very clear about what we mean by "maximum" and "minimum" values. There are two distinct types we care about: absolute and local.

Definitions of Extrema

Let $c$ be a number in the domain $D$ of a function $f$.

  • The value $f(c)$ is the absolute maximum of $f$ on $D$ if $f(c) \ge f(x)$ for all $x$ in $D$. This is the single highest point on the entire graph.
  • The value $f(c)$ is the absolute minimum of $f$ on $D$ if $f(c) \le f(x)$ for all $x$ in $D$. This is the single lowest point on the entire graph.
  • The value $f(c)$ is a local maximum of $f$ if $f(c) \ge f(x)$ for all $x$ near $c$. This is a "peak" in the graph.
  • The value $f(c)$ is a local minimum of $f$ if $f(c) \le f(x)$ for all $x$ near $c$. This is a "valley" in the graph.

The general term for either a maximum or a minimum value is an extremum (plural: extrema).

Explore the graph of $f(x) = -x^3+2x^2+1$ below. Can you identify the absolute maximum, absolute minimum, and any local extrema on the interval $[-4, 4]$?

Check Your Understanding #1

Based on the graph of $f(x) = -x^3+2x^2+1$ on the interval $[-4, 4]$, what are the approximate values of the absolute maximum, absolute minimum, local maximums, and local minimums?


Part 2: The Extreme Value Theorem (EVT) 📜

A key question arises: is a function guaranteed to even have an absolute maximum or minimum? Sometimes, the answer is no! The Extreme Value Theorem tells us the precise conditions that guarantee their existence.

The Extreme Value Theorem (EVT)

If a function $f$ is continuous on a closed interval $[a, b]$, then $f$ is guaranteed to attain an absolute maximum value $f(c)$ and an absolute minimum value $f(d)$ for some numbers $c$ and $d$ in $[a, b]$.

Why are both conditions—continuous and a closed interval—so important? Let's see what happens when one of them is missing.

Counter-Example 1: A Discontinuity

The function in the graph below is defined on the interval $[-2, 2]$, but it has an infinite discontinuity (a vertical asymptote) at $x=1$. Because the function goes to $+\infty$ on one side and $-\infty$ on the other, it never attains a single highest or lowest point. Therefore, it has no absolute maximum or minimum, and the EVT does not apply.

Counter-Example 2: An Open Interval

The function $f(x)=x^2$ is continuous everywhere. But if we consider it on the open interval $(0, 2)$, it has no absolute maximum or minimum. The values get closer and closer to 4 on the high end and 0 on the low end, but they never reach these values because the endpoints are not included.

Check Your Understanding #2

Consider the function defined on $[-2, 2]$ as: $$ f(x) = \begin{cases} -(x-1)^2 + 4 & \text{if } x \neq 1 \\ 1 & \text{if } x = 1 \end{cases} $$ Does this function have an absolute maximum or minimum on the interval $[-2, 2]$? Why or why not? Does this contradict the EVT?


Part 3: Finding Extrema - Critical Numbers 🎯

Okay, so if we have a continuous function on a closed interval, we know a max and min exist. But where do we look for them? A famous theorem by Fermat gives us the crucial clue.

Fermat's Theorem

If $f$ has a local maximum or minimum at $c$, and if $f'(c)$ exists, then $f'(c) = 0$.

Fermat's Theorem tells us what happens when the derivative exists at an extremum. But what if it doesn't? This leads us to a crucial conclusion. If a function has a local extremum at an interior point $c$, there are only two possibilities: either $f'(c)$ does not exist (like at a sharp corner), or $f'(c)$ exists and, by Fermat's Theorem, must be zero. Therefore, the list of all possible candidates for extrema are points where the tangent line is horizontal ($f'(c)=0$) or where the derivative is undefined. For example, the function below, $f(x) = x\sin(x)$, has several points where the tangent is horizontal ($f'(x)=0$), corresponding to its local maxima and minima.

This insight is so important that we give these special points a name.

Definition of a Critical Number

A critical number of a function $f$ is a number $c$ in the domain of $f$ such that either $f'(c) = 0$ or $f'(c)$ does not exist.

Solved Example: Finding Critical Numbers

Find the critical numbers of $f(x) = x^{2/3}(x-5)$.

Step 1: Find the derivative. First, let's simplify the function: $f(x) = x^{5/3} - 5x^{2/3}$.
Now, we use the power rule: $$f'(x) = \frac{5}{3}x^{2/3} - 5 \cdot \frac{2}{3}x^{-1/3} = \frac{5}{3}x^{2/3} - \frac{10}{3}x^{-1/3}$$

Step 2: Find where $f'(x)=0$. To solve this, let's factor out the term with the lowest power of $x$: $$f'(x) = \frac{5}{3}x^{-1/3}(x - 2)$$ $$f'(x) = \frac{5(x-2)}{3\sqrt[3]{x}}$$ The derivative is zero when the numerator is zero. This happens when $x-2=0$, so $x=2$ is a critical number.

Step 3: Find where $f'(x)$ does not exist. The derivative will not exist if the denominator is zero. This happens when $3\sqrt[3]{x}=0$, which means $x=0$ is also a critical number.

Conclusion: The critical numbers are $x=0$ and $x=2$.

Notice the sharp cusp on the graph below at the critical number $x=0$. This is precisely why the derivative is undefined there. Is it a local extremum? Yes! Since $f(0)=0$ and the function values are negative for $x$ near 0, the point $(0,0)$ is a local maximum.

⚠️ Warning: The Converse of Fermat's Theorem is False!

A very common mistake is to assume that if $f'(c)=0$, then $f$ must have a local extremum at $c$. This is not true. A critical number is a candidate for an extremum, but it is not guaranteed to be one.

Consider the function $f(x)=x^3$. Its derivative is $f'(x)=3x^2$. Setting $f'(x)=0$ gives $x=0$ as a critical number. However, as you can see from the graph, the function flattens out and then continues increasing. The point $x=0$ is neither a local maximum nor a local minimum.


Part 4: The Closed Interval Method 📋

We can now combine everything into a simple, foolproof method for finding the absolute maximum and minimum of a continuous function on a closed interval.

The Closed Interval Method

To find the absolute extrema of a continuous function $f$ on a closed interval $[a, b]$:

  1. Find the critical numbers of $f$ that are in the open interval $(a, b)$.
  2. Evaluate $f$ at these critical numbers.
  3. Evaluate $f$ at the endpoints of the interval, $f(a)$ and $f(b)$.
  4. Compare all the values from steps 2 and 3. The largest value is the absolute maximum, and the smallest value is the absolute minimum.

Solved Example: Using the Closed Interval Method

Find the absolute maximum and minimum values of $f(x) = x^3 - 6x^2 + 5$ on the interval $[-2.1, 5]$.

The function is a polynomial, so it's continuous everywhere. The interval is closed. So, we can use the method.

Step 1: Find the critical numbers. $$f'(x) = 3x^2 - 12x = 3x(x-4)$$ Set $f'(x)=0$: $3x(x-4)=0$ gives us $x=0$ and $x=4$. Both of these critical numbers are inside our interval $[-2.1, 5]$.

Step 2 & 3: Evaluate $f$ at the critical numbers and endpoints. We build a table of candidates:

  • (Endpoint) $f(-2.1) = (-2.1)^3 - 6(-2.1)^2 + 5 = -9.261 - 26.46 + 5 = -30.721$
  • (Critical Number) $f(0) = (0)^3 - 6(0)^2 + 5 = 5$
  • (Critical Number) $f(4) = (4)^3 - 6(4)^2 + 5 = 64 - 96 + 5 = -27$
  • (Endpoint) $f(5) = (5)^3 - 6(5)^2 + 5 = 125 - 150 + 5 = -20$

Step 4: Compare values. Looking at our list of values: $\{-30.721, 5, -27, -20\}$.
The largest value is 5. The smallest value is -30.721.

Conclusion:
The absolute maximum value is 5, which occurs at $x=0$.
The absolute minimum value is -30.721, which occurs at $x=-2.1$.

Check Your Understanding #3

Find the absolute maximum and minimum values of $g(t) = 2\cos(t) + \sin(2t)$ on the interval $[0, \pi/2]$.


Part 4.5: Summary Practice Problems 🧠

Test your understanding by applying all the concepts from this section to the following problems.

Summary Problem #1

Consider the function $f(x) = x \sqrt{8-x^2}$. Find its absolute maximum and minimum values on its natural domain.

Summary Problem #2

Find the absolute maximum and minimum values of $f(x) = x - 2\arctan(x)$ on the interval $[0, 4]$.

Summary Problem #3

For what value of the constant $b$ does the function $f(x) = x^2 + \frac{b}{x}$ have a local minimum at $x=-2$? What is this local minimum value?


Part 5: Summary and Learning Objectives ✅

Today we laid the groundwork for solving optimization problems. We defined the types of extrema, established when they are guaranteed to exist, and developed a concrete method for finding them on a closed interval.

Learning Objectives

After this lecture, you should be able to:

  • Define absolute maximum/minimum and local maximum/minimum.
  • State the Extreme Value Theorem and identify why its conditions are necessary.
  • State Fermat's Theorem and use it to define a critical number.
  • Find the critical numbers of a given function.
  • Apply the Closed Interval Method to find the absolute extrema of a continuous function on a closed interval.