MAXIMA and MINIMA

At a point such as B, where the

function is algebraically greater
than at any neighboring point, the
function is said to have a
maximum value, and the point is
called a maximum point. Similarly,
at D the function has a minimum
value. At such points the tangent is
parallel to x-axis, i.e.
𝑦′ = 0
Definition of Maxima and Minima

Consider a function 𝑦 = 𝑓(𝑥) which has a continuous derivative

on some range of 𝑥 values. We know that the derivative 𝑦’ is the
rate of change of 𝑦 with respect to 𝑥. If 𝑦’ > 0 in some interval 𝑥,
the rate of change of 𝑦 is positive, so that 𝑦 increases as
𝑥 increases in that interval. If 𝑦’ < 0 in some interval 𝑥 , 𝑦
decreases as 𝑥 increases in that interval. Thus in the figure to the
right, as 𝑥 increases, the curve rises if the slope is positive as on
the arc AB; it falls if the slope is negative, as along arc BC. That is,

𝑖𝑓 𝑦 ′ > 0, 𝑦 increases

𝑖𝑓 𝑦 ′ < 0, 𝑦 decreases

The foregoing discussion is summarized in the following theorem.

Maxima and Minima Theorem

At a point where 𝑦’ = 0, if 𝑦’ changes from positive to negative (as 𝑥

increases), 𝑦 is maximum; if 𝑦’ changes from negative to positive, 𝑦 is a
minimum; if 𝑦’ does not change sign, 𝑦 is neither a maximum nor a
minimum.

Example 1.
Determine the maximum and minimum of the function 𝑦 = 𝑥 3 + 2𝑥 2 .

Solution:
Taking the derivative
𝑦 = 𝑥 3 + 2𝑥 2
𝑦′ = 3𝑥 2 + 4𝑥
At 𝑦 ′ = 0
0 = 3𝑥 2 + 4𝑥
0 = 𝑥(3𝑥 + 4)
𝑥 = 0 𝑎𝑛𝑑 𝑥 = − 4 3
When 𝑥 = 0 When 𝑥 = − 4 3

3
𝑦 = 𝑥 + 2𝑥 2 𝑦 = 𝑥 3 + 2𝑥 2
3 2
𝑦 = 03 + 2(02 ) 𝑦 = − 3 + 2 −4 3
4
𝑦=0
𝑦 = 32 27

Thus we have the critical points or the relative extrema of the

4 32
function at (0, 0) and − 3 , 27 . To which is the maximum and
which is the minimum, we apply the theorem. First for the point
(0, 0), we determine values near 𝑥 = 0, one lesser and one
greater, say 𝑥1 = −1 and 𝑥2 = 1, and try to determine the sign of
𝑦′ = 3𝑥 2 + 4𝑥.

If 𝑥1 = −1 𝑦 ′ = 3(−1)2 +4 −1 = −1
If 𝑥2 = 1 𝑦 ′ = 3(1)2 +4 1 = 7
Therefore as 𝑥 increases, 𝑦’ changes from negative to positive. We
conclude that the point (0, 0) is a minimum point. Similarly, for the
4 32 3
point − 3 , 27 , let 𝑥1 = − 2 and 𝑥2 = −1.

3 3 3 3
If 𝑥1 = − 2 𝑦 ′ = 3(− 2)2 +4 − 2 = 4

If 𝑥2 = −1 𝑦 ′ = 3(−1)2 +4 −1 = −1

Since y’ changes from positive to negative as x increases, we

4 32
conclude that the point − 3 , 27 is a maximum point as shown in the
figure below.
The graph of 𝑦 = 𝑥 3 + 2𝑥 2 .
Maximum point:
4 32
− 3 , 27

𝑦 = 𝑥 3 + 2𝑥 2

Minimum point:
0, 0
Example 2: In the curve y = 2 + 12𝑥 − 𝑥 3, find the critical points.

Solution:
Taking the derivative of the function,
y = 2 + 12𝑥 − 𝑥 3
𝑦 ′ = 12 − 3𝑥 2
Equating 𝑦 ′ = 0,
0 = 12 − 3𝑥 2
𝑥 = ±2

When 𝑥 = 2 When 𝑥 = −2

3 3
𝑦 = 2 + 12 2 − 2 𝑦 = 2 + 12 −2 − −2
𝑦 = 18 𝑦 = −14
The critical points or relative extrema occur at 2, 18 and
−2, −14 .

Determine whether the critical points is a maximum or a minimum.

We assume values for 𝑥 near 𝑥 = 2.
Test point 2, 18
- Say when 𝑥1 = 1 and 𝑥2 = 3

If 𝑥 = 1, 𝑦 ′ = 12 − 3 1 2
=9 (positive)
If 𝑥 = 3, 𝑦 ′ = 12 − 3 3 2
= −15 (negative)

Since 𝑦’ changes from positive to negative as 𝑥 increases, we

conclude that the point 2, 18 is a maximum point.
We now test point −2, −14 if it is a maximum or minimum by
assigning values for 𝑥 less than and greater than −2.

- Test −2, −14 with say 𝑥1 = −3 and 𝑥2 = −1.

If 𝑥 = −3, 𝑦 ′ = 12 − 3 −3 2
= −15 (negative)
If 𝑥 = −1, 𝑦 ′ = 12 − 3 −1 2
=9 (positive)

Since 𝑦’ changes from negative to positive. We conclude that the

point (−2, −14) is a minimum point.

We can verify by sketching the graph of the curve y = 2 + 12𝑥 − 𝑥 3

as shown.
 Maximum point:
2, 18

y = 2 + 12𝑥 − 𝑥 3

Minimum point:
−2, −14
 SECOND DERIVATIVE TEST
The Meaning of the Second Derivative

The second derivative of a function is the derivative of the derivative

of that function. We write it as 𝑦“ or as 𝑓"(𝑥). While the first
derivative can tell us if the function is increasing or decreasing, the
second derivative tells us if the first derivative is increasing or
decreasing. If the second derivative is positive, then the first
derivative is increasing, so that the slope of the tangent line to the
function is increasing as x increases. We see this phenomenon
graphically as the curve of the graph being concave up, that is,
shaped like a parabola open upward. Likewise, if the second
derivative is negative, then the first derivative is decreasing, so that
the slope of the tangent line to the function is decreasing as x
increases. Graphically, we see this as the curve of the graph being
concave down, that is, shaped like a parabola open downward.
At the points where the second derivative is zero, we do not learn
anything about the shape of the graph: it may be concave up or
concave down, or it may be changing from concave up to concave
down or changing from concave down to concave up. So, to
summarize:

The Second Derivative Test

At point 𝑥1 , 𝑦1 where 𝑦 ′ = 0, if,
i. 𝑓"(𝑥1 ) > 0, that is 𝑓"(𝑥1 ) = (+), then 𝑥1 , 𝑦1 is a relative
minimum;

ii. 𝑓"(𝑥1 ) < 0, that is 𝑓"(𝑥1 ) = (−), then 𝑥1 , 𝑦1 is a relative

maximum;

iii. 𝑓"(𝑥1 ) = 0, the test fails.

Example 3.
Consider the function in example 1, 𝑦 = 𝑥 3 + 2𝑥 2 , with critical
4 32
points (0, 0) and − 3 , 27 .

We determine which of the points is the maximum and the

minimum by applying the second derivative test.

We find first the second derivative of the function,

𝑦 = 𝑥 3 + 2𝑥 2
𝑦′ = 3𝑥 2 + 4𝑥
𝑦" = 6𝑥 + 4
At critical point (0, 0), we find that
𝑦" = 6(0) + 4 = 4
Since the second derivative is positive, we conclude that this point is
minimum.
 4 32
At critical point − 3 , 27
, we find that
4
𝑦" = 6(− ) + 4 = −4
3
Since the second derivative is negative, we conclude that this point is
maximum.

Example 4:
Consider the function 𝑦 = 𝑥 3 − 6𝑥 2 + 12𝑥, determine the minimum
and maximum critical points using the second derivative test.

Solution:
We determine the first and second derivative of the function;
𝑦 = 𝑥 3 − 6𝑥 2 + 12𝑥
𝑦′ = 3𝑥 2 − 12𝑥 + 12
𝑦 " = 6𝑥 − 12
We let 𝑦 ′ = 0 to determine the critical points
𝑦 ′ = 3𝑥 2 − 12𝑥 + 12
0 = 3𝑥 2 − 12𝑥 + 12 = 3(𝑥 2 − 4𝑥 + 4)
0 = 𝑥 2 − 4𝑥 + 4
0 = (𝑥 − 2)(𝑥 − 2)
Therefore 𝑥=2

When 𝑥 = 2, we determine the 𝑦 coordinate of the critical point.

𝑦 = 23 − 6(22 ) + 12(2)
𝑦=8
Thus the critical point is only at 2, 8 .

We now apply the second derivative test to determine if the critical

point is a minimum or a maximum.
𝑦 " = 6𝑥 − 12
𝑦 " = 6 2 − 12 = 0
Since 𝑦 " = 0, the test fails. The critical point 2, 8 is neither a
maximum or a minimum. At the point where 𝑦 " = 0, its inflectional
tangent is a horizontal line as shown.

Inflectional
Tangent
2, 8

𝑦 = 𝑥 3 − 6𝑥 2 + 12𝑥
Example 5:
Take 𝑦 = 𝑥 3 − 9𝑥 2 + 15𝑥 − 7, and let us find the critical points of
the function and if any of its critical points are maxima or minima.
The derivative of the function is
𝑦 ′ = 3𝑥 2 − 18𝑥 + 15.

The critical points of the function are precisely the values of 𝑥

where the derivative of the function is 0, so we set the formula
above equal to 0 and solve the resulting quadratic equation:
3𝑥 2 − 18𝑥 + 15 = 0
𝑥 2 − 6𝑥 + 5 = 0
𝑥−1 𝑥−5 =0
𝑥=1 and 𝑥=5
The y-coordinates of the critical points are,

When 𝑥 = 1, When 𝑥 = 5,
𝑦 = 13 − 9(12 ) + 15(1) − 7 𝑦 = 53 − 9(52 ) + 15(5) − 7
𝑦=0 𝑦 = −32

So the critical points are 1, 0 and 5, −32 . We now want to apply

the second derivative test, and to do that we need to find a formula
for the second derivative:
𝑦" = 6𝑥 − 18

So the second derivative at 𝑥 = 1 is

𝑦" = 6(1) − 18 = −12

and the second derivative at 𝑥 = 5 is

𝑦" = 6(5) − 18 = 12
Therefore the second derivative test tells us that the curve 𝑦 = 𝑥 3 −
9𝑥 2 + 15𝑥 − 7 has a maximum at 𝑥 = 1 and a minimum at 𝑥 = 5
as shown with the illustration below.
Maximum point:
1, 0

𝑦 = 𝑥 3 − 9𝑥 2 + 15𝑥 − 7

Minimum point:
5, −32
Practice Problems:
Determine the maximum and minimum point of the given
function using the maxima and minima theorem. Check using the
second derivative test.
3 2
1. 𝑦 = 𝑥3 − 𝑥
2

Ans. Maximum 0, 0 , Minimum 1, −0.5

2. 𝑦 = −2𝑥 2 + 4𝑥 + 3
Ans. Maximum 1, 5
1
3. 𝑦 = 𝑥 + 𝑥

Ans. Maximum −1, −2 , Minimum 1, 2

4. 𝑦 = 𝑥 3 − 3𝑥
Ans. Maximum −1, 2 , Minimum 1, −2
 POINT OF INFLECTION
Inflection points are where the function changes concavity. Since
concave up corresponds to a positive second derivative and
concave down corresponds to a negative second derivative, then
when the function changes from concave up to concave down (or
vise versa) the second derivative must equal zero at that point. So
the second derivative must equal zero to be an inflection point.

Point of Inflection Defined

Suppose the function 𝑓 is differentiable on some open interval
containing 𝑐, and 𝑐, 𝑓(𝑐) is a point of inflection of the graph of 𝑓.
Then 𝑓"(𝑐) exists, 𝑓"(𝑐) = 0.
Example 6:
For the function defined by Example 1, 𝑦 = 𝑥 3 + 2𝑥 2 , find the point
of inflection.

Solution:
The point of inflection can be determined by taking the second
derivative of the function and equate it to zero as below,
𝑦 = 𝑥 3 + 2𝑥 2
𝑦′ = 3𝑥 2 + 4𝑥
𝑦 ′′ = 6𝑥 + 4
Letting 𝑦" = 0
0 = 6𝑥 + 4
2
𝑥=−
3
2
If 𝑥 = − , then
3
3 2
2 2 16
𝑦= − +2 − =
3 3 27
 2 16
Thus at the point − 3 , 27 , 𝑦“ vanishes or 𝑦" = 0 and is a point of
inflection. The graph of the function is shown below.
Maximum point:
4 32
− 3 , 27

𝑦 = 𝑥 3 + 2𝑥 2

Point of Inflection:
2 16
− 3 , 27

Minimum point:
0, 0
Example 7:
Find the point of inflection of the curve
𝑦 = 𝑥 3 − 3𝑥 2 + 6

Solution:
Find the first and second derivative of the function.
𝑦 = 𝑥 3 − 3𝑥 2 + 6
𝑦 ′ = 3𝑥 2 − 6𝑥
𝑦" = 6𝑥 − 6
Equate the second derivative to zero.
0 = 6𝑥 − 6
𝑥=1
Solve for 𝑦.
𝑦 = 13 − 3(1)2 + 6 = 4

The point of inflection is at 1, 4 .

Practice:
Determine the point or points of inflection of the following
functions.
3
1. 𝑦 = 𝑥 3 − 2 𝑥 2
1 1
Ans. P.I. ,−
2 4

2. 𝑦 = 2𝑥 3 + 3𝑥 2 − 12𝑥
1 13
Ans. P.I. − ,
2 2

3. 𝑦 = 𝑥 4 − 2𝑥 3
Ans. P.I. 0, 0 , 1, −1
4. 𝑦 = 𝑥 3 + 8𝑥 + 10
Ans. P.I. 0, 10