4.3 Local Maximum and Local Minimum
Definition 4.3.1. Let \(f: S\longrightarrow \mathbb {R}\) and let \(c\) be an interior point of \(S\). We say that
- (i)
- \(f\) has a local maximum at \(c\) if there is a real number \(R>0\) such that \((c - R, c + R) \subseteq S\) and \(f(x) \leq f(c)\) for all \(x \in (c-R, c + R)\);
- (ii)
- \(f\) has a local minimum at \(c\) if there is a real number \(r>0\) such that \((c - r, c + r)\subseteq S\) and \(f(x)\geq f(c)\) for all \(x\in (c - r, c + r)\).
Remark. A function \(f: S\longrightarrow \mathbb {R}\) is said to have a global maximum at \(c\) if \(f(x)\leq f(c)\) for all \(x\in S\); here \(c\) need not be an interior point of \(S\). If \(f(x) \geq f(c)\) for all \(x\in S\), then \(f\) has a global minimum at \(c\). In the figure, \(f\) has a local maximum at the interior point \(c\): on the interval \((c-r,c+r)\) no value of \(f\) exceeds \(f(c)\).
Theorem 4.3.2. Let \(f: S\longrightarrow \mathbb {R}\) and let \(c\) be an interior point of \(S\). If \(f\) has a local maximum or a local minimum at \(c\), and \(f'(c)\) exists, then \(f'(c) = 0\).
Proof. Suppose \(f\) has a local maximum at \(c\): there is \(R>0\) such that \((c - R, c+ R)\subseteq S\) and \(f(x) \leq f(c)\) for \(c- R < x < c + R\). If \(c - R < x < c\) then \(\frac {f(x) - f(c)}{x - c}\geq 0\), so \begin {equation} \label {eq:extleft} f'(c) = \lim _{x\rightarrow c^-} \frac {f(x) - f(c)}{x - c}\geq 0 . \end {equation} Similarly, if \(c < x < c + R\) then \(\frac {f(x) - f(c) }{x - c} \leq 0\), so that \begin {equation} \label {eq:extright} f'(c) = \lim _{x\rightarrow c^+} \frac {f(x) - f(c)}{x - c}\leq 0 . \end {equation} Since \(f'(c)\) exists, it satisfies both (4.5) and (4.6), so \(f'(c) = 0\). If \(f\) has a local minimum at \(c\), then \(-f\) has a local maximum there, and \(-f'(c) = 0\). □
Theorem 4.3.3 (Intermediate Value Theorem for Derivatives). Let \(I\subseteq \mathbb {R}\) be an open interval and let \(f: I \longrightarrow \mathbb {R}\) be differentiable on \(I\). If \(a, b\in I\) with \(a<b\), and \(K\) is a real number with \(f'(a) < K < f'(b)\), then there is a point \(c\in (a,b)\) such that \(f'(c) = K\). (The same holds if \(f'(a) > K > f'(b)\).)
Proof. Define \(F: I\longrightarrow \mathbb {R}\) by \(F(x) = f(x) - Kx\). Then \(F'(a) = f'(a) - K < 0\) and \(F'(b) = f'(b) - K > 0\). Since \(\frac {F(a + h) - F(a)}{h} \longrightarrow F'(a)<0\) as \(h \longrightarrow 0\), we have \(F(a+h) < F(a)\) for all sufficiently small \(h>0\); so there is \(t_1\in (a,b)\) with \(F(t_1)<F(a)\). Similarly, since \(\frac {F(b + h) - F(b)}{h} \longrightarrow F'(b)>0\), we have \(F(b+h) < F(b)\) for all sufficiently small \(h<0\); so there is \(t_2\in (a,b)\) with \(F(t_2)<F(b)\).
The function \(F\) is differentiable, hence continuous, on \([a,b]\), so it attains its minimum on \([a,b]\) at some point \(c\). Since \(F(t_1)<F(a)\) and \(F(t_2)<F(b)\), the minimum is not attained at \(a\) or \(b\), so \(a<c<b\) and \(F\) has a local minimum at \(c\). By the previous theorem \(0 = F'(c) = f'(c) - K\), that is, \(f'(c) = K\). For the case \(f'(a) > K > f'(b)\), apply this to \(-f\) and \(-K\). □
Example 4.3.4. Find the local extrema of \(f(x) = x^3 - 6x^2 + 9x + 1\), and its global maximum and minimum on \([0,5]\).
Solution. Here \(f'(x) = 3x^2 - 12x + 9 = 3(x-1)(x-3)\). So \(f' > 0\) on \((-\infty ,1)\), \(f'<0\) on \((1,3)\) and \(f'>0\) on \((3,\infty )\). By the Mean Value Theorem, \(f\) increases, then decreases, then increases: there is a local maximum at \(x=1\) with \(f(1) = 5\) and a local minimum at \(x=3\) with \(f(3) = 1\).
On \([0,5]\), the global extrema occur either at the end points or at interior points where \(f' = 0\). Comparing \[f(0) = 1,\qquad f(1) = 5,\qquad f(3) = 1,\qquad f(5) = 21,\] the global maximum is \(21\), attained at the end point \(5\), and the global minimum is \(1\), attained at \(0\) and at \(3\). The local maximum at \(1\) is not a global maximum.
Example 4.3.5. Show that the converse of the theorem on local extrema is false, and that the hypothesis “\(c\) is an interior point” cannot be dropped.
Solution. For \(f(x) = x^3\), \(f'(0) = 0\), but \(f\) is strictly increasing, so it has no local maximum or minimum at \(0\). A zero of \(f'\) is only a candidate for an extremum.
For \(f(x) = x\) on \([0,1]\), the maximum is at the end point \(1\), where \(f'(1) = 1\neq 0\). End points must always be checked separately.
Example 4.3.6. Show that the function \(\operatorname {sgn}(x)\) (equal to \(-1\), \(0\), \(1\) for \(x<0\), \(x=0\), \(x>0\)) is not the derivative of any function on \(\mathbb {R}\).
Solution. If \(\operatorname {sgn} = f'\) for some differentiable \(f\), then \(f'(-1) = -1 < \frac {1}{2} < 1 = f'(1)\), and by the Intermediate Value Theorem for Derivatives there would be a \(c\) with \(f'(c) = \frac {1}{2}\). But \(\operatorname {sgn}\) takes only the values \(-1\), \(0\), \(1\). So no such \(f\) exists. In general, a derivative cannot have a jump discontinuity, even though it need not be continuous (compare \(g'\) in the example with \(x^2\sin \frac {1}{x}\)).
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