Lecture 11

Maximum and minimum values of functions
Maximum and minimum values:
In this lecture we are going to extend an important idea from calculus of one
variable to functions of several (two and three) variables. We will try to analyze
the graph of functions to locate and identify their maximum and minimum values.
There are two notion: local and global (or absolute) maximum and minimum.
Maximum and minimum values:
Definition. 1. A function of two variables has a local maximum at (a, b) if f (x, y)  f (a, b)
when (x, y) is near (a, b). The number f (a, b) is called a local maximum value.
2. If this inequality hold for all points (x, y) in the domain of f , then f has an absolute maximum
at (a, b)
3. If f (x, y) f (a, b) when (x, y) is near (a, b), then f has a local minimum at (a, b) and
f (a, b) is a local minimum value.
4. If this inequality hold for all points (x, y) in the domain of f , then f has an absolute minimum
at (a, b).
A local maximum occurs at a mountain peak and a local

minimum occurs at a valley low point.
First Derivative Test for Local Extreme values:
Theorem. If f (x, y) has a local maximum or minimum value at an interior point

(a, b) of its domain and if the first partial derivatives exist there, then fx (a, b) = 0
and fy (a, b) = 0.
Proof:
• Let g(x) = f (x, b). If f has a local maximum (or minimum) at (a, b), then g has a local
maximum (or minimum) at a, so g 0 (a) = 0.
• But g 0 (a) = fx (a, b) and so fx (a, b) = 0.
• Similarly, by applying the same argument to the function G(y) = f (a, y), we obtain fy (a, b) =
0
What can we say about converse of this theorem ?

Critical Points:
Definition. An interior point of the domain of a function f (x, y) where both fx
and fy are zero or where one or both of fx and fy do not exist is a critical point
of f .
Example: Find the local extreme values of f (x, y) = x2 + y 2 4y + 9.
Solution:
• The domain of f is the entire plane (so there are no boundary points) and the partial
derivatives fx = 2x and fy = 2y 4 exist everywhere. Therefore, local extreme values can
occur only where
fx = 2x = 0 and fy = 2y 4 = 0.
• The only possibility is the point (0, 2), where the value of f is 5 .
• Since f (x, y) = x2 + (y 2)2 + 5 is never less than 5 , we see that the critical point (0, 2)
gives a local minimum .
Note that if (a, b) is critical point of f , then rf (a, b) = 0

Saddle Points:
Definition. A di↵erentiable function f (x, y) has a saddle point at a critical point (a, b) if in every
open disk centered at (a, b) there are domain points (x, y) where f (x, y) > f (a, b) and domain points
(x, y) where f (x, y) < f (a, b). The corresponding point (a, b, f (a, b)) on the surface z = f (x, y) is
called a saddle point of the surface.
Example: Find the local extreme values (if any) of f (x, y) = y 2 x2 .
Solution:
• The domain of f is the entire plane (so there are no boundary points) and the partial
derivatives fx = 2x and fy = 2y exist everywhere.
• Therefore, local extrema can occur only at the origin (0, 0) where fx = 0 and fy = 0.
• Along the positive x-axis, however, f has the value f (x, 0) = x2 < 0; along the positive
y-axis, f has the value f (0, y) = y 2 > 0.
• Therefore, every open disk in the xy-plane centered at (0, 0) contains points where the
function is positive and points where it is negative.
• The function has a saddle point at the origin and no local extreme values.
Saddle Points:
Saddle Points:
BIG Question: How do we decide if a critical point is a local maximum or a local minimum?
Second derivative test for maxima and minima:

Let f (x, y) be a function and (a, b) be a critical point of f . Assume that second order partial
derivatives of f exist and are continuous in a small disc centered at (a, b). Denote
D = D(a, b) = fxx (a, b)fyy (a, b) [fxy (a, b)]2 called the discriminant or Hessian of ƒ
Then we have the following classification of the critical point.
1. If D > 0 and fxx (a, b) > 0 then f has a local minimum at (a, b)
2. If D > 0 and fxx (a, b) < 0 then f has a local maximum at (a, b)
3. If D < 0 then the point (a, b) is a saddle point, i.e., f does not have a local maximum or
minimum at (a, b).
4. If D = 0 then the test is inconclusive, i.e. the test does not say anything in this case. At
the critical point (a, b) the function f may have a local minimum, local maximum or a saddle
point.
Second derivative test for maxima and minima:
Example : Find and classify the critical points of f (x, y) = x4 + y 4 4xy + 1
Solution :
• Partial derivatives fx (x, y) = 4x3 4y and fy (x, y) = 4y 3 4x.
• Critical points are ( 1, 1), (0, 0) and (1, 1).
• In order to apply the second derivative test compute
fxx (x, y) = 12x2 , fyy (x, y) = 12y 2 and fxy (x, y) = fyx (x, y) = 4.
• Let us first consider the critical point ( 1, 1). We have D( 1, 1) = fxx fyy fxy 2
=
144 16 > 0 and fxx ( 1, 1) = 12 > 0. Therefore, from part (1) of the test we see that f
has a local minimum at ( 1, 1). And the local minimum is f ( 1, 1) = 1.
• Next, consider the critical point (0, 0). Note that D(0, 0) = 16 < 0. In this case part (3)
of the test tells us that f has a saddle point at (0, 0)
Extreme value theorem:

Recall open and closed sets:
Definition. A closed set in R2 is one that contains all its boundary points. (A boundary point of
D is a point (a, b) such that every disk with center (a, b) contains points in D and also points not
in D.)
A bounded set in R2 is one that is contained within some disk.

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Maximum and minimum values of functions

Maximum and minimum values:

Maximum and minimum values:

A local maximum occurs at a mountain peak and a local

First Derivative Test for Local Extreme values:

Theorem. If f (x, y) has a local maximum or minimum value at an interior point

• But g 0 (a) = fx (a, b) and so fx (a, b) = 0.

What can we say about converse of this theorem ?

Example: Find the local extreme values of f (x, y) = x2 + y 2 4y + 9.

Note that if (a, b) is critical point of f , then rf (a, b) = 0

Second derivative test for maxima and minima:

Then we have the following classiﬁcation of the critical point.

Second derivative test for maxima and minima:

Example : Find and classify the critical points of f (x, y) = x4 + y 4 4xy + 1

• Partial derivatives fx (x, y) = 4x3 4y and fy (x, y) = 4y 3 4x.

• Critical points are ( 1, 1), (0, 0) and (1, 1).

• In order to apply the second derivative test compute

Extreme value theorem:

A bounded set in R2 is one that is contained within some disk.

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