First Derivative Test for Local Extrema

At a critical point, the First Derivative Test tells you what happens: if f' changes from positive to negative, the function has a local maximum; if from negative to positive, a local minimum; if the sign does not change, there is no local extremum.

Sign change of f' through c Conclusion
+ to Local maximum at c
to + Local minimum at c
No change No local extremum at c

The Test

Recall that f'(x)>0 on an interval means f is increasing there, and f'(x)<0 means f is decreasing.

  • If the sign of f' changes from + to at c , the function changes from increasing to decreasing, so f has a local maximum at c .
  • If the sign changes from to + , the function changes from decreasing to increasing, so f has a local minimum at c .
  • If the sign does not change, no local extremum occurs at c .
Graph showing f' changing from positive to negative at c, indicating a local maximum
If f' changes from + to at x = c , then f has a local maximum at x = c .
Graph showing f' changing from negative to positive at c, indicating a local minimum
If f' changes from to + at x = c , then f has a local minimum at x = c .
Graph showing f' keeping the same sign through c, indicating no local extremum
If the sign of f' does not change through c , there is no local extremum at c .

Assume f is continuous at the critical point c .

(a) If f' is + to the left of c and to the right of c , then f has a local maximum at c .

(b) If f' is to the left of c and + to the right of c , then f has a local minimum at c .

(c) If the sign of f' is the same on both sides of c , then f does not have a local extremum at c .

To remember the test, visualize ↗↘ for a local maximum ( + to ) and ↘↗ for a local minimum ( to + ).

To determine the sign of the derivative near a critical point, substitute a value slightly less than the critical value and then one slightly greater into the formula of f'. The sign of each result gives the sign of f' on each side of the critical point.

Examples

Find the local maxima and minima of f ( x ) = 1 2 x 3 3 2 x 2 + 1 .

Solution f'(x)=\frac{3}{2}x^{2}-3x=\frac{3}{2}x(x-2). Critical points: x = 0 and x = 2 .
Sign diagram for f'(x) = (3/2)x(x-2) showing + on (-inf,0), - on (0,2), + on (2,inf)
Because f' changes from + to at x = 0 , f has a **local maximum** at x = 0 : f ( 0 ) = 1 . Because f' changes from to + at x = 2 , f has a **local minimum** at x = 2 : f ( 2 ) = 4 6 + 1 = 1 .
Graph of f(x) = (1/2)x^3 - (3/2)x^2 + 1 with local max at (0,1) and local min at (2,-1)
Graph of f ( x ) = 1 2 x 3 3 2 x 2 + 1 .

Find the local maxima and minima of f ( x ) = 3 x 5 / 3 15 x 2 / 3 .

Solution \begin{aligned} f'(x) &= 5x^{2/3}-10x^{-1/3} \\ &= 5x^{-1/3}(x-2) \\ &= \frac{5(x-2)}{\sqrt[3]{x}}. \end{aligned} Critical points: x = 0 (where f' is undefined) and x = 2 (where f'=0).
Sign diagram for f' of 3x^(5/3) - 15x^(2/3)
f' changes from + to at x = 0 : **local maximum** at x = 0 . f' changes from to + at x = 2 : **local minimum** at x = 2 .
Graph of y = 3x^(5/3) - 15x^(2/3)
Graph of y = 3 x 5 / 3 15 x 2 / 3 .

Investigate the local extrema of f ( x ) = ( x + 1 ) 2 ( x 2 ) 3 .

Solution \begin{aligned} f'(x) &= 2(x+1)(x-2)^3+(x+1)^2\cdot3(x-2)^2 \\ &= (x+1)(x-2)^2[2(x-2)+3(x+1)] \\ &= (x+1)(x-2)^2(5x-1). \end{aligned} Critical points: x = 1 , x = 2 , x = 1 5 .
Sign diagram for f'(x) = (x+1)(x-2)^2(5x-1) with zeros at -1, 1/5, and 2
f' changes from to + at... wait, checking the sign diagram: - On ( , 1 ) : ( ) ( ) ( ) = ( ) , so f'<0. - On ( 1 , 1 / 5 ) : ( + ) ( ) ( ) = ( + ) , so f'>0. - On ( 1 / 5 , 2 ) : ( + ) ( ) ( + ) = ( ) , so f'<0. - On ( 2 , ) : ( + ) ( + ) ( + ) = ( + ) , so f'>0. At x = 1 : sign changes from to + ... wait, sign changes from to + , so **local minimum** at x = 1 . Actually re-checking: at x = 1 , f' goes from (on ( , 1 ) ) to + (on ( 1 , 1 / 5 ) ), giving a **local minimum** at x = 1 . At x = 1 / 5 : f' goes from + to , giving a **local maximum** at x = 1 / 5 . At x = 2 : f' does not change sign (negative on both sides, except at the point itself where ( x 2 ) 2 = 0 ). Therefore, f has **no local extremum** at x = 2 . In fact, ( 2 , f ( 2 ) ) is a point of inflection.
Graph of f(x) = (x+1)^2 (x-2)^3 showing local min at x=-1, local max at x=1/5, and inflection point at x=2
Graph of f ( x ) = ( x + 1 ) 2 ( x 2 ) 3 . Local minimum at x = 1 , local maximum at x = 1 / 5 , no extremum at x = 2 .

Investigate the local extrema of f ( x ) = sin 3 x + cos 3 x .

Solution Since f is periodic with period 2 π , we restrict to [ 0 , 2 π ] . The function is differentiable everywhere: f'(x)=3\cos x\sin^2x-3\sin x\cos^2x=3\cos x\sin x(\sin x-\cos x). f'(x)=0 when cos x = 0 , sin x = 0 , or sin x = cos x . Solving in [ 0 , 2 π ] : cos x = 0 x = π 2 ,   3 π 2 sin x = 0 x = 0 ,   π ,   2 π sin x = cos x tan x = 1 x = π 4 ,   5 π 4
Unit circle showing solutions to tan x = 1 in [0, 2pi]
Solutions of tan x = 1 in [ 0 , 2 π ] : x = π / 4 and x = 5 π / 4 .
Critical points: 0 ,   π 4 ,   π 2 ,   π ,   5 π 4 ,   3 π 2 ,   2 π . To determine the sign of f'(x)=3\cos x\sin x(\sin x-\cos x), we need the signs of cos x , sin x , and sin x cos x in each subinterval. Using test values for g ( x ) = sin x cos x : | Interval | Sign of sin x cos x | |----------|------------------------| | [ 0 , π / 4 ) | (e.g., at x = π / 6 : 1 / 2 3 / 2 < 0 ) | | ( π / 4 , 5 π / 4 ) | + (e.g., at x = π / 2 : 1 0 > 0 ) | | ( 5 π / 4 , 2 π ] | (e.g., at x = 3 π / 2 : 1 0 < 0 ) |
Sign diagram for f'(x) = sin^3(x) + cos^3(x) showing local maxima and minima
From the sign diagram: - Local minima at x = π 4 , x = π , and x = 3 π 2 . - Local maxima at x = π 2 , x = 5 π 4 , and (by periodicity) at x = 0 and x = 2 π .
Graph of y = sin^3(x) + cos^3(x) over one period showing all local extrema
Graph of y = sin 3 x + cos 3 x .

The graph of f'(x) is given. Identify the x -values of the relative extrema.

Graph of y = f'(x) crossing the x-axis at x = -2, -1, and 1
Graph of y=f'(x).
Solution f' is zero at x = 2 , x = 1 , and x = 1 , so these are the only critical points. - At x = 2 : f' changes from + (increasing f ) to (decreasing f ). So f has a **local maximum** at x = 2 . - At x = 1 : f' does not change sign (negative on both sides). So f has **no local extremum** at x = 1 . - At x = 1 : f' changes from to + . So f has a **local minimum** at x = 1 .
Graph of y = f(x) consistent with the given f', showing local max at x=-2 and local min at x=1
Graph of y = f ( x ) : local maximum at x = 2 , local minimum at x = 1 , no extremum at x = 1 .
Note: this is one of infinitely many functions whose derivative is the given f', because shifting f vertically does not change its derivative.

Frequently Asked Questions

When should I use the First Derivative Test instead of the Second Derivative Test? Use the First Derivative Test when the second derivative is difficult to compute, when f''(c)=0 (making the Second Derivative Test inconclusive), or when f'(c) does not exist. The First Derivative Test always works for continuous functions; the Second Derivative Test requires f'(c)=0 and f''(c)\neq0.

Can there be a critical point that is neither a local max nor a local min? Yes. If the sign of f' does not change through a critical point, there is no local extremum. The functions f ( x ) = x 3 (at x = 0 ) and f ( x ) = ( x + 1 ) 2 ( x 2 ) 3 (at x = 2 ) are examples. In the latter case, the critical point turns out to be an inflection point.

What if f'(c) does not exist? The First Derivative Test still applies if f is continuous at c . Check the sign of f' on both sides of c . For example, f ( x ) = x 3 has f'(0) undefined, but the sign of f' does not change through x = 0 , so there is no local extremum there. But for f ( x ) = | x | , f' changes from to + at x = 0 , so there is a local minimum.