Chapter 2|Roots of Equation (Part 2)

INTENDED LEARNING OUTCOMES:

At the end of this chapter, it is expected that the students will be able to
1. Define the different root-finding techniques in finding the roots of algebraic and
transcendental equations.
2. Analyze the different bracketing methods.
3. Illustrate the different open methods.
4. Apply the knowledge of root-finding techniques in solving engineering problems

01| OPEN METHODS

For the bracketing methods, the root is located within an interval prescribed by a lower SIMPLE FIXED POINT - ITERATION
and upper bound. Repeated application of these methods always results in closer
As mentioned above, open methods employ a formula to predict the root. Such a
estimates of the true value of the root. Such methods are said convergent they move
formula can be developed for a simple fixed-point iteration (or, as it is called, one-point
closer to the truth as the computation progresses.
iteration or successive substitution) by rearranging the function ( ) = 0 so that is
on the left-hand side of the equation:
In contrast, the open methods described in this lecture are based on formulas that
they require only a single starting value of x or two starting values that do not
= ( )
necessarily bracket the root. As such, they sometimes diverge or move away from the
true root as the computation progresses. However, when the open methods converge,
This transformation can be accomplished by either algebraic manipulation or by
they usually do so much more quickly than the bracketing methods.
simply adding x to both sided of the original equation. For example,

−2 +3 = 0

Can be simply manipulated to yield

+3
=
2
The utility of equation 1 is that it provides a formula to predict a new value of x as a EXAMPLE:
1. Use simple fixed-point iteration to locate the root of ( ) = % & + − 3. Use
function of an old value of x. Thus, given an initial guess at the at the root , can be
used to compute a new estimate as expressed by the iterative formula
'( = 0.5%.
= ( )
+( )
As with other iterative formulas, the approximate error for this equation can be
1
determined using the error estimator:

−
= %

TEST OF CONVERGENCE
Theorem: Let be a continuous function on the interval [ , ]. If ( ) ∈ [ , ] for
each ∈ [ , ], then has a fixed point in [ , ]. Furthermore, if is differentiable on
( , ) and there exists a constant < 1 such that,
| ′( )| ≤ , ∈( , )
Then g has exactly one fixed point in [ , ].

EXAMPLE:
− −1=0
EXAMPLE: THE NEWT
NEWTON – RAPHSON METHOD
2. Use simple fixed-point iteration to locate the root of ( ) = % ,&
− . Use Perhaps the most widely used of all root-locating formulas is the Newton-Raphson
'( = 0.5%. equation. If the initial guess at the root is , a tangent can be extended from the point
[ , ( )]. The point where this tangent crosses the x-axis usually represents an
improved estimate of the root.
+( )
0.5

Graphical depiction of the Newton-Raphson method. A tangent to the function of

[that is, - [ ] is extrapolated down to the x-axis to provide an estimate of the root
.

The Newton-Raphson method can be derived based on this geometrical interpretation

(an alternative method based on the Taylor series). The first derivative at is
equivalent to the slope:

-(
( )−0
)=
− .

Which can be rearranged to yield:

0( )
/ = −
0′( )

which is called the Newton-

Newton-Raphson Formula.
Formula
EXAMPLE:
1. Use the Newton-Raphson method to estimate the root of
( ) = 3 + ln − , employing an initial guess of 3 = 3.

0( ) 0′( ) /

1 3
EXAMPLE:
2. Use the Newton-Raphson method to estimate the root of ( ) = % & + − 3,
employing an initial guess of 3 = 2.

0( ) 0′( ) /

1 2
EXAMPLE:
3. Use the Newton-Raphson method to estimate the root of ( ) = % ,& − ,
employing an initial guess of 3 = 0.

0( ) 0′( ) /

1 0
THE SECANT METHOD This is the formula for the secant method. Notice that the approach requires two initial
estimates of . However, because ( ) is not required to change signs between the
A potential problem in implementing the Newton-Raphson method is the evaluation of
the derivative. Although this is not inconvenient for polynomials and many other estimates, it is not classified as a bracketing method.
functions, there are certain functions whose derivatives may be extremely difficult or
inconvenient to evaluate. For these, cases, the derivative can be approximated by a
backward finite divided difference as shown in the figure below.

Graphical depiction of the secant method.

This technique is similar to the Newton-Raphson technique in the sense that an

estimate of the root is predicted by extrapolating a tangent of the function to the x axis.
However, the secant method uses a difference rather than a derivative to estimate the
slope.

( ,)− ( )
′( ) ≅
, −

This approximation can be substituted to yield the following iterative equation:

( )( , − )
= −
( , )− ( )
EXAMPLE:
EXAMPLE:
1. Use the secant method to estimate the root of ( ) = 3 + ln − . Start with
initial estimates of 5 = 5 and 6 = 7. Perform three iterations. Also, compute
for the approximate error, εa.

8 0( ) 0( 8) /

1 5 7
EXAMPLE:
EXAMPLE:
2. Use the secant method to estimate the root of ( ) = % & + − 3. Start with
initial estimates of 5 = 1 and 6 = 2. Perform three iterations. Also, compute
for the approximate error, εa.

8 0( ) 0( 8) /

1 1 2
EXAMPLE:
3. Use the secant method to estimate the root of ( ) = % ,& − . Start with initial
estimates of 5 = 0 and 6 = 1.0. Perform three iterations. Also, compute for
the approximate error, εa.

8 0( ) 0( 8) /

1 0 1
THE MODIFIED SECANT METHOD

Rather than using two arbitrary values to estimate the derivative, an alternative
approach involves a fractional perturbation of the independent variable to estimate
’( ),
( +: )− ( )
′( ) ≅
:

Where : = a small perturbation fraction. This approximation can be substituted to the

Newton-Raphson equation to yield the following iterative equation:

: ( )
= −
( +: )− ( )

EXAMPLE:
EXAMPLE:
1. Use the modified secant method to estimate the root of ( ) = 3 + ln − .
Use a value of 0.01 for :and start with = 1.0. Also, compute for the
approximate error, εa.

: +: 0( ) 0( +: ) /

1 1 0.01
EXAMPLE:
EXAMPLE:
2. Use the modified secant method to estimate the root of ( ) = % & + − 3.
Use a value of 0.02 for :and start with = 2. Also, compute for the
approximate error, εa.

: +: 0( ) 0( +: ) /

1 2 0.02
EXAMPLE:
3. Use the modified secant method to estimate the root of ( ) = % ,& − . Use
a value of 0.01 for :and start with 3 = 1.0. Also, compute for '5 . Perform
three iterations.

: +: 0( ) 0( +: ) /

1 2 0.02

MULTIPLE ROOTS
A multiple root corresponds to a point where a function is tangent to the axis. For
example, a double root result from:
( ) = ( − 3)( − 1)( − 1)
or, multiplying < terms, ( )= =
−5 + 7 − 3.
The equation has a double root because of the value
of makes two terms equal to zero. Graphically, this
corresponds to the curve touching the -axis
tangentially at the double root.
On-the-other-hand, a triple root corresponds to the
case where one x value makes three terms in an
equation equal to zero, as in
( ) = ( − 3)( − 1)( − 1)( − 1)
or, multiplying terms, ( )= >
−6 =
+ 12
Examples of multiple roots that
10 + 3. Notice that the graphical depiction again
are tangential to the x axis. Notice
indicates that the function is tangent to the axis at the
that the function does not cross
the axis on either side of even root, but that for this case the axis is crossed. In
multiple roots (a) and (c),
general, odd multiple roots cross the axis, whereas
whereas it crosses the axis for
even ones do not.
odd cases (b).
Multiple roots pose some difficulties for many of the numerical methods due to;
1. The fact that the function does not change sign at even multiple roots
precludes the use of the reliable bracketing methods. Thus, of the methods
covered, you are limited to the open methods that may diverge
2. Another possible problem is related to the fact that not only ( ) but also ( )
goes to zero at the root. This poses problems for both the Newton-Raphson
and secant methods, which both contain the derivative (or its estimate) in the
denominator of their respective formulas. This could result in division by zero
when the solution converges very close to the root. A simple way to
circumvent these problems is based on the fact that it can be demonstrated
theoretically (Ralston and Rabinowitz, 1978) that ( ) will always reach zero
before ( ). Therefore, if a zero check for ( ) is incorporated into the
computer program, the computation can be terminated before ( ) reaches
zero.
3. It can be demonstrated that the Newton-Raphson and secant methods are
linearly, rather than quadratically, convergent for multiple roots (Ralston and
Rabinowitz, 1978). Modifications have been proposed to alleviate this
problem. Ralston and Rabinowitz (1978) have indicated that a slight change
in the formulation returns it to quadratic convergence, as in
0( )
= −@
0- ( )
− where A is the multiplicity of the root (that is, A = 2 for a double root, A =
3 for a triple root, etc.). Of course, this may be an unsatisfactory alternative
because it hinges on foreknowledge of the multiplicity of the root.
Another alternative, also suggested by Ralston and Rabinowitz (1978), is to
define a new function B( ), that is, the ratio of the function to its derivative, as
in
0( )
C( ) =
0′( )
It can be shown that this function has roots at all the same locations as the
original function. Therefore, C( ) can be substituted into the Newton-Raphson
formula to develop an alternative form of the Newton-Raphson method:
 C( )
= −
C- ( )
Then C( ) can be differentiated to give
0- ( )0- ( ) − 0( )0′′
C- ( ) = D
0′
C and C- can be substituted into Newton-Raphson’s alternative form and the
result simplified to yield:
0 0-
0- D 0 0--

EXAMPLE
Use both the standard and modified Newton-Raphson method to evaluate the multiple
> =
roots of 6 12 10 3 with an initial guess of 3 4. Perform
five iterations for each method.

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