Design and Analysis of Algorithms

RecurrenceAndMasterTheorem
Lecture 5
References:
Introduction to Algorithms, Thomas H. Cormen, 2ed edition,

Instructor: Prashant mishra

BIAS,Bhimtal
 Recurrence
 A recurrence is an equation or inequality that
describe a function in term of its value on smaller
inputs.
 For example the worst case running time T(n) of the
merge sort procedure can be described by the
recurrence

T(n)= {Θ(1) if n=1

{ aT(n/b) +D(n) +C(n) if n>1

Whose solution was claimed to be T(n)=Θ(n lg n)
 Recurrences

• MERGE-SORT
– Contains details:
• T(n) = Θ(1) if n=1
T(n/2)+ T(n/2)+ Θ(n) if n>1
• Ignore details, T(n) = 2T(n/2)+ Θ(n).
– T(n) = Θ(1) if n=1
2T(n/2)+ Θ(n) if n>1

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 Methods for solving recurrence
Substitution method
Recursion method
The master method
 The Substitution Method
• Two steps:
1. Guess the form of the solution.
• By experience, and creativity.
• By some heuristics.
– If a recurrence is similar to one you have seen before.
» T(n)=2T(n/2+17)+n, similar to T(n)=2T(n/2)+n, , guess O(nlg n).
– Prove loose upper and lower bounds on the recurrence and then reduce the
range of uncertainty.
» For T(n)=2T(n/2)+n, prove lower bound T(n)= Ω(n), and prove upper
bound T(n)= O(n2), then guess the tight bound is T(n)=O(nlg n).
• By recursion tree.
2. Use mathematical induction to find the constants and show
that the solution works.

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 Solve T(n)=2T(n/2)+n
• Guess the solution: T(n)=O(nlg n),
– i.e., T(n)≤ cnlg n for some c.
• Prove the solution by induction:
– Suppose this bound holds for n/2, i.e.,
• T(n/2)≤ cn/2 lg (n/2).
– T(n) ≤ 2(cn/2 lg (n/2))+n
• ≤ cn lg (n/2))+n
• = cn lg n - cn lg 2 +n
• = cn lg n - cn +n
• ≤ cn lg n (as long as c≥1)

Question: Is the above proof complete? Why?

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 Boundary (base) Condition
• In fact, T(n) =1 if n=1, i.e., T(1)=1.
• However, cnlg n =c×1×lg 1 = 0, which is odd with
T(1)=1.
• Take advantage of asymptotic notation: it is
required T(n)≤ cnlg n hold for n≥ n0 where n0 is a
constant of our choosing.
• Select n0 =2, thus, n=2 and n=3 as our induction
bases. It turns out any c ≥ 2 suffices for base cases
of n=2 and n=3 to hold.

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 Subtleties
• Guess is correct, but induction proof not work.
• Problem is that inductive assumption not strong
enough.
• Solution: revise the guess by subtracting a lower-order
term.
• Example: T(n)=T(n/2)+T(n/2)+1.
– Guess T(n)=O(n), i.e., T(n) ≤ cn for some c.
– However, T(n) ≤c n/2+c n/2+1 =cn+1, which does not
imply T(n) ≤ cn for any c.
– Attempting T(n)=O(n2) will work, but overkill.
– New guess T(n) ≤ cn – b will work as long as b ≥ 1.
– (Prove it in an exact way).
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 Avoiding Pitfall
• It is easy to guess T(n)=O(n) (i.e., T(n) ≤
cn) for T(n)=2T(n/2)+n.
• And wrongly prove:
– T(n) ≤ 2(c n/2)+n
• ≤ cn+n
• =O(n).  wrongly !!!!
• Problem is that it does not prove the exact
form of T(n) ≤ cn.
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 Find bound, ceiling, floor, lower term–
domain transformation
• Find the bound: T(n)=2T(n/2)+n (O(nlogn)
• How about T(n)=2T(n/2)+n ?
• How about T(n)=2T(n/2)+n ?
– T(n)≤2T(n/2+1)+n
– Domain transformation
• Set S(n)=T(n+a) and assume S(n)=2S(n/2)+n (so S(n)=O(nlogn))
• S(n)=2S(n/2)+n T(n+a)=2T(n/2+a)+n
• T(n)≤2T(n/2+1)+n T(n+a) ≤ 2T((n+a)/2+1)+n
• Thus, set n/2+a=(n+a)/2+1, get a=2.
• so T(n)=S(n-2)=O((n-2)log(n-2)) = O(nlogn).
• How about T(n)=2T(n/2+19)+n ?
– Set S(n)=T(n+a) and get a=38.
• As a result, ceiling, floor, and lower terms will not affect.
– Moreover, the master theorem also provides proof for this.

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 Changing Variables
• Suppose T(n)=2T(√n)+lg n.
• Rename m=lg n. so T(2m)=2T(2m/2)+m.
• Domain transformation:
– S(m)=T(2m), so S(m)=2S(m/2)+m.
– Which is similar to T(n)=2T(n/2)+n.
– So the solution is S(m)=O(m lg m).
– Changing back to T(n) from S(m), the solution is T(n)
=T(2m)=S(m)=O(m lg m)=O(lg n lg lg n).

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 The Recursion-tree Method
• Idea:
– Each node represents the cost of a single subproblem.
– Sum up the costs with each level to get level cost.
– Sum up all the level costs to get total cost.
• Particularly suitable for divide-and-conquer
recurrence.
• Best used to generate a good guess, tolerating
“sloppiness”.
• If trying carefully to draw the recursion-tree and
compute cost, then used as direct proof.
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 Recursion Tree for T(n)=3T(n/4)+Θ(n2)
T(n) cn2 cn2
T(n/4) T(n/4) T(n/4) c(n/4)2 c(n/4)2 c(n/4)2

T(n/16) T(n/16) T(n/16) T(n/16) T(n/16) T(n/16) T(n/16) T(n/16) T(n/16)

(a) (b) (c)
cn2 cn2

c(n/4)2 c(n/4)2 (3/16)cn2

c(n/4)2

log 4n (3/16)2cn2
c(n/16)2 c(n/16)2 c(n/16)2 c(n/16)2 c(n/16)2 c(n/16)2 c(n/16)2 c(n/16)2 c(n/16)2

T(1)T(1)T(1) T(1)T(1)T(1) Θ(nlog 43)

3log4n= nlog 43 Total O(n2)
(d) 13
 Solution to T(n)=3T(n/4)+Θ(n2)
• The height is log 4n,
• #leaf nodes = 3log 4n= nlog 43. Leaf node cost: T(1).
• Total cost T(n)=cn2+(3/16) cn2+(3/16)2 cn2+
⋅⋅⋅ +(3/16)log 4n-1 cn2+ Θ(nlog 43)
=(1+3/16+(3/16)2+ ⋅⋅⋅ +(3/16)log 4n-1) cn2 + Θ(nlog 43)
<(1+3/16+(3/16)2+ ⋅⋅⋅ +(3/16)m+ ⋅⋅⋅) cn2 + Θ(nlog 43)
=(1/(1-3/16)) cn2 + Θ(nlog 43)
=16/13cn2 + Θ(nlog 43)
=O(n2).

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 Prove the above Guess
• T(n)=3T(n/4)+Θ(n2) =O(n2).
• Show T(n) ≤dn2 for some d.
• T(n) ≤3(d (n/4)2) +cn2
≤3(d (n/4)2) +cn2
=3/16(dn2) +cn2
≤ dn2, as long as d≥(16/13)c.

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 One more example
• T(n)=T(n/3)+ T(2n/3)+O(n).
• Construct its recursive tree (Figure 4.2,
page 71).
• T(n)=O(cnlg3/2n) = O(nlg n).
• Prove T(n) ≤ dnlg n.

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Recursion Tree of T(n)=T(n/3)+ T(2n/3)+O(n)

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 Master Method/Theorem
• Theorem 4.1 (page 73)
– for T(n) = aT(n/b)+f(n), n/b may be n/b or n/b.
– where a ≥ 1, b>1 are positive integers, f(n) be a non-
negative function.
1. If f(n)=O(nlogba-ε) for some ε>0, then T(n)= Θ(nlogba).
2. If f(n)= Θ(nlogba), then T(n)= Θ(nlogba lg n).
3. If f(n)=Ω(nlogba+ε) for some ε>0, and if af(n/b) ≤cf(n)
for some c<1 and all sufficiently large n, then T(n)=
Θ(f(n)).

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 Implications of Master Theorem
• Comparison between f(n) and nlogba (<,=,>)
• Must be asymptotically smaller (or larger) by a
polynomial, i.e., nε for some ε>0.
• In case 3, the “regularity” must be satisfied, i.e.,
af(n/b) ≤cf(n) for some c<1 .
• There are gaps
– between 1 and 2: f(n) is smaller than nlogba, but not
polynomially smaller.
– between 2 and 3: f(n) is larger than nlogba, but not
polynomially larger.
– in case 3, if the “regularity” fails to hold.
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 Application of Master Theorem
• T(n) = 9T(n/3)+n;
– a=9,b=3, f(n) =n
– nlogba = nlog39 = Θ (n2)
– f(n)=O(nlog39-ε) for ε=1
– By case 1, T(n) =Θ (n2).
• T(n) = T(2n/3)+1
– a=1,b=3/2, f(n) =1
– nlogba = nlog3/21 = Θ (n0) = Θ (1)
– By case 2, T(n)= Θ(lg n).
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 Application of Master Theorem
• T(n) = 3T(n/4)+nlg n;
– a=3,b=4, f(n) =nlg n
– nlogba = nlog43 = Θ (n0.793)
– f(n)= Ω(nlog43+ε) for ε≈0.2
– Moreover, for large n, the “regularity” holds for
c=3/4.
• af(n/b) =3(n/4)lg (n/4) ≤ (3/4)nlg n = cf(n)
– By case 3, T(n) =Θ (f(n))=Θ (nlg n).
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 Exception to Master Theorem
• T(n) = 2T(n/2)+nlg n;
– a=2,b=2, f(n) =nlg n
– nlogba = nlog22 = Θ (n)
– f(n) is asymptotically larger than nlogba , but not
polynomially larger because
– f(n)/nlogba = lg n, which is asymptotically less
than nε for any ε>0.
– Therefore,this is a gap between 2 and 3.
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 Where Are the Gaps
f(n), case 3, at least polynomially larger
nε Gap between case 3 and 2
c1
nlogba f(n), case 2: within constant distances
c2
nε Gap between case 1 and 2
f(n), case 1, at least polynomially smaller

Note: 1. for case 3, the regularity also must hold.

2. if f(n) is lg n smaller, then fall in gap in 1 and 2
3. if f(n) is lg n larger, then fall in gap in 3 and 2
4. if f(n)=Θ(nlogbalgkn), then T(n)=Θ(nlogbalgk+1n). (as exercise)
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 Proof of Master Theorem
• The proof for the exact powers, n=bk for k≥1.
• Lemma 4.2
– for T(n) = Θ(1) if n=1
– aT(n/b)+f(n) if n=bk for k≥1
– where a ≥ 1, b>1, f(n) be a nonnegative function,
– Then logbn-1
– T(n) = Θ(nlogba)+ ajf(n/bj)
j=0

• Proof:
– By iterating the recurrence
– By recursion tree (See figure 4.3)

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Recursion tree for T(n)=aT(n/b)+f(n)

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 Proof of Master Theorem (cont.)
• Lemma 4.3:
– Let a ≥ 1, b>1, f(n) be a nonnegative function defined on
exact power of b, then
logbn-1
– g(n)=  ajf(n/bj) can be bounded for exact power of b as:
j=0
1. If f(n)=O(nlogba-ε) for some ε>0, then g(n)= O(nlogba).
2. If f(n)= Θ(nlogba), then g(n)= Θ(nlogba lg n).
3. If f(n)= Ω(nlogba+ε) for some ε>0 and if af(n/b) ≤cf(n) for
some c<1 and all sufficiently large n ≥b, then g(n)= Θ(f(n)).

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 Proof of Lemma 4.3
• For case 1: f(n)=O(nlogba-ε) implies f(n/bj)=O((n /bj)logba-ε), so
logbn-1 logbn-1
• g(n)=  ajf(n/bj) =O(  a j(n /bj)logba-ε )
j=0 j=0
logbn-1 logbn-1
• = O(nlogba-ε  a j/(blogba-ε)j ) = O(nlogba-ε
 a j/(aj(b-ε)j))
j=0 j=0
logbn-1
• = O(nlogba-ε  (bε)j ) = O(nlogba-ε (((bε ) logbn-1)/(bε-1) )
j=0
• = O(nlogba-ε (((blogbn)ε -1)/(bε-1)))=O(nlogba n-ε (nε -1)/(bε-1))
• = O(nlogba )
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 Proof of Lemma 4.3(cont.)
• For case 2: f(n)= Θ(nlogba) implies f(n/bj)= Θ((n /bj)logba), so

logbn-1 logbn-1
• g(n)=  ajf(n/bj) = Θ(  aj(n /bj)logba)
j=0 j=0
logbn-1 logbn-1
• = Θ(nlogba  aj/(blogba)j ) = Θ(nlogba  1)
j=0 j=0

• = Θ(nlogba logbn) = Θ(nlogbalg n)

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 Proof of Lemma 4.3(cont.)
• For case 3:
– Since g(n) contains f(n), g(n) = Ω(f(n))
– Since af(n/b) ≤cf(n), ajf(n/bj) ≤cjf(n) , why???

logbn-1 j logbn-1 j ∞
– g(n)=  a f(n/bj) ≤  c f(n) ≤ f(n)  cj
j=0 j=0 j=0

– =f(n)(1/(1-c)) =O(f(n))
– Thus, g(n)=Θ(f(n))
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 Proof of Master Theorem (cont.)
• Lemma 4.4:
– for T(n) = Θ(1) if n=1
– aT(n/b)+f(n) if n=bk for k≥1
– where a ≥ 1, b>1, f(n) be a nonnegative function,
1. If f(n)=O(nlogba-ε) for some ε>0, then T(n)= Θ(nlogba).
2. If f(n)= Θ(nlogba), then T(n)= Θ(nlogba lg n).
3. If f(n)=Ω(nlogba+ε) for some ε>0, and if af(n/b) ≤cf(n)
for some c<1 and all sufficiently large n, then T(n)=
Θ(f(n)).

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 Proof of Lemma 4.4 (cont.)
• Combine Lemma 4.2 and 4.3,
– For case 1:
• T(n)= Θ(nlogba)+O(nlogba)=Θ(nlogba).
– For case 2:
• T(n)= Θ(nlogba)+Θ(nlogba lg n)=Θ(nlogba lg n).
– For case 3:
• T(n)= Θ(nlogba)+Θ(f(n))=Θ(f(n)) because f(n)=
Ω(nlogba+ε).

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 Floors and Ceilings
• T(n)=aT(n/b)+f(n) and T(n)=aT(n/b)+f(n)
• Want to prove both equal to T(n)=aT(n/b)+f(n)
• Two results:
– Master theorem applied to all integers n.
– Floors and ceilings do not change the result.
• (Note: we proved this by domain transformation too).
• Since n/b≤n/b, and n/b≥ n/b, upper bound for
floors and lower bound for ceiling is held.
• So prove upper bound for ceilings (similar for lower
bound for floors).

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 Upper bound of proof for T(n)=aT(n/b)+f(n)
• consider sequence n, n/b,  n/b/b,   n/b /b/b,
…
• Let us define nj as follows:
• nj = n if j=0
• = nj-1/b if j>0
• The sequence will be n0, n1, …, nlogbn
• Draw recursion tree:

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Recursion tree of T(n)=aT(n/b)+f(n)

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The proof of upper bound for ceiling
logbn -1
– T(n) = Θ(nlogba)+  ajf(nj)
j=0

– Thus similar to Lemma 4.3 and 4.4, the upper

bound is proven.

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The simple format of master theorem

• T(n)=aT(n/b)+cnk, with a, b, c, k are

positive constants, and a≥1 and b≥2,
O(nlogba), if a>bk.
• T(n) = O(nklogn), if a=bk.
O(nk), if a<bk.

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 Summary
Recurrences and their bounds
– Substitution
– Recursion tree
– Master theorem.
– Proof of subtleties
– Recurrences that Master theorem does not
apply to.

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