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Numerical Methods 1

Bachelor of Science in Electrical Engineering (Nueva Vizcaya State University)

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I. UNIT TITLE/CHAPTER TITLE: Solution of Equations

II. LESSON OVERVIEW

This lesson provides the students an overview of Numerical Methods, importance of studying
this subject and how will they apply it in different problems involving Mathematics. This module
discusses the different procedures in finding a root of an equation. Moreover, this will help
them in solving Math problems in different methods.

III. DESIRED LEARNING OUTCOMES

1. Determine the roots of an equations
2. Apply different techniques in determining roots of an equation

IV. LESSON CONTENT

Introduction: [CITATION Placeholder1 \l 1033 ]
A problem of great importance in science and engineering is that of determining the
roots/ zeros of an equation of the form
f(x) = 0,
(1.1)

A polynomial equation of the form

f(x) = Pn(x) = a0xn + a1xn–1 + a2xn–2 + ... + an –1x + an = 0
(1.2)
is called an algebraic equation. An equation which contains polynomials, exponential
functions, logarithmic functions, trigonometric functions etc. is called a transcendental
equation.

For example,
3x3 – 2x2 – x – 5 = 0, x4 – 3x2 + 1 = 0, x2 – 3x + 1 = 0,
are algebraic (polynomial) equations, and
xe2x – 1 = 0, cos x – xex = 0, tan x = x
are transcendental equations.

We assume that the function f(x) is continuous in the required interval.

We define the following.

Root/zero A number α, for which f(α) ≡ 0 is called a root of the equation f(x) = 0, or a zero of
f(x). Geometrically, a root of an equation f(x) = 0 is the value of x at which the graph of the
equation y = f(x) intersects the x-axis (see Fig. 1.1).
Simple root A number α is a simple root of f(x) = 0, if f(α) = 0 and f ′(α) ≠ 0. Then, we can write
f(x) as
f(x) = (x – α) g(x), g(α) ≠ 0.
(1.3)

For example, since (x – 1) is a factor of f(x) = x3 + x – 2 = 0, we can write

f(x) = (x – 1)(x2 + x + 2) = (x – 1) g(x), g(1) ≠ 0.

Alternately, we find f(1) = 0, f ′(x) = 3x2 + 1, f ′(1) = 4 ≠ 0. Hence, x = 1 is a simple root

of
f(x) = x3 + x – 2 = 0.

Multiple root A number α is a multiple root, of multiplicity m, of f(x) = 0, if

f(α) = 0, f ′(α) = 0, ..., f (m –1) (α) = 0, and f (m) (α) ≠ 0.
(1.4)
Then, we can write f(x) as
f(x) = (x – α)m g(x), g(α) ≠ 0.

For example, consider the equation f(x) = x3 – 3x2 + 4 = 0. We find

f(2) = 8 – 12 + 4 = 0, f ′(x) = 3x2 – 6x, f ′(2) = 12 – 12 = 0,
f ″(x) = 6x – 6, f ″(2) = 6 ≠ 0.
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Hence, x = 2 is a multiple root of multiplicity 2 (double root) of f(x) = x3 – 3x2 + 4 = 0.

We can write f(x) = (x – 2)2(x + 1) = (x – 2)2 g(x), g(2) = 3 ≠ 0.

In this chapter, we shall be considering the case of simple roots only.

Remark 1 A polynomial equation of degree n has exactly n roots, real or complex, simple or
multiple, where as a transcendental equation may have one root, infinite number of roots or no
root.
We shall derive methods for finding only the real roots.

The methods for finding the roots are classified as (i) direct methods, and (ii) iterative
methods.

Direct methods These methods give the exact values of all the roots in a finite number
of steps (disregarding the round-off errors). Therefore, for any direct method, we can give the
total number of operations (additions, subtractions, divisions and multiplications). This number
is called the operational count of the method.

For this method, we can give the count of the total number of operations. There are
direct methods for finding all the roots of cubic and fourth degree polynomials. However, these
methods are difficult to use. Direct methods for finding the roots of polynomial equations of
degree greater than 4 or transcendental equations are not available in literature.

Iterative methods These methods are based on the idea of successive

approximations. We start with one or two initial approximations to the root and obtain a
sequence of approximations x0, x1, ..., xk, ..., which in the limit as k → ∞, converge to the exact
root α. An iterative method for finding a root of the equation f(x) = 0 can be obtained as
xk + 1 = φ(xk), k = 0, 1, 2, .....
(1.5)

This method uses one initial approximation to the root x0. The sequence of
approximations is given by
x1 = φ(x0), x2 = φ(x1), x3 = φ(x2), .....
The function φ is called an iteration function and x0 is called an initial approximation. If
a method uses two initial approximations x0, x1, to the root, then we can write the method as
xk + 1 = φ(xk – 1, xk), k = 1, 2, .....
(1.6)

1. Initial Approximation for an Iterative Procedure [ CITATION Placeholder1 \l 1033 ]

For polynomial equations, Descartes’ rule of signs gives the bound for the number of
positive and negative real roots.

(i) We count the number of changes of signs in the coefficients of Pn(x) for the equation
f(x) = Pn(x) = 0. The number of positive roots cannot exceed the number of changes of
signs. For example, if there are four changes in signs, then the equation may have four
positive roots or two positive roots or no positive root. If there are three changes in signs,
then the equation may have three positive roots or definitely one positive root. (For
polynomial equations with real coefficients, complex roots occur in conjugate pairs.)

(ii) We write the equation f(– x) = Pn(– x) = 0, and count the number of changes of signs
in the coefficients of Pn(– x). The number of negative roots cannot exceed the number of
changes of signs. Again, if there are four changes in signs, then the equation may have four
negative roots or two negative roots or no negative root. If there are three changes in signs,
then the equation may have three negative roots or definitely one negative root. We use the
following theorem of calculus to determine an initial approximation. It is also called the
intermediate value theorem.

Theorem 1.1 If f(x) is continuous on some interval [a, b] and f(a)f(b) < 0, then the
equation f(x) = 0 has at least one real root or an odd number of real roots in the interval (a,
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b). This result is very simple to use. We set up a table of values of f (x) for various values of
x. Studying the changes in signs in the values of f (x), we determine the intervals in which
the roots lie. For example, if f (1) and f (2) are of opposite signs, then there is a root in the
interval (1, 2).

Let us illustrate through the following examples.

Example 1.1 Determine the maximum number of positive and negative roots and intervals
of
length one unit in which the real roots lie for the following equations.
(i) 8x3 – 12x2 – 2x + 3 = 0
(ii) 3x3 – 2x2 – x – 5 = 0.

Solution:
(i) Let f(x) = 8x3 – 12x2 – 2x + 3 = 0.
The number of changes in the signs of the coefficients (8, – 12, – 2, 3) is 2. Therefore,
the equation has 2 or no positive roots. Now, f(– x) = – 8x 3 – 12x2 + 2x + 3. The number
of changes in signs in the coefficients (– 8, – 12, 2, 3) is 1. Therefore, the equation has
one negative root. We have the following table of values for f(x), (Table 1.1).

Example 1.3 Locate the smallest positive root of the equations

x
(i) xe = cos x.
(ii) tan x = 2x.

Solution:
(i) Let f(x) = xex – cos x = 0. We have f(0) = – 1, f(1) = e – cos 1 = 2.718 – 0.540 =
2.178. Since, f(0) f(1) < 0, there is a root in the interval (0, 1).

(ii) Let f(x) = tan x – 2x = 0. We have the following function values.

f(0) = 0, f(0.1) = – 0.0997, f(0.5) = – 0.4537,
f(1) = – 0.4426, f(1, 1) = – 0.2352, f(1.2) = 0.1722.

Since, f(1.1) f(1.2) < 0, the root lies in the interval (1.1, 1.2).

Now, we present some iterative methods for finding a root of the given algebraic or
transcendental equation.

We know from calculus, that in the neighborhood of a point on a curve, the curve can be
approximated by a straight line. For deriving numerical methods to find a root of an equation
f(x) = 0, we approximate the curve in a sufficiently small interval which contains the root, by a
straight line. That is, in the neighborhood of a root, we approximate
f(x) ≈ ax + b, a ≠ 0
where a and b are arbitrary parameters to be determined by prescribing two appropriate
conditions on f(x) and/or its derivatives. Setting ax + b = 0, we get the next approximation to
the root as x = – b/a. Different ways of approximating the curve by a straight line give different
methods. These methods are also called chord methods. Method of false position (also called
regula-falsi method) and Newton-Raphson method fall in this category of chord methods.

2. Method of False Position

Before proceeding to regula-falsi or Method of False Position, let us first discuss the
Bisection Method and the Secant Method:

2.1 Bisection Method [ CITATION Uni \l 1033 ]

The simplest numerical procedure for finding a root is to repeatedly halve the
interval [a, b], keeping the half for which f(x) changes sign. This procedure is called the
bisection method, and is guaranteed to converge to a root, denoted here by α.

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The bisection method consists of the following steps:

B1. Define c =.
B2. If b − c ≤ ε, then accept c as the root and stop.
B3. If sign[f(b)] · sign[f(c)] ≤ 0, then set a = c. Otherwise, set b = c. Return to step B1.

The interval [a, b] is halved with each loop through steps B1 to B3. The test B2
will be satisfied eventually, and with it the condition |α − c| ≤ ε will be satisfied. Notice
that in the step B3 we test the sign of sign[f(b)] · sign[f(c)] in order to avoid the
possibility of underflow or overflow in the multiplication of f(b) and f(c).

EXAMPLE:
1.) Find the largest root of f(x) = x6 − x − 1 = 0 accurate to within ε = 0.001.
2.) Find the root of the given function using bisection method, f(x)= x 3+3x-5: (ε = 0.01)

1.) Find the largest root of f(x) = x6 − x − 1 = 0 accurate to within ε = 0.001.

-1 0 1 2 3
1 -1 -1 61 725
(a,b)= (1,2)
n a b c b-c f(c)
1 1 2 1.5 0.5 8.8906
2 1 1.5 1.25 0.25 1.5647
3 1 1.25 1.125 0.125 -0.0977
4 1.125 1.25 1.1875 0.0625 0.6167
5 1.125 1.1875 1.1563 0.03125 0.2338
6 1.125 1.1563 1.14065 0.01565 0.0618
7 1.125 1.14065 1.1328 0.00785 -0.0197
8 1.1328 1.14065 1.1367 0.00395 0.0204
0.00026
9 1.1328 1.1367 1.13475 0.00195
6
10 1.1328 1.13475 1.13375 0.000975 -0.00001

Therefore, the value of x is approximately equal to 1.13375.

2.) Find the largest root of the given function using bisection method: (ε = 0.01)
f(x)= x3+3x-5
(a,b)=(1,2)

n a b c b-c f(c)
1 1 2 1.5 0.5 2.875
2 1 1.5 1.25 0.25 0.7031
3 1 1.25 1.125 0.125 -0.2012
4 1.125 1.25 1.1875 0.0625 0.2371
5 1.125 1.1875 1.1563 0.0312 0.0149
6 1.125 1.1563 1.1407 0.0156 -0.0936
7 1.1407 1.1563 1.1485 0.0078 -0.0396
8 1.1485 1.1563 1.1524 0.0039 -0.01

NOTE: if f(c)= negative value; (a=c)

if f(c)= positive value; (b=c)

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2.2 Secant Method[ CITATION Uni \l 1033 ]

The equation of the line is given by

Solving p(x2) = 0, we obtain

Having found x2, we can drop x0 and use x1, x2 as a new set of approximate
values for α. This leads to an improved values x 3; and this can be continued indefinitely.
Doing so, we obtain the general formula for the secant method

( )

It is called a two-point method, since two approximate values are needed to

obtain an improved value. The bisection method is also a two-point method, but the
secant method will almost always converge faster than bisection.

EXAMPLE:
1. Find the root of the equation f(x)=x 6-x-1=0; Do five iterations only.
x0=1;x1=2

n Xn-1 Xn Xn+1 f(xn-1) f(xn) f(xn+1)

1 1 2 1.01613 -1 61 -0.91537
2 2 1.01613 1.03067 61 -0.91537 -0.831915
3 1.01613 1.03067 1.17561 -0.91537 -0.831915 0.46424
4 1.03067 1.17561 1.12369 -0.831915 0.46424 -0.1105
5 1.17561 1.12369 1.13367 0.46424 -0.1105 -0.0108

Therefore, the root of the equation at 5th iteration is approximately equal to 1.13367.
2. Find the root of the equation f(x)=xex-cos(x); Correct to three decimal places.
X0=0,X1=1

n Xn-1 Xn Xn+1 f(xn-1) f(xn) f(xn+1)

1 0 1 0.314665 -1 2.17798 -0.51987
2 1 0.314665 0.44673 2.17798 -0.51987 -0.20355
3 0.314665 0.44673 0.53171 -0.51987 -0.20355 0.0429
4 0.44673 0.53171 0.51692 -0.20355 0.0429 -0.002544
5 0.53171 0.51692 0.517 0.0429 -0.002544 -0.000028
6 0.51692 0.5177 0.5177 -0.002544 -0.000028 -0.00005659
7 0.5177 0.5177 0.5177 -0.000028 -0.00005659 -0.0001

Therefore, the root of the equation is approximately equal to 0.5177.

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2.3 Method of False Position [ CITATION Placeholder1 \l 1033 ]

The method is also called linear interpolation method or chord method or regula-
falsi method.

At the start of all iterations of the method, we require the interval in which the
root lies. Let the root of the equation f(x) = 0, lie in the interval (x k–1, xk), that is, fk–1 fk <
0, where f(xk–1) = fk–1, and f(xk) = fk. Then, P(xk–1, fk–1), Q(xk, fk) are points on the curve
f(x) = 0. Draw a straight line joining the points P and Q (Figs. 1.2a, b). The line PQ is
taken as an approximation of the curve in the interval [x k–1, xk]. The equation of the line
PQ is given by

The point of intersection of this line PQ with the x-axis is taken as the next
approximation to the root. Setting y = 0, and solving for x, we get

The next approximation to the root is taken as

(1.10)

Simplifying, we can also write the approximation as

(1.11)

Therefore, starting with the initial interval (x0, x1), in which the root lies, we compute

Now, if f(x0) f(x2) < 0, then the root lies in the interval (x0,
x2). Otherwise, the root lies in the interval (x 2, x1). The iteration is continued using the
interval in which the root lies, until the required accuracy criterion given in Eq.(1.8) or
Eq.(1.9) is satisfied.

Alternate derivation of the method

Let the root of the equation f(x) = 0, lie in the interval (xk–1, xk). Then, P(xk–1, fk–1),
Q(xk, fk) are points on the curve f(x) = 0. Draw the chord joining the points P and Q
(Figs. 1.2a, b). We approximate the curve in this interval by the chord, that is, f(x) ≈ ax +
b. The next approximation to the root is given by x = – b/a. Since the chord passes
through the points P and Q, we get

Subtracting the two equations, we get

The second equation gives b = fk – axk.

Hence, the next approximation is given by

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which is same as the method given in Eq.(1.10).

Remark 3 At the start of each iteration, the required root lies in an interval, whose
length is decreasing. Hence, the method always converges.

Remark 4 The method of false position has a disadvantage. If the root lies initially in the
interval (x0, x1), then one of the end points is fixed for all iterations. For example, in
Fig.1.2a, the left end point x0 is fixed and the right end point moves towards the required
root. Therefore, in actual computations, the method behaves like

(1.12)

In Fig.1.2b, the right end point x1 is fixed

and the left end point moves towards the required root. Therefore, in this case, in actual
computations, the method behaves like

(1.13)

Remark 5 The computational cost of the method is one evaluation of the function f(x),
for each iteration.

Remark 6 We would like to know why the method is also called a linear interpolation
method. Graphically, a linear interpolation polynomial describes a straight line or a
chord. The linear interpolation polynomial that fits the data (x k–1, fk–1), (xk, fk) is given by

(We shall be discussing the concept of interpolation polynomials in Chapter 2). Setting
f(x) = 0, we get

This gives the next approximation as given in Eq. (1.11).

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EXAMPLE:
1. Locate the intervals which contain the positive real roots of the equation x 3 – 3x + 1 =
0. Obtain these roots correct to three decimal places, using the method of false
position.

Solution:
We form the following table of values for the function f(x).

There is one positive real root in the interval (0, 1) and another in the interval (1,
2). There is no real root for x > 2 as f(x) > 0, for all x > 2.
First, we find the root in (0, 1). We have

Since, f(0) f(0.5) < 0, the root lies in the interval (0, 0.5).

Since, f(0) f(0.36364) < 0, the root lies in the interval (0, 0.36364).

Since, f(0) f(0.3487) < 0, the root lies in the interval (0, 0.34870).

Since, f(0) f(0.34741) < 0, the root lies in the interval (0, 0.34741).

Now, | x6 – x5 | = | 0.347306 – 0.34741 | ≈ 0.0001 < 0.0005.

The root has been computed correct to three decimal places. The required root
can be taken as x ≈ x6 = 0.347306. We may also give the result as 0.347, even though
x6 is more accurate. Note that the left end point x = 0 is fixed for all iterations.
Now, we compute the root in (1, 2). We have

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Since, f(1.25) f(2) < 0, the root lies in the interval (1.25, 2). We use the formula given in
Eq.(1.13).

Since, f(1.407407) f(2) < 0, the root lies in the interval (1.407407, 2).

Since f(1.482367) f(2) < 0, the root lies in the interval (1.482367, 2).

Since, f(1.513156) f(2) < 0, the root lies in the interval (1.513156, 2).

Since, f(1.525012) f(2) < 0, the root lies in the interval (1.525012, 2).

Since, f(1.529462) f(2) < 0, the root lies in the interval (1.529462, 2).

Since, f(1.531116) f(2) < 0, the root lies in the interval (1.531116, 2).

Since, f(1.531729) f(2) < 0, the root lies in the interval (1.531729, 2).

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Now, |x10 – x9 | = | 1.531956 – 1.53179 | ≈ 0.000227 < 0.0005.

The root has been computed correct to three decimal places. The required root
can be taken as x ≈ x10 = 1.531956. Note that the right end point x = 2 is fixed for all
iterations.

2. Find the root correct to two decimal places of the equation xex = cos x, using the
method of false position.

Solution:
Define f(x) = cos x – xex = 0. There is no negative root for the equation. We have
f(0) = 1, f(1) = cos 1 – e = – 2.17798.

A root of the equation lies in the interval (0, 1). Let x 0 = 0, x1 = 1. Using the
method of
false position, we obtain the following results.

Since, f(0.31467) f(1) < 0, the root lies in the interval (0.31467, 1). We use the formula
given in Eq(1.13).

Since, f (0.44673) f(1) < 0, the root lies in the interval (0.44673, 1).

Since, f (0.49402) f(1) < 0, the root lies in the interval (0.49402, 1).

Since, f(0.50995) f(1) < 0, the root lies in the interval (0.50995, 1).

Since, f(0.51520) f(1) < 0, the root lies in the interval (0.51520, 1).
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Now, | x7 – x6 | = | 0.51692 – 0.51520 | ≈ 0.00172 < 0.005.

The root has been computed correct to two decimal places. The required root
can be taken as x ≈ x7 = 0.51692.
Note that the right end point x = 2 is fixed for all iterations.

3. Newton-Raphson Method

This method is also called Newton’s method. This method is also a chord method in
which we approximate the curve near a root, by a straight line.

Let x0 be an initial approximation to the root of f(x)

= 0. Then, P(x0, f0), where f0 = f(x0), is a point on the
curve. Draw the tangent to the curve at P, (Fig. 1.3). We
approximate the curve in the neighborhood of the root by
the tangent to the curve at the point P. The point of
intersection of the tangent with the x-axis is taken as the
next approximation to the root. The process is repeated
until the required accuracy is obtained. The equation of
the tangent to the curve y = f(x) at the point P(x 0, f0) is
given by
y – f(x0) = (x – x0) f ′(x0)

where f ′(x0) is the slope of the tangent to the curve at P. Setting y = 0 and solving for x, we get

The next approximation to the root is given by

We repeat the procedure. The iteration method is defined as

(1.14)

This method is called the Newton-Raphson method or simply the Newton’s method. The
method is also called the tangent method.

Alternate derivation of the method

Let xk be an approximation to the root of the equation f(x) = 0. Let Δx be an increment
in x such that xk + Δx is the exact root, that is f(xk + Δx) ≡ 0.

Expanding in Taylor’s series about the point xk, we get

(1.15)

Neglecting the second and higher powers of Δx, we obtain

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Hence, we obtain the iteration method

which is same as the method derived earlier.

Remark 7 Convergence of the Newton’s method depends on the initial approximation to the
root. If the approximation is far away from the exact root, the method diverges (see Example
1.6). However, if a root lies in a small interval (a, b) and x 0 ∈ (a, b), then the method
converges.

Remark 8 From Eq(1.14), we observe that the method may fail when f ′(x) is close to zero in
the neighborhood of the root. Later, in this section, we shall give the condition for convergence
of the method.

Remark 9 The computational cost of the method is one evaluation of the function f(x) and one
evaluation of the derivative f ′(x), for each iteration.

EXAMPLE:
1. Derive the Newton’s method for finding 1/N, where N > 0. Hence, find 1/17, using the
initial approximation as (i) 0.05, (ii) 0.15. Do the iterations converge?

Solution:
Let x= , or =N. Define f(x)= – N. Then, f’(x)=-

Newton’s method gives

(i) With N = 17, and x0 = 0.05, we obtain the sequence of approximations

x1 = 2x0 – Nx02 = 2(0.05) – 17(0.05)2 = 0.0575.
x2 = 2x1 – Nx12 = 2(0.0575) – 17(0.0575)2 = 0.058794.
x3 = 2x2 – Nx22 = 2(0.058794) – 17(0.058794)2 = 0.058823.
x4 = 2x3 – Nx32 = 2(0.058823) – 17(0.058823)2 = 0.058823.

Since, | x4 – x3 | = 0, the iterations converge to the root. The required root is 0.058823.
(ii) With N = 17, and x0 = 0.15, we obtain the sequence of approximations
x1 = 2x0 – Nx02 = 2(0.15) – 17(0.15)2 = – 0.0825.
x2 = 2x1 – Nx12 = 2(– 0.0825) – 17(– 0.8025)2 = – 0.280706.
x3 = 2x2 – Nx22 = 2(– 0.280706) – 17(– 0.280706)2 = – 1.900942.
x4 = 2x3 – Nx32 = 2(– 1.900942) – 17(– 1.900942)2 = – 65.23275.

We find that xk → – ∞ as k increases. Therefore, the iterations diverge very fast.

This shows the importance of choosing a proper initial approximation.

2. Derive the Newton’s method for finding the qth root of a positive number N, N 1/q,
where N > 0, q > 0. Hence, compute 17 1/3 correct to four decimal places, assuming the
initial approximation as x0 = 2.

Solution:
Let x = N1/q, or xq = N. Define f(x) = xq – N. Then, f ′(x) = qx q –1
. Newton’s method gives
the iteration

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With x0 = 2, we obtain the following results.

Now, | x4 – x3 | = | 2.571282 – 2.571332 | = 0.00005.

We may take x ≈ 2.571282 as the required root correct to four decimal places.

3. Perform four iterations of the Newton’s method to find the smallest positive root of the
equation f(x) = x3 – 5x + 1 = 0.

Solution:
We have f(0) = 1, f(1) = – 3. Since, f(0) f(1) < 0, the smallest positive root lies in the
interval (0, 1). Applying the Newton’s method, we obtain

Let x0 = 0.5. We have the following results.

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