Recursion

Sections 7.1 and 7.2 of Rosen

Spring 2010
CSCE 235 Introduction to Discrete Structures
Course web-page: cse.unl.edu/~cse235
Questions: [email protected]
 Outline
• Introduction, Motivating Example
• Recurrence Relations
– Definition, general form, initial conditions, terms
• Linear Homogeneous Recurrences
– Form, solution, characteristic equation, characteristic polynomial, roots
– Second order linear homogeneous recurrence
• Double roots, solution, examples
• Single root, example
– General linear homogeneous recurrences: distinct roots, any multiplicity
• Linear Nonhomogenous Recurrences
• Other Methods
– Backward substitution
– Recurrence trees
– Cheating with Maple
CSCE 235, Spring 2010 Recursion 2
 Recursive Algorithms
• A recursive algorithm is one in which objects are defined in
terms of other objects of the same type
• Advantages:
– Simplicity of code
– Easy to understand
• Disadvantages
– Memory
– Speed
– Possibly redundant work
• Tail recursion offers a solution to the memory problem, but
really, do we need recursion?

CSCE 235, Spring 2010 Recursion 3

 Recursive Algorithms: Analysis
• We have already discussed how to analyze the
running time of (iterative) algorithms
• To analyze recursive algorithms, we require
more sophisticated techniques
• Specifically, we study how to defined & solve
recurrence relations

CSCE 235, Spring 2010 Recursion 4

 Motivating Examples: Factorial
• Recall the factorial function:
1 if n= 1
n! =
n.(n-1) if n > 1
• Consider the following (recursive) algorithm for computing n!
Factorial
Input: nN
Output: n!
1. If n=1
2. Then Return 1
3. Else Return n  Factorial(n-1)
4. Endif
5. End
CSCE 235, Spring 2010 Recursion 5
 Factorial: Analysis
How many multiplications M(x) does factorial perform?
• When n=1 we don’t perform any
• Otherwise, we perform one…
• … plus how ever many multiplications we perform in the
recursive call Factorial(n-1)

• This relation is known as a recurrence relation

CSCE 235, Spring 2010 Recursion 6

 Recurrence Relations
• Definition: A recurrence relation for a sequence
{an} is an equation that expresses an in terms of one
or more of the previous terms in the sequence:
a0, a1, a2, …, an-1
for all integers nn0 where n0 is a nonnegative
integer.
• A sequence is called a solution of a recurrence if its
terms satisfy the recurrence relation

CSCE 235, Spring 2010 Recursion 7

 Recurrence Relations: Solutions
• Consider the recurrence relation an=2an-1-an-2
• It has the following sequences an as solutions
– an= 3n
– an= n+1
– an=5
• The initial conditions + recurrence relation
uniquely determine the sequence

CSCE 235, Spring 2010 Recursion 8

 Recurrence Relations: Example
• The Fibonacci numbers are defined by the recurrence
F(n) = F(n-1) +F(n-2)
F(1) = 1
F(0) = 1
• The solution to the Fibonacci recurrence is
fn = 1/5 ((1+5)/2)n – 1/5 ((1-5)/2)n

(The solution is derived in your textbook.)

CSCE 235, Spring 2010 Recursion 9

 Outline
• Introduction, Motivating Example
• Recurrence Relations
– Definition, general form, initial conditions, terms
• Linear Homogeneous Recurrences
– Form, solution, characteristic equation, characteristic polynomial, roots
– Second order linear homogeneous recurrence
• Double roots, solution, examples
• Single root, example
– General linear homogeneous recurrences: distinct roots, any multiplicity
• Linear Nonhomogenous Recurrences
• Other Methods
– Backward substitution
– Recurrence trees
– Cheating with Maple
CSCE 235, Spring 2010 Recursion 10
 Recurrence Relations: General Form
• More generally, recurrences can have the form
T(n) = T(n-) + f(n), T() = c
or
T(n) = T(n/) + f(n), T() = c

• Note that it may be necessary to define several T(),

which are the initial conditions

CSCE 235, Spring 2010 Recursion 11

 Recurrence Relations: Initial Conditions
• The initial conditions specify the value of the first few necessary
terms in the sequence.
• In the Fibonacci numbers, we needed two initial conditions:
F(0)=F(1)=1 since F(n) is defined by the two previous terms in
the sequence
• Initial conditions are also known as boundary conditions (as
opposed to general conditions)
• From now on, we will use the subscript notation, so the
Fibonacci numbers are:
fn = fn-1 + fn-2
f1 = 1
f0 = 1
CSCE 235, Spring 2010 Recursion 12
 Recurrence Relations: Terms
• Recurrence relations have two parts: recursive terms and non-
recursive terms
T(n) = 2T(n-2) + n2 -10
• Recursive terms come from when an algorithms calls itself
• Non-recursive terms correspond to the non-recursive cost of
the algorithm: work the algorithm performs within a function
• We will see examples later. First, we need to know how to
solve recurrences.

CSCE 235, Spring 2010 Recursion 13

 Solving Recurrences
• There are several methods for solving
recurrences
– Characteristic Equations
– Forward Substitution
– Backward Substitution
– Recurrence Trees
– … Mapple!

CSCE 235, Spring 2010 Recursion 14

 Outline
• Introduction, Motivating Example
• Recurrence Relations
– Definition, general form, initial conditions, terms
• Linear Homogeneous Recurrences
– Form, solution, characteristic equation, characteristic polynomial, roots
– Second order linear homogeneous recurrence
• Double roots, solution, examples
• Single root, example
– General linear homogeneous recurrences: distinct roots, any multiplicity
• Linear Nonhomogenous Recurrences
• Other Methods
– Backward substitution
– Recurrence trees
– Cheating with Maple
CSCE 235, Spring 2010 Recursion 15
 Linear Homogeneous Recurrences
• Definition: A linear homogeneous recurrence relation of
degree k with constant coefficients is a recurrence relation of
the form
an = c1an-1 + c2an-2 + … + ckan-k
with c1, c2, …, ckR, ck 0.
• Linear: RHS is a sum of multiples of previous terms of the
sequence (linear combination of previous terms). The
coefficients are all constants (not functions depending on n)
• Homogeneous: no terms occur that are not multiples of aj’s
• Degree k: an is expressed in terms of k terms of the sequences

CSCE 235, Spring 2010 Recursion 16

 Linear Homogeneous Recurrences: Examples

• The Fibonacci sequence is a linear homogeneous

recurrence relation
• So are the following relations:
an = 4an-1 + 5an-2 + 7an-3
an = 2an-2 + 4an-4 + 8an-8
How many initial conditions do we need to specify
for these relations?
As many as the degree k: k=3, 8 respectively
• So, how do solve linear homogeneous recurrences?
CSCE 235, Spring 2010 Recursion 17
 Solving Linear Homogeneous Recurrences
• We want a solution of the form an=rn where r is some real constant
• We observe that an=rn is a solution to a linear homogeneous recurrence if
and only if
rn = c1rn-1 + c2rn-2 + … + ckrn-k
• We can now divide both sides by rn-k, collect terms and we get a k-degree
polynomial
rk - c1rk-1 - c2rk-2 - … - ck = 0
• This equation is called the characteristic equation of the recurrence
relation
• The roots of this polynomial are called the characteristics roots of the
recurrence relation. They can be used to find the solutions (if they exist) to
the recurrence relation. We will consider several cases.

CSCE 235, Spring 2010 Recursion 18

Second Order Linear Homogeneous Recurrences

• A second order linear homogeneous recurrence is a recurrence of

the form
an = c1an-1+ c2an-2
• Theorem (Theorem 1, page 462): Let c1, c2R and suppose that r2-
c1r-c2=0 is the characteristic polynomial of a 2nd order linear
homogeneous recurrence which has two distinct* roots r1,r2, then
{an} is a solution if and only if
an= 1r1n + 2r2n
for n=0,1,2,… where 1, 2 are constants dependent upon the
initial conditions

* We discuss single root later

CSCE 235, Spring 2010 Recursion 19
 Second Order Linear Homogeneous
Recurrences: Example A (1)
• Find a solution to
an = 5an-1 - 6an-2
with initial conditions a0=1, a1=4

• The characteristic equation is

r2 - 5r + 6 = 0
• The roots are r1=2, r2=3
r2 - 5r + 6 = (r-2)(r-3)
• Using the 2nd order theorem we have a solution
an = 12n + 23n
CSCE 235, Spring 2010 Recursion 20
 Second Order Linear Homogeneous
Recurrences: Example A (2)
• Given the solution
an = 12n + 23n
• We plug in the two initial conditions to get a system of
linear equations
a0 = 120 + 230
a1 = 121 + 231
• Thus:
1 = 1 + 2
4 = 21 + 32
CSCE 235, Spring 2010 Recursion 21
 Second Order Linear Homogeneous
Recurrences: Example A (3)
1 = 1 + 2
4 = 21 + 32
• Solving for 1 = (1 - 2), we get
4 = 21 + 32
4 = 2(1-2) + 32
4 = 2 - 22 + 32
2 = 2
• Substituting for 1: 1 = -1
• Putting it back together, we have
a n =  12 n +  23 n
an = -12n + 23n
CSCE 235, Spring 2010 Recursion 22
 Second Order Linear Homogeneous
Recurrences: Example B (1)
• Solve the recurrence
an = -2an-1 + 15an-2
with initial conditions a0= 0, a1= 1
• If we did it right, we have
an = 1/8 (3)n - 1/8 (-5)n

• To check ourselves, we verify a0, a1, we compute a3 with both

equations, then maybe a4, etc.

CSCE 235, Spring 2010 Recursion 23

 Single Root Case
• We can apply the theorem if the roots are distincts, i.e. r1r2
• If the roots are not distinct (r1=r2), we say that one characteristic
root has multiplicity two. In this case, we apply a different
theorem
• Theorem (Theorem2, page 464)
Let c1, c2R and suppose that r2 - c1r - c2 = 0 has only one distinct
root, r0, then {an} is a solution to an = c1an-1+ c2an-2 if and only if
an= 1r0n + 2nr0n
for n=0,1,2,… where 1, 2 are constants depending upon the
initial conditions

CSCE 235, Spring 2010 Recursion 24

 Single Root Case: Example (1)
• What is the solution to the recurrence relation
an = 8an-1 - 16an-2
with initial conditions a0= 1, a1= 7?
• The characteristic equation is:
r2 – 8r + 16 = 0
• Factoring gives us:
r2 – 8r + 16 = (r-4)(r-4), so r0=4
• Applying the theorem we have the solution:
an= 1(4)n + 2n(4)n
CSCE 235, Spring 2010 Recursion 25
 Single Root Case: Example (2)
• Given: an= 1(4)n + 2n(4)n
• Using the initial conditions, we get:
a0= 1 = 1(4)0 + 20(4)0 = 1
a1= 7 = 1(4) + 21(4)1 = 41 + 42
• Thus: = 1 = 1, 2 = 3/4
• The solution is
an= (4)n + ¾ n (4)n
• Always check yourself…
CSCE 235, Spring 2010 Recursion 26
 General Linear Homogeneous Recurrences
• There is a straightforward generalization of these cases to
higher-order linear homogeneous recurrences
• Essentially, we simply define higher degree polynomials
• The roots of these polynomials lead to a general solution
• The general solution contains coefficients that depend only on
the initial conditions
• In the general case, the coefficients form a system of linear
equalities

CSCE 235, Spring 2010 Recursion 27

General Linear Homogeneous Recurrences:
Distinct Roots
• Theorem (Theorem 3, page 465)
Let c1,c2,..,ck R and suppose that the characteristic equation
rk - c1rk-1 - c2rk-2 - … - ck = 0
has k distinct roots r1,r2, …,rk. Then a sequence {an} is a solution of the
recurrence relation
an = c1an-1 + c2an-2 + … + ckan-k
if and only if
an = 1r1n + 2r2n + … + krkn
for n=0,1,2,… where 1,2,…,k are constants depending upon the initial
conditions

CSCE 235, Spring 2010 Recursion 28

General Linear Homogeneous Recurrences:
Any Multiplicity
• Theorem (Theorem 3, page 465)
Let c1,c2,..,ck R and suppose that the characteristic equation
rk - c1rk-1 - c2rk-2 - … - ck = 0
has t roots with multiplicities m1,m2, …,mt. Then a sequence {an} is a
solution of the recurrence relation
an = c1an-1 + c2an-2 + … + ckan-k
if and only if an = (1,0 + 1,1n + … + 1,m1-1nm1-1) r1n +
(2,0 + 2,1n + … + 2,m2-1nm2-1) r2n + ...
(t,0 + t,1n + … + t,mt-1nmt-1) rtn
for n=0,1,2,… where i,j are constants for 1  i  t and
0  jmi-1 depending upon the initial conditions
CSCE 235, Spring 2010 Recursion 29
 Outline
• Introduction, Motivating Example
• Recurrence Relations
– Definition, general form, initial conditions, terms
• Linear Homogeneous Recurrences
– Form, solution, characteristic equation, characteristic polynomial, roots
– Second order linear homogeneous recurrence
• Double roots, solution, examples
• Single root, example
– General linear homogeneous recurrences: distinct roots, any multiplicity
• Linear Nonhomogenous Recurrences
• Other Methods
– Backward substitution
– Recurrence trees
– Cheating with Maple
CSCE 235, Spring 2010 Recursion 30
 Linear NonHomogeneous Recurrences
• For recursive algorithms, cost function are often not homogeneous
because there is usually a non-recursive cost depending on the input size
• Such a recurrence relation is called a linear nonhomogeneous recurrence
relation
• Such functions are of the form
an = c1an-1 + c2an-2 + … + ckan-k + f(n)
• f(n) represents a non-recursive cost. If we chop it off, we are left with
an = c1an-1 + c2an-2 + … + ckan-k
which is the associated homogeneous recurrence relation
• Every solution of a linear nonhomogeneous recurrence relation is the sum
of
– a particular solution and
– a solution to the associated linear homogeneous recurrence relation

CSCE 235, Spring 2010 Recursion 31

Solving Linear NonHomogeneous Recurrences (1)

• Theorem (Theorem 5, p468)

If {an(p)} is a particular solution of the
nonhomogeneous linear recurrence relation with
constant coefficients
an = c1an-1 + c2an-2 + … + ckan-k + f(n)
then every solution is of the form {an(p) + an(h)} where
{an(h)} is a solution of the associated homogeneous
recurrence relation
an = c1an-1 + c2an-2 + … + ckan-k
CSCE 235, Spring 2010 Recursion 32
Solving Linear NonHomogeneous Recurrences (2)

• There is no general method for solving such

relations.
• However, we can solve them for special cases
• In particular, if f(n) is
– a polynomial function
– exponential function, or
– the product of a polynomial and exponential
functions,
then there is a general solution
CSCE 235, Spring 2010 Recursion 33
Solving Linear NonHomogeneous Recurrences (3)

• Theorem (Theorem 6, p469)

Suppose {an} satisfies the linear nonhomogeneous
recurrence relation
an = c1an-1 + c2an-2 + … + ckan-k + f(n)
where c1,c2,..,ck R and
f(n) = (btnt + bt-1nt-1 + .. + b1n + b0) sn
where b0,b1,..,bn,s R
… continues

CSCE 235, Spring 2010 Recursion 34

Solving Linear NonHomogeneous Recurrences (4)

• Theorem (Theorem 6, p469)… continued

When s is not a root of the characteristic equation of the
associated linear homogeneous recurrence relation, there is a
particular solution of the form
(ptnt+ pt-1nt-1+ … +p1n + p0) sn
When s is a root of this characteristic equation and its
multiplicity is m, there is a particular solution of the form
nm(ptnt+ pt-1nt-1+ … +p1n + p0) sn

CSCE 235, Spring 2010 Recursion 35

 Linear NonHomogeneous Recurrences: Examples

• The examples in the textbook are quite good (see

pp467—470) and illustrate how to solve simple
nonhomogeneous relations
• We may go over more examples if time allows
• Also read up on generating functions in Section 7.4
(though we may return to this subject)
• However, there are alternate, more intuitive methods

CSCE 235, Spring 2010 Recursion 36

 Outline
• Introduction, Motivating Example
• Recurrence Relations
– Definition, general form, initial conditions, terms
• Linear Homogeneous Recurrences
– Form, solution, characteristic equation, characteristic polynomial, roots
– Second order linear homogeneous recurrence
• Double roots, solution, examples
• Single root, example
– General linear homogeneous recurrences: distinct roots, any multiplicity
• Linear Nonhomogenous Recurrences
• Other Methods
– Backward substitution
– Recurrence trees
– Cheating with Maple
CSCE 235, Spring 2010 Recursion 37
 Other Methods
• When analyzing algorithms, linear homogeneous recurrences
of order greater than 2 hardly ever arise in practice
• We briefly describe two unfolding methods that work for a lot
of cases
– Backward substitution: this works exactly as its name suggests.
Starting from the equation itself, work backwards, substituting values
of the function for previous ones
– Recurrence trees: just as powerful, but perhaps more intuitive, this
method involves mapping out the recurrence tree for an equation.
Starting from the equation, you unfold each recursive call to the
function and calculate the non-recursive cost at each level of the tree.
Then, you find a general formula for each level and take a summation
over all such levels

CSCE 235, Spring 2010 Recursion 38

Backward Substitution: Example (1)
• Give a solution to
T(n)= T(n-1) + 2n
where T(1)=5

• We begin by unfolding the recursion by a simple substitution

of the function values
• We observe that
T(n-1) = T((n-1) -1) + 2(n-1) = T(n-2) + 2 (n-1)
• Substituting into the original equation
T(n)=T(n-2)+2(n-1)+2n
CSCE 235, Spring 2010 Recursion 39
Backward Substitution: Example (2)
• If we continue to do that we get
T(n) = T(n-2) + 2(n-1) + 2n
T(n) = T(n-3) + 2(n-2) + 2(n-1) + 2n

T(n) = T(n-4) + 2(n-3) + 2(n-2) + 2(n-1) + 2n

…..
T(n) = T(n-i) + j=0i-1 2(n - j) function’s value at the ith iteration
• Solving the sum we get
T(n) = T(n-i) + 2n(i-1) – 2(i-1)(i-1+1)/2 + 2n
T(n) = T(n-i) + 2n(i-1) – i2 + i + 2n

CSCE 235, Spring 2010 Recursion 40

Backward Substitution: Example (3)
• We want to get rid of the recursive term
T(n) = T(n-i) + 2n(i-1) – i2 + i + 2n
• To do that, we need to know at what iteration we reach our
based case, i.e. for what value of i can we use the initial
condition T(1)=5?
• We get the base case when n-i=1 or i=n-1
• Substituting in the equation above we get
T(n) = 5 + 2n(n-1-1) – (n-1)2 + (n-1) + 2n
T(n) = 5 + 2n(n-2) – (n2-2n+1) + (n-1) + 2n = n2 + n + 3

CSCE 235, Spring 2010 Recursion 41

 Recurrence Trees (1)
• When using recurrence trees, we graphically represent the
recursion
• Each node in the tree is an instance of the function. As we
progress downward, the size of the input decreases
• The contribution of each level to the function is equivalent to
the number of nodes at that level times the non-recursive
cost on the size of the input at that level
• The tree ends at the depth at which we reach the base case
• As an example, we consider a recursive function of the form
T(n) = T(n/) + f(n), T() = c

CSCE 235, Spring 2010 Recursion 42

 Recurrence Trees (2)
Iteration
Cost
0 TT(n)
f(n)

1
T(n/) T(n/)    T(n/) f(n/)

2 T(n/2)    T(n/2) T(n/2)    T(n/2) 2f(n/2)

.
.
.
.
i
i f(n/i)
.
.
.
.
log n

CSCE 235, Spring 2010 Recursion 43

 Recurrence Trees (3)
• The total value of the function is the
summation over all levels of the tree

• Consider the following concrete example

T(n) = 2T(n/2) + n, T(1)= 4

CSCE 235, Spring 2010 Recursion 44

 Recurrence Tree: Example (2)
Iteration
Cost
0 T(n)
n

1 T(n/2) T(n/2)
n/2 +n/2

T(n/4) T(n/4) T(n/4) T(n/4) 4. n/4

2
8.n/8
. T(n/8) T(n/8) T(n/8) T(n/8) T(n/8) T(n/8) T(n/8) T(n/8)
.
.
.
i
2i(n/2i)
.
.
.
.
log2 n

CSCE 235, Spring 2010 Recursion 45

 Recurrence Trees: Example (3)
• The value of the function is the summation of
the value of all levels.
• We treat the last level as a special case since
its non-recursive cost is different

CSCE 235, Spring 2010 Recursion 46

 Smoothness Rule
• In the previous example, we make the following assumption
n has a power of two (n=2k)
This assumption is necessary to get a nice depth of log(n) and
a full tree
• We can restrict consideration to certain powers because of
the smoothness rule, which is not studied in this course.
• For more information about that rule, consult pages 481—483
of the textbook “The Design & Analysis of Algorithms” by
Anany Levitin

CSCE 235, Spring 2010 Recursion 47

 How to Cheat with Maple (1)
• Maple and other math tools are great resources. However,
they are no substitutes for knowing how to solve recurrences
yourself
• As such, you should only use Maple to check you answers
• Recurrence relations can be solved using the rsolve
command and giving Maple the proper parameters
• The arguments are essentially a comma-delimited list of
equations
– General and boundary conditions
– Followed by the ‘name’ and variables of the function

CSCE 235, Spring 2010 Recursion 48

 How to Cheat with Maple (2)
> rsolve({T(n)= T(n-1)+2*n,T(1)=5},T(n));
1+2(n+1)(1/2n+1)-2n
• You can clean up Maple’s answer a bit by encapsulating it in the
simplify command

> simplify(rsolve({T(n)= T(n-1) + 2*n, T(1) = 5},

T(n)));
3 + n2 + n

CSCE 235, Spring 2010 Recursion 49

 Summary
• Introduction, Motivating Example
• Recurrence Relations
– Definition, general form, initial conditions, terms
• Linear Homogeneous Recurrences
– Form, solution, characteristic equation, characteristic polynomial, roots
– Second order linear homogeneous recurrence
• Double roots, solution, examples
• Single root, example
– General linear homogeneous recurrences: distinct roots, any multiplicity
• Linear Nonhomogenous Recurrences
• Other Methods
– Backward substitution
– Recurrence trees
– Cheating with Maple
CSCE 235, Spring 2010 Recursion 50