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GE 122 L7: ROOT FINDING

Ransie Apura
Assistant Professor
UPD DGE

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▪ Root Finding Problem

OUTLINE
▪ Numerical Methods for
Root Finding

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ROOT FINDING PROBLEM

• Finding a root (solution) of an equation 𝑓 𝑥 = 0.
o Roots can be real or complex.
o Equations may have zero or n number of roots (solutions).

• Why use numerical methods for root finding?

Remember Model of Population Growth (Population grows
continuously with time (t) at a rate ∝ to number present at that
time).
𝑑𝑃 𝑡 Valid only when
= 𝑘𝑃(𝑡) 𝑘𝑡 population is isolated or
𝑃 𝑡 = 𝑃0 𝑒 no other factors are
𝑑𝑡
considered for its growth.
Solving for k explicitly is easy. We can isolate k.
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ROOT FINDING PROBLEM

Consider the population model with the factor immigration at
constant rate v is included.
𝑑𝑃 𝑡 𝑣 𝑘𝑡
= kP 𝑡 + 𝑣 𝑃 𝑡 = 𝑃0 𝑒 𝑘𝑡 + 𝑒 −1
𝑑𝑡 𝑘

Dilemma: We cannot solve explicitly for k

Solution: Numerical methods can be used to approximate solutions

to this type of equations with an arbitrary high accuracy!

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ROOT FINDING PROBLEM

Finding Real Roots – we’re mostly interested in real roots as complex
roots are seldomly computed (rarely have physical significance).
sin 𝑥 − 𝑥 = 0 → single root
tan 𝑥 − 𝑥 = 0 → infinite roots
2
𝑥 = −1 → no real roots
• Iterative numerical method (requires estimate)
• Crucial estimate (corresponding method may fail to converge or
converge to the wrong root).
• No universal way to estimate value of root (can be approx. only)
• Bracketing the root is advisable before passing to a root-finding
algorithm.
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ROOT FINDING PROBLEM

What about quadratic formula and other algebraic method?
- Some solutions to single equation f(x)=0 cannot be easily
obtained using formulas, hence, usage of numerical methods.

Numerics for Root Finding Problem

1. Incremental Search Method (ISM)
2. Bisection Method
3. Fixed Point Iteration
4. Newton-Raphson Method
5. Secant Method
6. Regula-Falsi Method
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(1) INCREMENTAL SEARCH METHOD (ISM)

• If there is a root, the graph of a continuous function f(x) will
intersect the x-axis from one side where f(x) is +/− to the other
side where f(x) is of the opposite sign.
𝑓 𝑥
+

𝑥1 𝑥2
−

• Value of x where f(x) crosses the x-axis is a zero of the function.

• Any interval (e.g., 𝑥1 to 𝑥2 ) → f(x) change of sign at least once.
• Small interval → likely to have a single root (use a very small
increment ∆𝑥).
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(1) INCREMENTAL SEARCH METHOD (ISM)

Example: Use ISM with ∆𝑥 = 0.2 to bracket the smallest positive zero
of 𝑓 𝑥 = 𝑥 3 − 10𝑥 2 + 5.
Step 1: Smallest positive zero, lower boundary can
be set to zero.

Step 2: Initial value of x is 0.0. Use increment for the

next values of x. Evaluate f(x).

Step 3: change in sign of f(x) denotes a positive root

(for this example only).

Change in sign for f(x) with x values 0.6 and 0.8.

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Smallest positive zero is between 0.6 and 0.8.
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(1) INCREMENTAL SEARCH METHOD (ISM)

POTENTIAL PROBLEMS WITH ISM
• Possibility of missing 2 closely spaced roots (ISM is dependent on
increment value).
• Double roots (coinciding) will not be detected.
• Some singularities (poles) of f(x) can be mistaken for roots (e.g.,
tan x values changes sign but does not cross the x-axis).

RESOLUTION: Use ISM for bracketing roots only and not for finding
it.
Once potential root of f(x)=0 is bracketed, use other methods for
closing in.
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(2) BISECTION (BINARY SEARCH) METHOD

Based on the Intermediate
Value Theorem (IVT)
• Let 𝑓 ∈ 𝐶[𝑎, 𝑏] be given with
f(a)*f(b) < 0. Then we can
determine a zero in s ∈ 𝐶[𝑎, 𝑏]
of odd order by means of
repeated interval bisection.

• Single positive root evaluation

only.

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(2) BISECTION (BINARY SEARCH) METHOD

• Similar to ISM except interval is halved
Step 1: Determine bracket of possible root using ISM. Set 𝑥1 as
lower boundary and 𝑥2 as upper boundary. Compute for
corresponding f(x) values.
𝑥 +𝑥
Step 2: Compute midway value 𝑥3 = 1 2 and corresponding f(𝑥3 ).
2
Step 3: If 𝑓 𝑥2 ∙ 𝑓 𝑥3 < 0, “root is in (𝑥2 , 𝑥3 )” else replace 𝑥2 by 𝑥1 ,
“root is in (𝑥1 , 𝑥3 )”.
Step 4: Repeat step 2 to 3 until 𝑥2 − 𝑥1 ≤ 𝜀 (some very small
value), where root is 𝑥1 (or 𝑥2 ).
NOTE: Most reliable method but not the fastest!
User set tolerance for step 4 (i.e., number of decimal places).
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(2) BISECTION (BINARY SEARCH) METHOD

Example: Use bisection method to find the root of 𝑓 𝑥 = 𝑥 3 −
10𝑥 2 + 5 that lies in the previously determined interval.
Step 1: 𝑥1 = 0.6 and 𝑥2 = 0.8;
𝑓 𝑥1 = 1.616 and 𝑓 𝑥2 = −0.888
0.6+0.8
Step 2: 𝑥3 = 2 = 0.7 and
𝑓 𝑥3 = 0.443
Step 3: 𝑓 𝑥2 ∙ 𝑓 𝑥3 < 0; close in
on interval (0.7, 0.8).
Step 4: 𝑥1 = 0.7 and 𝑥2 = 0.8;
𝑓 𝑥1 = 0.443 and 𝑓 𝑥2 = −0.888
0.7+0.8
Step 5: 𝑥3 = = 0.75 and
2
𝑓 𝑥3 = −0.203
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(2) BISECTION (BINARY SEARCH) METHOD

Example: Use bisection method to find the root of 𝑓 𝑥 = 𝑥 3 −
10𝑥 2 + 5 that lies in the previously determined interval.
Step 6: 𝑓 𝑥1 ∙ 𝑓 𝑥3 < 0 ; close in
on interval (0.7, 0.75).

Repeat as seen in the table until

𝑥2 − 𝑥1 ≤ 𝜀 (some very small
value).

ANSWER: Smallest positive zero is

0.73458. To check, substitute
answer to equation.
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(3) FIXED POINT ITERATION

Method of successive substitution
• Transform f(x) algebraically into the
form 𝑥 = 𝑔(𝑥).
• Choose an initial guess for x (e.g., 𝑥0 )
and compute 𝑥1 = 𝑔 𝑥0 , 𝑥2 = 𝑔 𝑥1
and in general 𝑥𝑛+1 = 𝑔 𝑥𝑛 .
• X-coordinate of the intersection of
𝑦 = 𝑥 and 𝑦 = 𝑔 𝑥 is the root.

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(3) FIXED POINT ITERATION

Example: Solve 𝑓 𝑥 = 𝑥 2 − 3𝑥 + 1
Analytical solution for
comparison.
Step 1: Set 𝑓 𝑥 = 𝑥 2 − 3𝑥 + 1 =
0; transform to 𝑥 = 𝑔 𝑥 .
𝑥 2 +1
𝑔1 𝑥 →3𝑥 = 𝑥 2 + 1→𝑥 = 3
1
𝑔2 𝑥 →𝑥 2 = 3𝑥 − 1→𝑥 = 3−𝑥
𝑔3 𝑥 →𝑥 2 = 3𝑥 − 1→𝑥 = 3𝑥 − 1

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(3) FIXED POINT ITERATION

Example: Solve 𝑓 𝑥 = 𝑥 2 − 3𝑥 + 1
Step 2: Choose initial guess for
x (𝑥0 ) and all 𝑥1 = 𝑔 𝑥0 (i.e.,
substitute initial x to initial
x=g(x) to compute for 𝑥1 and
substitute 𝑥1 to x=g(x) to
compute for 𝑥2 until
convergence or divergence.

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(3) FIXED POINT ITERATION

Example: Solve 𝑓 𝑥 = 𝑥 2 − 3𝑥 + 1
We have 𝑥 = 𝑔(𝑥) functions:
𝑔1 𝑥 , 𝑔2 𝑥 , and 𝑔3 𝑥 .

Each function will have 3 initial

guess for x (row 0 in the table).
Row 0 corresponds to 𝑥0 .

Row 1: computed 𝑥1 for every

𝑥0 of each g(x) (1st iteration).

First column pertains to

number of iterations.
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(3) FIXED POINT ITERATION

Example: Solve 𝑓 𝑥 = 𝑥 2 − 3𝑥 + 1
𝑔1 𝑥 with 𝑥0 = 1 reach
convergence close to value of
𝑥 = 0.381966 after 6 iterations.

𝑔1 𝑥 with 𝑥0 = 2.5 reach

convergence close to value of
𝑥 = 0.381966 after 12 iterations.

𝑔1 𝑥 with 𝑥0 = 3 diverges from

values computed analytical
solution. Similar interpretation
to other x=g(x).
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(3) FIXED POINT ITERATION

Condition of convergence:

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(4) NEWTON-RAPHSON METHOD

• Graph of function is approximated by suitable tangents. Every tangent
intersects the x-axis and such intersection provides a new estimate of the
root.
• Newton-Raphson Method: Assumes that f(x)=0 has continuous derivative
(f’).
• Not for computationally expensive derivative (f’).
• Derive from Taylor Series Expansion of f(x) about x:

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(4) NEWTON-RAPHSON METHOD

Derivation:
Let f(x) = function
Xi = estimate of the root
Xi+1 = newer estimate
B = angle that the tangent to f(x)
makes with the x-axis.
tan 𝐵 = 𝑓 ′ (𝑥𝑖 ) [slope of the tangent]

𝑓(𝑥𝑖 )
= [𝑓𝑟𝑜𝑚 𝑡ℎ𝑒 𝑟𝑖𝑔ℎ𝑡 𝑡𝑟𝑖𝑎𝑛𝑔𝑙𝑒 𝑓𝑜𝑟𝑚𝑒𝑑]
𝑥𝑖 − 𝑥𝑖+1

𝑓 𝑥𝑖 𝑓 𝑥𝑛−1
𝑥𝑖+1 = 𝑥𝑖 − 𝑜𝑟 𝑥𝑛 = 𝑥𝑛−1 −
𝑓 ′ 𝑥𝑖 𝑓 ′ 𝑥𝑛−1
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(4) NEWTON-RAPHSON METHOD

Convergence: converges quadratically
• Error is the square of the error (significant
figures roughly doubles every iteration).
• Affected by poor initial estimate.
• Termination at stationary point.
• Difficulty in calculating the derivative of a
function.

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(4) NEWTON-RAPHSON METHOD

Example 1: A root of 𝑓 𝑥 = 𝑥 3 − 10𝑥 2 + 5 lies close to 𝑥 = 0.7.
Compute this root using Newton-Raphson Method.

Step 1: Identify a suitable 𝑥0 = 0.6 (root lies close to 0.7 and 0.6 is a
close guess).
Step 2: Given 𝑓 𝑥 , solve for 𝑓 ′ 𝑥 = 3𝑥 2 − 20 𝑥 .
𝑓 𝑥𝑖
Step 3: Compute for the 1st iteration of root 𝑥𝑖+1 = 𝑥𝑖 − ′
𝑓 𝑥𝑖

𝑓 𝑥0 0.6 3 − 10 0.6 2 + 5
𝑥1 = 𝑥0 − ′ = 0.6 − = 0.747985
𝑓 𝑥0 3 0.6 2 − 20 0.6

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(4) NEWTON-RAPHSON METHOD

Example 1: A root of 𝑓 𝑥 = 𝑥 3 − 10𝑥 2 + 5 lies close to 𝑥 = 0.7.
Compute this root using Newton-Raphson Method.

Step 4: Compute for the 2nd iteration of root

𝑓 𝑥1 0.747985 3 − 10 0.747985 2 + 5
𝑥2 = 𝑥1 − = 0.747985 − = 0.734708
𝑓 ′ 𝑥1 3 0.747985 2 − 20 0.747985

Compute for succeeding iterations. Check if resulting values

converge to 0.7. Stop at set/desired tolerance.
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(4) NEWTON-RAPHSON METHOD

Example 2: Use Newton-Raphson Method to obtain successive
approximations of 2 as the ratio of two integers.

Step 1: Compared to example 1, we must find an equivalent

function approximating 2: 𝑓 𝑥 = 𝑥2 − 2
Step 2: Identify a suitable 𝑥0 = 1 ( 2 = 1.414214 and 1 is a close
guess).
Step 3: Solve for 𝑓 ′ 𝑥 = 2𝑥
Step 4: Set-up equation for solving root
𝑥𝑖 2 − 2 𝑥𝑖 2 + 2
𝑥𝑖+1 = 𝑥𝑖 − =
2 𝑥𝑖 2𝑥𝑖
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(4) NEWTON-RAPHSON METHOD

Example 2: Use Newton-Raphson Method to obtain successive
approximations of 2 as the ratio of two integers.

Step 5: Compute for the 1st iteration of root

Result is in fraction since the
1 2+2 3 problem requires ratio of to
𝑥1 = = integers as answer.
2 1 2
Step 6: Compute for 2 iteration of root
nd

3 2
+2 17 Compute for succeeding iterations. Check if resulting
2
𝑥2 = 3 = values converge to 1.414214. Stop at set/desired
2 12 tolerance.
2

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(5) REGULA-FALSI METHOD

• Also known as False Position Method (some text would refer to it as False
Point).
• Requires 2 starting estimates of the root (bracket - 𝑥1 and 𝑥2 ).
• 𝑓 𝑥 is assumed approximately linear near the root (improved value by
computing 𝑥3 -estimated by linear interpolation between 𝑥1 and 𝑥2 ).
• If the derivative is difficult to obtain, replace it by the difference quotient
so that the iteration rule becomes

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(5) REGULA-FALSI METHOD

Step 1: Bracket root (𝑥1 and 𝑥2 ). Compute for corresponding 𝑓(𝑥).
Step 2: Compute improved root then replace 𝑥1 or 𝑥2 by 𝑥3 (if 𝑓 𝑥3 has the
same sign as 𝑓 𝑥1 , let 𝑥1 ← 𝑥3 ; otherwise choose 𝑥2 ← 𝑥3 .
Step 3: Repeat until convergence (roots are always bracketed).

Bisection Example: 𝑓 𝑥 = 𝑥 3 − 10𝑥 2 + 5 (0.6, 0.8)

Step 1: 𝑥1 = 0.6 and 𝑥2 = 0.8; 𝑓 𝑥1 = 1.616 and 𝑓 𝑥2 = −0.888
Step 2: Compute for improved root 𝑥3 and corresponding 𝑓 𝑥3 :
𝑥2 − 𝑥1 0.8 − 0.6
𝑥3 = 𝑥2 − 𝑓 𝑥2 = 0.8 − −0.888 = 0.729073
𝑓 𝑥2 − 𝑓 𝑥1 −0.888 − 1.616
𝑓 𝑥3 = 0.729073 3 − 10 0.729073 2 + 5 = 0.072062

𝑓 𝑥3 same sign with 𝑓 𝑥1 → replace 𝑥1 with 𝑥3 in next iteration.

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(5) REGULA-FALSI METHOD

Bisection Example: 𝑓 𝑥 = 𝑥 3 − 10𝑥 2 + 5 (0.6, 0.8)
Step 3: Compute for 2nd iteration of improved root with 𝑥1 = 0.729073 and 𝑥2 =
0.8; 𝑓 𝑥1 = 0.072062 and 𝑓 𝑥2 = −0.888
Step 4: Compute for improved root 𝑥3 and corresponding 𝑓 𝑥3 :
𝑥2 − 𝑥1 0.8 − 0.6
𝑥3 = 𝑥2 − 𝑓 𝑥2 = 0.8 − −0.888 = 0.734397
𝑓 𝑥2 − 𝑓 𝑥1 −0.888 − 1.616
𝑓 𝑥3 = 0.729073 3 − 10 0.729073 2 + 5 = 0.002699

𝑓 𝑥3 same sign with 𝑓 𝑥1 → replace 𝑥1 with 𝑥3 in next iteration.

*repeat until convergence

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(6) SECANT METHOD

• Similar with Regula-Falsi but does not require prior bracketing of
the root.
• Oldest prior estimate of the root is discarded (after 𝑥3 is
computed, let 𝑥1 ← 𝑥2 , 𝑥2 ← 𝑥3 ).

Bisection Example: 𝑓 𝑥 = 𝑥 3 − 10𝑥 2 + 5 (0.6, 0.8)

Step 1: 𝑥1 = 0.6 and 𝑥2 = 0.8; 𝑓 𝑥1 = 1.616 and 𝑓 𝑥2 = −0.888
Step 2: Compute for improved root 𝑥3 and corresponding 𝑓 𝑥3 :
𝑥2 − 𝑥1 0.8 − 0.6
𝑥3 = 𝑥2 − 𝑓 𝑥2 = 0.8 − −0.888 = 0.729073
𝑓 𝑥2 − 𝑓 𝑥1 −0.888 − 1.616
𝑓 𝑥3 = 0.729073 3 − 10 0.729073 2 + 5 = 0.072062
replace 𝑥1 with 𝑥2 and 𝑥2 with 𝑥3 in next iteration.
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(6) SECANT METHOD

Bisection Example: 𝑓 𝑥 = 𝑥 3 − 10𝑥 2 + 5 (0.6, 0.8)
Step 3: Compute for 2nd iteration of improved root with 𝑥1 = 0.8 and 𝑥2 =
0.729073; 𝑓 𝑥1 = −0.888 and 𝑓 𝑥2 = 0.072062
Step 4: Compute for improved root 𝑥3 and corresponding 𝑓 𝑥3 :
𝑥2 − 𝑥1 0.729073 − 0.8
𝑥3 = 𝑥2 − 𝑓 𝑥2 = 0.8 − 0.072062 = 0.734397
𝑓 𝑥2 − 𝑓 𝑥1 0.072062 − −0.888
𝑓 𝑥3 = 0.734397 3 − 10 0.734397 2 + 5 = 0.002699

*repeat until convergence

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REFERENCES
• Kreyszig, Erwin (2011). “Advanced Engineering Mathematics,
10th Edition.” John Wiley and Sons.
• Chapra, S. and Canale, R. (2010). “Numerical Methods for
Engineers, 6th Edition.”
• Burden, R. and Faires, J. (2011). “Numerical Analysis, 9th Edition.”

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Questions? ☺
raapura@up.edu.ph

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