CHAPTER 7

Roots o f Polynomials

In this chapter, we will discuss methods to find the roots of polynomial equations of the general
form

m Jf "fc . * I g ^
= ac_ - | - a | j r + &2 X 4- - * • + a^r

where n = the order of the polynomial and the a's = constant coefficients.

Although the coefficients can be complex numbers, we will limit our discussion to cases where
they are real. For such cases, the roots can be real and/or complex.

The roots of such polynomials follow these rules:

1. For an oth-order equation, there are n real or complex roots. It should be noted that these roots
will not necessarily be distinct.

2. If n is odd, there is at least one real root.

3. If complex roots exist, they exist in conjugate pairs (that is, X + fii and X - fii), where

/=V-i.

7.1 POLYNOMIALS IN ENGINEERING AND SCIENCE

The roots of this polynomial are the values of r that satisfy Eq. (7.7).

And, whereas finding the root of a second-order equation is easy with the quadratic formula,
finding roots of higher-order systems (and hence, higher-order polynomials) is arduous
analytically.

Thus, the best general approach requires numerical methods of the type described in this chapter.

First, let us evaluate the roots of Eq. (7.7) with the quadratic formula,

X
Thus, we get two roots. If the discriminant (a \- Aa2aSS) is positive, the roots are real.
2

I f the discriminant is zero, a single real root occurs.

If the discriminant is negative, the roots will be complex conjugate numbers.

= A n : JIJ

7.3 CONVENTIONAL METHODS

If only real roots exist, any of the previously described methods could have utility.
When complex roots are possible, the bracketing methods cannot be used because of the obvious
problem that the criterion for defining a bracket (that is, sign change) does not translate to
complex guesses.

For this reason, special methods have been developed to find the real and complex roots of
polynomials.

7.4 M U L L E R ' S METHOD

Recall that the secant method obtains a root estimate by projecting a straight line to the x axis
through two function values (Fig. 7.3a).

Miiller's method takes a similar approach, but projects a parabola through three points (Fig.
7.36).

mi

FIGURE 7.3
A comparison of two related
approaches for Gcatirg roots:
|o] rhe secan! method and
',h\s nethod.

1
The method consists of deriving the coefficients of the parabola that goes through the three
points.

These coefficients can then be substituted into the quadratic formula to obtain the point where
the parabola intercepts the x axis—that is, the root estimate.

The approach is facilitated by writing the parabolic equation in a convenient form,

ft\ = a(x — xz\ hI,,i" - xi) -fc

(7.17)

We want this parabola to intersect the three points [xo,f (xo)], [x\,f(*i)L and [x2,f (xi)]- The

coefficients of Eq. (7.17) can be evaluated by substituting each of the three points to give

= a{xi — *2$ 4- b(xi - + c

(7.18, 7.19, 7.20)

Note that we have dropped the subscript "2" from the function for conciseness. Because we have
three equations, we can solve for the three unknown coefficients, a, b, and c.

Because two of the terms in Eq. (7.20) are zero, it can be immediately solved for c =f {xi). Thus,
the coefficient c is merely equal to the function value evaluated at the third guess, x . 2

This result can then be substituted into Eqs. (7.18) and (7.19) to yield two equations with two
unknowns:

f£m} — f(xi) = a(m — xgf 4- Hxq - JR)

Mm) — ^x%) = s(xi — j r f ) + Mx% — xi)
(7.21, 7.22)

Algebraic manipulation can then be used to solve for the remaining coefficients, a and b.

One way to do this involves defining a number of differences,

3
 Hn ss x\ x§ h\ jm — x%

(7.23)

These can be substituted into Eqs. (7.21) and (7.22) to give

(Jqi -f--h\%h — if h% 4- A | ) t a : a = Ao^G- "4- -A-pli

which can be solved for a and b. The results can be summarized as

AI 4- AO

c= I{X2)
(7.24, 7.25, 7.26)

To find the root, we apply the quadratic formula to Eq. (7.17). However, because of potential
round-off error, rather than using the conventional form, we use the alternative formulation [Eq.
(3.13)] to yield

Z c,

Kl(.2_ = ~ c — A l4-<e,rr»a'ii \/e^ Formulcx"Ko

S

—2c
JE3 — JI2
6± JW^Tac

4
 -t'3. = *2
b±</tr* — 4ac
(7.27)

Note that the use of the quadratic formula means that both real and complex roots can be located.
This is a major benefit of the method.

In addition, Eq. (7.27a) provides a neat means to determine the approximate error.

Because the left side represents the difference between the present (X3) and the previous (x ) root
2

estimate, the error can be calculated as

-*3 - -*2
100%

Now, a problem with Eq. (7.27a) is that it yields two roots, corresponding to the • }term in the
denominator.

In Miiller's method, the sign is chosen to agree with the sign of b.

This choice will result in the largest denominator, and hence, will give the root estimate that is
closest to X2-
1

E X A M P L E 7.2 Miiller's Method

Problem Statement. Use Miiller's method with guesses of xO, xl, and x2 = 4.5, 5.5,

and 5, respectively, to determine a root of the equation

f(x)=x*- I3x- 12

Note that the roots of this equation are - 3 , — 1 , and 4.

Solution.

First, we evaluate the function at the guesses

5
r ( x 0 ) = 20,425

^ U.SfS - 20 ,o25 -^zaS

kvL -0.5' + '/

W = Q.k^ + Si - ^ t ~ 0 ^ ) + 69.?S = ^2,2S

v ID -4QC
z = ^-2.25^4^5)42 - 31.54451

b1 (b^4 _^ pick. H i e b\cjcj<er~ \)cxlae_

62,25 i 31544^

>< a = *x + -2 - 5+ ~2,
b+ib* 4 62,25-r3l54V^

Joo°/ - ,i00^ l - f . 0 2 3 513 J

*3
yi0 is r^Wcs^ X V i-s rfepicvc^d k y XJZ. a n d >ci I S r^plqas^j

by *3.

Triere^ofe / p r tiO-UO ^

L ^ * i - )Co - 5~_5.5~- -0,5

= 3.9764S7- -1*023513

l^4QO _~ {^'moii^ kti^^uji-o^mu)^i ^m t

7-
><3- V CO 1051

0 5"
25.^4
1

1 ^.001051
3 Q,Q2.£
4 Q 0OO0H9
t

X^3 = ij. (deWrmiWcl)

12

><A, i - - b jt f b ^ At a- c

2- c,

0 Vs OC^N W ^V<J by asfng HMS expression

QTnef- r o

Tb«s- aAVe<rrv aVig e. _pormulcxf\Oh coitN rj<& uscsj,

7.5 BAIRSTOW'S METHOD
Bairstow's method is an iterative approach related loosely to both the Miiller and Newton-
Raphson methods.
Before launching into a mathematical description of the technique, recall the factored form of the
polynomial,

/ fJT) = ( j r + ] ) C r - - l ! U - 5 ) ( j r + 3) (JT - 2)
s

(7.28)
If we divided by a factor that is not a root (for example, x + 6), the quotient would be a fourth-
order polynomial. However, for this case, a remainder would result.
On the basis of the above, we can elaborate on an algorithm for determining a root of a
polynomial:
(1) guess a value for the root x = t,
(2) divide the polynomial by the factor x - 1 , and
(3) determine whether there is a remainder. I f not, the guess was perfect and the root is equal to t.
If there is a remainder, the guess can be systematically adjusted and the procedure repeated until
the remainder disappears and a root is located.
After this is accomplished, the entire procedure can be repeated for the quotient to locate another
root.
Bairstow's method is generally based on this approach.
Consequently, it hinges on the mathematical process of dividing a polynomial by a factor.
Recall from our discussion of polynomial deflation (Sec. 7.2.2) that synthetic division involves
dividing a polynomial by a factor x - 1 . For example, the general polynomial [Eq. (7.1)]

4{jr) = aD + aur + a u 2 + - + 1 /
(7.29)
can be divided by the factor x - t to yield a second polynomial that is one order lower,

/ff~l(jf} = b i +J&SJT+ fejf " + - +

2 l b * * " * £7 20)
0

with a remainder R = bO, where the coefficients can be calculated by the recurrence relationship

% = a, + h,. { : for / = n — 1 to- 0

Note that i f / were a root of the original polynomial, the remainder bO would equal zero.
To permit the evaluation of complex roots, Bairstow's method divides the polynomial by a
quadratic factor x — rx - s. ~

9
I f this is done to Eq. (7.29), the result is a new polynomial

with a remainder

jfif = I^J ^ If — —

As with normal synthetic division, a simple recurrence relationship can be used to perform the
division by the quadratic factor:

i&rt = "Sm

a a (7.32 a)

&IJ I = (}Q-l + f f t j (7.32b)

ib, = ay + rim. i + for S = n — 2toft( 7 3 2 c )
The quadratic factor is introduced to allow the determination of complex roots.
This relates to the fact that, i f the coefficients of the original polynomial are real, the complex
roots occur inconjugate pairs.
If x - rx - s is an exact divisor of the polynomial, complex roots can be determined by the
2

quadratic formula.
Thus, the method reduces to determining the values of r and s that make the quadratic factor an,
exact divisor.
In other words, we seek the values that make the remainder term equal to zero.
Inspection of Eq. (7.31) leads us to conclude that for the remainder to be zero, bO and b l must be
zero. Because it is unlikely that our initial guesses at the values of r and s will lead to this result,
we must determine a systematic way to modify our guesses so that bO and b l approach zero.
To do this, Bairstow's method uses a strategy similar to the Newton-Raphson approach. Because
both bO and b l are functions of both r and s, they can be expanded using a Taylor series, as in
[recall Eq. (4.26)]

dbi Sbi
b\(r- iw. s + A5) = bi
f +• • — Ar + — As
* I f Bs

buir + 3yr, s + As) = -r— + — As

If BS (733)

where the values on the right-hand side are all evaluated at r and s.

\0
Notice that second-jmdjiigher-order terms have been neglected. This represents an implicit
assumption that />r and^s are small enough that the higher-order terms are negligible.
Another way of expressing this assumption is to say that the initial guesses are adequately close
to the values of r and s at the roots.
The changes, r and s, needed to improve our guesses can be estimated by setting Eq. (7.33) equal
to zero to give

— Ar + — - £ L S = - i h
l

iff &S (7.34)

_ Ar + — As = - m
i f m ( 7 3 5 )

If the partial derivatives of the 6's can be determined, these are a system of two equations,
thatcanbesolved simultaneously for the two unknowns, \r and A.v_Bairstow showed that
the partial derivatives can be obtained by a synthetic division of the b's in a fashion similar
to the way in which the b's themselves were derived:

(7.36a)

(7.36b)

q = 6, + r q 11 + s c i+£ fori-1 to ] ( 7 3 6 c )

wherej^fo/dr = ci. dbp/ds = dl>i/dr = C2, and = C3.

Thus, the partial derivatives are obtained by synthetic division of the b's.
Then the partial derivatives can be substituted into Eqs. (7.34) and (7.35) along with the b's to
give

Ci&r + cfe&£ = —&rj

These equations can be solved for Ar and As, which can in turn be employed to improve the
initial guesses of r and s. At each step, an approximate error in r and s can be estimated, as in

I Af
1
(7.37)

11
 and

]Q0%
(7.38)
When both of these error estimates fall below a prespecified stopping criterion ss , the values
of the roots can be determined by

r — ij r*- -f- "Is

jr= •
2 (7.39)
At this point, three possibilities exist:
1. The quotient is a third-order polynomial or greater. For this case, Bairstow's method would
be applied to the quotient to evaluate new values for r and s. The previous values of r and s can
serve as the starting guesses for this application.
2. The quotient is a quadratic. For this case, the remaining two roots could be evaluated directly
with Eq. (7.39).
3. The quotient is a first-order polynomial. For this case, the remaining single root can be
evaluated simply as
1

r (7.40)

E X A M P L E 7.3 Bairstow's Method

Problem Statement. Employ Bairstow's method to determine the roots of the polynomial

f5(x) = x - 3.5x + 2.75x + 2.125x - 3.875x + 1.25

5 4 3 2

Use initial guesses of r = s = - l and iterate to a level of e = 1%.s

Solution.
Equations (7.32) and (7.36) can be applied to compute
 ^ +r k | V l ^ V z . ^ 3 . q 3 + r b ^ s ^ = 2.15+ (~0 H .5) + H J f t J

1-2; . » b = q^-h r b + b 2 s 4 = 2.125 t ( - 0 f 4 . 2 5 j ( H ) ( ^ r J

+ i 5

» ;L.1l5"-6.l5"+4,5"* 0.375"

= _ 3 , S r 5 - 0.375"- 6\25 « -10,5"

l= * t o = + + d o „ <.Z5 + H ) H o . 5 ' )
2 + ^ )^ 3^)
t t

- 1 2 5 + 4<D.5~-0.375 = 11,375

Cn=bn » C g= b 5 ~ 1

j v « , = 6.25+S.SH-10.75

i-- -;
2 . * c A ^ ^ + r c 3 + sc^ = O.375+(-0fe7S>(-l)fs,5)

= 0 . 3 7 5 - 1 0 / 7 5 + 5,5 - - 2 ^ 7 5

1= 4 '; *c . b ^ r c x + s q
{ = - T0.5-n-r-0 4 7 5 ) +M)0o.7S)

H 0 5 + Vy75--lO.T5-H6.37S

Ca>r* c l>s - - ^
3 _J . ??5^r+
i l (0,75*^.^0,5

e-i > r + c ^ f c > s =• -bo - U . V75i>r- i+XfSOs - H U 7 5

^ We. so
From + W ^ r s f ^qucx^c,

From 4W iEncnd ea^uafi O 0

U.37S / \&JZbs-\QS

+ .S7S

-3. 359 (rfo.fS k*_40.50 - ^ . $ 7 5 ^ = -f/.37£

>M'75 4,^5

Modi^iWd VQ!

£ a , r U ' Moo = ! 1 o.3S5>? =, 55", 23 %

' -0.641^2

l>s -100 =
s

CompuVoV^or. vo^W b<e^ re^><e-caVT&4 uoi-rin Vhes m o c i ^ V d r and s values

L -A -A -t rio „

^ a; + rW;. + K SID
c,
+rc n
c ^ - 8 . 3 45^ 4.^7^4
c

C i [ > r ^ e ^ t > s ^ - t > . 4 ^ t > r . -2-130^

t^r- 0-1534 &s -<D,33N

| £ , r | -
a ^-Oe/o

s - 0,13^1 -t 0.33*6 « 0 4 6 ? ?

A W f 4-^ . W t t
0,063 ^£

S ^ O . <3 IEQ.SI «=. 0.040 oL

* = r ± \r^4s x ^ - o . S + U-o.s)'+4(0,5) ^ 0,5> -|,o

-1.0

^ 3 , ^ 4 - 2,f5x3-f £.125x^3. ?fSx-H,*-S 2 + 0 »5> x —Ov 5

X^4x x t 525y-2,5

BcxWVouo ^^Vkod voWV W a ^ W l on ftU polynomial w\4b r--0S

an A £-=0.5 us vr\\UcA ^u<e-Ss«ss ,

15"
c~ 2-

""""""" J2_ 2-