Newton-Raphson Method

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 Newton-Raphson Method

f(x)

f(xi)
x f (x ) f(xi )
i, i
xi +1 = xi -
f (xi )

f(xi-1)


xi+2 xi+1 xi X

Figure 1 Geometrical illustration of the Newton-Raphson method.

2
 Derivation

f(x)

AB
f(xi) B tan( ) =
AC

f ( xi )
f ' ( xi ) =
xi − xi +1
C  A X f ( xi )
xi+1 xi xi +1 = xi −
f ( xi )

Figure 2 Derivation of the Newton-Raphson method.

3
Algorithm for Newton-Raphson Method

4
 Step 1

Evaluate f (x) symbolically.

5
 Step 2

Use an initial guess of the root, xi , to estimate the new

value of the root, xi +1 , as
f (xi )
xi +1 = xi -
f (xi )

6
 Step 3

Find the absolute relative approximate error a as

xi +1- xi
a =  100
xi +1

7
 Step 4

Compare the absolute relative approximate error with

the pre-specified relative error tolerances .

Go to Step 2 using new

Yes
estimate of the root.
Is a s ?

No Stop the algorithm

Also, check if the number of iterations has exceeded the

maximum number of iterations allowed. If so, one needs
to terminate the algorithm and notify the user.

8
 Example 1

The floating ball has a radius of 5.5 cm. You are asked to find the
depth to which the ball is submerged when floating in water.

Figure 3 Floating ball problem.

9
 Example 1 Cont.

The equation that gives the depth x in meters to

which the ball is submerged under water is given by

f (x ) = x 3-0.165 x 2+3.993 10 - 4

Figure 3 Floating ball problem.

Use the Newton’s method of finding roots of equations to find

a) the depth ‘x’ to which the ball is submerged under water. Conduct three
iterations to estimate the root of the above equation.
b) The absolute relative approximate error at the end of each iteration, and
c) The number of significant digits at least correct at the end of each
iteration.
10
 Example 1 Cont.

Solution
To aid in the understanding
of how this method works to
find the root of an equation,
the graph of f(x) is shown to
the right,
where
f (x ) = x 3-0.165 x 2+3.993 10 - 4
Figure 4 Graph of the function f(x)

11
Example 1 Cont.

Solve for f ' ( x )

f (x ) = x 3-0.165x 2+3.993 10- 4

f ' (x ) = 3x 2-0.33x
Let us assume the initial guess of the root of f ( x ) = 0
is x0 = 0.05 m . This is a reasonable guess (discuss why
x = 0 and x = 0.11m are not good choices) as the
extreme values of the depth x would be 0 and the
diameter (0.11 m) of the ball.

12
Example 1 Cont.

Iteration 1
The estimate of the root is

f ( x0 )
x1 = x0 −
f ' ( x0 )

= 0.05 −
(0.05) − 0.165(0.05) + 3.993  10 − 4
3 2

3(0.05) − 0.33(0.05)
2

1.118  10 − 4
= 0.05 −
− 9  10 −3
= 0.05 − (− 0.01242)
= 0.06242

13
Example 1 Cont.

Figure 5 Estimate of the root for the first iteration.

14
Example 1 Cont.

The absolute relative approximate error a at the end of Iteration 1

is
x1 − x0
a =  100
x1
0.06242 − 0.05
=  100
0.06242
= 19.90%
The number of significant digits at least correct is 0, as you need an
absolute relative approximate error of 5% or less for at least one
significant digits to be correct in your result.

15
Example 1 Cont.

Iteration 2
The estimate of the root is
f ( x1 )
x2 = x1 −
f ' ( x1 )

= 0.06242 −
(0.06242) − 0.165(0.06242) + 3.993  10 − 4
3 2

3(0.06242) − 0.33(0.06242)
2

− 3.97781 10 −7
= 0.06242 −
− 8.90973  10 −3
(
= 0.06242 − 4.4646  10 −5 )
= 0.06238

16
Example 1 Cont.

Figure 6 Estimate of the root for the Iteration 2.

17
Example 1 Cont.

The absolute relative approximate error a at the end of Iteration 2

is
x2 − x1
a =  100
x2
0.06238 − 0.06242
=  100
0.06238
= 0.0716%

2− m
The maximum value of m for which a  0.5  10 is 2.844.
Hence, the number of significant digits at least correct in the
answer is 2.

18
Example 1 Cont.

Iteration 3
The estimate of the root is
f ( x2 )
x3 = x2 −
f ' ( x2 )

= 0.06238 −
(0.06238) − 0.165(0.06238) + 3.993  10 − 4
3 2

3(0.06238) − 0.33(0.06238)
2

4.44  10 −11
= 0.06238 −
− 8.91171 10 −3
( )
= 0.06238 − − 4.9822  10 −9
= 0.06238
19
Example 1 Cont.

Figure 7 Estimate of the root for the Iteration 3.

20
Example 1 Cont.

The absolute relative approximate error a at the end of Iteration 3

is
x2 − x1
a =  100
x2
0.06238 − 0.06238
=  100
0.06238
= 0%

The number of significant digits at least correct is 4, as only 4

significant digits are carried through all the calculations.

21
Advantages and Drawbacks of
Newton Raphson Method

22
Advantages

• Converges fast (quadratic convergence), if it converges.

• Requires only one guess

23
 Drawbacks

1. Divergence at inflection points

Selection of the initial guess or an iteration value of the root that
is close to the inflection point of the function f ( x ) may start
diverging away from the root in the Newton-Raphson method.

For example, to find the root of the equation f ( x ) = ( x − 1) + 0.512 = 0.

3

The Newton-Raphson method reduces to xi +1 = xi −

(x3
i )
3
− 1 + 0.512
.
3(xi − 1)
2

Table 1 shows the iterated values of the root of the equation.

The root starts to diverge at Iteration 6 because the previous estimate
of 0.92589 is close to the inflection point of x = 1 .
Eventually after 12 more iterations the root converges to the exact
value of x = 0.2.
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 Drawbacks – Inflection Points

Table 1 Divergence near inflection point.

Iteration xi
Number
0 5.0000
1 3.6560
2 2.7465
3 2.1084
4 1.6000
5 0.92589
6 −30.119
7 −19.746 Figure 8 Divergence at inflection point for
f ( x ) = ( x − 1) + 0.512 = 0
3
18 0.2000
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 Drawbacks

1. Divergence at inflection points

The method assumes the tangent line at 𝑥𝑛​ leads closer to the root.
However, near an inflection point, the behavior of the tangent can be
unstable or misleading because:
• At an inflection point, 𝑓′′(𝑥)=0
• The curve is not "curving" toward or away from the x-axis — it's
flattening
• The tangent may intersect far away from the actual root
• The slope 𝑓′(𝑥) might be small, making the correction step large,
causing divergence or oscillation

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Drawbacks

27
 Drawbacks – Division by Zero
2. Division by zero
For the equation
f ( x ) = x 3 − 0.03 x 2 + 2.4 10 −6 = 0
the Newton-Raphson method
reduces to
xi3 − 0.03xi2 + 2.4 10−6
xi +1 = xi −
3xi2 − 0.06 xi

For x0 = 0 or x0 = 0.02 , the Figure 9 Pitfall of division by zero

denominator will equal zero. or near a zero number

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 Drawbacks – Oscillations near local
maximum and minimum

3. Oscillations near local maximum and minimum

• Results obtained from the Newton-Raphson method may

oscillate about the local maximum or minimum without
converging on a root but converging on the local maximum
or minimum.
• Eventually, it may lead to division by a number close to
zero and may diverge.
• For example for f ( x ) = x + 2 = 0 the equation has no real
2

roots.

29
 Drawbacks – Oscillations near local
maximum and minimum

Table 3 Oscillations near local maxima 6

f(x)
and mimima in Newton-Raphson method. 5

f ( xi ) a %
Iteration
Number xi 4

3
0 –1.0000 3.00 3

1 0.5 2.25 300.00 2

2

2 –1.75 5.063 128.571 11

3 –0.30357 2.092 476.47 4
x
4 3.1423 11.874 109.66 -2 -1
0
0 1 2 3
-1.75 -0.3040 0.5 3.142
5 1.2529 3.570 150.80 -1

6 –0.17166 2.029 829.88

Figure 10 Oscillations around local
7 5.7395 34.942 102.99
minima for f ( x ) = x + 2 .
2
8 2.6955 9.266 112.93
9 0.97678 2.954 175.96
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Drawbacks – Root Jumping

4. Root Jumping
In some cases where the function f ( x ) is oscillating and has a number
of roots, one may choose an initial guess close to a root. However, the
guesses may jump and converge to some other root.
1.5
f(x)
For example
f ( x ) = sin x = 0
1

0.5

Choose x
x0 = 2.4 = 7.539822
0
-2 0 2 4 6 8 10
-0.06307 0.5499 4.461 7.539822
-0.5

It will converge to x=0 -1

instead of x = 2 = 6.2831853 -1.5

Figure 11 Root jumping from intended

location of root for
f ( x ) = sin
31
. x=0
Drawbacks – Root Jumping

4. Root Jumping

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Drawbacks – Root Jumping

4. Root Jumping

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 Secant Method

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 Secant Method – Derivation

f(x) Newton’s Method

f(xi )
xi +1 = xi - (1)
f(xi)
x f (x ) f (xi )
i, i

Approximate the derivative

f ( xi ) − f ( xi −1 )
f ( xi ) = (2)
f(xi-1)
xi − xi −1

X
Substituting Equation (2)
xi+2 xi+1 xi
into Equation (1) gives the
Secant method
Figure 1 Geometrical illustration of f ( xi )( xi − xi −1 )
the Newton-Raphson method. xi +1 = xi −
f ( xi ) − f ( xi −1 )
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 Secant Method – Derivation

The secant method can also be derived from geometry:

f(x)
The Geometric Similar Triangles
AB DC
=
f(xi) B AE DE
can be written as
f ( xi ) f ( xi −1 )
=
C
xi − xi +1 xi −1 − xi +1
f(xi-1)

E D A
On rearranging, the secant
X
xi+1 xi-1 xi method is given as

f ( xi )( xi − xi −1 )
Figure 2 Geometrical representation of xi +1 = xi −
the Secant method. f ( xi ) − f ( xi −1 )
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Algorithm for Secant Method

37
Step 1

Calculate the next estimate of the root from two initial guesses

f ( xi )( xi − xi −1 )
xi +1 = xi −
f ( xi ) − f ( xi −1 )
Find the absolute relative approximate error

xi +1- xi
a =  100
xi +1

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Step 2

• Find if the absolute relative approximate error is greater than the

prespecified relative error tolerance.

• If so, go back to step 1, else stop the algorithm.

• Also check if the number of iterations has exceeded the maximum

number of iterations.

39
Example 1

The floating ball has a radius of 5.5 cm. You are asked to find the
depth to which the ball is submerged when floating in water.

Figure 3 Floating Ball Problem. 40

Example 1 Cont.

The equation that gives the depth x to which the ball is

submerged under water is given by
f (x ) = x 3-0.165 x 2+3.993 10 - 4
Use the Secant method of finding roots of equations to
find the depth x to which the ball is submerged under
water.
• Conduct three iterations to estimate the root of the
above equation.
• Find the absolute relative approximate error and the
number of significant digits at least correct at the end
of each iteration. 41
 Example 1 Cont.

Solution
To aid in the understanding
of how this method works to
find the root of an equation,
the graph of f(x) is shown to
the right,
where
f (x ) = x 3-0.165 x 2+3.993 10 - 4

Figure 4 Graph of the function f(x).

42
 Example 1 Cont.

Let us assume the initial guesses of the root of f ( x ) = 0

as x−1 = 0.02 and x0 = 0.05 .

Iteration 1
The estimate of the root is
f (x0 )(x0 − x−1 )
x1 = x0 −
f (x0 ) − f (x−1 )

= 0.05 −
(0.05 − 0.165(0.05) + 3.993 10 )(0.05 − 0.02)
3 2 −4

(0.05 − 0.165(0.05) + 3.99310 )− (0.02 − 0.165(0.02) + 3.99310 )

3 2 −4 3 2 −4

= 0.06461

43
Example 1 Cont.

The absolute relative approximate error a at the end of

Iteration 1 is
x1 − x0
a = 100
x1
0.06461 − 0.05
= 100
0.06461
= 22.62%
The number of significant digits at least correct is 0, as you
need an absolute relative approximate error of 5% or less
for one significant digits to be correct in your result.
44
Example 1 Cont.

Figure 5 Graph of results of Iteration 1.

45
 Example 1 Cont.

Iteration 2
The estimate of the root is

f (x1 )(x1 − x0 )
x2 = x1 −
f (x1 ) − f (x0 )

= 0.06461 −
(0.06461 − 0.165(0.06461) + 3.99310 )(0.06461− 0.05)
3 2 −4

(0.06461 − 0.165(0.06461) + 3.99310 )− (0.05 − 0.165(0.05) + 3.99310 )

3 2 −4 3 2 −4

= 0.06241

46
Example 1 Cont.

The absolute relative approximate error a at the end of

Iteration 2 is
x2 − x1
a = 100
x2
0.06241 − 0.06461
= 100
0.06241
= 3.525%
The number of significant digits at least correct is 1, as you
need an absolute relative approximate error of 5% or less.

47
Example 1 Cont.

Figure 6 Graph of results of Iteration 2.

48
 Example 1 Cont.

Iteration 3
The estimate of the root is

f (x2 )(x2 − x1 )
x3 = x2 −
f (x2 ) − f (x1 )

= 0.06241 −
(0.06241 − 0.165(0.06241) + 3.99310 )(0.06241− 0.06461)
3 2 −4

(0.06241 − 0.165(0.06241) + 3.99310 )− (0.05 − 0.165(0.06461) + 3.99310 )

3 2 −4 3 2 −4

= 0.06238

49
Example 1 Cont.

The absolute relative approximate error a at the end of

Iteration 3 is
x3 − x2
a = 100
x3
0.06238 − 0.06241
= 100
0.06238
= 0.0595%
The number of significant digits at least correct is 5, as you
need an absolute relative approximate error of 0.5% or
less.
50
Iteration 3

Figure 7 Graph of results of Iteration 3.

51
 Advantages

• Converges fast, if it converges

• Requires two guesses that do not need to bracket
the root

52
Drawbacks
2
2

f ( x)
0
f ( x) 0
f ( x)

−2 2
10 5 0 5 10
− 10 x x guess1  x guess2 10
f(x)
prev. guess
new guess f ( x ) = Sin ( x ) = 0

Division by zero
53
Drawbacks (continued)
2
2

f ( x)

f ( x)
0
f ( x) 0
secant( x)

f ( x)

−2 2
10 5 0 5 10
− 10 x x 0  x 1'  x x 1 10
f(x)
x'1, (first guess)
x0, (previous guess) f ( x ) = Sinx = 0
Secant line
x1, (new guess)

Root Jumping
54